AES Filing Process

The process of filing declarations with Automated Export System (AES) broadly consists of the following steps:

1. Creating a Declaration
2. Determining Reporting Requirement for Declaration Line
3. Determining Required Documents for Filing
4. Preparing Data
5. Validating Data Required for the Document
6. Generating the Document
7. Sending the Document to Customs
8. Processing the Response from AES

Creating a Declaration

A declaration is the Oracle Global Trade Management (GTM) business object used for all customs-related activities. Declarations can be created manually via the UI (see Create/Add to Existing Declarations) or automatically via agent actions (see topics GTM Transaction Agent Actions, GTM Transaction Line Agent Actions) from one or more trade transactions and/or trade transaction lines.

GTM uses constraint sets to (1) know which transactions and transaction lines to group into declarations and (2) aggregate transaction lines into declaration lines for reporting purposes (see topic GTM Constraint Sets).   

AES uses a Shipment Reference Number to uniquely identify each declaration. Since AES uses this number for tracking, this identifier should be created for each declaration and should remain constant for the declaration throughout the process of AES filing. GTM provides an automation agent GENERATE SHIPMENT REFERENCE NUMBER to create this unique identifier when a new declaration is created. The identifier is added to the declaration as a reference number, using the Reference Number Qualifier ID of SHIPMENT REFERENCE NUMBER. You can either activate the GENERATE SHIPMENT REFERENCE NUMBER automation agent, or use this automation agent as a template to create your own automation agent to generate an AES Shipment Reference Number (see GTM Shipment Public Automation Agents).

Other key data elements used for AES filing include:

• Related Company Indicator which specifies if the United States Principal Party of Interest (USPPI) or foreign Ultimate Consignee owns 10% or more of the other’s voting securities
• Border Transport Mode
• Carrier information such as SCAC or IATA
• Filing Option indicating if the filer is submitting the declaration pre-departure, post-departure, or if it is a partial or complete commodity filing
• Hazardous Material Indicator
• Estimated Date of Export
• Port information including Port of Exportation and Port of Unlading
• Transportation Reference Number such as transportation booking, waybill, ocean bill of lading, pro-bill, or master air waybill
• Original Internal Transaction Number (ITN) where applicable
• Inbond Code indicating if the shipment is being transported under bond
• Routed Export Transaction Indicator which specifies if the foreign principal party of interest has authorized a US forwarding or other agent to facilitate the export of the merchandise from the United States
• Container/Equipment Number
• Name and Address information for the USPPI, Ultimate Consignee, Forwarding Agent, and Intermediate Consignee
• Commodity Details at the Line level including:
  • Schedule B/HTS Number
  • Reporting Quantity and UOM
  • Value of Goods
• Participating Government Agency (PGA) codes that are applicable
• Export License information
• Vehicle information when shipping a used vehicle

Data Configuration

In addition, when creating a declaration from a transaction or set of transactions, you want to ensure you are copying over all the data you need for filing with AES as well as use the proper qualifiers. Using data configuration, you can create rules in GTM saying which data should be copied from the transaction header to declaration header as well as transaction line to declaration line. In addition, when setting up the rules, you can specify if a different qualifier should be used on the declaration created from a transaction. For example, from a business perspective you may use a Port Qualifier of PORT OF IMPORT on your transaction representing the shipment. But when you create a declaration from the transaction, you may want to change the Port Qualifier to PORT OF UNLADING to be consistent with the wording used by AES.

Once created, a data configuration can be specified on a logic configuration that is used when creating declarations from one to many transactions. The data configuration can be similar to the following example.

Navigate to Master Data > Power Data > Configurations > Data Configurations.

