1. Efforts to Establish Multilateral Rules

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

1.2. The UNCTAD Working Group on Rules of Origin

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

2.1. The Agreement on Rules of Origin

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

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

2.3.1. Definition of “Assembly” in Machinery

2.3.2. Definition of “Assembly” in Textiles and Clothing

2.4. Secondary or Residual Rules of Origin

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

2.5.1. The Architecture

2.5.2. The General Rules

2.6. Outstanding Product-Specific Issues

2.6.1. Fishery Products

2.6.2. Slaughtering

2.6.3. Dairy Products

2.6.4. Coffce Products

2.6.5. Refining Fats and Oils

2.6.6. Refining Sugar and Sugar Products and Molasses

2.6.7. Cocoa Products and Chocolate

2.6.8. Juices and Wines

2.6.9. Mixtures/Blends

2.6.10. Grinding of Spices

2.6.11. Cement

2.6.12. Chemicals

2.6.13. Leather

2.6.14. Textiles and Clothing

2.6.15. Footwear

2.6.16. Coating of Steel Products

2.6.17. Machinery and Electronics

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

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

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

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

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

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

2.8.5. Possible Implications of the ARO on Textiles and Clothing

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

2.8.7. Nonpreferential Rules of Origin and Circumvention

2.9. Implementation Issues

2.10. Conclusions

3. Preferential Rules of Origin

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

3.1.1. “Wholly Obtained” Products

3.1.2. Products with an Import Content

3.1.2.1. Process Criterion

3.1.2.2. Percentage Criterion

3.1.2.2.1. Canada

3.1.2.2.2. United States

3.1.2.2.3. Russian Federation

3.1.3. Preference-Giving Country or Donor CountryContent Rule

3.1.4. Cumulative Origin in the GSP Schemes 19o

3.1.4.1. The Difference between Full and Partial Diagonal Cumulation

3.1.4.2. Cumulation under the EC GSP Scheme and EBA

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

3.1.4.4. Cumulation under the Japanese GSP Scheme

3.1.4.5. Cumulation under the U.S. GSP Scheme

3.1.4.6. Cumulation under the Canadian GSP Scheme

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

3.1.5.1. African Growth Opportunity Agreement

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

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

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

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

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

3.2. Contractual Rules of Origin in Free-Trade Areas

3.2.1. The EC Pan-European Rules of Origin

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

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

3.2.2.1.1. Products Wholly Obtained

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

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

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

3.2.2.1.5. Insufficient Working or Processing

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

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

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

3.2.2.1.9. Recent Developments in the EC Rules of Origin

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

3.2.3.1. The Main Criteria for Determining Origin in NAFTA

3.2.3.2. De Minimis

3.2.3.3. Regional Value Content in NAFTA

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

3.2.3.5. Cumulation in NAFTA

3.2.3.6. Other NAFTA Provisions

3.2.3.7. NAFTA Rules of Origin for Textiles and Clothing

3.2.3.8. Automotive Products in NAFTA

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

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

4. The Economics of Rules of Origin

4.1. The Basic Tenets of Rules of Origin and Economics

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

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

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

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

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

5. Drafting Preferential Rules of Origin

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

5.2.4. Comparisons of Formulations between Percentage and Process Criteria

5.2.4.1. Comparison of Substances between Percentage and Process Criterion

5.3.Learning Drafting Rules of Origin from the Present

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

5.3.2. The SADC and COMESA Experience

5.3.3. Mercosur Rules of Origin

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

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

5.4.2. The Main Parameters for Drafting Rules of Origin

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？

5.4.2.2. Deftning the Index of Technical Soundness

5.4.2.3. Suggestions on Defining the Index of Technical Soundness

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

5.4.3.1. The Experience with the EC GSP Rules of Origin

5.4.3.2. The SADC Experience

5.4.3.3. The ASEAN-China Free-Trade Experience

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

6. The Administration of Rules of Origin

6.1. The Administration of GSP Rules of Origin

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

6.1.2. Direct Consignment

6.1.3. Arrangements for Administrative Cooperation

6.2. The Experience of the United States on Administering Origin

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

6.2.2. The Administration of NAFTA Rules of Origin

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

6.3. The EC Experience in Administering Rules of Origin

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

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

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

6.3.4. Supplier Declarations

6.3.5. Documentary Evidence for the Issuance of Certificates of Origin

6.3.6. Verification of Proofs of Origin

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

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

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

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

6.3.8.1. The Procedure for Nonrecovery of Customs Duties after Clearance

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

6.3.10. Recent Developments Following the Green Paper

6.3.11. Origin Administration and Customs Cooperation in the EC

6.3.12. Experience of OLAF on Origin Investigation

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

Index