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1. Efforts to Establish Multilateral Rules1

1.1. The Concept of “Substantial Transformation” and First Attempts to Define It at the Multilateral Level： The Kyoto Convention of 1973 and 20004

1.2. The UNCTAD Working Group on Rules of Origin9

2. The Uruguay Round Agreement on Rules of Origin： The Harmonization Work Program of Nonpreferential Rules of Origin17

2.1. The Agreement on Rules of Origin20

2.2. The HWP and the Method of Work Adopted by the TCRO to Develop HRO26

2.3. Adapting the HS to Origin： Some Decisive Technical Issues and Their Implications34

2.3.1. Definition of “Assembly” in Machinery38

2.3.2. Definition of “Assembly” in Textiles and Clothing44

2.4. Secondary or Residual Rules of Origin46

2.5. The Current Status of the Harmonized Nonpreferential Rules of Origin47

2.5.1. The Architecture47

2.5.2. The General Rules50

2.6. Outstanding Product-Specific Issues71

2.6.1. Fishery Products72

2.6.2. Slaughtering74

2.6.3. Dairy Products75

2.6.4. Coffce Products76

2.6.5. Refining Fats and Oils77

2.6.6. Refining Sugar and Sugar Products and Molasses77

2.6.7. Cocoa Products and Chocolate78

2.6.8. Juices and Wines78

2.6.9. Mixtures/Blends80

2.6.10. Grinding of Spices81

2.6.11. Cement81

2.6.12. Chemicals82

2.6.13. Leather83

2.6.14. Textiles and Clothing84

2.6.15. Footwear86

2.6.16. Coating of Steel Products87

2.6.17. Machinery and Electronics88

2.7. The Chairperson’s Proposal on Machinery and Electronic Sectors94

2.8. Trade Policy Implications of the HWP on Rules of Origin and Other WTO Agreements： The Issue of “Equally all Purposes”102

2.8.1. Negotiating Issues and Proposals on the Implications of HWP on Other WTO Agreements108

2.8.2. Possible Implications on the Agreement on Implementation of Article Ⅵ of the GATT 1994：“Antidumping Agreement”113

2.8.3. Possible Implications of Article Ⅸ of the GATT 1994： Marks of Origin117

2.8.4. Possible Implications of the Agreement on the Application of Sanitary and PhytosanitaryMeasures120

2.8.5. Possible Implications of the ARO on Textiles and Clothing123

2.8.6. Section 3 of the ARO on Trade-Related Aspects of Intellectual Property Rights： Geographical Indications125

2.8.7. Nonpreferential Rules of Origin and Circumvention126

2.9. Implementation Issues136

2.10. Conclusions140

3. Preferential Rules of Origin174

3.1. The Current Rules of Origin under the Generalized System of Preferences177

3.1.1. “Wholly Obtained” Products179

3.1.2. Products with an Import Content180

3.1.2.1. Process Criterion181

3.1.2.2. Percentage Criterion183

3.1.2.2.1. Canada183

3.1.2.2.2. United States184

3.1.2.2.3. Russian Federation188

3.1.3. Preference-Giving Country or Donor CountryContent Rule189

3.1.4. Cumulative Origin in the GSP Schemes 19o194

3.1.4.1. The Difference between Full and Partial Diagonal Cumulation194

3.1.4.2. Cumulation under the EC GSP Scheme and EBA196

3.1.4.3. Derogation Procedures from Rules of Origin under the EC GSP Scheme198

3.1.4.4. Cumulation under the Japanese GSP Scheme200

3.1.4.5. Cumulation under the U.S. GSP Scheme200

3.1.4.6. Cumulation under the Canadian GSP Scheme201

3.1.5. Rules of Origin under Other Unilateral Trade Preferences： AGOA and the Former Cotonou Partnership Agreement and the EPAs204

