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The Automated Export System (AES) Compliance Review Program

Wed Apr 03 2019
Written by: Adam Nave, Data Collection Branch, Governments and Trade Management Division
Component ID: #ti1161869163

The AES Compliance Review Program is our annual outreach effort to visit noncompliant companies and provide filing resources, training and expertise tailored to those companies who need it most.  

Component ID: #ti1654840633

The goals of the program are to:

  • Help noncompliant companies understand the export reporting requirements.
  • Work with companies to develop and implement best practices to ensure compliance and reporting accuracy.
  • Help companies avoid costly encounters with government enforcement agencies due to noncompliance.

The AES Compliance Review Program’s proactive approach is designed to combat noncompliance with the Foreign Trade Regulations (FTR), which can result in fines, penalties, seizures or cargo delays at the port.

Component ID: #ti1171922168

How Are Companies Identified as Noncompliant?

Noncompliance can be caused by many factors. With that in mind, companies can be identified as noncompliant for a multitude of reasons. The justifications include but are not limited to:

  • Poor Filing Practices — Low monthly AES compliance rate, late filing or failing to resolve fatal errors.
  • Misclassification — Filing incorrect Schedule B or Harmonized Tariff Schedule (HTS) numbers, filing with foreign currency, filing with incorrect units of measure, or failing to verify information with a commodity analyst.
  • Violating the FTR — Failure to file a Voluntary Self-Disclosure is noncompliance with the FTR.

Component ID: #ti14533384

Impact on AES Compliance

The AES Compliance Review Program works to correct compliance problems before intervention from enforcement agencies, while providing companies direct contact with subject-matter experts. As a result, companies are able to determine who to work with and how to resolve their issues quickly, leading to an increase in their AES compliance rate. While not all factors are incorporated into its calculation, a 100 percent AES compliance rate should be a standing goal for all AES filers. The historical data below illustrates this program’s direct impact on AES compliance rates.

Component ID: #ti1228803743

AES Compliance Review Program Historical Data

Year

Number of
Companies Visited

Average AES Compliance Rate
Before Visits

Average AES Compliance Rate
After Visits

Compliance
Improvement

2010

23

64%

90%

26%

2011

7

86%

92%

6%

2012

18

69%

92%

23%

2013

13

76%

98%

22%

2014

13

86%

96%

10%

2017

15

82%

100%

18%

2018

13

85%

100%

15%

Component ID: #ti1159862992

Source: U.S. Census Bureau, author's calculations.
Note: 2015 and 2016 data were not available.

 

 

Component ID: #ti1101190177

Source: U.S. Census Bureau, author's calculations.
Note: 2015 and 2016 data were not available.

 

Component ID: #ti550705985

Need further assistance?

If you have additional questions related to the AES Compliance Review Program, or general AES filing questions, feel free call the Data Collection Branch at 1-800-549-0595, Option 1, or through email at <askaes@census.gov>.

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