DS-4076 Commodity Jurisdiction

U. S. Department of State

Instructions/Guidelines for Request for Commodity Jurisdiction (CJ)/U.S. Munitions List
(USML) Determination Form DS-4076
General Guidelines and Process Information
This form is used to request a Commodity Jurisdiction (CJ) determination or request a U.S. Munitions List (USML)
category determination by the U.S. Department of State. Types of determination requests include: determination
whether or not an article is covered by the United States Munitions List (USML); removal of an article from USML
coverage; reconsideration of a previous commodity jurisdiction determination; request for a change to the USML
Category designation assigned to an article; and confirmation of the USML Category designation. No classified
information can be included in the request. Classified information must be sent separately to the Directorate of
Defense Trade Controls (DDTC).
Regulatory provisions pertaining to commodity jurisdiction determinations are found in sections 120.3 and 120.4 of the
International Traffic Arms Regulations (ITAR).
NO Classified documentation may be transmitted electronically. If classified documentation is required to support your
transaction, the applicant should note in the submission that classified documentation is being transmitted under
separate cover with a hardcopy of the electronic submission.
You need not be registered with the U.S. Department of State's DDTC as a manufacturer of defense articles or an
exporter of defense articles and/or services to request a commodity jurisdiction determination. It is preferable that the
manufacturer file the request. If you are not the manufacturer of the article for which you seek a commodity jurisdiction
determination, we recommend that you coordinate with the manufacturer to obtain the information necessary for the
commodity jurisdiction determination request. A letter of authorization from that manufacturer is required. If you are
acting on another's behalf, a letter from the other party authorizing you to act on their behalf is required.
A response from DDTC to a commodity jurisdiction determination request specifies whether the U.S. Department of
State is the proper licensing authority for an item or service. It is not a license or approval to export. If you want to
export your item or perform services while the commodity jurisdiction determination is in the review process, you must
be registered and obtain the appropriate approval prior to export. Please check the DDTC Internet website
(www.pmdtc.org) for information on contacting the Office of Defense Trade Controls Compliance and its Registration
division.
In making submissions:
Where requested, provide complete names.
For addresses, do not use post office boxes or other general addresses.
Do NOT submit your entire product catalog for determination at one time. DDTC will only make commodity
jurisdiction determinations on an article-by-article basis.
Include all relevant supporting documentation and copies of identical and precedent submissions, as well as
detailed documentation, descriptive literature, and explanations.
Use of searchable .pdf format for supporting documentation will facilitate processing insofar as commodity
jurisdiction determination submissions are staffed to other agencies.
All blocks with an asterisk must be completed. The remaining blocks, while not mandatory, provide information that
will assist in reviewing your request. Failure to provide information that is essential to the review may result in a
misleading response.
Once received, the commodity jurisdiction determination request is assigned a number by DDTC and you will be
informed of our receipt and the commodity jurisdiction determination number. Copies of the request are sent to the
appropriate U.S. Government agencies for review. To avoid your request being Returned Without Action (RWA'd)
and to prevent delays in the interagency coordination process, we ask that you provide in your submission all the
information requested.
After the necessary technical and policy reviews, other relevant agencies provide recommendations regarding the
appropriate export control jurisdiction to DDTC. DDTC considers the interagency recommendations in reaching a
final decision, of which you will be notified.
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To obtain the status of your USML determination request, call DDTC's Response Team at (202) 663-1282. You may
also review the status of your submission electronically through the electronic medium used to make your submission.

Special Instructions for Preparation of Applications
*Block 1. Date Prepared. The date this request is prepared is automatically entered if submitting electronically.
*Block 2. This submission is from. Choose from the following, for purposes of identifying the nature of the defense
trade role of the Commodity Jurisdiction requester (originator of the submission): 1) the manufacturer,
2) intending exporter, 3) the manufacturer and intending exporter, 4) consultant on behalf of manufacturer,
5) consultant on behalf of intending exporter, 6) law firm on behalf of manufacturer, 7) law firm on behalf of intending
exporter, or 8) other. If "other" is chosen, provide a description in the text box labeled "Please Specify." If submitting on
another's behalf, a letter from the other party authorizing you to act on their behalf is required.

