Operational Certification Procedures

Article 3.16: Proof of Origin

Any of the following shall be considered as a Proof of Origin:

(a) a Certificate of Origin issued by an issuing body in accordance with Article 3.17 (Certificate of Origin)
(b) a Declaration of Origin by an approved exporter in accordance with subparagraph 1(a) of Article 3.18 (Declaration of Origin); or
c) a Declaration of Origin by an exporter or producer in accordance with subparagraph 1(b) of Article 3.18 (Declaration of Origin), and subject to paragraphs 2 and 3, based on information available that the good is originating.

Australia, Brunei, China, Indonesia, Japan, Korea, Malaysia, New Zealand, the Philippines, Singapore, Thailand, and Viet Nam shall implement subparagraph 1(c) no later than 10 years after their respective dates of entry into force of this Agreement. Cambodia, Lao PDR, and Myanmar shall implement subparagraph 1(c) no later than 20 years after their respective dates of entry into force of this Agreement.
Notwithstanding paragraph 2, a Party may elect to seek a longer extension period, up to a maximum of 10 years, in which to implement subparagraph 1(c), by notifying the Committee on Goods of that decision.
The Parties shall commence a review of this Article on the date of entry into force of this Agreement for all signatory States. This review will consider the introduction of Declaration of Origin by an importer as a Proof of Origin. The Parties shall conclude the review within five years of the date of its commencement, unless the Parties agree otherwise. 5
A Proof of Origin shall:

(a) be in writing, or any other medium, including electronic format as notified by an importing Party;
(b) specify that the good is originating and meets the requirements of this Chapter
(c) contain information which meets the minimum information requirements as set out in Annex 3B (Minimum Information Requirements).

Notwithstanding this paragraph, Japan may, from the date of the entry into force of this Agreement for it, consider a Declaration of Origin by an importer as a Proof of Origin in the same manner as Proof of Origin under paragraph 1.

In that case, Japan shall not conduct a verification process by means referred to in subparagraphs 1(b) through (d) of Article 3.24 (Verification) regarding the Declaration of Origin by the importer.

The Declaration of Origin shall only be completed by the importer where that importer has sufficient information to prove that the good qualifies as an originating good.

Each Party shall provide that a Proof of Origin remains valid for one year from the date on which it is issued or completed.

Article 3.17: Certificate of Origin

A Certificate of Origin shall be issued by the issuing body of an exporting Party upon an application by an exporter, a producer, or their authorised representative.
The exporter, producer, or their authorised representative shall apply in writing or by electronic means for a Certificate of Origin, to the issuing body of the exporting Party in accordance with the exporting Party’s laws, regulations, and procedures.
A Certificate of Origin shall:

(a) be in a format to be determined by the Parties;
(b) bear a unique Certificate of Origin number;
(c) be in the English language; and
(d) bear an authorised signature and official seal of the issuing body of the exporting Party. The signature and seal shall be applied manually or electronically.

A Certificate of Origin may: (a) indicate two or more invoices issued for single shipment; or (b) contain multiple goods, provided that each good qualifies as an originating good separately in its own right.
In circumstances where a Certificate of Origin contains incorrect information, the issuing body of the exporting Party may: (a) issue a new Certificate of Origin and invalidate the original Certificate of Origin; or (b) make modifications to the original Certificate of Origin by striking out errors and making any additions or corrections. Any changes shall be certified by the authorised signature and official seal of the issuing body of the exporting Party.

Each Party shall provide the names, addresses, specimen signatures, and impressions of official seals of its issuing body to the other Parties.

Such information shall be submitted electronically through the RCEP Secretariat established pursuant to subparagraph 1(i) of Article 18.3 (Functions of the RCEP Joint Committee) (hereinafter referred to as “RCEP Secretariat” in this Chapter), for dissemination to the other Parties. Any subsequent changes shall be promptly submitted to the RCEP Secretariat in the same manner for dissemination to the other Parties. The Parties shall endeavour to establish a secured website to display such information from the last three years, and such website shall be accessible to the Parties.

