AES Electronic Export Information Filing Audit

Audit template to verify whether Electronic Export Information (EEI) filings in the Automated Export System (AES) were required and properly completed for export shipments, including threshold-based filings, mandatory filings, ECCN classification, and license code usage.

Inspection Setup & Shipment Scope

• Shipment record identified and review period documented
  Record the shipment identifier, export date, and audit period covered by this inspection.
• USPPI identified for the shipment
  Document the U.S. Principal Party in Interest responsible for the export filing determination.
• Destination country confirmed
  Confirm the final destination country used to evaluate mandatory filing exceptions and destination-specific requirements.
• Shipment type and filing responsibility verified
  Identify whether the shipment was filed by the USPPI, authorized agent, or freight forwarder.
• Supporting export documents available for review
  Confirm availability of commercial invoice, packing list, shipping instructions, and any export authorization documents.

EEI Filing Requirement Determination

• Commodity value per Schedule B number documented
  Enter the declared commodity value associated with each Schedule B number reviewed.
• EEI filing threshold evaluated for each Schedule B number
  Confirm the review determined whether the value exceeded the applicable AES filing threshold for the Schedule B number.
• Mandatory filing trigger identified when applicable
  Select any mandatory filing triggers that applied to the shipment.
• Filing decision supported by documented rationale
  Verify the file contains a clear explanation for why EEI filing was required or not required.

Classification, ECCN, and License Data

• Schedule B number recorded for each commodity line
  Confirm each commodity line has a Schedule B number recorded in the shipment file.
• ECCN recorded where applicable
  Verify the Export Control Classification Number is documented for controlled items when required.
• License code or license exception documented where applicable
  Confirm the AES filing includes the correct license code, license number, or license exception reference when required.
• Commodity description matches classification and filing record
  Verify the commodity description is consistent with the Schedule B number, ECCN, and any license information in the file.

AES Filing Accuracy & ITN Validation

• AES filing submitted before export when required
  Verify the EEI filing was transmitted in AES before export or within the required filing window.
• Internal Transaction Number (ITN) recorded in shipment file
  Record the ITN or other AES proof of filing associated with the shipment.
• AES filing data matches source documents
  Verify the filed EEI data matches the commercial invoice, Schedule B classification, destination, and license details.
• Any filing amendments or corrections documented
  Confirm that post-filing corrections, amendments, or cancellation/refile actions are documented when needed.

Record Retention & Corrective Actions

• Export filing records retained for required retention period
  Confirm the shipment file and supporting export records are retained for at least five years.
• Deficiencies or non-conformances documented
  Describe any missing, inaccurate, or late filing items identified during the audit.
• Corrective action assigned and owner identified
  Document the corrective action, responsible owner, and target completion date for each deficiency.