*Block 3. Information on Request. Name and address of requester in Block 3a should reflect the name and address as
registered with DDTC. The information provided in Block 3b should relate to a Point of Contact who is particularly
knowledgeable about the technical aspects of the article and the nature of the commodity jurisdiction determination
request and need not be identical to the Requester. If the point of contact is associated with the manufacturer or
exporter, Block 4b should be completed instead of Block 3b. In the event the requester in Block 3 is the manufacturer or
exporter, Block 4 does not have to be completed. In Block 3c, if the Requester is registered with DDTC as a
manufacturer and/or exporter of defense articles or defense services, enter the number assigned upon registration (or
renewal) with DDTC. This will be a 4- or 5- digit number. If applicant is a manufacturer and/or exporter, include the
pre-fix letter "M." (See Part 122 of the International Traffic in Arms Regulations (ITAR)).

Block 4. Information on Entity(ies) on behalf of which request is submitted. If you are making a submission on behalf of
a manufacturer or an exporter, provide the requested information to identify that person. In the event, a subsidiary of
the registrant is submitting the request, click on "Add Subsidiary Information." In Block 4b, identify the person who is
manufacturer or exporter and who can serve as the point of contact for further technical information about the article in
question for this commodity jurisdiction determination request. In Block 4c, if the entity is registered with DDTC as a
manufacturer and/or exporter of defense articles or defense services, enter the number assigned upon registration (or
renewal) with DDTC. This will be a 4- or 5- digit number. If registrant is a manufacturer and/or exporter, include the
pre-fix letter "M." (See Part 122 of the International Traffic in Arms Regulations (ITAR)).
*Block 5. Type of Request. Check one box to indicate the specific purpose of your commodity jurisdiction determination
request. If the request is for reconsideration of a previous commodity jurisdiction determination, cite that commodity
jurisdiction determination case number. If the previous commodity jurisdiction determination was electronically
submitted, complete Blocks 3 and 6.
Block 6. Rationale for change of USML Category or reconsideration of previous commodity jurisdiction determination. If
the "Request for reconsideration of a previous commodity jurisdiction determination" box or the "Change a USML
Category" box in Block 5 above was checked, provide, in detail, the specific reason for this request in Block 6. The
electronic text box will show a portion of the text, click on "View Full Description" to view all of the text. If "request for
reconsideration of a previous commodity jurisdiction determination" is checked, only complete Blocks 3 and 6.
*Block 7. Description of product. Be as specific as possible in identifying the article, including its name, the model,
and/or part numbers. Check one box in Block 7a to indicate the type of article that is subject of the commodity
jurisdiction determination request. Please note that for this purpose software is considered to be Technical Data.
*Block 8. Define the product or service as. Use definitions found in section 121.8 of the International Traffic in Arms
Regulations (ITAR) to define the article or service that is the subject of this commodity jurisdiction determination request.

