Criteria for self-

evaluation
Course: Authorized Economic Operator
Unit 3: How to access the AEO program
 Contents

1. Importance of the self-evaluation ........................... 2

2. General criteria ....................................................... 2
3. Valuation of results ................................................. 4

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1. Importance of the self-evaluation
Carrying out self-evaluations allows us to assess the company’s degree of compliance
of the requirements demanded by being AEO. With this information, we can calculate
the exact degree of implementation of each criteria and what we need to do to reach
the required levels.

2. General criteria
Each company, according to its profile, activity and situation, must fulfill some specific
requirements, therefore the risk analysis results will be different for each.

In a shared manner, we can establish the following parameters to perform a self-

evaluation:

• Tax and customs compliance:

– Level of customs penalties.
– Revoked customs authorizations.
– Customs proceedings due to lack of compliance.
– Smuggling proceedings or offenses.
– Fiscal proceedings or offenses.
– Existence of debts of a fiscal, tax or other type of nature, such as
administrative.

• Security and personnel compliance:

– Access controls.
– Alarms, cameras and/or surveillance.
– Own or outside warehouses.
– Restrictions in the loading and warehouse zone.
– Own or outside transport.

FINPYME and CII brands, names and logos are the intellectual property of CII.

©2017 Inter-American Investment Corporation, all rights reserved, for authorized use only.
 – Personnel selection criteria.
– Personnel training plans.

• Quality certifications:
– In force and revoked ISO certifications.
– AEO certifications authorized for companies from the group, suspended or
revoked.

• Sales partners:
– Selection criteria.
– Risk levels.
– Supplier and client AEO certifications.
– Degree of sales partners’ customs and fiscal compliance.
– Degree of security criteria compliance.

• Systems:
– Operating system used as support for logistics and accounting operations.
– If the software used allows logistics and accounting operations to be registered.
– If security copies or systems to create copies are available.
– Location of servers, access and master data change.
– If a server and system redundancy system is available.
– Access keys for users and programs.

• Financial solvency:
– Financial and accounting auditing.
– Favorable bank reports.
– Possibility to deal with financial commitments.
– Trade concentration level.
– Trade partners from at-risk sectors.
– Recorded in a debtors list.

FINPYME and CII brands, names and logos are the intellectual property of CII.

©2017 Inter-American Investment Corporation, all rights reserved, for authorized use only.
3. Valuation of results
The result of this self-evaluation will enable us to position the company’s degrees of
compliance and will help us evaluate which areas of departments are more
vulnerable and therefore need special or different treatment.

AEO certification is transversal, and therefore affects the entire company. The degree
of compliance with program requirements must be global, uniform and integral
throughout the entire company.

It will not help us, though, to have excellent security measures in our warehouses, for
example, with perimeter fences and surveillance cameras that allow for strict
compliance with the security criteria and yet, on the other hand, have the company
experience tax debts and continuous failure to comply with customs issues.

FINPYME and CII brands, names and logos are the intellectual property of CII.

©2017 Inter-American Investment Corporation, all rights reserved, for authorized use only.
 5

FINPYME and CII brands, names and logos are the intellectual property of CII.

©2017 Inter-American Investment Corporation, all rights reserved, for authorized use only.