NAFTA Forms

NAFTA forms are necessary when applying for a Certificate of Origin.

There are four forms relevant to NAFTA trade and sanctions. These include Form 434, Form 434A, Form 446, the Preference Criterion.

Form 434

Form 434 is the official North American Free Trade Agreement Certificate of Origin application. Once must fill this out and submit it to the NAFTA Secretariat in order to be eligible for NAFTA sanctions. This form is two pages long and is comprised of five sections, including:

  • The production process, which includes brief written descriptions
  • The non-originating and unknown materials or components, which includes brief written descriptions
  • The originating materials or components, which includes brief written descriptions
  • Additional questions, which is an 8-question questionnaire
  • Certification, which requires personal information like names, titles, phone numbers, and a signature

Form 434A

For 434A is the Certificate of Origin continuation sheet, and is simply an annexation of the original form 434 containing a chart requiring a detailed writing description of goods. The information required in this section includes:

  • Description of goods
  • HS Tariff classification number
  • Preference Criterion
  • Producer
  • Net cost
  • Country of origin

Form 446

Form 446 is the NAFTA Verification Questionnaire used to determine whether a transaction is eligible for NAFTA sanctions. This is the means by which one can obtain an Advance Ruling and once the form is complete, it is to be sent to the NAFTA secretariat for a ruling on the transaction that is legally binding. Form 446 is fashioned almost exactly like Form 434.

The Preference Criterion

The Preference Criterion determines what sanctions the goods are eligible for under NAFTA. Indeed, NAFTA provisions are not black-and-white, and in fact, there are even provisions granted to goods not entirely originating in North America. The actual Preference Criterion applied to goods is determined by letters A-F as follows:

  1. A product produced entirely within North America with only North American materials.
  2. A product that contains some non-NAFTA materials, but remains within the parameters of the Rules of Origin.
  3. A product produced entirely within North America using non-NAFTA materials that remain compliant with the Rules of Origin.
  4. Refers to a product that satisfies regional content requirements only.
  5. Refers to a product specified in Annex 308.1 of NAFTA.
  6. Refers to an agricultural product shipped to Mexico as specified in Annex 308.1 of NAFTA.