3.1.5.1. African Growth Opportunity Agreement204

3.1.5.2. Rules of Origin under the Former Cotonou Partnership Agreement and the Current Interim EPAs214

3.1.5.3. The Trade Preferences for ACP from the Former Lome Conventions Through the CPA and to EPAs215

3.1.5.4. Rules of Origin， Cumulation and Derogations Procedures under the Former Cotonou Partnership Agreement218

3.1.5.5. Rules of Origin under Interim EPAs and the Cariforum EPAs224

3.1.5.6. Recent Proposal by the EC Commission on New GSP Rules of Origin from 2009231

3.2. Contractual Rules of Origin in Free-Trade Areas234

3.2.1. The EC Pan-European Rules of Origin235

3.2.2. The EC Policy on Preferential Rules of Origin：The Progressive Adoption of the Pan-European Rules of Origin238

3.2.2.1. The Common Structure of the Pan-European Rules of Origin240

3.2.2.1.1. Products Wholly Obtained240

3.2.2.1.2. Sufficient Working on Processing - The Product-Specific Rules of Origin under the Pan-European Rules of Origin243

3.2.2.1.3. Product-Specific Rules of Origin Requirements Contained in Annex Ⅱ of the Protocols Pursuant to Article 6 of the Protocol246

3.2.2.1.4. Additional Features of the Pan-European Rules of Origin250

3.2.2.1.5. Insufficient Working or Processing254

3.2.2.1.6. Explanatory Notes on the List of Product-Specific Pan-European Rules of Origin256

3.2.2.1.7. Progressive Adoption of the Diagonal Cumulation under the Pan-European Rules of Origin and the Enlargement to the Pan-Euro-Mediterranean Cumulation of Origin257

3.2.2.1.8. From Diagonal Cumulation under the Europe Agreements to the System of Euro-Mediterranean Cumulation259

3.2.2.1.9. Recent Developments in the EC Rules of Origin269

3.2.3. Rules of Origin of North American Free-Trade Agreement275

3.2.3.1. The Main Criteria for Determining Origin in NAFTA279

3.2.3.2. De Minimis282

3.2.3.3. Regional Value Content in NAFTA287

3.2.3.4. Some Methodologies and Examples of Calculations under the Net Cost Method291

3.2.3.5. Cumulation in NAFTA304

3.2.3.6. Other NAFTA Provisions309

3.2.3.7. NAFTA Rules of Origin for Textiles and Clothing316

3.2.3.8. Automotive Products in NAFTA320

3.2.3.9. The Evolution of the NAFTA Model ofRules of Origin： From NAFTA to CAFTA through U.S.-Chile and U.S.-Singapore and Other FTA Agreements323

3.2.3.10. A Brief Comparison between the NAFTA Model and the Pan-European Rules of Origin Approaches： Techniques and Substantive Requirements328

4. The Economics of Rules of Origin337

4.1. The Basic Tenets of Rules of Origin and Economics337

4.1.1. Recent Developments on the Analysis of the Economic Effects of Rules of Origin340

4.1.2. Most Recent Studies on Economics and Rules of Origin： The Elaboration of an Index of Restrictiveness345

4.1.3. Some Preliminary Conclusions on the Status of the Economic Analysis on Rules of Origin358

4.2. Assessing the Impact of Rules of Origin： Evidence from the Utilization of Trade Preferences under the Generalized System of Preferences360

4.2.1. Linking Low Utilization of Preferences and Rules of Origin： A Methodology365

5. Drafting Preferential Rules of Origin389

5.1. Learning Drafting Rules of Origin from the Past：Experience Gained with the Rules of Origin under the GSP389

5.2. Specific Experiences and Lessons Learned from Drafting and Implementing GSP Rules of Origin391

5.2.1. The Definition of Two Categories of Products：Wholly Produced and Products that Have Undergone Substantial Transformation391

5.2.2. Negotiations and Experiences on the Definition of the Wholly Produced Criterion392

5.2.3. Negotiations and Experiences in Drafting Origin Criteria for the Definition of Substantial Transformation400

5.2.3.1. An Analysis of the Experiences and Lessons Learned under the Process Criterion403

5.2.3.1.1. An Analysis of the Specific Requirements Related to Selected Products under the Process Criterion408

5.2.3.1.2. Early Experience and Difficulties with the Issue of Multistage Operations， Double Jumps， and Double Transformations411

