AES and EEI Filing for US Exports: USD 2,500 Rule, Deadlines, ITN, Penalties

When EEI is required

EEI is filed per shipment: goods sent by one US principal party in interest (USPPI) to one ultimate consignee on one exporting conveyance. The low-value exemption in 15 CFR 30.37(a) applies only if the value under each Schedule B or HTS number is USD 2,500 or less. Lines with the same Schedule B number are added together, so two invoice lines of USD 1,500 under the same number need EEI, while USD 2,000 of one product and USD 2,000 of another product under different numbers do not, unless another rule applies.

Under 15 CFR 30.2, EEI is required regardless of value for goods that need a licence from the Bureau of Industry and Security (BIS) or the State Department's Directorate of Defense Trade Controls (DDTC), goods subject to the ITAR, goods needing a DEA, Nuclear Regulatory Commission or other agency licence or permit, rough diamonds (HS 7102.10, 7102.21 and 7102.31) and used self-propelled vehicles. Shipments whose final destination is Canada are exempt under 15 CFR 30.36, but not goods sent to Canada for storage and later export to another country, or goods moving through Canada to a third country.

• Over USD 2,500 under one Schedule B or HTS number
• Any value if an export licence or permit is required
• Rough diamonds and used self-propelled vehicles
• Not for goods with Canada as final destination (with the exceptions above)

Who files: USPPI, agent and routed exports

The USPPI is the person in the United States that receives the primary benefit of the export, usually the US seller. The USPPI can file itself or authorise an agent, such as a freight forwarder, by a power of attorney or written authorisation that states the agent may create and file EEI on its behalf (15 CFR 30.3(f)). An authorised agent must be physically located in the United States.

In a routed export transaction the foreign buyer (the foreign principal party in interest, FPPI) controls the shipment and authorises a US agent to file the EEI. The USPPI must still give that agent complete and accurate export information, such as the Schedule B number, value and quantity, and should ask for a copy of the data filed and the FPPI's written authorisation.

Deadlines and the ITN

Under 15 CFR 30.4, EEI for vessel cargo must be filed at least 24 hours before the cargo is loaded at the US port; for air cargo 2 hours before scheduled departure; for rail 2 hours before the train reaches the border; for trucks 1 hour before the truck reaches the border; and for mail 2 hours before export. Licensed goods, ITAR items, used vehicles and other sensitive shipments must always be filed before departure.

When AES accepts the filing, it returns an Internal Transaction Number (ITN). The USPPI or its agent gives the carrier the proof of filing citation, AES followed by the ITN, and the carrier reports it on the manifest; it normally appears on the bill of lading or air waybill. Where no EEI is needed, an exemption legend is used instead, for example NOEEI 30.37(a) for low-value goods.

What goes into the EEI

15 CFR 30.6 lists the data elements. The value is the value of the goods at the US port of export in US dollars: the selling price, or cost if not sold, plus inland freight, insurance and other charges to the US port of export. It is not simply the invoice total: on a CIF sale, international freight and insurance are left out; on an EXW sale, inland freight to the port is added. Shipping weight is reported in kilograms including normal packaging.

• USPPI name, address and identification number
• Ultimate consignee and country of final destination
• 10-digit Schedule B number (or HTS number) and description
• Quantity, unit of measure and shipping weight in kilograms
• Value at the US port of export in US dollars
• Method of transport, carrier and port of export
• Export information code and licence code or exemption
• Related party, routed transaction and hazardous material indicators