Rules of Origin in International TradePDF电子书下载

1. Efforts to Establish Multilateral Rules 1

1.1. The Concept of “Substantial Transformation” and First Attempts to Define It at the Multilateral Level： The Kyoto Convention of 1973 and 2000 4

1.2. The UNCTAD Working Group on Rules of Origin 9

2. The Uruguay Round Agreement on Rules of Origin： The Harmonization Work Program of Nonpreferential Rules of Origin 17

2.1. The Agreement on Rules of Origin 20

2.2. The HWP and the Method of Work Adopted by the TCRO to Develop HRO 26

2.3. Adapting the HS to Origin： Some Decisive Technical Issues and Their Implications 34

2.3.1. Definition of “Assembly” in Machinery 38

2.3.2. Definition of “Assembly” in Textiles and Clothing 44

2.4. Secondary or Residual Rules of Origin 46

2.5. The Current Status of the Harmonized Nonpreferential Rules of Origin 47

2.5.1. The Architecture 47

2.5.2. The General Rules 50

2.6. Outstanding Product-Specific Issues 71

2.6.1. Fishery Products 72

2.6.2. Slaughtering 74

2.6.3. Dairy Products 75

2.6.4. Coffce Products 76

2.6.5. Refining Fats and Oils 77

2.6.6. Refining Sugar and Sugar Products and Molasses 77

2.6.7. Cocoa Products and Chocolate 78

2.6.8. Juices and Wines 78

2.6.9. Mixtures/Blends 80

2.6.10. Grinding of Spices 81

2.6.11. Cement 81

2.6.12. Chemicals 82

2.6.13. Leather 83

2.6.14. Textiles and Clothing 84

2.6.15. Footwear 86

2.6.16. Coating of Steel Products 87

2.6.17. Machinery and Electronics 88

2.7. The Chairperson’s Proposal on Machinery and Electronic Sectors 94

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 Agreements 108

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 Origin 117

2.8.4. Possible Implications of the Agreement on the Application of Sanitary and PhytosanitaryMeasures 120

2.8.5. Possible Implications of the ARO on Textiles and Clothing 123

2.8.6. Section 3 of the ARO on Trade-Related Aspects of Intellectual Property Rights： Geographical Indications 125

2.8.7. Nonpreferential Rules of Origin and Circumvention 126

2.9. Implementation Issues 136

2.10. Conclusions 140

3. Preferential Rules of Origin 174

3.1. The Current Rules of Origin under the Generalized System of Preferences 177

3.1.1. “Wholly Obtained” Products 179

3.1.2. Products with an Import Content 180

3.1.2.1. Process Criterion 181

3.1.2.2. Percentage Criterion 183

3.1.2.2.1. Canada 183

3.1.2.2.2. United States 184

3.1.2.2.3. Russian Federation 188

3.1.3. Preference-Giving Country or Donor CountryContent Rule 189

3.1.4. Cumulative Origin in the GSP Schemes 19o 194

3.1.4.1. The Difference between Full and Partial Diagonal Cumulation 194

3.1.4.2. Cumulation under the EC GSP Scheme and EBA 196

3.1.4.3. Derogation Procedures from Rules of Origin under the EC GSP Scheme 198

3.1.4.4. Cumulation under the Japanese GSP Scheme 200

3.1.4.5. Cumulation under the U.S. GSP Scheme 200

3.1.4.6. Cumulation under the Canadian GSP Scheme 201

3.1.5. Rules of Origin under Other Unilateral Trade Preferences： AGOA and the Former Cotonou Partnership Agreement and the EPAs 204