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*Block 9. Military/Commercial Modification. Check the appropriate box and use the text box, as appropriate, to indicate
the purpose for which the article was originally designed and developed. State whether the item was developed,
designed or modified specifically for military use, for commercial use, or both military and commercial use. Provide
details about any modifications and changes in the capabilities of the article.
*Block 10. Describe the product's use (what it does, how it works, and the components/end items/systems in which it is
used) and identify any special characteristics/capabilities. Use the text box to clarify the use and operational
characteristics of the article. State whether the article is a component and if so, specifically of what. If the commodity
jurisdiction determination request is for a service, provide comparable information that explains the service. Include, as
appropriate, any military standards or military specifications that the article is designed to meet. Describe any special
characteristics of the item, e.g., radiation-hardening, ballistic protection, hard points, TEMPEST capability, thermal or
infrared signature reduction capability, and surveillance or intelligence gathering capability. If the item uses image
intensification tubes, for example, give the level of technology (Gen II, Gen III, etc.). If the item is a commercial item
modified for military applications, we recommend that you designate a new nomenclature and model number in order to
differentiate this item from the commercial product line. Be sure to specify the distinct differences between the product
after it was modified or adapted for a military application and the original commercial product before changes were
made. If the commodity jurisdiction determination request is for service, provide comparable information that explains
the service.
*Block 11. The product was originally designed, developed, configured, adapted and/or modified for. Select and check
a single box to state the purpose for which the article was originally designed, developed, configured, adapted and/or
modified. Use the text box to clarify this if "Other" is checked.
*Block 12. The funding source(s) for the product's development was. Check all of the appropriate boxes to indicate
funding sources for the article's development. Use the text box for clarification if either the "Other U.S. Government
Source" box or the "Other Private Source" box is checked. If funded by the U.S. Government, identify the agency that
provided the funding and the type of funding that was provided.
Block 13. Identify the program(s) that provided the funds and a U.S. Government point of contact for each program. List
and briefly describe the programs that are identified with the funding referenced in Block 12 above. For all selections in
Block 12 other than "Applicant" and "Other Private Source," use the "Program" text box to provide the contract numbers
and "POC Name" and "Agency" text boxes for USG points of contact. Click "Add More Programs" if you need to enter
information regarding more than three programs.
*Block 14. Existing Market Information. Describe all current uses of the item and state whether or not the users have
changed significantly over time. Include only what the item "is used for," rather than what it "can be used for." Military
and commercial sales data must be provided, as well as a listing of the military and commercial customers. If "National
Laboratory" is checked as a type of U.S. customer, specify the laboratory. Likewise, if "Other" is checked as a type of
foreign customer, identify the specific customer. Only sales data on the specific item for which the commodity
jurisdiction determination request is sought are germane. Values must be stated in terms of whole U.S. dollars. If the
commodity jurisdiction determination request is for a service, provide comparable information that explains the service.
Provide 5 years of marketing information if requesting removal of an item from the U.S. Munitions List for Block 14a.
May provide up to 10 years of marketing information.
*Block 15. Has this product or any variant been exported? Check the appropriate box to indicate whether the product
or any variant has been exported. If "yes," indicate under which export control jurisdiction the transaction was made.
*Block 16. The requester has knowledge that a USML Determination/Commodity Jurisdiction. Check the appropriate
box to indicate whether the applicant has knowledge of previous relevant commodity jurisdiction determination actions. If
there has been a previous case, enter the case number.
*Block 17. The requester has knowledge that a Commodity Classification. Check the appropriate box to indicate
whether the applicant has knowledge of previous Commodity Classification. If there has been a previous case, enter
the case number.

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*Block 18. Identify the USML or Export Commodity Control Number (ECCN) Category that you believe currently
controls the product. Check the appropriate box to indicate the relevant U.S. Munitions List (USML) Category or
Commerce Control List Category that pertains to the article in question. For ITAR-controlled articles enter the USML
Category, Paragraph, and Subparagraph. For CCL articles, enter the relevant ECCN. Explain why you identify the
article in terms of the USML or ECCN. If the USML or ECCN Category is unknown, check "Unknown."

*Block 19. Is the product that is the subject of this request also the subject of an enforcement matter? Disclose whether
the article is the subject of an enforcement matter, with which agency(ies), and the nature of the enforcement matter.
Block 20. Provide any additional information that might assist in processing your request. Use this block as an
opportunity to better explain your request. You may wish to include and address a variety of issues, such as foreign
availability, the export of similar/identical articles under a different export control regime, status of filing and granting of
patent, secrecy orders, etc.
*Block 21. Abstract of the Case Disposition for Public Disclosure. Provide a description of the product that does not
include proprietary or other controlled information so that an abstract of the case disposition may be posted on the
DDTC Internet website for public access and information. If you object to such a posting, provide a detailed rationale for
DDTC consideration.