Notwithstanding paragraph 6, a Party shall not be required to provide the specimen signatures of its issuing body to the RCEP Secretariat for dissemination to the other Parties if it has established its own secured website, containing relevant information of the Certificates of Origin it issues, including their Certificate of Origin numbers, HS Codes, descriptions of goods, quantities, dates of issuance, and names of the exporters, that is accessible to the Parties.

The Parties shall review the requirement to provide specimen signatures of the issuing bodies three years after the date of entry into force of this Agreement for all signatory States.

Where a Certificate of Origin has not been issued at the time of shipment due to involuntary errors, omissions, or other valid causes, or in the circumstances referred to in subparagraph 5(a), a Certificate of Origin may be issued retrospectively but no later than one year after the date of shipment. In that case, the Certificate of Origin shall bear the words “ISSUED RETROACTIVELY”.
In the event of theft, loss, or destruction of an original Certificate of Origin, the exporter, producer, or their authorised representative may apply in writing to the issuing body of the exporting Party for a certified true copy of the original Certificate of Origin. The copy shall:

(a) be issued no later than one year after the date of issuance of the original Certificate of Origin;
(b) be based on the application for the original Certificate of Origin
(c) contain the same Certificate of Origin number and date as the original Certificate of Origin; and
(d) be endorsed with the words “CERTIFIED TRUE COPY”.

Article 3.18: Declaration of Origin

A Declaration of Origin referred to in Article 3.16 (Proof of Origin) may be completed by:

(a) an approved exporter within the meaning of Article 3.21 (Approved Exporter); or
(b) an exporter or a producer of the good, subject to paragraphs 2 and 3 of Article 3.16 (Proof of Origin).

A Declaration of Origin shall:

(a) be completed in accordance with Annex 3B (Minimum Information Requirements);
(b) be in the English language;
(c) bear the name and signature of the certifying person; and (d) bear the date on which the Declaration of Origin was completed. Article 3.19: Back-to-Back Proof of Origin

Subject to Article 3.16 (Proof of Origin), an issuing body, approved exporter, or exporter of an intermediate Party may issue a back- to-back Proof of Origin provided that: (a) a valid original Proof of Origin or its certified true copy is presented; (b) the period of validity of the back-to-back Proof of Origin does not exceed the period of validity of the original Proof of Origin; (c) the back-to-back Proof of Origin contains relevant information from the original Proof of Origin in accordance with Annex 3B (Minimum Information Requirements);

(d) the consignment which is to be re-exported using the back-to-back Proof of Origin does not undergo any further processing in the intermediate Party, except for repacking or logistics activities such as unloading, reloading, storing, splitting up of the consignment, or labelling only as required by the laws, regulations, procedures, administrative decisions, and policies of the importing Party, or any other operations necessary to preserve a good in good condition or to transport a good to the importing Party;
(e) for partial export shipments, the partial export quantity shall be shown instead of the full quantity of the original Proof of Origin, and the total quantity re-exported under the partial shipment shall not exceed the total quantity of the original Proof of Origin; and
(f) information on the back-to-back Proof of Origin includes the date of issuance and reference number of the original Proof of Origin.

The verification procedures referred to in Article 3.24 (Verification) shall also apply to the back-to-back Proof of Origin.

Article 3.20: Third-Party Invoicing

An importing Party shall not deny a claim for preferential tariff treatment for the sole reason that an invoice was not issued by the exporter or producer of a good provided that the good meets the requirements in this Chapter.

Article 3.21: Approved Exporter

Each Party shall provide for the authorisation of an exporter who exports goods under this Agreement as an approved exporter, in accordance with its laws and regulations.

