CBP Form 434 North American Free Trade Agreement Certificate of Origin

What Is CBP Form 434?

CBP Form 434, North American Free Trade Agreement (NAFTA) Certificate of Origin - also known as the CBP certificate of origin or the NAFTA CBP Form 434 - is a form used by the United States, Canada, and Mexico with the intention to certify that the goods qualify for the preferential tariff treatment agreed by NAFTA. The certificate of origin sums up the claim that the goods qualify as originating, which means they should receive preferential tariff treatment. The Customs and Border Protection (CBP) requires the exporter to complete this form. A manufacturer or a producer may also complete it in a NAFTA territory in order to use it as a basis for an Exporter's Certificate of Origin. To request NAFTA preference, the importer has to possess a certificate of origin when the claim is made.

The latest version of the form was released by the CBP in November 2016 with all previous editions obsolete. A CBP Form 434 fillable version is available for download and digital filing below.

The CBP Form 434A - also known as the CBP Form 434 continuation sheet - is a related form containing similar information which did not fit in the first form. It describes the goods, identifies their Harmonised System (H.S.) tariff classification numbers, states the preference criterion, indicates the producer, describes the net cost, and states the country of origin.

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When to Fill out CBP 434 Form?

The exporter fills out the form in order to enter the country without paying duty. It is required to possess the document when the declaration is made therefore the form has to be completed beforehand.

CBP Form 434 Instructions

  1. The exporter must complete the document legibly and fully, the importer must then have it in hand to file;
  2. It is necessary to choose the applicable preference criterion. There are 6 options available:
    • Wholly obtained or entirely produced in the NAFTA territory;
    • Produced in the NAFTA territory and satisfies the specific rule of origin;
    • Produced in the NAFTA territory exclusively from the originating materials;
    • Produced in the NAFTA territory and meet the regional value-content requirement;
    • Automatic data processing goods that do not originate in the NAFTA territory when the most-favored-nation tariff rate (the lowest possible tariff rate) applies;
    • Originating agricultural good which is not subject to a restriction in the importing NAFTA country.
  3. The form requires the exporter to certify that the goods originated in the NAFTA territory, and there has been no further operation outside this territory.

How to Fill out CBP Form 434?