• In the Data Configuration tab:
  • Enter a Data Configuration ID = EXPORT DATA COPY CONFIGURATION.
  • Select an Association Type = Transaction to Declaration.
  • Enter a Description = Data from Trade Transaction of Type SHIPMENT required on export declarations.
  • In the Attributes section:
    • Select an Association = Header-Header with an Attribute = Border Transport Mode and click Save.
    • Select an Association = Header-Header with an Attribute = Dates and click Save.
    • Select an Association = Header-Header with an Attribute = Involved Parties and click Save.
    • Select an Association = Line-Line with an Attribute = Values and click Save.
    • Select an Association = Line-Line with an Attribute = Product Classifications and click Save.
• In the Attribute Details tab:
  • In the Header-Header – Border Transport Mode section, additional details are not required.
  • In the Header-Header – Dates section, select a Source Date Qualifier = EXPORT DATE, a Target Date Qualifier = EXPORT DATE, and a Copy Option = COPY IF NULL and click Save.
  • In the Header-Header – Involved Parties section, select a Source Party Qualifier = SHIPPER, a Target Date Qualifier = USPPI, and a Copy Option = COPY IF NULL and click Save.
  • In the Line-Line – Product Classifications section:
    • Select a Product Classification Type = ECCN US and a Copy Option = COPY IF NULL and click Save.
    • Select a Product Classification Type = HTS US and a Copy Option = COPY IF NULL and click Save.
  • In the Line-Line – Values section:
    • Select a Source Value Qualifier = DOMESTIC FREIGHT, a Target Value Date Qualifier = DOMESTIC FREIGHT, and a Copy Option = COPY IF NULL and click Save.
    • Select a Source Value Qualifier = EXTENDED AMOUNT, a Target Value Date Qualifier = EXTENDED AMOUNT, and a Copy Option = COPY IF NULL and click Save.

Assigning Other Data Required for Filing

When filing declarations with AES, there may be data that you need from a filing perspective, but this data might not be related to your business. Based on the rules you define on the Compliance Rules page, you can automatically assign data to your declarations. For data assignment, the compliance rule should have the Control Category of DATA ASSIGNMENT. For example, for AES filing you need to inform customs if you are performing a pre-departure or post-departure filing. In GTM, this is modeled using a remark with a Remark Qualifier of FILING OPTION. You can automatically assign this data to every declaration being filed with AES so that you do not have to manually enter it. For details about data assignment, see Compliance Rule: Controls. The rule can be similar to:

Navigate to Master Data > Power Data > Compliance Rule > Compliance Rules.

• In the Compliance rule tab:
  • Enter a Compliance Rule ID = US – EXPORT – ASSIGN CUSTOMS FILING PARAMETERS.
  • Select a Control Category = DATA ASSIGNMENT.
  • Enter a Description = ASSIGN FILING PARAMETERS FOR US EXPORT DECLARATION – AES FILING.
  • In the Rule Parameters section:
    • Under Transaction, enter a Declaration Type ID = US – EXPORT DECLARATION (this corresponds to a previously created Declaration Type for US export declarations).
• In the Controls tab:
  • Enter a Sequence that makes sense for the compliance rule you are creating.
  • Select an Action = ASSIGN INVOLVED PARTIES and click Details.
    • Enter an Involved Party Qualifier ID = TRANSMITTER with an Involved Party = TRANSMITTER PARTY and click Save (using a previously created Involved Party).
    • Enter an Involved Party Qualifier ID = FILER with an Involved Party = FILER PARTY and click Save (using a previously created Involved Party).
  • Select an Action = ASSIGN REMARKS and click Details .
    • Enter a Remark Qual ID = FILING OPTION with Remark Text = POST-DEPARTURE and click Save.
    • Enter a Remark Qual ID = SOLD EN ROUTE with Remark Text = NO and click Save.

Determining Reporting Requirement for Declaration Line

United States Customs and Border Protection (CBP) specifies the rules under which an export declaration is required, based on their regulatory requirements. AES has a reporting rule where reporting is required when the summation of the line value based on HS code (or Schedule B code) is greater than 2500 USD. For example, if you have multiple lines with an HTS US product classification code of 8471500150, you can determine if the summation of the line value of all these lines is greater than 2500 USD. If the summation is not greater than 2500 USD, then these lines do not need to be sent to AES as part of the declaration. In GTM, you can model the rules around which declarations and lines need to be reported using compliance rules. To determine if a line needs to be reported, the compliance rule should have a Control Category of REPORT. The rule can be similar to:

Navigate to Master Data > Power Data > Compliance Rule > Compliance Rules.

