UTAS-ITC-FRM-0501-01
INSTRUCTIONS FOR
Supplier/ Customer (non-UTAS Party)
Jurisdiction/ Classification Request & Certification Tool
PURPOSE & SCOPE
It is UTC Aerospace Systems (“UTAS”)’ policy to ensure compliance with all applicable international trade
laws and regulations. You are receiving this UTAS-ITC-FRM-0501 Form (“Form”) because you are
providing UTAS with parts/commodities, technology/ technical data or software (hereinafter collectively
referred as “Items”) as a Supplier, Customer, or Other Party (i.e. Distributor or party other than
manufacturer). In order to ensure that all exports and the subsequent imports and re-exports/re-transfers
containing your Items are compliant with applicable laws/regulations, UTAS must have detailed information
about “Items” being provided by your company. This also includes the information under the U.S.
Import/Export controls.
If you do not understand what information is to be provided in a certain field/block, please do not guess
and do not leave the field blank. If you have any questions regarding the Form please contact your UTAS
point of contact.
You may provide your responses on the Form in MS Word format for each Item; OR on the Form in MS
Excel format in a consolidated manner for multiple Items. UTAS prefers requested information to be
submitted in electronic format, including the certification statement and signature.
APPLICABILITY& RESPONSIBILITY
For the purposes of this Form, the term Responder denotes to the qualified representative of non-UTAS
party or company (Supplier or Customer or Distributor or any other Party) who is providing the pertinent
trade compliance information for the Items the Party is providing to UTAS.
Country of Origin (“CoO”): Many of the products that are assembled, manufactured or produced in the
U.S. contain parts or materials that are of non-U.S. origin. CoO Rules have a significant impact on how the
products and the higher level assemblies are labeled, advertised, marketed and sold within the U.S. and
abroad.The Responder shall provide CoO for each Item.
Registration: Any person who engages in the United States in the business of manufacturing or exporting
or temporarily importing defense articles, or furnishing defense services, is required to register with the
Directorate of Defense Trade Controls (“DDTC”) even if it is only one occasion. A manufacturer who does
not engage in exporting must nevertheless register (in accordance with 22 CFR 122.1). If the Item being
provided is determined to be a defense article that is controlled by the U.S. Department of State under
International Traffic in Arms Regulations (“ITAR”) and the Responder is a U.S. Supplier, the Responder
shall confirm that it is registered with DDTC by providing the date of expiration of its DDTC registration.
Where the Responder’s company has design authority or is a distributor of design authority Item, the
Responder shall provide:
(1) Harmonized Tariff Schedule (“HTS”) Number
(2) Jurisdiction of Item (i.e., U.S. Department of State for defense articles controlled under the ITAR or
U.S. Department of Commerce for military or commercial/dual-use goods controlled under the Export
Administration Regulations (“EAR”)) and
(3) Export Classification of Item (i.e., either U.S. Munitions List (“USML”) Category for ITAR-controlled
Items or Export Control Classification Number (“ECCN”) under Commerce Control List (“CCL”) for
EAR-controlled Items.)
UTC AEROSPACE SYSTEMS PROPRIETARY.
Subject to the restriction on the title or cover page.
This document or file does not contain export controlled technology or technical data.
UTAS-ITC-FRM-0501-00
The Responder shall provide updated information to UTAS for every revision to the HTS number, CoO,
Jurisdiction/Classification Information and DDTC registration date. This data must be provided on UTASITC-FRM-0501. Definitions and Legal References are provided at the end of Instructions Section for the
Responder’s convenience.
INSTRUCTIONS/ CLARIFICATIONS:
As stated above, the Responder has the option to provide single classification using the Form in Word
format or multiple classifications using the Form in Excel-format. Sub-Sections in the Form identified in red
with an * are required fields. Various information is required depending upon the design authority of the
Item(s). Please use the following information to determine what information is required;
1. U.S. Supplier/Customer with design authority: The information in section 1, 2, 3 & 5 is required for
all Items when a U.S. Supplier/Customer has the design authority.
2. Non-U.S. Supplier/Customer: The information in section 1, 2, 3 & 4 is required for all Items when a
non U.S. Supplier/Customer has the design authority.
3. UTAS has the design authority: The information is section 1, 2.1, 2.4, 2.8, 2.10 & 5.3 is required for
all Items when UTAS has the design authority.
Section 1: Supplier/Customer (non-UTAS party) Information*
1.1
Non-UTAS Party Information*: The Responder must indicate if its company is a Supplier or
Customer or Other Party to UTAS (such as a distributor), in terms of contractual relationship for the
Items the company provides to UTAS. Additionally, the Responder must provide: Legal business
name, street address and phone number.
1.2
Additional Information*: Name and contact information of individual submitting this Certification
Form and the information therein.
1.3
Export/Import Control Point of Contact Information*: Identify the name and contact information
of the individual within the Responder’s organization responsible for trade compliance, if different
than 1.2.
Section 2: Item/Commodity Information
2.1
2.2
2.3
2.4
2.5
2.6
2.7
Design Authority*: Identify who is the design authority of the Item being classified (Supplier,
Manufacturer, UTAS). If the Responder is a Customer to UTAS and has the design authority, s/he
must check “Manufacturer”
Designed for*: The Responder should specify the application for which the Item was designed:
i.e. Military, Civil/Commercial.
Type*: Specify if the Item is Hardware/Commodity, Technical Data/Technology or Software
UTAS Part Number*: Identify the Part Number identified on the UTAS drawing, request for quote
or purchase order. If there is no UTAS part number put N/A in this field.
Supplier/Other Party Part Number: Identify Supplier or Other Party Part identifier/number
Manufacturer Part Number: When supplier is not the manufacturer of the Item, identify the
manufacturer part identifier/number. If the Responder is the Customer to UTAS and the
manufacturer of the part, s/he must specify part number/ identifier as the manufacturer of the Item.
Description: Indicate the part description/ nomenclature. For example: Flow Control Valve.
Attach any additional information or data sheets if applicable.
UTC AEROSPACE SYSTEMS PROPRIETARY.
Subject to the restriction on the title or cover page.
This document or file does not contain export controlled technology or technical data.
UTAS-ITC-FRM-0501-00
2.8
2.9
2.10
Manufacturer Name: Identify the manufacturer of the Item if the Supplier or Other Party is not the
manufacturer.
HTS Classification*: Identify the HTS Number.
Country of Origin*: Identify the country, or countries, of manufacture, production, or growth of the
article. For multiple countries please identify each country separated by a comma or semi-colon in
this field. If applicable, attach a Certificate of Origin.
Section 3: Export/Import Control Information
3.1
Export Controls*: Identify if the Item is subject to U.S. Jurisdiction.
U.S. Jurisdiction would include:

Items that were manufactured in the U.S.,

Items that contain U.S. technology,

Non-U.S. created or manufactured Items already in the U.S.,

Non-U.S. created or manufactured Items destined to a UTAS operation in the U.S. (e.g.,
Items manufactured at a UTAS operation outside the U.S. but intended to be provided to a
UTAS operation in the U.S.)

Non-U.S. created technical data that was derived from U.S. origin ITAR technical data

Re-exports and exports of non-U.S. made Items from a non-U.S. site if the Items contain
more than a de minimis amount of EAR-controlled content. (§734.4 of the EAR)

Re-exports and exports from a non-U.S. site of foreign produced Items if they are direct
product of U.S. technology and software. (§736.2 of the EAR)

Items that are NOT in the public domain. (Please note that encryption and encryption
software have specific public domain rules)

Piece parts and components/general commodities that are commercially available catalog
Items, are typically deemed to be subject to U.S. Department of Commerce Export
Jurisdiction even if such parts are used in military applications. The following piece parts and
components/general commodities are deemed to be the following:
Nuts
Bolts
Cap Screws
Wires
Fasteners


Washers
Shims
Seals
Rivets
Roll Pins
Caps
Clips
Hoses
Grommets
Cotter Pins
Ties (Zip ties)
Circlips (C-Clips)
Zerk Fittings (Grease fittings)
Keys (Square keys)
Furthermore, catalog Items which UTAS procures such as those identified with AN, NAS,
MS, MIL which are identified with markings such as “Approved for public release” or
“distribution is unlimited” are also deemed to be subject to U.S. Department of Commerce
export jurisdiction.
If a piece part or component, such as the ones above is specifically designed for a military
application it will need to go through an internal export jurisdiction/classification
process. It may or may not fall under the jurisdiction of U.S. Department of State as defense
article controlled by ITAR.
3.2
Export/Import Requirements*: Please provide any information that you may require from UTAS
(i.e., Import License, Export License, Apostille, End Use Certificate, Import Certificate, Delivery
Verification Certificate or other information). Enter N/A if no information is necessary.
3.3
Re-export/Re-transfer Restrictions*: Identify if the Item is subject to re-export/re-transfer
controls under the export laws/regulations.
UTC AEROSPACE SYSTEMS PROPRIETARY.
Subject to the restriction on the title or cover page.
This document or file does not contain export controlled technology or technical data.
UTAS-ITC-FRM-0501-00
3.4
Re-export/Re-transfer Restrictions Comments: If Item is subject to re-export/re-transfer
restrictions please specify the controls and provide additional information
Section 4: Non-United States Information
4.1
Provided from: Identify country from which the Item was sourced and whether any form of export
authorization is required to provide the Item to UTAS.
U.S. Content: Identify if the Item contains U.S. parts, components and/or technology/ technical
data or software.
De Minimis Percentage (%): Identify the percentage by value of ALL U.S. content so that a “De
minimis” analysis can be performed.
4.2
4.3
Section 5: United States
5.1
Jurisdiction: U.S. Department of State for defense articles controlled under the ITAR or U.S.
Department of Commerce for military or commercial/dual-use goods controlled under the EAR.
5.2
Classification: Indicate either USML Category for ITAR-controlled Items or ECCN for EARcontrolled Items.
DDTC Registration Expiration Date: If the Responder is U.S. manufacturer/supplier of defense articles,
please confirm if the company is registered with the DDTC by providing the date of expiration of the
registration.
The UTAS-ITC-FRM-0501 From must be signed and dated by the Responder under the Certification
Statement, prior to submittal to UTAS.*
REGULATORY REFERENCES