3.1.5.1. African Growth Opportunity Agreement 204

3.1.5.2. Rules of Origin under the Former Cotonou Partnership Agreement and the Current Interim EPAs 214

3.1.5.3. The Trade Preferences for ACP from the Former Lome Conventions Through the CPA and to EPAs 215

3.1.5.4. Rules of Origin， Cumulation and Derogations Procedures under the Former Cotonou Partnership Agreement 218

3.1.5.5. Rules of Origin under Interim EPAs and the Cariforum EPAs 224

3.1.5.6. Recent Proposal by the EC Commission on New GSP Rules of Origin from 2009 231

3.2. Contractual Rules of Origin in Free-Trade Areas 234

3.2.1. The EC Pan-European Rules of Origin 235

3.2.2. The EC Policy on Preferential Rules of Origin：The Progressive Adoption of the Pan-European Rules of Origin 238

3.2.2.1. The Common Structure of the Pan-European Rules of Origin 240

3.2.2.1.1. Products Wholly Obtained 240

3.2.2.1.2. Sufficient Working on Processing - The Product-Specific Rules of Origin under the Pan-European Rules of Origin 243

3.2.2.1.3. Product-Specific Rules of Origin Requirements Contained in Annex Ⅱ of the Protocols Pursuant to Article 6 of the Protocol 246

3.2.2.1.4. Additional Features of the Pan-European Rules of Origin 250

3.2.2.1.5. Insufficient Working or Processing 254

3.2.2.1.6. Explanatory Notes on the List of Product-Specific Pan-European Rules of Origin 256

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 Origin 257

3.2.2.1.8. From Diagonal Cumulation under the Europe Agreements to the System of Euro-Mediterranean Cumulation 259

3.2.2.1.9. Recent Developments in the EC Rules of Origin 269

3.2.3. Rules of Origin of North American Free-Trade Agreement 275

3.2.3.1. The Main Criteria for Determining Origin in NAFTA 279

3.2.3.2. De Minimis 282

3.2.3.3. Regional Value Content in NAFTA 287

3.2.3.4. Some Methodologies and Examples of Calculations under the Net Cost Method 291

3.2.3.5. Cumulation in NAFTA 304

3.2.3.6. Other NAFTA Provisions 309

3.2.3.7. NAFTA Rules of Origin for Textiles and Clothing 316

3.2.3.8. Automotive Products in NAFTA 320

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 Agreements 323

3.2.3.10. A Brief Comparison between the NAFTA Model and the Pan-European Rules of Origin Approaches： Techniques and Substantive Requirements 328

4. The Economics of Rules of Origin 337

4.1. The Basic Tenets of Rules of Origin and Economics 337

4.1.1. Recent Developments on the Analysis of the Economic Effects of Rules of Origin 340

4.1.2. Most Recent Studies on Economics and Rules of Origin： The Elaboration of an Index of Restrictiveness 345

4.1.3. Some Preliminary Conclusions on the Status of the Economic Analysis on Rules of Origin 358

4.2. Assessing the Impact of Rules of Origin： Evidence from the Utilization of Trade Preferences under the Generalized System of Preferences 360

4.2.1. Linking Low Utilization of Preferences and Rules of Origin： A Methodology 365

5. Drafting Preferential Rules of Origin 389

5.1. Learning Drafting Rules of Origin from the Past：Experience Gained with the Rules of Origin under the GSP 389

5.2. Specific Experiences and Lessons Learned from Drafting and Implementing GSP Rules of Origin 391

5.2.1. The Definition of Two Categories of Products：Wholly Produced and Products that Have Undergone Substantial Transformation 391

5.2.2. Negotiations and Experiences on the Definition of the Wholly Produced Criterion 392

5.2.3. Negotiations and Experiences in Drafting Origin Criteria for the Definition of Substantial Transformation 400

5.2.3.1. An Analysis of the Experiences and Lessons Learned under the Process Criterion 403

5.2.3.1.1. An Analysis of the Specific Requirements Related to Selected Products under the Process Criterion 408

5.2.3.1.2. Early Experience and Difficulties with the Issue of Multistage Operations， Double Jumps， and Double Transformations 411

