Free Trade Agreement Origin Verification

Inspection template for verifying certificates of origin, origin qualification, and supporting documentation for USMCA and other free trade agreement preferential duty claims.

Inspection Setup and Shipment Identification

• Shipment record identified and matches the audit scope
  Confirm the shipment, entry, part number, SKU, or transaction selected for review matches the intended FTA claim audit scope.
• Importer, exporter, and supplier names match the claim record
  Verify the parties named on the commercial invoice, entry summary, and origin certification are consistent with the transaction file.
• Country of origin claimed is documented
  Record the claimed country of origin and confirm it is stated on the certificate or certification of origin and related shipping documents.
• Applicable agreement identified
  Select the free trade agreement or preferential program being claimed for the shipment.

Certificate or Certification of Origin

• Valid certificate or certification of origin is on file
  Confirm a certificate, certification, or equivalent origin statement is present for the claimed agreement and transaction.
• Document is complete and legible
  Verify the origin document is readable, complete, and not missing required fields, signatures, dates, or product identifiers.
• Certification date is current for the shipment
  Confirm the date of certification supports the shipment date and falls within the validity period allowed by the applicable agreement or company policy.
• Origin document identifies the covered goods
  Verify the document identifies the product description, part number, tariff classification, or other traceable identifier for the claimed goods.
• Supporting origin declaration retained
  Confirm supplier declarations, producer statements, or supporting origin worksheets are retained when required by the agreement or internal policy.

Origin Qualification and Rule-of-Origin Review

• Product qualifies under the applicable rule of origin
  Verify the product meets the relevant origin rule, such as tariff shift, regional value content, wholly obtained, or specific processing requirements.
• Tariff classification supports the claim
  Confirm the HS/HTS classification used in the origin analysis matches the entry classification and supports the claimed preferential treatment.
• Regional value content calculation reviewed
  If applicable, verify the regional value content calculation is documented, uses the correct method, and meets the required threshold.
• De minimis or accumulation rules applied correctly
  Confirm any de minimis, accumulation, roll-up, or related origin provisions were applied in accordance with the agreement.
• Non-originating materials reviewed
  Verify non-originating inputs were identified and assessed against the applicable origin rule and supporting bill of materials or costed worksheet.

Documentation, Recordkeeping, and Audit Trail

• Commercial invoice and entry documents align with origin claim
  Verify the commercial invoice, packing list, customs entry, and origin documentation are consistent on product description, quantity, and transaction details.
• Supporting records are retained per policy and legal requirement
  Confirm records are retained in accordance with company policy and the applicable customs recordkeeping requirement.
• Supplier or producer contact information is complete
  Verify the file includes complete supplier or producer contact details needed for follow-up verification or post-entry audit.
• Origin analysis worksheet is traceable and version controlled
  Confirm the origin analysis can be traced to a version-controlled worksheet, ERP record, or compliance file with a clear revision history.
• Any discrepancies documented with corrective action
  Record any deficiency, non-conformance, or exception found during the review and note the corrective action owner and due date.

Claim Authorization and Final Determination

• Preferential duty claim is supported and may be filed or retained
  Determine whether the claim is supported by the available documentation and origin analysis.
• Inspector final comments
  Summarize any deficiencies, non-conformances, follow-up actions, or escalation needs.
• Inspector signature
  Signature of the person completing the verification.