Filing Citations and Exemption Legends

By: Sean Kline

Overview

A filing citation is a notation placed on the commercial loading documentation indicating that Electronic Export Information (EEI) filed in the Automated Export System (AES) has been accepted or will be filed in the AES. In contrast, an exemption legend is a notation placed on the commercial loading documentation indicating that a shipment is exempt from filing the EEI. The filing citation or exemption legend must be placed on the commercial loading documents so that it is clearly visible to the U.S. Customs and Border Protection (CBP) officers. If this information is not provided, your goods could be detained at the port and a penalty may be issued. Below are the AES Filing Citations, and Exemption Legends to be used:

  • Proof of Filing Citation
  • Internal Transaction Number (ITN): This is the randomly generated number from the AES assigned to a shipment to confirm that an EEI transaction has been accepted (for example: AES ITN X20100630123456).
  • Postdeparture Citation
  • AESPOST: This can be used only if your company has postdeparture filing privileges and the shipment is eligible for postdeparture filing. If you use AES postdeparture citation (for example: AESPOST 12345678912 06/30/2010), it is still your responsibility to ensure that the EEI is filed in the AES no later than 10 days from the date of export.
  • AESDOWN: This can only be used when the AES or AESDirect is unavailable, in which all users will be notified via an AES Broadcast . It is important to note, however, that the EEI must be filed as soon as this system becomes available and that items controlled by the International Traffic in Arms Regulations (ITAR) cannot be exported while these systems are down.

Common Exemptions

  • NOEEI 30.36: This exemption is for shipments originating in the United States where Canada is the country of ultimate destination.
  • NOEEI 30.37(a): This exemption is for shipments that are valued at $2,500 or less, per Schedule B.
  • NOEEI 30.37(r): This exemption applies to shipments that were previously imported into the U.S. under a temporary import bond and are being returned to the country of origin in the same condition as they were when they entered the U.S.
  • NOEEI 30.39: This exemption applies to shipments for the exclusive use of the U.S. Armed Services.

The entire list of exemptions can be found in sections 30.36 through 30.40 of the Foreign Trade Regulations (FTR).

Exemptions DO NOT apply if:

  • A license is required from any government agency
  • The goods are ITAR controlled
  • The shipment is destined to a location listed in Country Group E:1 (Supplement 1 to 15 CFR 740)
  • The shipment is on the Office of Foreign Assets Control Sanctions Program List
  • The goods are rough or uncut diamonds

This information will help you present the correct citation or exemption to a CBP officer the next time you have an export shipment. You can save yourself a headache by getting it right the first time.

 

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15 Responses to Filing Citations and Exemption Legends

  1. Tony says:

    Can you use more than one Exemption Legend on the export documents? For example aircraft parts and equipment some that are subject to the EAR and others that are not and are under $2500 per Schedule B.
    NOEEI 30.37(a)
    NOEEI 30.37(o)
    Thank you,
    Tony

  2. Global Reach Sean says:

    Yes, you can use more than one Exemption Legend on the export documents. This is not required but it is always a good practice to provide as much information as possible. Thanks for the question!

  3. Global Reach Rosanna says:

    Thanks @daniel!
    Apparently BIS took that page down. There is a pdf that includes this country list. Go to: http://www.bis.doc.gov/policiesandregulations/ear/ and click on “Supplement No. 1 to Part 740 Country Groups” to access.

  4. Eddie says:

    I have a clarification request regarding the second bullet — “Exemptions DO NOT apply if… The goods are ITAR controlled”. There is a FAQ on the census.gov site (www.census.gov/foreign-trade/regulations/faqs/) that indicates FTR exemption 30.37(k) should be used for technical data that is subject to ITAR 123.22(b)(3). Should the second bullet be modified to account for this exemption?

  5. Global Reach Sean says:

    Thank you for your question. Exemption 30.37(k) may be used for technical data that is subject to the ITAR but does not require a license if it is physically exported (i.e. on a CD, paper, etc.). If the data is exported electronically it is not subject to the Foreign Trade Regulations per Section 30.2(d)(3).

  6. NICK says:

    we used to ship small packages all the time through the US post office to japan with no problem. Usually door locks or window parts. About 6-8 months ago a AES filing notice started popping up when trying to ship internationaly. We stopped at the time because we were unsure of the regulations. Would like to know where to find what items are required to file or is it just if it is under $2500 it is ok to ship exempt from filing AES. Thanks

  7. Carmela says:

    I am trying to send a painting to an individual in Canada. Is there an exemption code for Original Fine Art? Is there a difference based on whether it is a gift or is being sold?

  8. Thelma Willis says:

    Is there a certain citation legend for freight moving under a Carnet.

    • Global Reach Daniel says:

      @ Thelma – Currently you can use exemption 30.37(q) in the Foreign Trade Regulations (FTR). However, in the revised FTR, which will be effective after January 8, 2014, this exemption has been removed.

  9. Nashorna Douglas says:

    Should I have to pay duty on the cost of EEI filing when it reaches the imported country.

    • Global Reach Sean says:

      @Nashorna – The value reported as part of the EEI is confidential and not disclosed to foreign governments so it will not have any impact on foreign import duties.

  10. Diana says:

    What the appropriate filing citation and exemption legend when you are shipping goods where the goods reflected on the EEI are either licensable and/or have a single HTS value over $2500 even though the shipment includes products that are not reflected on the EEI as they are both non-licensable and have and individual HTS value under $2500?

    • Global Reach Daniel says:

      @Diana,
      For shipments that contain licensed commodities but also include non-licensed commodities valued less than $2,500, you would list the ITN that was generated for the portion of the shipment that is licensed and state that the remainder of the shipment is exempt (NOEEI) per Section 30.37(a) of the Foreign Trade Regulations (FTR).

  11. Alex Criss says:

    What about packaging materials being returned/re-exported that were from an import shipment? The value of the packaging materials is less than $2,500 per schedule B but would you instead use the exemption for tool of international trade? Just want to ensure that we reference the applicable exemption. (packaging materials not moving in-bond)

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