5.2.3.1.3. Some Examples of Product-Specific Experiences under the Process Criterion 413

5.2.3.1.4. Difficulties Experienced by the Introduction of the Harmonized System and the Single List 422

5.2.3.2. An Analysis of the Experiences and Lessons Learned under the Percentage Criterion 426

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 Criterion 436

5.2.3.2.3. Preliminary Conclusions and Lessons Learned from the Different Drafting of the Denominator under the Percentage Criterion 443

5.2.3.2.4. Early Experience and Lessons Learned from Utilizing the Percentage Criterion under the GSP Schemes 444

5.2.3.2.5. Difficulties in Interpreting the Terminology Used in the Percentage Criterion 447

5.2.4. Comparisons of Formulations between Percentage and Process Criteria 449

5.2.4.1. Comparison of Substances between Percentage and Process Criterion 451

5.3.Learning Drafting Rules of Origin from the Present 456

5.3.1. Rules of Origin in AFTA and the ASEAN-China Free-Trade Area 456

5.3.2. The SADC and COMESA Experience 471

5.3.3. Mercosur Rules of Origin 478

5.4.Drafting Rules of Origin： Some Lessons Learned and Advice 481

5.4.1. The Main Actors in Drafting and Administering Rules of Origin 481

5.4.2. The Main Parameters for Drafting Rules of Origin 486

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 Soundness 488

5.4.2.3. Suggestions on Defining the Index of Technical Soundness 494

5.4.3. Defining the Index of Restrictiveness When Drafting Product-Specific Rules of Origin：A Methodology Used in Different Scenarios 500

5.4.3.1. The Experience with the EC GSP Rules of Origin 503

5.4.3.2. The SADC Experience 505

5.4.3.3. The ASEAN-China Free-Trade Experience 507

5.4.3.4. Negotiating Product-Specific Rules of Origin in the Context of the Economic Partnership Agreements 508

6. The Administration of Rules of Origin 530

6.1. The Administration of GSP Rules of Origin 531

6.1.1. Issuance of Certificate of Origin Form A or Declaration by Exporter or Importer 531

6.1.2. Direct Consignment 534

6.1.3. Arrangements for Administrative Cooperation 537

6.2. The Experience of the United States on Administering Origin 538

6.2.1. Customs Procedures and Enforcement under AGOA for Textiles and Clothing Products 539

6.2.2. The Administration of NAFTA Rules of Origin 542

6.2.3. From NAFTA to the U.S.-Chile Agreement 545

6.3. The EC Experience in Administering Rules of Origin 549

6.3.1. Procedure for the Issuance of Certificates of Origin EUR.I and EUR-MED 553

6.3.2. Optional Use of Form FUR and EUR-MED and Mandatory Use of Form EUR.I or EUR-MED 555

6.3.3. Simplified Procedures for the Issuance of Certificates of Origin： Approved Exporters 558

6.3.4. Supplier Declarations 562

6.3.5. Documentary Evidence for the Issuance of Certificates of Origin 563

6.3.6. Verification of Proofs of Origin 565

6.3.7. Issuance of Certificate of Origin for Cumulation under the Pan-European Rules of Origin， GSP，Regional Cumulation， and Cotonou Partnership Agreement 568

6.3.7.1. Procedure for the Issuance of Certificates of Origin for Cumulation under EC GSP Rules of Origin 568

6.3.7.2. Procedure for Issuance of Certificates of Origin for Cumulation under the Former Cotonou Partnership Agreement 570

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 EC 572

6.3.8.1. The Procedure for Nonrecovery of Customs Duties after Clearance 573

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 Developments 574

6.3.10. Recent Developments Following the Green Paper 579

6.3.11. Origin Administration and Customs Cooperation in the EC 582

6.3.12. Experience of OLAF on Origin Investigation 587

6.3.13. An Overview of EC Judicial Remedies in Matters Related to Origin and Verification Requirements 593

Index 607