How To Fill out a NAFTA - The Fundamentals

NAFTA Certificate of Origin
Properly completed document required for Canadian
importers to claim preferential U.S. Tariff Treatment.
Must be completed by the exporter of the goods.


NOTE: Where the exporter is not the producer, reasonable knowledge of
the goods’ origin or written representation from the producer regarding
the goods’ origin is required.

Exporters are required to produce certificates upon request
by Customs and maintain supporting records for a period of
5 years.

Field 1: Exporter

NAME, ADDRESS AND FEDERAL TAX
IDENTIFICATION NUMBER OF THE EXPORTER

The company that shipped or consigned the goods
to the recipient in Canada. Not necessarily the
Vendor
NOTE: The Tax Identification number for U.S. companies
is the Employer’s Identification Number or, in the case of
individuals, Social Security Number.

Field 1: Exporter

Cannot be left blank. Must contain name
of the exporter (company causing the
movement of the goods to Canada –
other than customs broker or forwarder.

Field 2: Blanket Period

FOR REPETITIVE SHIPMENTS OF
IDENTICAL GOODS

Specified period of coverage for multiple
shipments – “Blanket” certificates are valid
for a period of up to one year. Indicate the
certificate’s beginning and expiry date of
coverage.

Field 2: Blanket Period

Should be completed ONLY IF certificate
is intended to cover multiple shipments
of identical goods. Blanket period must
have beginning/ending dates in D/M/Y
order. Period cannot exceed one year.

Field 3: Producer’s Name
IDENTIFICATION NUMBER OF THE
PRODUCER (MANUFACTURER)

If more than one producer’s good is
included on the Certificate, attach a crossreferenced list.
If the information is confidential, state
“Available to Customs upon request.”
If the producer and exporter are the same,
indicate “SAME”.
If the producer is not known, indicate
“UNKNOWN”.

Field 3: Producer’s Name

The producer cannot be
from a country outside the
NAFTA territory.

Field 4: Importer’s Name & Address
IDENTIFICATION NUMBER OF THE
IMPORTER

If the importer is not known, indicate
“UNKNOWN”.
If the Certificate is being provided to
multiple importers, state “VARIOUS”.

Field 4: Importer’s Name & Address
If completed for multiple importers (i.e.,
“Various”), the Exporter must still keep
track of these companies in order to
notify them of any subsequent changes
to their certificate.

Field 5: Description of Goods
FULL DESCRIPTION OF THE GOODS
COVERED BY THE CERTIFICATE

Description of the goods sufficiently
detailed to directly relate them to the CCI
or Commercial Invoice, as well as to the
HS classification.
For individual shipments, include the
invoice number or any other unique
reference number such as purchase order
or sales order.

Field 5: Description of Goods

Use of vague or general descriptions
is not acceptable. Descriptions must
be product specific and should relate
directly to the invoice description
whenever possible. A part number
alone is not acceptable.
If not a “blanket” certificate, specific
reference should be made to the
invoice number, purchaser order, etc.

Field 6: H.S. Classification

HARMONIZED CLASSIFICATION OF THE
GOODS COVERED BY THE CERTIFICATE

Valid HS classification number (6 or 8 digits,
depending on the NAFTA Rule of Origin)
corresponding to the Description in Field 5 of
the form.
Correct tariff classification is important in
order to determine the appropriate Rule of
Origin.

Field 6: H.S. Classification
Cannot be left blank. The H.S.
classification number must be at
least 6-digits (or 8-digits as required).
Must be a valid H.S. description
relating to the goods listed on the
invoice.

Field 7: Origin/Preference Criterion

CODE REPRESENTING THE APPROPRIATE
RULE OF ORIGIN UPON ON WHICH THE
GOODS QUALIFY FOR NAFTA
TREATMENT

In order to be entitled to preferential tariff
treatment, each good must meet at least one
of the preference criteria (A through F).

