What the EEI filing must show

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1. The EEI as an export control document

Under the Export Administration Regulations (EAR), the Electronic Export Information (EEI) filed in the Automated Export System (AES) is a statement to the U.S. Government and an export control document (15 CFR 758.1(f)). False statements on it may violate the EAR’s rule against false or misleading representations. By filing, the filer makes three representations.

The first is that the export is authorized under a license from the Bureau of Industry and Security (BIS), a license exception or NLR (no license required), or is not subject to the EAR (15 CFR 758.1(f)(1)). The second is that the filing conforms to any license, apart from the U.S. principal party in interest (USPPI) blocks in routed transactions or a name change BIS approved in writing (15 CFR 758.1(f)(2)). The third is that all information shown is true, accurate and complete (15 CFR 758.1(f)(3)).

2. The export control fields

For each item, the filer reports the license authority, meaning the license number, license exception symbol or NLR designator, along with the Export Control Classification Number (ECCN) when required and the item description (15 CFR 758.1(g)). The description is stated in Commerce Control List (CCL) terms. If those terms are not enough for Census Bureau purposes, more detail is added to verify the Schedule B or Harmonized Tariff Schedule number.

Under a license, the filing shows the license code, license number, ECCN and an item description identical to the one on the license (15 CFR 758.1(g)(1)). Under a license exception, it shows the ECCN and the correct exception symbol, such as the symbols LVS, GBS or CIV, and the matching code (15 CFR 758.1(g)(2)). Items temporarily in the United States under a specified provision of License Exception Temporary Imports, Exports, and Reexports (TMP) need no ECCN.

3. No license required exports

For NLR exports, the filer reports the correct code, which is Foreign Trade Regulations (FTR) code C33 for EAR99 items. The filer also reports the correct code for listed items that need no license (15 CFR 758.1(g)(3)). The correct ECCN is entered for all NLR items controlled for any reason other than, or in addition to, anti-terrorism. For items going to China, Russia or Venezuela, the ECCN is entered whatever the reason for control.

4. Firearms, advanced computing items and name changes

For temporary exports under License Exception TMP or a BIS license of certain firearms and short-barreled shotguns, the filing adds the manufacturer, model, caliber and serial number (15 CFR 758.1(g)(4)(i)). The same applies where a license condition requires it. For any export of those firearms categories, the items paragraph classification or other control descriptor appears first in the commodity description block (15 CFR 758.1(g)(4)(ii)).

A note covers firearms in those categories sent abroad under License Exception TMP for inspection, test, calibration or repair (15 CFR 758.1, note 2 to paragraph (g)(4)). If such a commodity is not consumed or destroyed in normal temporary use, it must be disposed of or retained in one of the ways the exception allows. A commodity destroyed during repair need not be returned, and a replacement shipped back to the exporter needs no EAR authorization to import. Both parties document this in their records.

For .z items under ECCNs 3A001, 4A003, 4A004, 4A005, 5A002, 5A004, 5A992, 5D002 or 5D992, the .z classification appears first in the commodity description block when applicable (15 CFR 758.1(g)(5)).

Exports against a license with BIS-approved name changes have their own reporting rule (15 CFR 758.4(d)). Before using the license, the filer enters in the relevant AES name field the new name followed by the original, in the form new name, formerly known as (f.k.a.), original name. A copy of BIS’s approval may be included but is not required. If the items were already exported before the change was approved, no extra AES entry is needed, though recordkeeping still applies.

5. Powers of attorney

A power of attorney or other written authorization confers authority on an agent to act for a principal (15 CFR 758.1(h)). An agent representing a foreign principal party in interest in a routed transaction must have one (15 CFR 758.1(h)(1)). So must an agent applying for a license on behalf of a principal party in interest. The Census Bureau’s rules impose further requirements.

The rule explains that the requirement is aimed at ensuring the parties negotiate and understand their responsibilities (15 CFR 758.1(h)(2)). Its absence does not stop BIS from using other evidence to establish an agency relationship and impose liability.

6. Who is responsible for what

All parties to transactions subject to the EAR must comply with it (15 CFR 758.3). They may structure transactions and delegate tasks as they wish, as long as the transaction complies. Acting through a forwarding or other agent, or delegating authority, does not by itself relieve anyone of responsibility.

In an export transaction the USPPI is the exporter, except in certain routed transactions (15 CFR 758.3(a)). The exporter determines the licensing authority (a license, a license exception or NLR) and obtains the authorization. It may hire agents, but that does not necessarily relieve it of compliance responsibilities.

All EAR provisions, including end-use and end-user controls and the general prohibitions, apply to routed export transactions (15 CFR 758.3(b)). The USPPI is the exporter and determines licensing unless it obtains a writing in which the foreign principal party in interest expressly assumes that responsibility. The U.S. agent of the foreign principal then becomes the exporter for EAR purposes. One writing may cover multiple transactions between the same principals.

Where the foreign principal assumes that responsibility, the USPPI must, on request, give the foreign principal and its agent the correct ECCN or enough technical information to classify (15 CFR 758.3(c)). It must also give them any information it knows will affect the license determination. An agent representing the foreign principal, or applying for a license for it, needs a power of attorney or other written authorization (15 CFR 758.3(d)). When filing is required is covered in when EEI filing is required.

Key terms

Export control document	A document, such as the EEI, on which false statements may be violations.
License authority	The license number, exception symbol or NLR designator reported.
C33	The FTR license code for EAR99 items exported as NLR.
USPPI	The U.S. principal party in interest.

Every statement above links to the document behind it. The full source list for this piece is on the sources page.

This page describes public United States government programs for general information. It is not legal, regulatory or procurement advice, and it does not address the facts of any particular case.

How Sentfore supports this

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