5.2.3.1.3. Some Examples of Product-Specific Experiences under the Process Criterion413

5.2.3.1.4. Difficulties Experienced by the Introduction of the Harmonized System and the Single List422

5.2.3.2. An Analysis of the Experiences and Lessons Learned under the Percentage Criterion426

5.2.3.2.1. Experiences and Lessons Learned on Different Draftings of the “Percentage Criterion”429

5.2.3.2.2. Preliminary Conclusions and Lessons Learned from the Different Drafting of the Numerator under the Percentage Criterion436

5.2.3.2.3. Preliminary Conclusions and Lessons Learned from the Different Drafting of the Denominator under the Percentage Criterion443

5.2.3.2.4. Early Experience and Lessons Learned from Utilizing the Percentage Criterion under the GSP Schemes444

5.2.3.2.5. Difficulties in Interpreting the Terminology Used in the Percentage Criterion447

5.2.4. Comparisons of Formulations between Percentage and Process Criteria449

5.2.4.1. Comparison of Substances between Percentage and Process Criterion451

5.3.Learning Drafting Rules of Origin from the Present456

5.3.1. Rules of Origin in AFTA and the ASEAN-China Free-Trade Area456

5.3.2. The SADC and COMESA Experience471

5.3.3. Mercosur Rules of Origin478

5.4.Drafting Rules of Origin： Some Lessons Learned and Advice481

5.4.1. The Main Actors in Drafting and Administering Rules of Origin481

5.4.2. The Main Parameters for Drafting Rules of Origin486

5.4.2.1. A Drafting Dilemma： What Are the Good and Bad Rules of Origin and How Should a Good Rules of Origin Be Drafted？486

5.4.2.2. Deftning the Index of Technical Soundness488

5.4.2.3. Suggestions on Defining the Index of Technical Soundness494

5.4.3. Defining the Index of Restrictiveness When Drafting Product-Specific Rules of Origin：A Methodology Used in Different Scenarios500

5.4.3.1. The Experience with the EC GSP Rules of Origin503

5.4.3.2. The SADC Experience505

5.4.3.3. The ASEAN-China Free-Trade Experience507

5.4.3.4. Negotiating Product-Specific Rules of Origin in the Context of the Economic Partnership Agreements508

6. The Administration of Rules of Origin530

6.1. The Administration of GSP Rules of Origin531

6.1.1. Issuance of Certificate of Origin Form A or Declaration by Exporter or Importer531

6.1.2. Direct Consignment534

6.1.3. Arrangements for Administrative Cooperation537

6.2. The Experience of the United States on Administering Origin538

6.2.1. Customs Procedures and Enforcement under AGOA for Textiles and Clothing Products539

6.2.2. The Administration of NAFTA Rules of Origin542

6.2.3. From NAFTA to the U.S.-Chile Agreement545

6.3. The EC Experience in Administering Rules of Origin549

6.3.1. Procedure for the Issuance of Certificates of Origin EUR.I and EUR-MED553

6.3.2. Optional Use of Form FUR and EUR-MED and Mandatory Use of Form EUR.I or EUR-MED555

6.3.3. Simplified Procedures for the Issuance of Certificates of Origin： Approved Exporters558

6.3.4. Supplier Declarations562

6.3.5. Documentary Evidence for the Issuance of Certificates of Origin563

6.3.6. Verification of Proofs of Origin565

6.3.7. Issuance of Certificate of Origin for Cumulation under the Pan-European Rules of Origin， GSP，Regional Cumulation， and Cotonou Partnership Agreement568

6.3.7.1. Procedure for the Issuance of Certificates of Origin for Cumulation under EC GSP Rules of Origin568

6.3.7.2. Procedure for Issuance of Certificates of Origin for Cumulation under the Former Cotonou Partnership Agreement570

6.3.8. The Procedure and Decision Making in the Case of A Posteriori Recovery or Remission of Customs Duties and Origin Verification in the EC572

6.3.8.1. The Procedure for Nonrecovery of Customs Duties after Clearance573

6.3.9. The Future of the EC Rules of Origin： The Green Paper on the Future of Rules of Origin in Preferential Arrangements and Recent Developments574

6.3.10. Recent Developments Following the Green Paper579

6.3.11. Origin Administration and Customs Cooperation in the EC582

6.3.12. Experience of OLAF on Origin Investigation587

6.3.13. An Overview of EC Judicial Remedies in Matters Related to Origin and Verification Requirements593

Index607