  1. State the exporter's full name, address, email, and legal tax identification number;
  2. Complete the field «blanket period» if the certificate covers numerous shipments of identical goods imported into a NAFTA country for a period of up to one year.
  3. Write down the producer's full name, address, email, and legal tax identification number;
  4. State the importer's full name, address, email, and legal tax identification number;
  5. Provide a sufficient description of the goods. It should be full enough to relate it to the invoice description of the goods;
  6. For every good indicated in the previous field, identify the H.S. tariff classification number;
  7. State the preference criterion for every good described in the form;
  8. State if you are the producer of the good;
  9. Indicate the net cost when the good is subject to a regional value content requirement;
  10. Identify the country of origin;
  11. Sign and date the form, write down the name of the company and your title, enter your telephone numbers and email.
OMB No. 1651-0098
DEPARTMENT OF HOMELAND SECURITY
Exp. 04-30-2020
U.S. Customs and Border Protection
NORTH AMERICAN FREE TRADE AGREEMENT
CERTIFICATE OF ORIGIN
19 CFR 181.11, 181.22
1. EXPORTER NAME, ADDRESS AND EMAIL
2. BLANKET PERIOD
FROM (mm/dd/yyyy)
TO (mm/dd/yyyy)
TAX IDENTIFICATION NUMBER:
3. PRODUCER NAME, ADDRESS AND EMAIL
4. IMPORTER NAME, ADDRESS AND EMAIL
TAX IDENTIFICATION NUMBER:
TAX IDENTIFICATION NUMBER:
6.
7.
10.
5.
8.
9.
HS TARIFF
PREFERENCE
COUNTRY
DESCRIPTION OF GOOD(S)
CLASSIFICATION
PRODUCER
NET COST
CRITERION
OF ORIGIN
NUMBER
I CERTIFY THAT:
THE INFORMATION ON THIS DOCUMENT IS TRUE AND ACCURATE AND I ASSUME THE RESPONSIBILITY FOR PROVING SUCH
REPRESENTATIONS. I UNDERSTAND THAT I AM LIABLE FOR ANY FALSE STATEMENTS OR MATERIAL OMISSIONS MADE ON OR IN
CONNECTION WITH THIS DOCUMENT;
I AGREE TO MAINTAIN AND PRESENT UPON REQUEST, DOCUMENTATION NECESSARY TO SUPPORT THIS CERTIFICATE, AND TO INFORM, IN
WRITING, ALL PERSONS TO WHOM THE CERTIFICATE WAS GIVEN OF ANY CHANGES THAT COULD AFFECT THE ACCURACY OR VALIDITY OF
THIS CERTIFICATE;
THE GOODS ORIGINATED IN THE TERRITORY OF ONE OR MORE OF THE PARTIES, AND COMPLY WITH THE ORIGIN REQUIREMENTS
SPECIFIED FOR THOSE GOODS IN THE NORTH AMERICAN FREE TRADE AGREEMENT AND UNLESS SPECIFICALLY EXEMPTED IN ARTICLE
411 OR ANNEX 401, THERE HAS BEEN NO FURTHER PRODUCTION OR ANY OTHER OPERATION OUTSIDE THE TERRITORIES OF THE
PARTIES; AND
PAGES, INCLUDING ALL ATTACHMENTS.
THIS CERTIFICATE CONSISTS OF
11a. AUTHORIZED SIGNATURE
11b. COMPANY
11c. NAME
11d. TITLE
11.
11e. DATE (mm/dd/yyyy)
11f. TELEPHONE NUMBERS
11g. EMAIL
(Voice)
(Facsimile)
CBP Form 434 (11/16)
Page 1 of 2
OMB No. 1651-0098
DEPARTMENT OF HOMELAND SECURITY
Exp. 04-30-2020
U.S. Customs and Border Protection
NORTH AMERICAN FREE TRADE AGREEMENT
CERTIFICATE OF ORIGIN
19 CFR 181.11, 181.22
1. EXPORTER NAME, ADDRESS AND EMAIL
2. BLANKET PERIOD
FROM (mm/dd/yyyy)
TO (mm/dd/yyyy)
TAX IDENTIFICATION NUMBER:
3. PRODUCER NAME, ADDRESS AND EMAIL
4. IMPORTER NAME, ADDRESS AND EMAIL
TAX IDENTIFICATION NUMBER:
TAX IDENTIFICATION NUMBER:
6.
7.
10.
5.
8.
9.
HS TARIFF
PREFERENCE
COUNTRY
DESCRIPTION OF GOOD(S)
CLASSIFICATION
PRODUCER
NET COST
CRITERION
OF ORIGIN
NUMBER
I CERTIFY THAT:
THE INFORMATION ON THIS DOCUMENT IS TRUE AND ACCURATE AND I ASSUME THE RESPONSIBILITY FOR PROVING SUCH
REPRESENTATIONS. I UNDERSTAND THAT I AM LIABLE FOR ANY FALSE STATEMENTS OR MATERIAL OMISSIONS MADE ON OR IN
CONNECTION WITH THIS DOCUMENT;
I AGREE TO MAINTAIN AND PRESENT UPON REQUEST, DOCUMENTATION NECESSARY TO SUPPORT THIS CERTIFICATE, AND TO INFORM, IN
WRITING, ALL PERSONS TO WHOM THE CERTIFICATE WAS GIVEN OF ANY CHANGES THAT COULD AFFECT THE ACCURACY OR VALIDITY OF
THIS CERTIFICATE;
THE GOODS ORIGINATED IN THE TERRITORY OF ONE OR MORE OF THE PARTIES, AND COMPLY WITH THE ORIGIN REQUIREMENTS
SPECIFIED FOR THOSE GOODS IN THE NORTH AMERICAN FREE TRADE AGREEMENT AND UNLESS SPECIFICALLY EXEMPTED IN ARTICLE
411 OR ANNEX 401, THERE HAS BEEN NO FURTHER PRODUCTION OR ANY OTHER OPERATION OUTSIDE THE TERRITORIES OF THE
PARTIES; AND
PAGES, INCLUDING ALL ATTACHMENTS.
THIS CERTIFICATE CONSISTS OF
11a. AUTHORIZED SIGNATURE
11b. COMPANY
11c. NAME
11d. TITLE
11.
11e. DATE (mm/dd/yyyy)
11f. TELEPHONE NUMBERS
11g. EMAIL
(Voice)
(Facsimile)
CBP Form 434 (11/16)
Page 1 of 2
PAPERWORK REDUCTION ACT STATEMENT: An agency may not conduct or sponsor an information collection and a person is not required to respond to
this information unless it displays a current valid OMB control number and an expiration date. The control number for this collection is 1651-0098. The
