Customs and Security Export Requirements

Changes mandated by the U.S. Department of Homeland Security

Effective October 1, 2008, all Shipper Export Declarations must be filed electronically with the U.S. Department of Census using the Automated Export System (AES) or approved software that will interface with AES. The original rule was published on July 1, 2008 and there was a period of informed compliance for 90 days which expired on September 30, 2008. The response from the Department of Census to the U.S. Principal Party of Interest (USPPI) will be an Internal Transaction Number which will need to be provided to the railroad.

Filing Options with Automated Export System (AES)

  1. AES Internal Transaction Number (ITN)
    This number is generated by the U.S. Census system, is assigned to the shipment and confirms that the transmission was accepted and is on file in AES.
    Example:
    Transaction Prefix – 1 alpha, e.g. X
    Numeric ID – 14 numeric digits, e.g. 20080424123456
    Therefore, the complete ITN is X20080424123456 and the EDI is N9*ITN *X20080424123456.
  2. AES Option 4 Employee Identification Number
    This is a U.S. Census exemption statement containing the USPPI ID number. If a forwarding agent is filing for an option 4-approved USPPI, both the USPPI and the forwarding agent ID numbers are required, and the USPPI ID must appear first.  The USPPI ID consists of 9 digits followed by an optional 2-position alpha-numeric suffix.
    Example:
    Qualifying Prefix – 1 numeric; e.g. 4
    USPPI ID number – 9 numeric, 2 alpha; e.g. 123456789AB
    Number Separator – colon; e.g. :
    Forwarding agents’ ID number – 9 numeric; e.g. 741234567
    Therefore, the complete AES Option 4 Exemption Statement is 4123456789AB:623156725 and the EDI is N9*PDF*4123456789AB:6234156725.
  3. AES Information Code Exemption Number (Note 1)
    This is a U.S. Census exemption statement containing the reference number in the U.S. Code of Federal Regulations (CFR), which allows the shipment to be exported without pre-filing identifiers.  The exemptions are contained in 15 CFR Part 30, Subpart D, Sections 30.50 through 30.58 or other appropriate sections of 15 CFR Part 30, Subpart D.  The exemption statement must completely identify the location of the exemption, e.g. “30.58(a)” is reported as “3058A”.
    Example:
    Qualifying Prefix – 3 alpha; e.g. EEI
    U.S. Reference – 4 numeric; e.g. 3036
    Therefore the EDI is N9*CEN*EEI3036.

Options for Providing Proof of Filing to the Union Pacific

  1. Shippers
    Rail bills of lading received for shipments from the United States to Canada or Mexico may contain a proof of filing number or exemption statement.  Rail carriers will accept bills of lading with this information and provide to all carriers in the route of the car. See above for examples of EDI transmissions that are available to provide this information to the railroads.
  2. Freight Forwarders
    Freight Forwarders may provide this information when they clear cars for border crossing using the web-based Union Pacific Southbound Clearance System (SBC).

Rail Carrier Responsibility

Rail carrier responsibility and liability are limited to making sure the proof of filing number is provided and reflected on customs documentation.  Rail carriers are not responsible or liable for validating the accuracy of the proof of filing numbers provided on rail bills of lading.