• In the Compliance rule tab:
  • Enter a Compliance Rule ID = AES-HS-2500 RULE.
  • Select a Control Category = REPORT.
  • Enter a Description = DETERMINE LINES TO BE REPORTED IN US EXPORT DECLARATION – AES FILING – HS CODE.
  • In the Rule Parameters section:
    • Under Product Classification Code Attribute, select a Product Classification Type = HTS US with a Name = IS_AES_REPORTABLE and a Value = YES.
    • Under Transaction, enter a Declaration Type ID = US – EXPORT DECLARATION (this corresponds to a previously created Declaration Type for US export declarations).
    • Under Values:
      • Select a Value Qualifier ID = TOTAL VALUE.
      • Select the Aggregate check box.
      • Select a Product Classification Type = HTS US.
      • Select an Operator = Greater Than or Equal.
      • Specify a Value = 2500 USD.
• In the Controls tab:
  • Select a Regime ID = EAR.
  • Select a Control Type = AES_REPORTABLE.
  • Select a Control Code = HTS 2500 RULE.

Determining Required Documents for Filing

Run compliance rules on the declaration to determine whether the declaration needs to be sent to AES. You can run compliance rules directly or include them in a policy. In many instances, if you are exporting from the United States, an export declaration needs to be filed with AES. For document determination, the compliance rule should have the Control Category of DOCUMENT. The rule can be similar to:

Navigate to Master Data > Power Data > Compliance Rule > Compliance Rules.

• In the Compliance rule tab:
  • Enter a Compliance Rule ID = US – ASSIGN AES FILING TEMPLATE.
  • Select a Control Category = DOCUMENT.
  • Enter a Description = ASSIGN EDI TEMPLATE FOR AES FILING FOR US EXPORT DECLARATIONS.
  • In the Rule Parameters section:
    • Under Transaction, enter a Declaration Type ID = US – EXPORT DECLARATION (this corresponds to a previously created Declaration Type for US export declarations).
    • Under Country, select a Country Qualifier ID = USPPI and a Country Code = USA.
• Controls tab:
  • Select a Document Type = AES_FILING.

After the compliance rules are run, if a filing is required, the required document type is listed on the Declaration in the Standard Documents section of the Documents tab. GTM ships with a pre-defined document type called AES_FILING, which is associated with the Export Administration Regulations (EAR) and International Traffic in Arms Regulations (ITAR) regimes. All declaration lines which meet the filing requirements of AES will be considered. You can add or modify document type to regime associations via the Regime Document Definition power data.

Preparing Data

Data preparation involves converting the data from one form to another mainly for various reporting purposes. Typically data such as quantities on a shipment use units of measure (UOM) that are relevant to your operational environment. However, AES may require a different UOM be used for filing purposes. You need to show the quantities in the preferred UOM and values in the preferred currency when submitting your filing to AES.

GTM provides both web actions and agent actions that help convert the quantities from one UOM to another. After the action is complete, the converted quantities are stored in the Reporting Quantities section of the Declaration Lines page. For more details, see Convert UOMs.

Allocating Values and Weight

Since you can report values for each commodity to AES, GTM enables you to perform allocation of values from the declaration header to the declaration line. This action is mainly used when creating one declaration from one transaction. If you are grouping many transactions into one declaration, it is recommended that you use a grouping constraint set.

There are three actions available which enable you to allocate data from the header level to the line level based on qualifier:

• Allocate Charges by Value – allocates to the line the charges you specify based on a value qualifier.
• Allocate Charges by Weight – allocates to the line the charges you specify based on a weight qualifier.  
• Allocate Weight by Value – allocates to the line the weights you specify based on value qualifier.

Validating Data Required for the Document

An AES document type is associated with validation rules. At the time of document generation, GTM checks the document contents against these rules. Validation rules are implemented as saved queries. You can add additional rules based on your business needs. Validation rules can be defined via the Document Validation Rules page. To validate that certain information is in the proper format or mandatory data is present, run the Validate Declaration for Document action against a specific document in the Documents tab on the Declarations page.

