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DEPARTMENT OF HOMELAND SECURITYU.S. Customs and Border ProtectionOMB No. 1651-0098Exp. 10-31-2016NORTH AMERICAN FREE TRADE AGREEMENTCERTIFICATE OF ORIGIN19 CFR 181.11, 181.221. EXPORTER NAME, ADDRESS AND EMAIL2. BLANKET PERIODFROMTAX IDENTIFICATION NUMBER:3. PRODUCER NAME, ADDRESS AND EMAILTO4. IMPORTER NAME, ADDRESS AND EMAILTAX IDENTIFICATION NUMBER:5.DESCRIPTION OF GOOD(S)TAX IDENTIFICATION NUMBER:6.HS TARIFFCLASSIFICATIONNUMBER7.PREFERENCECRITERION8.PRODUCER9.NET COST10.COUNTRYOF ORIGINI CERTIFY THAT:• THE INFORMATION ON THIS DOCUMENT IS TRUE AND ACCURATE AND I ASSUME THE RESPONSIBILITY FOR PROVING SUCHREPRESENTATIONS. I UNDERSTAND THAT I AM LIABLE FOR ANY FALSE STATEMENTS OR MATERIAL OMISSIONS MADE ON OR INCONNECTION WITH THIS DOCUMENT;• I AGREE TO MAINTAIN AND PRESENT UPON REQUEST, DOCUMENTATION NECESSARY TO SUPPORT THIS CERTIFICATE, AND TO INFORM, INWRITING, ALL PERSONS TO WHOM THE CERTIFICATE WAS GIVEN OF ANY CHANGES THAT COULD AFFECT THE ACCURACY OR VALIDITY OFTHIS CERTIFICATE;• THE GOODS ORIGINATED IN THE TERRITORY OF ONE OR MORE OF THE PARTIES, AND COMPLY WITH THE ORIGIN REQUIREMENTSSPECIFIED FOR THOSE GOODS IN THE NORTH AMERICAN FREE TRADE AGREEMENT AND UNLESS SPECIFICALLY EXEMPTED IN ARTICLE411 OR ANNEX 401, THERE HAS BEEN NO FURTHER PRODUCTION OR ANY OTHER OPERATION OUTSIDE THE TERRITORIES OF THEPARTIES; AND• THIS CERTIFICATE CONSISTS OFPAGES, INCLUDING ALL ATTACHMENTS.11a. AUTHORIZED SIGNATURE11b. COMPANY11.11c. NAME11d. TITLE11e. DATE11f. TELEPHONE NUMBERS(Voice)(Facsimile)11g. E-MAILCBP Form 434 (11/14)236U.S. Commercial Service • A Basic Guide to Exporting
PAPERWORK REDUCTION ACT STATEMENT: An agency may not conduct or sponsor an information collection and a person is not required to respond tothis information unless it displays a current valid OMB control number and an expiration date. The control number for this collection is 1651-0098. Theestimated average time to complete this application is 15 minutes. If you have any comments regarding the burden estimate you can write to U.S. Customs andBorder Protection, Office of Regulations and Rulings, 90 K Street, NE., Washington DC 20229.NORTH AMERICAN FREE TRADE AGREEMENT CERTIFICATE OF ORIGIN INSTRUCTIONSFor purposes of obtaining preferential tariff treatment, this document must be completed legibly and in full by the exporter andbe in the possession of the importer at the time the declaration is made. This document may also be completed voluntarily bythe producer for use by the exporter. Please print or type:FIELD 1: State the full legal name, address (including country), e-mail, and legal tax identification number of the exporter. Legal taxation number is: inCanada, employer number or importer/exporter number assigned by Revenue Canada; in Mexico, federal taxpayer's registry number (RFC);and in the United States, employer's identification number or Social Security Number.FIELD 2: Complete field if the Certificate covers multiple shipments of identical goods as described in Field #5 that are imported into a NAFTA country fora specified period of up to one year (the blanket period). "FROM" is the date upon which Certificate becomes applicable to the good covered bythe blanket Certificate (it may be prior to the date of signing this Certificate). "TO" is the date upon which the blanket period expires. Theimportation of a good for which preferential treatment is claimed based on this Certificate must occur between these dates.FIELD 3: State the full legal name, address (including country), e-mail and legal tax identification number, as defined in Field #1, of the producer. If morethan one producer's good is included on the Certificate, attach a list of additional producers, including the legal name, address (including country)and legal tax identification number, cross-referenced to the good described in Field #5. If you wish this information to be confidential, it isacceptable to state "Available to CBP upon request". If the producer and the exporter are the same, complete field with "SAME." If the produceris unknown, it is acceptable to state "UNKNOWN."FIELD 4: State the full legal name, address (including country), e-mail, and legal tax identification number, as defined in Field #1, of the importer. If theimporter is not known, state "UNKNOWN"; if multiple importers, state "VARIOUS."FIELD 5: Provide a full description of each good. The description should be sufficient to relate it to the invoice description and to the Harmonized System(H.S.) description of the good. If the Certificate covers a single shipment of a good, include the invoice number as shown on the commercialinvoice. If not known, indicate another unique reference number, such as the shipping order number.FIELD 6: For each good described in Field #5, identify the H.S. tariff classification to six digits. If the good is subject to a specific rule of origin in Annex401 that requires eight digits, identify to eight digits, using the H.S. tariff classification of the country into whose territory the good is imported.FIELD 7: For each good described in Field #5, state which criterion (A through F) is applicable. The rules of