estimated average time to complete this application is 2 hours. If you have any comments regarding the burden estimate you can write to U.S. Customs and
Border Protection, Office of Regulations and Rulings, 90 K Street, NE., Washington DC 20229.
NORTH AMERICAN FREE TRADE AGREEMENT CERTIFICATE OF ORIGIN INSTRUCTIONS
For purposes of obtaining preferential tariff treatment, this document must be completed legibly and in full by the exporter and
be in the possession of the importer at the time the declaration is made. This document may also be completed voluntarily by
the producer for use by the exporter. Please print or type:
FIELD 1:
State the full legal name, address (including country), email and legal tax identification number of the exporter. Legal taxation number is: in
Canada, employer number or importer/exporter number assigned by Revenue Canada; in Mexico, federal taxpayer's registry number (RFC);
and in the United States, employer's identification number or Social Security Number.
FIELD 2:
Complete field if the Certificate covers multiple shipments of identical goods as described in Field #5 that are imported into a NAFTA country for
a specified period of up to one year (the blanket period). "FROM" is the date upon which Certificate becomes applicable to the good covered by
the blanket Certificate (it may be prior to the date of signing this Certificate). "TO" is the date upon which the blanket period expires. The
importation of a good for which preferential treatment is claimed based on this Certificate must occur between these dates.
FIELD 3:
State the full legal name, address (including country), email and legal tax identification number, as defined in Field #1, of the producer. If more
than one producer's good is included on the Certificate, attach a list of additional producers, including the legal name, address (including country)
and legal tax identification number, cross-referenced to the good described in Field #5. If you wish this information to be confidential, it is
acceptable to state "Available to CBP upon request". If the producer and the exporter are the same, complete field with "SAME". If the producer
is unknown, it is acceptable to state "UNKNOWN".
FIELD 4:
State the full legal name, address (including country), email and legal tax identification number, as defined in Field #1, of the importer. If the
importer is not known, state "UNKNOWN"; if multiple importers, state "VARIOUS".
FIELD 5:
Provide a full description of each good. The description should be sufficient to relate it to the invoice description and to the Harmonized System
(H.S.) description of the good. If the Certificate covers a single shipment of a good, include the invoice number as shown on the commercial
invoice. If not known, indicate another unique reference number, such as the shipping order number.
FIELD 6:
For each good described in Field #5, identify the H.S. tariff classification to six digits. If the good is subject to a specific rule of origin in Annex
401 that requires eight digits, identify to eight digits, using the H.S. tariff classification of the country into whose territory the good is imported.
FIELD 7:
For each good described in Field #5, state which criterion (A through F) is applicable. The rules of origin are contained in Chapter Four and
Annex 401. Additional rules are described in Annex 703.2 (certain agricultural goods), Annex 300-B, Appendix 6 (certain textile goods) and
Annex 308.1 (certain automatic data processing goods and their parts). NOTE: In order to be entitled to preferential tariff treatment, each
good must meet at least one of the criteria below.
Preference Criteria
A
The good is "wholly obtained or produced entirely" in the territory of one or more of the NAFTA countries as referenced in Article 415. Note: The
purchase of a good in the territory does not necessarily render it "wholly obtained or produced". If the good is an agricultural good, see
also criterion F and Annex 703.2. (Reference: Article 401(a) and 415)
B
The good is produced entirely in the territory of one or more of the NAFTA countries and satisfies the specific rule of origin, set out in Annex 401,
that applies to its tariff classification. The rule may include a tariff classification change, regional value-content requirement, or a combination
thereof. The good must also satisfy all other applicable requirements of Chapter Four. If the good is an agricultural good, see also criterion F and
Annex 703.2. (Reference: Article 401(b))
C
The good is produced entirely in the territory of one or more of the NAFTA countries exclusively from originating materials. Under this criterion,