An exporter seeking such authorisation must apply in writing or electronically and must offer to the satisfaction of the competent authority of the exporting Party all guarantees necessary to verify the originating status of the good for which a Declaration of Origin is completed. The competent authority of an exporting Party may grant the status of approved exporter subject to any conditions which it considers appropriate, including the following:

(a) that the exporter is duly registered in accordance with the laws and regulations of the exporting Party; (b) that the exporter knows and understands the rules of origin as set out in this Chapter; (c) that the exporter has a satisfactory level of experience in export in accordance with the laws and regulations of the exporting Party; (d) that the exporter has a record of good compliance, measured by risk management of the competent authority of the exporting Party; (e) that the exporter, in the case of a trader, is able to obtain a declaration by the producer confirming the originating status of the good for which the Declaration of Origin is completed by an approved exporter and the readiness of the producer to cooperate in verification in accordance with Article 3.24 (Verification) and meet all requirements of this Chapter; and (f) that the exporter has a well-maintained bookkeeping and record-keeping system, in accordance with the laws and regulations of the exporting Party. The competent authority of an exporting Party shall: (a) make its approved exporter procedures and requirements public and easily available; (b) grant the approved exporter authorisation in writing or electronically; (c) provide the approved exporter an authorisation code which must be included in the Declaration of Origin; and (d) promptly include the information on the authorisation granted in the approved exporter database referred to in paragraph 6. An approved exporter shall have the following obligations: (a) to allow the competent authority of an exporting Party access to records and premises for the purposes of 3-18monitoring the use of authorisation, in accordance with Article 3.27 (Record-Keeping Requirement);

(b) to complete Declarations of Origin only for goods for which the approved exporter has been allowed to do so by the competent authority of an exporting Party and for which it has all appropriate documents proving the originating status of the goods concerned at the time of completing the declaration; (c) to take full responsibility for all Declarations of Origin completed, including any misuse; and (d) to promptly inform the competent authority of an exporting Party of any changes related to the information referred to in subparagraph (b). Each Party shall promptly include the following information of its approved exporters in the approved exporter database: (a) the legal name and address of the exporter; (b) the approved exporter authorisation code; (c) the issuance date and, if applicable, the expiry date of its approved exporter authorisation; and (d) a list of goods subject to the authorisation, at least at the HS Chapter level. Any change in the items referred to in subparagraphs (a) through (d), or withdrawals or suspensions of authorisations, shall be promptly included in the approved exporter database. 5. Notwithstanding paragraph 4, no Party shall be required to provide the information referred to in that paragraph to the approved exporter database if it has established its own secured website, containing the above information, that is accessible to the Parties. 6. The RCEP Joint Committee may designate the custodian of the approved exporter database, which shall be accessible online by the Parties. 3-197. The competent authority of the exporting Party shall monitor the use of the authorisation, including verification of the Declarations of Origin by an approved exporter, and withdraw the authorisation where the conditions referred to in paragraph 1 are not met. 8. An approved exporter shall be prepared to submit at any time, on request of the customs authorities of the importing Party, all appropriate documents proving the originating status of the goods concerned, including statements from the suppliers or producers in accordance with the laws and regulations of the importing Party as well as the fulfilment of the other requirements of this Chapter.

Article 3.22: Claim for Preferential Tariff Treatment

An importing Party shall grant preferential tariff treatment in accordance with this Agreement to an originating good on the basis of a Proof of Origin.
Unless otherwise provided in this Chapter, an importing Party shall provide that, for the purposes of claiming preferential tariff treatment, the importer shall:

(a) make a declaration in its customs declaration that the good qualifies as an originating good;
(b) have a valid Proof of Origin in its possession at the time the declaration referred to in subparagraph (a) is made
(c) provide an original or a certified true copy of the Proof of Origin to the importing Party if required by the importing Party.

Notwithstanding paragraphs 1 and 2, the importing Party may not require a Proof of Origin if:

(a) the customs value of the importation does not exceed US$ 200 or the equivalent amount in the importing Party’s currency or any higher amount as the importing Party may establish; or
(b) it is a good for which the importing Party has waived the requirement, provided that the importation does not form part of a series of importations carried out or planned for the purpose of evading 3-20 compliance with the importing Party’s laws and regulations governing claims for preferential tariff treatment under this Agreement.

The customs authority of the importing Party may require, where appropriate, the importer to submit supporting evidence that a good qualifies as an originating good, in accordance with the requirements of this Chapter.
The importer shall demonstrate that the requirements referred to in Article 3.15 (Direct Consignment) have been met and provide such evidence on request of the customs authority of the importing Party.
Where a Proof of Origin is submitted to the customs authority of an importing Party after the expiration of the period of time for its submission, such Proof of Origin may still be accepted, subject to the importing Party’s laws, regulations, or administrative practices, when failure to observe the period of time results from force majeure or other valid causes beyond the control of the importer or exporter.

