亚开行-RCEP和东盟+1自由贸易协定原产地规则评估（英）-2023.10-50页_1mb

Analysis Summary of RCEP and ASEAN+1 Free Trade Agreement Rules of Origin

This study examines the product-specific rules of origin (PSROs) in the Regional Comprehensive Economic Partnership (RCEP) and ASEAN+1 free trade agreements, with a focus on leniency/stringency, convergence, and operational certification procedures.

Key Findings

Differences in Rules of Origin

• PSRO Complexity: RCEP and ASEAN+1 FTAs show varying approaches to PSROs, including:

  • Product-Specific Rules: CTH (Change of Tariff Heading), RVC (Regional Value Content), WO (Wholly Obtained), CC (Change of Chapter), specific manufacturing processes
  • General Rules: RCEP primarily uses PSROs, while others mix regime-wide rules (e.g., RVC 40%, CTH)

• Stringency Comparison:

  • AANZFTA and AKFTA are the least stringent
  • RCEP and other ASEAN+1 FTAs show medium to high stringency in many sectors
  • Agricultural goods (HS 84-85) demonstrate high convergence to lenient rules

• Convergence Analysis (HS chapter level):

  • 18 chapters show full convergence among all FTAs
  • Most other chapters show substantial convergence
  • Redesigning RCEP to adopt common PSROs with AANZFTA could increase convergence

Operational Certification Procedures

• All ASEAN+1 FTAs and RCEP currently use paper-based certificates of origin
• The RCEP includes provisions for future self-certification and e-certificates
• Form variations and entry requirements create significant compliance burdens
• ATIGA utilization rates remain low (43.5%–57.6%), despite electronic certificate initiatives

Recommendations

1. PSRO Simplification:

   • Adopt common PSROs across FTAs where convergence exists
   • Phase out unnecessary complex requirements like multiple tariff classifications

2. Operational Procedures:

   • Implement e-certificates for all ASEAN+1 FTAs
   • Streamline certificate formats to reduce compliance costs
   • Transition toward self-certification to facilitate trade

3. Intergovernmental Action:

   • Utilize RCEP built-in agenda to harmonize rules
   • Prioritize convergence in frequently traded HS chapters first
   • Investigate technology solutions for certification procedures

The study concludes that while RCEP shows some improvements over older ASEAN+1 FTAs, significant work remains to unlock the full potential of regional trade integration.