Field 7: Preference Criterion A
GOODS WHOLLY OBTAINED OR
PRODUCED ENTIRELY IN THE NAFTA
TERRITORY

Refers only to natural extraction, growth,
production or similar processes carried out
in the NAFTA region.
Examples: Minerals, vegetables, livestock,
fish, shellfish, goods taken from the seabed,
finished products made from originating
materials, waste & scrap derived from used
goods.

Field 7: Preference Criterion A
The phrase “wholly obtained” in
context with Origin Criterion “A”
does NOT mean “purchased” or
simply “acquired” in Canada,
Mexico or the United States.
The goods must be basic products
naturally extracted or cultivated.

Field 7: Preference Criterion B
CHANGE IN TARIFF CLASSIFCATION
OR “TARIFF SHIFT” WITH REGIONAL
VALUE ADDED

Goods may qualify under NAFTA if their last
place of manufacture was in North America
and the manufacturing process resulted in a
“significant” transformation
of the goods – i.e., as dictated in the Rules
of Origin stated in Article 401.
Example:
Non-Originating Materials:
Steel Billets — Heading 72.07.
Finished Product:
Steel Beams — Heading 72.16

Field 7: Preference Criterion C
PRODUCTION FROM ORIGINATING
GOODS

Goods produced in North America from
originating materials. Materials qualify as
“originating” by virtue of meeting the Rules
of Origin – e.g., tariff shift representing a
significant transformation.

Field 7: Preference Criterion D1
VALUE-ADDED RULE

Technical provision applicable where no
change in classification occurs.
1) Goods imported in an unassembled or
disassembled condition and classified as
if the goods were complete (according to
GIR 2a).
Value-added in the NAFTA region
equaling 60% of the selling price required
in order to qualify.
Example:
Unassembled Bicycle Kits classified under
subheading 8712.00 as a complete
bicycle.

Field 7: Preference Criterion D2
GOODS CLASSIFIED UNDER THE
SAME HEADING AS THE FINISHED
PRODUCT

Technical provision applicable where no
change in classification occurs.
2) Where the tariff subheading provides
for both the goods themselves and their
parts.
Example:
Electric train sets of heading 95.03
assembled from various non-originating
parts.

Field 7: Preference Criterion E

CODE FOR CERTAIN AUTOMATIC
DATA PROCESSING EQUIPMENT
AND PARTS SPECIFIED IN NAFTA
ANNEX 308.1

Allowance to permit NAFTA preference
to certain non-originating computer
equipment.

Field 7: Preference Criterion F

ORIGINATING AGRICULTURAL
GOODS

Qualifying agricultural products as
defined in NAFTA Annex 703.2.
Relevant Section A or B must be
specified.

Field 8: Producer
PRODUCER STATUS

State “YES” if you are the actual producer
of the good.
State “NO” if you are not the producer
of the good, followed by: 1), 2); or 3)
indicating the nature of your
understanding of the good’s origin:
1) Your own personal knowledge.
2) Producer’s written representation
(other than Certificate of Origin).
3) Completed NAFTA Certificate of Origin.

Field 9: Net Cost

REGIONAL VALUE CONENT (RVC)

Where goods are subject to a RVC
requirement, indicate “N/C” if the
method used to calculate the amount
utilizes Net Cost.
If Net Cost is calculated over a period
of time, indicate the start and ending
dates applicable.
Otherwise, indicate “NO.”

Field 10: Country of Origin of Goods

COUNTRY OF ORIGIN FOR
AGRICULTURAL OR TEXTILE GOODS

State “MX” or “US” as appropriate for
specified goods in accordance with
Canadian Marking Rules

Field 11: Exporter Certification
NAME AND CONTACT INFORMATION
OF THE PERSON COMPLETING THE
CERTIFICATE ALONG WITH DATE
COMPLETED

The person completing the form should
have sufficient knowledge of the goods
and the applicable Rules of Origin in order
to ensure legitimacy of the Certificate.

How To Fill out a NAFTA - The Fundamentals

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