Article 3.23: Post-Importation Claims for Preferential Tariff

Each Party, subject to its laws and regulations, shall provide that where a good would have qualified as an originating good when it was imported into that Party, the importer of the good may, within a period specified by its laws and regulations, and after the date on which the good was imported, apply for a refund of any excess duties, deposit, or guarantee paid as the result of the good not having been granted preferential tariff treatment, on presentation of the following to the customs authority of that Party:

(a) a Proof of Origin and other evidence that the good qualifies as an originating good
(b) such other documentation in relation to the importation as the customs authority may require to satisfactorily evidence the preferential tariff treatment claimed.

Notwithstanding paragraph 1, each Party may require, in accordance with its laws and regulations, that the importer notify the customs authority of that Party of its intention to claim preferential tariff treatment at the time of importation.

Article 3.24: Verification 6

For the purposes of determining whether a good imported into one Party from another Party qualifies as an originating good under this Chapter, the competent authority of the importing Party may conduct a verification process by means of:

(a) a written request for additional information from the importer
(b) a written request for additional information from the exporter or producer
(c) a written request for additional information to the issuing body or competent authority of the exporting Party
(d) a verification visit to the premises of the exporter or producer in the exporting Party to observe the facilities and the production processes of the good and to review the records referring to origin, including accounting files; 7 or
(e) any other procedures to which the concerned Parties may agree.

The importing Party shall:

(a) for the purposes of subparagraph 1(b), send a written request with a copy of the Proof of Origin and the reasons for the request to the exporter or producer of the good, and the competent authority of the exporting Party
(b) for the purposes of subparagraph 1(c), send a written request with a copy of the Proof of Origin and the reasons for the request to the issuing body or competent authority of the exporting Party
(c) for the purposes of subparagraph 1(d), request the written consent of the exporter or producer whose premises are going to be visited, and the competent authority of the

For the purposes of this Article, a Party may designate one of its contact points designated pursuant to Article 3.33 (Contact Points) as a single contact point for the verification of its exported goods with a view to facilitating the verification.

A verification visit under this subparagraph shall only be undertaken after a verification process in accordance with subparagraph (c) has been conducted.

exporting Party and state the proposed date and location for the visit and its specific purpose.

On request of the importing Party, a verification visit to the premises of the exporter or producer may be conducted with the consent and assistance of the exporting Party, according to the procedures agreed between the importing Party and exporting Party.
For a verification under subparagraphs 1(a) through (d), the importing Party shall:

(a) allow the importer, exporter, producer, or the issuing body or competent authority of the exporting Party between 30 and 90 days from the date of receipt of the written request for information under subparagraphs 1(a) through (c) to respond
(b) allow the exporter, producer, or the competent authority to consent or refuse the request within 30 days of the date of its receipt of the written request for a verification visit under subparagraph 1 (d)
(c) endeavour to make a determination following a verification within 90 and 180 days of the date of its receipt of the information necessary to make the determination.

For the purposes of paragraph 1, the importing Party shall provide a written notification of the result of verification with the reasons for that result to the importer, exporter, or producer of the good, or the issuing body or competent authority of the exporting Party that received the verification request.
The customs authority of the importing Party may suspend the application of preferential tariff treatment while waiting for the result of verification. The importing Party shall permit the release of the good, but may require that such release be subject to lodgment of a security in accordance with its laws and regulations.

Article 3.25: Denial of Preferential Tariff Treatment

The customs authority of the importing Party may deny preferential tariff treatment where: (a) the good does not meet the requirements of this Chapter; 3-23or (b) the importer, exporter, or producer of the good fails or has failed to comply with any of the relevant requirements of this Chapter for obtaining preferential tariff treatment.
If the customs authority of the importing Party denies a claim for preferential tariff treatment, it shall provide the decision in writing to the importer that includes the reasons for the decision.
The customs authority of the importing Party may determine that a good does not qualify as an originating good and may deny preferential tariff treatment where: (a) the customs authority of the importing Party has not received sufficient information to determine that the good is originating; (b) the exporter, producer, or the competent authority of the exporting Party fails to respond to a written request for information in accordance with Article 3.24 (Verification); or (c) the request for a verification visit in accordance with Article 3.24 (Verification) is refused. Article 3.26: Minor Discrepancies or Errors The customs authority of an importing Party shall disregard minor discrepancies or errors, such as slight discrepancies between documents, omissions of information, typing errors, or protrusions from the designated field, provided that these minor discrepancies or errors do not create doubt as to the originating status of the good.