The following rules are pre-defined for the AES_FILING document type:

1. The declaration must have a date defined with the date qualifier ID of EXPORT DATE.
2. The declaration must have a reference number with the reference number qualifier ID of SHIPMENT REFERENCE NUMBER.
3. The declaration must have at least three remarks with the following remark qualifier IDs: RELATED COMPANY, EXPORT INFORMATION CODE, and FILING OPTION.
4. The declaration must have a port defined using the port qualifier ID of PORT OF EXPORT and the port location must have a location reference number with reference number qualifier ID of SCHEDULE_D. The reference number value must match a value from the Census Schedule D list of locations.
5. The declaration must have a transport mode.
6. If the transport mode is one of VESSEL-CH, VESSEL-CO, or VESSEL-NO, the declaration must have a port with the port qualifier ID of PORT OF UNLADING and the port location must have a location reference number with reference number qualifier ID of SCHEDULE_K. The reference number value must match a value from the AES Schedule K list of locations.
7. The declaration must have at least two involved parties, using the involved party qualifier IDs of USPPI and CARRIER.
8. The USPPI and ULTIMATE CONSIGNEE should have first name, last name, and address (including country) information. The ULTIMATE CONSIGNEE must have a consignee type defined in the user-defined code fields with a category of AES FILING and a type ID of ULTIMATE CONSIGNEE TYPE.

   Note: When the goods are sold en-route, the ultimate consignee is not required. In addition, the port of unlading details must be specified.

9. The declaration should have at least one reportable line, and up to a maximum of 999 reportable lines.
10. Each reportable line can only have one control from a reportable regime.
11. Each reportable line must have a quantity with the quantity qualifier ID of TOTAL GROSS WEIGHT.
12. Each reportable line must have an HTS and/or Schedule B classification code. If there is no Schedule B classification code available, the HTS classification code on the line must be allowed by AES. An HTS classification code is allowed by AES if that classification code has a classification code attribute of IS_AES_REPORTABLE with attribute value Yes.

Generating the Document

If it is determined that you need to file an export declaration with AES during document determination, you can generate the document for the declaration by running the Generate Document action. When this action is triggered, GTM:

• Inspects all the declaration lines and selects only those lines that are deemed reportable.
• Retrieves the information required to generate the AES document.
• Creates the AES filing document in the X12 601 EDI format using Oracle Analytics Publisher (OAP).

GTM ships with a default template to generate the X12 601 EDI document which is the export declaration that is filed via AES.  The template takes the data in the declaration and generates an EDI document that can then be sent to customs. To use this template, you can either configure the gtm.aes properties or you can set up the report additional parameters on the Reports page.

Note: It is recommended that you set up the report additional parameters instead of the AES properties to configure values required for AES filing report generation. The use of gtm.aes properties is deprecated as of 6.4.3 release and will be removed in a later release.

Note: To ensure that report parameters are used while generating the AES filing report, change the value of the property glog.reports.useReportAddlParams to ‘true’.

You can view the EDI document generated for the declaration on the Documents tab of the Declarations page.

Sending the Document to Customs

After a document is generated for a declaration, you can transmit the filing document using the File Customs action. This action transmits the filing document using the standard GTM communication methods and updates filing statuses.

GTM supports the following method for sending data to AES:

• AES filing via HTTPPOST using Descartes’ Global Logistics Network (GLN) system – This method sends the EDI file to Descartes’ GLN which will forward the file to customs. When triggering the File Customs action to send the filing via Descartes’ Global Logistics Network (GLN) system, the following criteria should be specified:
  • Document Type = AES_FILING
  • Communication Method = HTTPPOST
  • External System = AES FILING VIA DESCARTES GLN   

For more details on configuring the two different methods for transmitting the EDI document, please refer to the Customs Filing Integration Guide available on the Oracle Help Center.

Processing the Response from AES

After the export filing is sent to AES, AES validates it and sends a response indicating if the filing is accepted, declined, or a warning is issued. If a filing is accepted, AES will send back the Internal Transaction Number (ITN). If a filing is declined, you need to make changes to the filing and resubmit it to customs until it is accepted and an ITN is received. In cases where a warning is issued, you may need to make changes on future filings so that you no longer receive the warning.

In GTM, filing responses are modeled as tracking events. This allows filing responses, after entering GTM, to trigger notification to update the statuses of the filing and update the declaration with response codes and the ITN.

The filing responses can enter GTM via a variety of integration mechanisms such as the standard XML integration, web services, or data queues. AES uses EDI-formatted filing responses and interfaces with either Message Queue or Descartes’ GLN based on the communication method used for filing.

You can view the filing document sent to AES as well as the corresponding filing response from AES on the Declaration in the Customs Filing History section of the Documents tab. A Filing Status is also available for a particular filing. If there is an issue and you need to re-send a filing, you can see the full history of each filing document that was sent to AES and the corresponding filing response in this section of the Documents tab.