one or more of the materials may not fall within the definition of "wholly produced or obtained", as set out in article 415. All materials used in the
production of the good must qualify as "originating" by meeting the rules of Article 401(a) through (d). If the good is an agricultural good, see also
criterion F and Annex 703.2. Reference: Article 401(c).
D
Goods are produced in the territory of one or more of the NAFTA countries but do not meet the applicable rule of origin, set out in Annex 401,
because certain non-originating materials do not undergo the required change in tariff classification. The goods do nonetheless meet the regional
value-content requirement specified in Article 401(d). This criterion is limited to the following two circumstances:
1.
The good was imported into the territory of a NAFTA country in an unassembled or disassembled form but was classified as an assembled
good, pursuant to H.S. General Rule of Interpretation 2(a), or
2.
The good incorporated one or more non-originating materials, provided for as parts under the H.S., which could not undergo a change in
tariff classification because the heading provided for both the good and its parts and was not further subdivided into subheadings, or the
subheading provided for both the good and its parts and was not further subdivided.
NOTE: This criterion does not apply to Chapters 61 through 63 of H.S. (Reference: Article 401(d))
E
Certain automatic data processing goods and their parts, specified in Annex 308.1, that do not originate in the territory are considered originating
upon importation into the territory of a NAFTA country from the territory of another NAFTA country when the most-favored-nation tariff rate of the
good conforms to the rate established in Annex 308.1 and is common to all NAFTA countries. (Reference: Annex 308.1)
F
The good is an originating agricultural good under preference criterion A, B, or C above and is not subject to a quantitative restriction in the
importing NAFTA country because it is a "qualifying good" as defined in Annex 703.2, Section A or B (please specify). A good listed in Appendix
703.2B.7 is also exempt from quantitative restrictions and is eligible for NAFTA preferential tariff treatment if it meets the definition of "qualifying
good" in Section A of Annex 703.2. NOTE 1: This criterion does not apply to goods that wholly originate in Canada or the United States
and are imported into either country. NOTE 2: A tariff rate quota is not a quantitative restriction.
FIELD 8:
For each good described in Field #5, state "YES" if you are the producer of the good. If you are not the producer of the good, state "NO" followed
by (1), (2), or (3), depending on whether this certificate was based upon: (1) your knowledge of whether the good qualifies as an originating
good; (2) your reliance on the producer's written representation (other than a Certificate of Origin) that the good qualifies as an originating good;
or (3) a completed and signed Certificate for the good, voluntarily provided to the exporter by the producer.
FIELD 9:
For each good described in field #5, where the good is subject to a regional value content (RVC) requirement, indicate "NC" if the RVC is
calculated according to the net cost method; otherwise, indicate "NO". If the RVC is calculated over a period of time, further identify the
beginning and ending dates (MM/DD/YYYY) of that period. (Reference: Article 402.1, 402.5).
FIELD 10:
Identify the name of the country ("MX" or "US" for agricultural and textile goods exported to Canada; "US" or "CA" for all goods exported to
Mexico; or "CA" or "MX" for all goods exported to the United States) to which the preferential rate of CBP duty applies, as set out in Annex 302.2,
in accordance with the Marking Rules or in each party's schedule of tariff elimination.
For all other originating goods exported to Canada, indicate appropriately "MX" or "US" if the goods originate in that NAFTA country, within the
meaning of the NAFTA Rules of Origin Regulations, and any subsequent processing in the other NAFTA country does not increase the
transaction value of the goods by more than seven percent; otherwise indicate "JNT" for joint production. (Reference: Annex 302.2)
FIELD 11:
This field must be completed, signed, and dated by the exporter. When the Certificate is completed by the producer for use by the exporter, it
must be completed, signed, and dated by the producer. The date must be the date the Certificate was completed and signed.
CBP Form 434 (11/16)
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Download CBP Form 434 North American Free Trade Agreement Certificate of Origin

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