19 CFR 134
22 U.S.C. 2778 and 2794(7)
22 CFR Chapter I, Subchapter M, Parts 120-130 (ITAR)
EAR 734.2(b), 734.4, EAR 738.2(b)
19 CFR 141
19 CFR 142
15 CFR Subpart A Part 30.1-30.14
15 CFR , Volume 2, Chapter VII, Subchapter C, Parts 730 - 774
15 CFR , Volume 2, Chapter VII, Subchapter C, Parts 738
DEFINITIONS/GLOSSARY





Apostille: An authentication of a public document that is recognized by countries that participate
in the Hague Convention Abolishing the Requirement for Legalization for Foreign Public
Documents
Country: Country means area of land that is controlled by its own government. Also it is a political
state or nation or its territory.or . Colonies, possessions, or protectorates outside the boundaries of
the mother country may be considered separate countries.
Country of Origin (“CoO”): The country of manufacture, production or growth of the article.
De Minimis: De Minimis U.S. Content is defined in §734.4 of the EAR and 19 CFR 102.13.
De Minimis Calculation: As a general rule, the “de minimis” guidelines for re-exports of U.S.
Department of Commerce controlled Items are;
o No de mimimis for foreign made items that incorporate U.S. origin 600 series items
when destined to countries in the D:5 Country Group of Supplement 1 to part 740 of
the EAR.
UTC AEROSPACE SYSTEMS PROPRIETARY.
Subject to the restriction on the title or cover page.
This document or file does not contain export controlled technology or technical data.
UTAS-ITC-FRM-0501-00
o
o
o
Re-exports to embargoed or terrorist supporting countries of foreign-made Items
incorporating controlled U.S.-origin Items valued at 10 percent or less of the total
value of the foreign-made Items; and
Re-exports to all other countries of foreign-made Items incorporating controlled
U.S.-origin Items valued at 25 percent or less of the total value of the foreign-made
Items.
De Minimis U.S. Content is defined in §734.4 of the EAR. The method for
calculating“De Minimis” values can be found in Supplement No.2 of Part 734 of the
EAR.

DDTC Registration: 22 CFR 122 identifies the DDTC registration requirements for manufacturers
or exporters of ITAR commodities or providers of defense services. 22 CFR 129 identifies the
registration requirements for brokers of ITAR commodities.

Design Authority: Owner of intellectual property

Directorate of Defense Trade Controls (“DDTC”): DDTC under U.S. Department of State is
charged with controlling the export and temporary import of defense articles and defense services
covered by the United States Munitions List (“USML”).

Export Control Classification Number (“ECCN”): The numbers used in Supplement No. 1 to
part 774 of the EAR and throughout the EAR. The Export Control Classification Number consists of
a set of digits and a letter. Supplement 1 is the Commerce Control List (“CCL”) is divided into 10
categories. Each category is subdivided into five groups, designated by the letters A through E: (A)
equipment, assemblies and components; (B) test, inspection and production equipment; (C)
materials; (D) software, and (E) technology. (See §738.2(b) of the EAR.)

Jurisdiction and Classification: Jurisdiction denotes to which laws/regulations apply to the Item
or transaction. Classification is, based on the jurisdiction under what control list, category or section
the item falls. The Specific ECCN or USML classification provides the guidance necessary to
apply/impose proper export controls.

Harmonized Tariff Schedule (HTS) Number: The classification number under the HTS. The HTS
is a global classification system used to describe most world trade in goods. For some countries
the classification is done at 6-digits; for U.S., it is a 10-digit commodity classification number based
on the Harmonized Tariff System.

Re-Export: Under U.S. EAR Part 772, Re-export is defined as an actual shipment or transmission
of items subject to the EAR from one foreign country to another foreign country. Under U.S. ITAR
Part 120, Reexport or retransfer means the transfer of defense articles or defense services to an
end-use, end-user, or destination not previously authorized by license, written approval, or
exemption pursuant to this subchapter.

United States Munitions List (USML): The articles, services, and related technical data are
designated as defense articles and defense services pursuant to sections 38 and 47(7) of the Arms
Export Control Act. The USML is under ITAR Section 121.
UTAS-ITC-FRM-0501 in Word:
UTAS-ITC-FRM-0501 in Excel:
UTAS-ITC-FRM-0501
-00_Single.docx
UTAS-ITC-FRM-0501
-00_Batch.xlsx
Revision Level
UTAS-ITC-FRM-0501-00
UTAS-ITC-FRM-0501-01
Issue Date
June 9, 2014
July 3, 2014
Summary of Revision
Initial Release
Revised Effective Date from June 9,
2014 to September 8, 2014
UTC AEROSPACE SYSTEMS PROPRIETARY.
Subject to the restriction on the title or cover page.
This document or file does not contain export controlled technology or technical data.