origin are contained in Chapter 4 andAnnex 401. Additional rules are described in Annex 703.2 (certain agricultural goods), Annex 300-B, Appendix 6 (certain textile goods) andAnnex 308.1 (certain automatic data processing goods and their parts). NOTE: In order to be entitled to preferential tariff treatment, eachgood must meet at least one of the criteria below.Preference CriteriaA The good is "wholly obtained or produced entirely" in the territory of one or more of the NAFTA countries as referenced in Article 415. Note: Thepurchase of a good in the territory does not necessarily render it "wholly obtained or produced." If the good is an agricultural good, seealso criterion F and Annex 703.2. (Reference: Article 401(a) and 415)B The good is produced entirely in the territory of one or more of the NAFTA countries and satisfies the specific rule of origin, set out in Annex 401,that applies to its tariff classification. The rule may include a tariff classification change, regional value-content requirement, or a combinationthereof. The good must also satisfy all other applicable requirements of Chapter 4. If the good is an agricultural good, see also criterion F andAnnex 703.2. (Reference: Article 401(b))C The good is produced entirely in the territory of one or more of the NAFTA countries exclusively from originating materials. Under this criterion,one or more of the materials may not fall within the definition of "wholly produced or obtained", as set out in article 415. All materials used in theproduction of the good must qualify as "originating" by meeting the rules of Article 401(a) through (d). If the good is an agricultural good, see alsocriterion F and Annex 703.2. (Reference: Article 401(c))D Goods are produced in the territory of one or more of the NAFTA countries but do not meet the applicable rule of origin, set out in Annex 401,because certain non-originating materials do not undergo the required change in tariff classification. The goods do nonetheless meet the regionalvalue-content requirement specified in Article 401(d). This criterion is limited to the following two circumstances:1. The good was imported into the territory of a NAFTA country in an unassembled or disassembled form but was classified as an assembledgood, pursuant to H.S. General Rule of Interpretation 2(a), or2. The good incorporated one or more non-originating materials, provided for as parts under the H.S., which could not undergo a change intariff classification because the heading provided for both the good and its parts and was not further subdivided into subheadings, or thesubheading provided for both the good and its parts and was not further subdivided.NOTE: This criterion does not apply to Chapters 61 through 63 of H.S. (Reference: Article 401(d))E Certain automatic data processing goods and their parts, specified in Annex 308.1, that do not originate in the territory are considered originatingupon importation into the territory of a NAFTA country from the territory of another NAFTA country when the most-favored-nation tariff rate of thegood conforms to the rate established in Annex 308.1 and is common to all NAFTA countries. (Reference: Annex 308.1)F The good is an originating agricultural good under preference criterion A, B, or C above and is not subject to a quantitative restriction in theimporting NAFTA country because it is a "qualifying good" as defined in Annex 703.2, Section A or B (please specify). A good listed in Appendix703.2B.7 is also exempt from quantitative restrictions and is eligible for NAFTA preferential tariff treatment if it meets the definition of "qualifyinggood" in Section A of Annex 703.2. NOTE 1: This criterion does not apply to goods that wholly originate in Canada or the United Statesand are imported into either country. NOTE 2: A tariff rate quota is not a quantitative restriction.FIELD 8: For each good described in Field #5, state "YES" if you are the producer of the good. If you are not the producer of the good, state "NO" followedby (1), (2), or (3), depending on whether this certificate was based upon: (1) your knowledge of whether the good qualifies as an originatinggood; (2) your reliance on the producer's written representation (other than a Certificate of Origin) that the good qualifies as an originating good;or (3) a completed and signed Certificate for the good, voluntarily provided to the exporter by the producer.FIELD 9: For each good described in field #5, where the good is subject to a regional value content (RVC) requirement, indicate "NC" if the RVC iscalculated according to the net cost method; otherwise, indicate "NO." If the RVC is calculated over a period of time, further identify thebeginning and ending dates (MM/DD/YYYY) of that period. (Reference: Article 402.1, 402.5)FIELD 10: Identify the name of the country ("MX" or "US" for agricultural and textile goods exported to Canada; "US" or "CA" for all goods exported toMexico; or "CA" or "MX" for all goods exported to the United States) to which the preferential rate of CBP duty applies, as set out in Annex 302.2,in accordance with the Marking Rules or in each party's schedule of tariff elimination.For all other originating goods exported to Canada, indicate appropriately "MX" or "US" if the goods originate in that NAFTA country, within themeaning of the NAFTA Rules of Origin Regulations, and any subsequent processing in the other NAFTA country does not increase thetransaction value of the goods by more than 7 percent; otherwise indicate "JNT" for joint production. (Reference: Annex 302.2)FIELD 11: This field must be completed, signed, and dated by the exporter. When the Certificate is completed by the producer for use by the exporter, itmust be completed, signed, and dated by the producer. The date must be the date the Certificate was completed and signed.CBP Form 434 (11/14)Appendix D237
