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North American Free Trade Agreement

NAFTA: Specific Rules of Origin
NAFTA Annex 401

January 1, 2003

List of Amendments to NAFTA Annex 401 
Other versions of NAFTA Annex 401


Specific Rules of Origin

Section A - General Interpretative Note

For purposes of interpreting the rules of origin set out in this Annex:

(a) the new tariff items created for purposes of Chapter Four, shown generically in the specific rules of origin by eight-digit numbers comprised of six numeric and two alpha characters, refer to the Party-specific tariff items shown in the table following Section B of this Annex;

(b) the specific rule, or specific set of rules, that applies to a particular heading, subheading or tariff item is set out immediately adjacent to the heading, subheading or tariff item;

(c) a rule applicable to a tariff item shall take precedence over a rule applicable to the heading or subheading which is parent to that tariff item;

(d) a requirement of a change in tariff classification applies only to non- originating materials;

(e) reference to weight in the rules for goods provided for in Chapter 1 through 24 of the Harmonized System means dry weight unless otherwise specified in the Harmonized System;

(f) paragraph 1 of Article 405 (De Minimis) does not apply to:


(i) certain non-originating materials used in the production of goods provided for in the following tariff provisions: Chapter 4 of the Harmonized System, heading 15.01 through 15.08, 15.12, 15.14, 15.15 or 17.01 through 17.03, subheading 1806.10, tariff item 1901.10.aa (infant preparations containing over 10 percent by weight of milk solids), 1901.20.aa (mixes and doughs, containing over 25 percent by weight of butterfat, not put up for retail sale) or 1901.90.aa (dairy preparations containing over 10 percent by weight of milk solids), subheading 2009.11 through 2009.30 or 2009.90, heading 21.05, tariff item 2101.11.aa (instant coffee, not flavored), 2106.90.bb (concentrated fruit or vegetable juice of any single fruit or vegetable, fortified with minerals or vitamins), 2106.90.cc (concentrated mixtures of fruit or vegetable juice, fortified with minerals or vitamins), 2106.90.dd (preparations containing over 10 percent by weight of milk solids), 2202.90.aa (fruit or vegetable juice of any single fruit or vegetable, fortified with minerals or vitamins), 2202.90.bb (mixtures of fruit or vegetable juices, fortified with minerals or vitamins) or 2202.90.cc (beverages containing milk), heading 22.07 through 22.08, tariff item 2309.90.aa (animal feeds containing over 10 percent by weight of milk solids) or 7321.11.aa (gas stove or range), subheading 8415.10, 8415.20 through 8415.83, 8418.10 through 8418.21, 8418.29 through 8418.40, 8421.12, 8422.11, 8450.11 through 8450.20 or 8451.21 through 8451.29, tariff item 8479.89.aa (trash compactors) or 8516.60.aa (electric stove or range),

(ii) a printed circuit assembly that is a non-originating material used in the production of a good where the applicable change in tariff classification for the good places restrictions on the use of such non- originating material, and

(iii) a non-originating material used in the production of a good provided for in Chapter 1 through 27 of the Harmonized System unless the non-originating material is provided for in a different subheading than the good for which origin is being determined;

(g) paragraph 6 of Article 405 (De Minimis) applies to a good provided for in Chapter 50 through 63; and

(h) the following definitions apply:

chapter means a chapter of the Harmonized System;

heading means the first four digits in the tariff classification number under the Harmonized System;

section means a section of the Harmonized System;

subheading means the first six digits in the tariff classification number under the Harmonized System; and

tariff item means the first eight digits in the tariff classification number under the Harmonized System as implemented by each Party.

Section  B - Specific Rules of Origin

Section I (Ch. 1-5) Section XIII (Ch. 68-70)
Section II (Ch. 6-14) Section XIV (Ch. 71)
Section III (Ch. 15) Section XV (Ch. 72-83)
Section IV (Ch. 16-24) Section XVI (Chapter 84)
Section V (Ch. 25-27) Section XVI (Chapter 85)
Section VI (Ch. 28-38) Section XVII (Ch. 86-89)
Section VI (Ch. 28-38)b Section XVIII (Ch. 90-92)
Section VII (Ch. 39-40) Section XIX (Ch. 93)
Section VIII (Ch. 41-43) Section XX (Ch. 94-96)
Section IX (Ch. 44-46) Section XXI (Ch. 97)
Section X (Ch. 47-49) Tariff Table
Section XI (Ch. 50-63)
Section XII (Ch. 64-67)