Article 3.27: Record-Keeping Requirement

Each Party shall require that:

(a) its exporters, producers, issuing bodies, or competent authorities retain, for at least a period of three years from the date of issuance of the Proof of Origin, or a longer period in accordance with its relevant laws and regulations, all records necessary to prove that the good for which the Proof of Origin was issued was originating; and 3-24(b) 2. its importers retain, for at least a period of three years from the date of importation of the good, or a longer period in accordance with its relevant laws and regulations, all records necessary to prove that the good for which preferential tariff treatment was claimed was originating. The records referred to in paragraph 1 may be maintained in any medium that allows for prompt retrieval, including in digital, electronic, optical, magnetic, or written form, in accordance with the Party’s laws and regulations.

Article 3.28: Consultations

The Parties shall consult when necessary to ensure that this Chapter is administered effectively, uniformly, and consistently in order to achieve the spirit and objectives of this Agreement.

Article 3.29: Electronic System for Origin Information Exchange

The Parties may develop an electronic system for origin information exchange to ensure the effective and efficient implementation of this Chapter in a manner jointly determined by the relevant Parties.

Article 3.30: Transitional Provisions for Goods in Transit

A Party shall grant preferential tariff treatment to an originating good that, on the date of entry into force of this Agreement for that Party: (a) was being transported to that Party in accordance with

Article 3.15 (Direct Consignment); or

(b) had not been imported into that Party, if a valid claim under Article 3.22 (Claim for Preferential Tariff Treatment) for preferential tariff treatment is made within 180 days of the date of entry into force of this Agreement for that Party. Article 3.31: Penalties Each Party shall adopt or maintain appropriate penalties or other measures against violations of its laws and regulations relating to this Chapter.

Article 3.32: Communication Language

Communications between the importing Party and the exporting Party shall be conducted in the English language.

Article 3.33: Contact Points

Each Party shall, within 30 days of the date of entry into force of this Agreement for that Party, designate one or more contact points for the implementation of this Chapter and notify the other Parties of the contact details of that contact point or those contact points. Each Party shall promptly notify the other Parties of any change to those contact details.

Article 3.34: Transposition of Product-Specific Rules

Prior to the entry into force of any amended version of the Harmonized System, the Parties shall consult to prepare updates to this Chapter and Annex 3A (Product-Specific Rules) that are necessary to reflect changes to the Harmonized System.
The Parties shall ensure that the transposition of Annex 3A (Product-Specific Rules) is carried out without impairing the Product-Specific Rules and is completed in a timely manner.
The transposition of Annex 3A (Product-Specific Rules) that is in the nomenclature of any revised Harmonized System following periodic amendments to the Harmonized System, shall be adopted by the RCEP Joint Committee, upon recommendation of the Committee on Goods.

The Parties shall promptly publish the adopted transposition of Annex 3A (Product-Specific Rules) in the nomenclature of the revised Harmonized System.

For the purposes of this Article, “transposition” means the measures necessary to support the effective implementation of the Product-Specific Rules set out in Annex 3A (Product-Specific Rules), to reflect the periodic updates of the Harmonized System nomenclature.

Article 3.35: Amendments to Annexes

Amendments relating only to Annex 3A (Product-Specific Rules) and Annex 3B (Minimum Information Requirements) may be endorsed by the 3-26RCEP Joint Committee by consensus. The amendment shall enter into force in accordance with Article 20.4 (Amendments).

For Japan, for the purposes of this Article, “the completion of their respective applicable legal procedures” referred to in Article 20.4 (Amendments) shall be read as “the completion of internal procedures within the Government of Japan”.