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A BASIC GUIDE TOEXPORTINGThe Offici
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export.gov/basicguideLibrary of Con
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Table of ContentsChapter 1: Introdu
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global GDP and 30 percent of global
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A GEE might consist, for example, o
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Success StoryPedaling Through Trial
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Chapter 2Developing anExport Strate
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specified in the EAR under a specif
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All U.S. businesses have many ways
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Answer these 11 questions:1. Which
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Product or Service• What need doe
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Sample Outline of anExport PlanTabl
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5. Current Trends and Practices•
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16. My Product’s Harmonized Code
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Success StoryDownloading NewInterna
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This last advantage is especially i
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Gathering and evaluating secondary
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Drawing ConclusionsAfter analyzing
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United Nations Statistical Yearbook
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Private-Sector Product and Industry
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Success StoryHelping Feed the World
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Chapter 4Export AdviceIn this chapt
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Some of the more important services
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the important difference that the b
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at no cost to the small business ex
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A commercial bank can perform many
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location and construction of manufa
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To prevent reverse engineering in C
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We are agnostic on the question of
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Distribution ConsiderationsHere are
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Often, the first company does not p
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your ability to terminate agreement
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Once your company has prequalified
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Choosing a ForeignRepresentative or
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Success StoryDon’t Wait—Innovat
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Chapter 6Finding QualifiedBuyersIn
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companies are available from many p
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Trade Fair Certification Program (e
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Millennium Development CorporationT
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Who Is the “Ideal”International
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Scores of new franchising concepts
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Success StoryCast a Wide Net to Cat
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Chapter 8Preparing YourProduct for
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You can also contact the Office of
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training seminars, or DVDs. Zeigler
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The ChallengeSmith first looked tow
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encompasses services in transportat
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give U.S. companies a competitive e
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Success StoryRecruiting New Franchi
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Chapter 10International LegalConsid
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For more information from the U.S.
