Commodity Jurisdiction Overview

Tony Dearth Director of Licensing

Directorate of Defense Trade Controls (DDTC) Bureau of Political Military Affairs (PM)

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Organization

• The Commodity Jurisdiction Division falls under the Office of Defense Trade Controls Policy (DTCP)

• Ed Peartree is the Office Director and Cathy Blank is the Deputy Director

• CJ Division Lead is Eric McPherson

• 8 Analysts currently make up the CJ Division

– No specific products or companies are assigned to any particular analyst.

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Order of Review

• Always start with the USML. If you find your product or technical information enumerated on the list in any category you know the product is ITAR controlled and a license is required.

– A CJ while always acceptable would require a well supported argument in order to attempt to remove it from the USML to the CCL.

• If you cannot find an enumerated control (or broader catch all control in non ECR transitioned categories) then look to the specially designed criteria within a control. Many sections reference “…and specially designed parts and components therefore.”

• See § 210.41 for more information on Specially Designed

• If the item is not enumerated or captured by a catch all, move to the 600

series of the Commerce Control List (CCL)

• Read and re-read the order of review in §121.1(b)(1) and all the notes within

the USML categories. These notes and even the accompanying Federal

Register notices provide a lot of insight.

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How CJs are Different than Licenses

• You do not have to be registered with DDTC to submit a Commodity Jurisdiction

request.

• Should your product/service be determined ITAR controlled you will be

required to register with the Department of State.

• There are no fees for CJ requests, and the number of submissions will not affect

your registration fee.

• You may submit a export license application while you have a CJ request under

review. We will not factor in your license application into the final determination.

We will consider it something done out of an abundance of caution on your part.

• Should your item be determined to be CCL, you will no longer need your

license for that specific commodity or service.

• CJs are the only legally binding jurisdiction determination. Meaning, if you

submitted a Commodity Classification and Tracking System (CCATS) request to

Commerce and got your Export Commodity Classification Number (ECCN) for

your product, that does not mean that your product is not ITAR controlled.

• Come to DDTC first if you have questions about the jurisdiction of your

product.

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Specially Designed

• First and foremost, both “Specially designed” and “specifically designed” still exist in the ITAR.

• Specially designed is the only control subject to potential release from ITAR control.

• Specifically designed are still captured under non-transitioned categories and are still subject to broader catch all controls.

• Review the notes to specially designed in §120.41 and also take notice of if

the exact control text you are looking at contains the phrase “specially

designed.”

• Example 1: There are no releases from specially designed for any firearms

or ammunition at this point. Including those called out in §120.41(b)(2). As

there is no reference to “specially designed” in USML categories I, II, or III.

• Example 2: USML VIII(h)(8) has no reference to specially designed, so no

threat-adaptive autonomous flight control systems can ever be released via

§120.41 (unless you have a CJ that indicates yours is not ITAR). 5

• Paragraph (a) describes how an article is

specially designed. Paragraph (b) provides

criteria for determining whether a part,

component, accessory, or attachment is not

specially designed.

• Paragraph (a) is the “catch.” Paragraph (b) is

the “release.”

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Specially Designed, ITAR §120.41

WHEN A CJ MAKES SENSE

• Whenever uncertainty exists, submit a CJ request.

Submit a CJ before a CCATS if you have any doubt

as to the jurisdiction.

• When you cannot find your product enumerated in

the USML but have received funding from DOD,

preponderance of military sales, military platforms are

the main user of your product. • Though remember these do not necessarily mean that your product

is ITAR. The military funds, designs and/or uses a number of things

that are not controlled by the ITAR.

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ELECTRONIC COMMODITY

JURISDICTION SUBMISSION

• DDTC processes CJ requests using an automated system. The automated

system allows electronic CJ requests using the DS-4076 Commodity Jurisdiction

(CJ) Request Form with attachments.

• All unclassified CJ requests are submitted electronically.

• Registration is not required to submit a CJ request.

• If it is determined that the article or service is controlled by the USML,

registration with DDTC is required for all exporters, manufacturers,

furnishers, and brokers.

• DDTC highly encourages the manufacturer or service provider submit the CJ

request.

• If you are not the manufacturer or service provider, you should have a letter

of authorization from the manufacturer or service provider, authorizing the

applicant to submit a CJ on its behalf.

• There are some exceptions to this but please contact us prior to submitting.

• Foreign manufacturers and service providers may also submit CJ requests.

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ELECTRONIC SUBMISSION

OF THE DS-4076 (CONTINUED)

• Review the FAQs and the online instructions on the DDTC website under the

Commodity Jurisdiction link.

• Download the current version of the DS-4076 Commodity Jurisdiction

Determination Request Form from the DDTC website.

• Check the website often to ensure that you have the most current version of

the form or the most current instructions page. Both are subject to change.

• Complete the DS-4076.

• Ensure that you Print, Sign, and Scan Block 19. This is the

Applicant/Submitters Certification Page.

• This scanned image must be attached as an additional document when

submitting the request. Please check the box allowing for electronic

communication as this is the fastest and easiest way to communicate and

receive your determination.

• Gather all additional supporting documentation for submission.

