USMCA - Certification of Origin

Updated: Jul 9, 2020


Appendix III - Certification of Origin, Minimum Data Elements

A certification of origin that is the basis for a claim for preferential tariff treatment under this Agreement shall include the following elements:

1. Importer, Exporter, or Producer Certification of Origin

Indicate whether the certifier is the exporter, producer, or importer in accordance with Article 5.2 (Claims for Preferential Tariff Treatment).

2. Certifier

Provide the certifier’s name, title, address (including country), telephone number, and email address.

3. Exporter

Provide the exporter’s name, address (including country), e-mail address, and telephone number if different from the certifier. This information is not required if the producer is completing the certification of origin and does not know the identity of the exporter. The address of the exporter shall be the place of export of the good in a Party’s territory.

4. Producer

Provide the producer’s name, address (including country), e-mail address, and telephone number, if different from the certifier or exporter or, if there are multiple producers, state “Various” or provide a list of producers. A person who wishes for this information to remain confidential may state “Available upon request by the importing authorities”. The address of a producer shall be the place of production of the good in a Party’s territory.

5. Importer

Provide, if known, the importer’s name, address, e-mail address, and telephone number. The address of the importer shall be in a Party’s territory.

6. Description and HS Tariff Classification of the Good

a)  Provide a description of the good and the HS tariff classification of the good to the 6-digit level. The description should be sufficient to relate it to the good covered by the certification; and


b)  If the certification of origin covers a single shipment of a good, indicate, if known, the invoice number related to the exportation.


7. Origin Criteria

Specify the origin criteria under which the good qualifies, as set out in Article 4.2 (Originating Goods).

8. Blanket Period

Include the period if the certification covers multiple shipments of identical goods for a specified period of up to 12 months, as set out in Article 5.2 - Claims for Preferential Tariff Treatment.

9. Authorized Signature and Date

The certification of origin must be signed and dated by the certifier and must be accompanied by the following statement:

I certify that the goods described in this document qualify as originating and the information contained in this document is true and accurate. I assume responsibility for proving such representations and agree to maintain and present upon request or to make available during a verification visit, documentation necessary to support this certification.

Vehicles


ANNEX B – Labor Value Content Certification

In order for a covered vehicle to be eligible for preferential tariff treatment under the USMCA, the producer must certify to CBP that it complies with the Labor Value Content (“LVC”), requirements of the Appendix to Annex 4-B (“the automotive appendix”) of the USMCA. The producer must also submit information to the U.S. Department of Labor as described below.

Labor Value Content Certification

A covered vehicle shall be eligible for preferential tariff treatment only if the producer of the covered vehicle:

i. provides a certification to the U.S. Customs and Border Protection that the production of the covered vehicles by the producer meets the labor value content requirements, including a. the high-wage material and manufacturing expenditures,

b. high-wage technology expenditures, and

c. high-wage assembly expenditures, as set forth in Article 7 of the automotive appendix or, if the producer is subject to the alternative staging regime, Articles 7 and 8 of that appendix, and includes the calculations of the producer related to the labor value content requirements; and


ii. has information on record to support those calculations.


Information to Submit to the U.S. Department of Labor (a) To satisfy its certification obligation under section 202A(c) of the USMCA Implementation Act pertaining to the high-wage components of the labor value content requirements, a producer of the covered vehicle (as defined in these instructions) must submit the following information in its certification relating to the high-wage components of the labor value content requirement:

(1)  The names, addresses, Federal Employer Identification Numbers (for U.S. plants and facilities), and points of contact for the plants or facilities the producer of the covered vehicle is relying on to meet the high-wage components of the labor value content requirement.


(2)  The vehicle category the producer of the covered vehicle is using for its labor value content calculations. For purposes of calculating the labor value content, a producer of the covered vehicle may use any one of the categories used for calculating the average hourly base wage rate, as described in these instructions.


(3)  The time period the producer of the covered vehicle is using for its labor value content calculations. For purposes of calculating the labor value content, a producer of the covered vehicle may use any one of the time periods used for calculating the average hourly base wage rate, as described in these instructions.


(4)  Calculations of the producer of the covered vehicle (as stated in section 202A(c)(1)(A)(i) of the USMCA Implementation Act) related to the high-wage components of the labor value content requirements, including the material and manufacturing expenditures, technology expenditures (if claimed by the producer), and assembly expenditures requirements (if claimed by the producer). All calculations shall be clearly labeled and explained. A calculation for high-wage transportation or related costs for shipping shall also be included if such costs are claimed.


(5)  Producers of covered vehicles must keep on record information to support the calculations submitted under subsection (a)(4).


(b) To be eligible for preferential tariff treatment immediately upon the USMCA entering into force, producers of covered vehicles must meet the high-wage components of the labor value content requirements set forth in article 7 of the automotive appendix of the USMCA or, if the producer is subject to the alternative staging regime, under Articles 7 and 8 of that appendix, on the date the USMCA enters into force. A producer’s initial certification relating to the high-wage components of the labor value content requirement, containing the information described in subsection (a), shall be filed with the Secretary of Labor by the date provided in the Department of Labor’s forthcoming regulations. The Secretary of Labor shall review certifications for omissions and errors.

(c) The requirements in this section apply to all producers of covered vehicles during the alternative staging regime period and after the alternative staging regime period ends.


For purposes of meeting these requirements:

  1. a)  Labor shall ensure that the certification of a producer does not contain omissions or errors before the certification is considered properly filed; and

  2. b)  a calculation based on a producer’s preceding fiscal or calendar year is valid for the producer’s subsequent fiscal or calendar year, as the case may be, as set forth in Articles 7 and 8 of the automotive appendix.

Further details on LVC Certification submissions will be published in US Department of Labor rule- making process. For any Labor related questions, please contact:

Amy DeBisschop, Director, Division of Regulations, Legislation, and Interpretation, Wage and Hour U.S. Department of Labor Room S-3502, 200 Constitution Avenue, NW, Washington, DC 20210, Telephone: (202) 693-0406


ANNEX C – Steel and Aluminum Certification

In order for a covered vehicle to be eligible for preferential tariff treatment under the USMCA, the producer must certify to CBP that it complies with the Steel and Aluminum (“S&A”) requirements of the automotive appendix.

A covered vehicle shall be eligible for preferential tariff treatment only if the producer of the covered vehicle:

(i)  provides a certification to CBP that the production of covered vehicles by the producer meets the steel and aluminum purchase requirements set forth in Article 6 of the automotive appendix or, if the producer is subject to the alternative staging regime, Articles 6 and 8 of that appendix; and


(ii)  has information on record to support the calculations relied on for the certification.


purposes of meeting these requirements:

(i)  CBP shall ensure that the certification of a producer does not contain omissions or errors before the certification is considered properly filed; and

(ii)  a calculation based on a producer’s preceding fiscal or calendar year is valid for the producer’s subsequent fiscal or calendar year, as the case may be, as set forth in Articles 6 and 8 of the automotive appendix.


Any vehicle producer, whose good is the subject of a claim for preferential tariff treatment under the USMCA, must keep records and supporting documents related to the labor value content and steel and aluminum purchasing requirements.

The vehicle producer must retain these records for a period of five years and render them for examination and inspection upon request.

When the filer transmits the ‘S’ SPI to indicate a USMCA claim, the filer is certifying the goods comply with all RoO and recordkeeping requirements including, as applicable, LVC certification and Steel & Aluminum Certifications.



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