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When goods enter a bonded warehouse
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under the UCC. Older works may also
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Trade names are also protected on a
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knowledge, in turn, promotes furthe
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prevent him or her from obtaining a
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Business-to-Consumer E-Commerce Wor
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Because such a website is often sta
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An online exporter may choose to pu
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important to identify and incorpora
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other business contacts) options re
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Success StoryGrowing Strong withInt
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Chapter 12Shipping YourProductIn th
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One popular method of shipment is t
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Certificate of ConformityRequired b
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The cost of the shipment, delivery
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To learn more about comprehensive r
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China but needed to do a lot of hom
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price is too high, the product or s
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CompetitionIn the domestic market,
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Commonly Used TermsIt is important
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Success StoryAligning Innovationwit
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Chapter 14Methods ofPaymentIn this
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Letters of Credit and Documentary C
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You must provide documentation show
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associated with open-account trade
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payment. This is because the export
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ut they were willing to make the sm
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• The need for preshipment financ
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Thus it is in your best interest to
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to support ongoing export sales or
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To be eligible, a business must hav
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Medium Enterprise Department and OP
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Success StoryManufacturingInternati
Page 174 and 175: Chapter 16Business TravelAbroadIn t
Page 176 and 177: Planning an ItineraryTravel agents
Page 178 and 179: Business Culture TipsAlways answer
Page 180 and 181: Gift giving is an important part of
Page 182 and 183: particularly intense issue. So the
Page 184 and 185: Here are a few suggestions.• Expe
Page 186 and 187: Building a Working RelationshipOnce
Page 188 and 189: negotiations and agreements with it
Page 190 and 191: Chapter 18Rules of Originfor FTAsIn
Page 192 and 193: 5. Determine if the foreign content
Page 194 and 195: The original ROOs are listed in an
Page 196 and 197: Example Rules of OriginCombining Mu
Page 198 and 199: Israel, Jordan, Morocco, Bahrain, a
Page 200 and 201: The importer may ask the exporter w
Page 202 and 203: Generic CertificatesIf a good does
Page 204 and 205: Architectural Association of Kenya
Page 206 and 207: Appendix A: Glossary of TermsAdvanc
Page 208 and 209: Export-Import Bank of the United St
Page 210 and 211: Market SurveyReport that provides a
Page 212 and 213: Appendix B: Definitions of Abbrevia
Page 214 and 215: Appendix D: FormsHere, you will fin
Page 216 and 217: 228U.S. Commercial Service • A Ba
Page 218 and 219: Tech International1000 J Street, N.
Page 220 and 221: COMMERCIAL INVOICESELLER: INVOICE N
Page 222 and 223: Copyright © 1998 UNZ & CO.SHIPPER/
Page 226 and 227: PACKING LIST© Copyright 2001 Unz &
Page 228 and 229: 1a. U.S. PRINCIPAL PARTY IN INTERES
Page 230 and 231: U.S. $13220of this FIRST of Exchang
Page 232 and 233: IndexAA2ASee account-to-account (A2
Page 234 and 235: Global Entrepreneurship Ecosystem (
Page 236 and 237: Swinko, RonSee Jet IncorporatedSzuc
Page 238 and 239: International OfficesAfghanistanKab
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