• From the Commodity Jurisdiction page within the DDTC website, click the

“Submit your Completed DS-4076 Form Package” link.

• This will take you to the “DTAS-Online Portal” web page.

• Click the “Electronic Forms Information Center” link in the “EFS” box.

• Read all the information on the Electronic Information Center page.

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ELECTRONIC SUBMISSION

OF THE DS-4076 (CONTINUED)

• Click the “Begin Submission” on the Electronic Forms Information

Center page.

• You must accept all Terms and Conditions.

• Complete all User Information fields that have an *.

• Choose the DS-4076 from the “Form Type” dropdown menu.

• Click “Browse” and upload the 4076 from your computer.

• Click “Next” to advance.

• Click on a radio button to attach documents, the “Browse” and “Upload”

buttons will appear.

• Upload one file at a time.

• The “Submit Complete Form Package” will only become available once

all the required documents have been uploaded.

• You will be able to delete documents prior to submission.

• Print the receipt for your records.

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SUPPORTING DOCUMENTATION

• DS-4076 may be accompanied by a Cover Letter.

• Include the product name in the subject line.

• Anything you want us to know about your product that was not clear

from DS-4076, e.g., description; origin of commodity; current use.

• Other Supporting Documents:

• Product Data Sheets/Brochures

• Letter of authorization from Manufacturer

• Sales Data

• Studies or other pertinent information

• Check the correct box in Block 19 to authorize email communication

and submission of any needed additional supporting documents.

• This will also authorize DDTC to send you a copy of the final

determination letter via email.

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COMPLETING THE DS-4076

• Ensure that you have the most updated version of

BOTH the form and the instruction page (Cover

Page) for the DS-4076 form.

• Block 2 – If this block is filled in, ensure that a letter

of authorization is attached upon submission.

• Block 5 – Ensure the sections of this block as filled in

as thoroughly as possible. Be sure to enter “N/A”

when appropriate; do not leave any field blank.

• This information in this block will eventually be

published on the DDTC website.

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COMPLETING THE DS-4076 (CONTINUED)

• Block 15 – If any information in Block 5 is considered proprietary

and the applicant does not wish for it to be published, please

provide your rationale in this block. Please be as specific and

concise as possible. Attachments are acceptable.

• Reference which part of Block 5, the applicant wishes to not be

disclosed (e.g., Block 5a or Block 5b and f)

• Do not simply enter the term “proprietary” in block 15 in an

effort to keep all of Block 5 from being published. There must

be a legitimate detailed rationale.

• A blank Block 15 equates to “silence is concurrence” in

publishing of Block 5 data.

• Block 19 – Ensure that this Block/Page is printed, signed, and

submitted separately as an attached document. Check here if you

want to be notified via email.

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TIMELINES

• Should an applicant not have received electronic confirmation from DDTC, please call the Response Team after one week.

• The interagency process can be complex and take some time to reach a decision. It is recommended that should an applicant need to export something while a CJ request is in process, an Export License be requested from Defense Trade Controls Licensing (DTCL). This request will not prejudice the final determination of your CJ request.

• Any export license request would be subject to the regulations and policies of DTCL.

• Although every effort is made to complete a CJ Request in 60 days, it may take longer to complete the review.

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Published Information

• DDTC now publishes both processing status and final determinations on our CJ webpage.

• Processing status is visible in the MARY system.

• MARY will identify when we received it, when we staffed it, and when the DOD and DOC positions were received.

• If you have submitted a CJ request and do not see it in MARY within 2 business days, please contact us and we will track down the status. It is a manual data entry system.

• We do not show other agencies as these are the 2 required.

• If both agencies have responded that does not necessarily indicate that the case has closed.

• A case may be still under review, escalated or in closing process, and will show as “Open” in MARY.

• Please be patient if your case is less than 30 days and you see it in MARY - it is being reviewed.

• DDTC also publishes a final determinations database.

• This webpage can be filtered by column or keyword searched (CTRL “F”)

• Cases published are determined by what claims of proprietary information are contained in the DS-4076.

• The more detailed information contained in Block 5, the more useful the database will be to industry for the purposes of comparing its products.

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IMPORTANT NOTES

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• A CJ issued by DDTC is the only legally-binding determination of

jurisdiction.

• ITAR Part 121 contains the categories of the United States

Munitions List (USML).

• An export license requested during CJ processing does not

prejudice the final determination on the CJ request.

• Please fill out Block 5 of the DS-4076 as completely as possible,

and be as specific and concise as possible in Block 15 should you

feel information is proprietary.

• Applications and all attached documents will be reviewed by

generalists and technical experts, so please explain your

submission with both audiences in mind.

Contact Information

– DDTC’s website: www.pmddtc.state.gov (lots of resources)

– Generic Questions: DDTC Response Team, 202-663-1282 DDTCResponseTeam@state.gov

– DDTC IT Issues: DDTC Help Desk, 202-663-2838 dtradehelpdesk@state.gov

– Case status: https://mary.dtas-online.pmddtc.state.gov/

If you have confirmation that your CJ has been received please allow for 7 days for staffing and then at least 30 days before calling for a status update, even if MARY indicates all agencies have returned.