When EEI filing is required

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1. What the EEI filing is

The Export Administration Regulations (EAR) rely on the Electronic Export Information (EEI) filing to the Automated Export System (AES) (15 CFR 758.1(a)). The Census Bureau uses it to collect trade statistics, and the Bureau of Industry and Security (BIS) uses it for export control. It collects the names and addresses of the parties, the Export Control Classification Number (ECCN) when required, and the Schedule B or Harmonized Tariff Schedule (HTS) number. It also records the description, quantity and value of the items and the license authority. The EEI is a statement to the U.S. Government that the transaction occurred as described.

2. When EEI must be filed

Except for exports that take place electronically or in another intangible form, EEI must be filed for items subject to the EAR, including exports by U.S. mail, in the situations the rule lists (15 CFR 758.1(b)). It is required for all exports to a country in Country Group E:1 or E:2, regardless of value (15 CFR 758.1(b)(1)). It is required for all exports that need a license application, regardless of value or destination (15 CFR 758.1(b)(2)).

It is required for all exports of 9x515 or 600 series items described in paragraphs .a through .x of those ECCNs, regardless of value or destination, including exports to Australia, Canada and the United Kingdom (15 CFR 758.1(b)(3)). It is required for all exports under License Exception Strategic Trade Authorization (STA) and all exports under Validated End-User authorization (15 CFR 758.1(b)(4) and 15 CFR 758.1(b)(7)).

For commodities and mass market software, EEI is required when the value classified under a single Schedule B or HTS number is over $2,500, except as the Foreign Trade Regulations (FTR) exempt (15 CFR 758.1(b)(5)). It is also required for items transshipped through Australia, Canada or the United Kingdom to a third destination where a direct export would need EEI or a license (15 CFR 758.1(b)(6)).

3. Listed parties, firearms and certain destinations

EEI is required for all exports of tangible items where an intermediate consignee, ultimate consignee or end-user is on the Unverified List, regardless of value or destination (15 CFR 758.1(b)(8)). It is required for exports of certain firearms under ECCNs 0A501.a or .b, 0A506 or 0A507, shotguns with barrels under 18 inches under 0A502 or 0A508, and ammunition under 0A505 other than .c (15 CFR 758.1(b)(9)). That applies regardless of value or destination, except under License Exception BAG for baggage.

EEI is required for all exports of Commerce Control List (CCL) items to the People’s Republic of China, Russia or Venezuela, regardless of value (15 CFR 758.1(b)(10)). The exception is the exemption for governments and international organizations in paragraph (c)(4). That includes Hong Kong, which the EAR treats as part of the People’s Republic of China, even if the AES lists the destination as Hong Kong. It is also required for exports of items in ECCN 3A069 to a destination in Country Group D (15 CFR 758.1(b)(11)).

4. Exemptions

The full list of exemptions is in the FTR at 15 CFR 30.35 through 30.40 (15 CFR 758.1(c)). Some share elements with EAR license exceptions, but an FTR exemption may be narrower. The rule points to the FTR exemptions that relate to License Exception BAG, gift parcels and humanitarian donations, aircraft and vessels, governments and international organizations, technology and software under restriction, and temporary exports of tools of trade. The matching FTR provisions are 30.37(x) for baggage, 30.37(h) for gift parcels, 30.37(o)(5) for aircraft and vessels, 30.39 and 30.40 for governments, 30.37(f) for restricted technology and software, and 30.37(b) for tools of trade. Firearms exported under License Exception BAG have their own export clearance requirements, to which the rule points.

5. Notation when no EEI is filed

Exempt shipments still carry a notation (15 CFR 758.1(d)). When an exemption applies, the export authority for every item, a license exception or NLR (no license required), is entered on the loading document, such as the manifest, bill of lading or air waybill (15 CFR 758.1(d)). The person preparing the document makes the entry. The requirement parallels the Census Bureau rule so that both notations appear in the same place and manner. The loading document must be available for inspection by government officials, with the items, before lading on the carrier.

6. Who files

The filer must be in the United States at the time of filing, and the person transmitting the EEI must be a certified AES participant (15 CFR 758.1(e)). The transmitter, whether exporter or agent, is responsible for the truth, accuracy and completeness of the EEI, except to the extent it can show reasonable reliance on information from others.

EEI is filed in the manner the FTR prescribes (15 CFR 758.1(i)). To use the AES, a filer applies directly to the Census Bureau for certification and approval, and two filing options exist (15 CFR 758.2). Predeparture filing reports all information before export. Postdeparture filing is available only to companies approved by the Census Bureau, U.S. Customs and Border Protection and BIS, and requires complete information no later than five calendar days after export. An applicant for postdeparture status submits a Letter of Intent, and an agency that neither denies nor seeks an extension within 30 days of referral is deemed to approve. The Census Bureau sends the letter to BIS and the other participating agencies, and a denial letter names the agency that denied it (15 CFR 758.2(a)).

BIS will consider grounds for denying postdeparture status beyond those in the FTR (15 CFR 758.2(b)). They include a party to the export on the Denied Party, Entity, Specially Designated Nationals or Unverified Lists, or exports to Country Group E:1 or E:2. It may also deny it for STA, Validated End-User, 9x515 or 600 series exports, and for items that need a license or are controlled for reasons other than anti-terrorism only or encryption. What the filing must contain is covered in what the EEI filing must show.

Key terms

EEI	Electronic Export Information filed in the AES.
AES	The Automated Export System.
Loading document	A manifest, bill of lading or air waybill carrying the export authority.
Postdeparture filing	Filing within five calendar days after export, for approved companies.

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

Export filings sit behind every shipment of controlled equipment. Sentfore works at the delivery end of defense programs in difficult environments, providing secure movement, protective security, facilities and life support. Requirements can be sent through the contact page.