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U.S. Department of State

OMB NO. 1405-0163
EXPIRATION DATE: 03-31-2009
ESTIMATED BURDEN: 2 Hours

REQUEST FOR COMMODITY JURISDICTION (CJ)/U.S.
MUNITIONS LIST (USML) DETERMINATION

Date Received (mm-dd-yyyy)
Case No.
*1. Date Prepared (mm-dd-yyyy)

*2. This submission is from (select one)

*3. Information on Requester
a. Name and Address of Requester.

Please specify

Name

*4. Information on Entity(ies) on behalf of which request is
submitted

Attention

Same as Block 3
a. Name and Address of Entity

Address

Subsidiary
Name

City
State

ZIP Code

Telephone #

Ext.

b. Requester's Point of Contact: Name, telephone number, FAX
number, and e-mail address if U.S. Government needs
additional information
Name
Telephone #

Ext.

FAX #

Attention
Address

City
State

ZIP Code

Country

E-mail Address

Telephone #

c. Is, or has the requester been registered with DDTC?

b. Point of Contact: Name, telephone number, FAX number and
e-mail address if U.S. Government needs additional information
Name

Yes

No

DDTC Applicant/Registrant Code

*5. Type of Request (select one from either a or b)

Ext.

Telephone #

Ext.

a. Request for commodity jurisdiction (CJ)
CJ determination that product is or is not covered by the USML

FAX #

CJ request to remove article from USML

E-mail Address

Request for reconsideration of a previous CJ Determination

c. Is, or has the Entity been registered with DDTC?

Case Number:
b. Request for USML determination
Confirmation of USML Category
Change a USML Category
6. Rationale for change of a USML Category or reconsideration of
previous commodity jurisdiction determination

Yes

No

Unknown

DDTC Applicant/Registrant Code
7. Description of product
*a. Type of Product (select all that apply)
Technical Data
Services
Hardware
*b. Product
Name
c. Model Number
d. Part Number
*e. Manufacturer Name and Address
Same as Block 3
Name
Address
City
State
Country

Same as Block 4

ZIP Code

*f. The product that is the subject of the request is (select one)
New

Currently being produced

*g. Is the product currently being marketed?
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In development
Yes

No
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*8. Define the product or service or the product for which the service will be provided (see 22 CFR 121.8 for definitions) (select one)
End Item
Component, Major
Component, Minor
Part
Accessory/attachment
Software
System
Firmware
*9. Military/Commercial Modifications
a. Has the product or service in Block 7 been specifically designed, developed, or configured for a military

Yes

No

b. Has the product or service in Block 7 been specifically adapted or modified for a military application?

Yes

No

c. Was the commodity a Military article or service adapted, reconfigured or modified for commercial use?

Yes

No

d. Define in specific detail the modifications/changes and the capabilities of the product or service

There have been no modifications/changes

*10. Describe the product's use (what it does, how it works, and the components/end items/systems in which it is used) and identify any
special characteristics/capabilities

*11. The product was originally designed, developed, configured, adapted and/or modified for (select one)
Use by a U.S. Government Agency
Other

Use by a Foreign Government Agency

Defense firm

Commercial application

Please specify

*12. The funding source(s) for the product's development was (select at least one)
Army

Navy

Air Force

NASA

Other Private Source

Homeland Security

DARPA

NSA

Applicant

Other U.S. Government Source

Please specify
13. Identify the U.S. Government program(s) that provided the funds and a U.S. Government point of contact
1. Program

POC Name
Agency
Telephone #

2. Program

Ext.

POC Name
Agency
Telephone #

3. Program

Ext.

POC Name
Agency
Telephone #

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*14. Existing Market Information
a. The existing markets for the products are (select one)

Commercial

Military

Produced, None Exist

Commercial and Military
None, Currently in development

b. Specify the number of units sold in each market for the past 10 years
Year (yyyy)
Commercial Units
Military Units
Total Units Sold
Year (yyyy)
Commercial Units
Military Units
Total Units Sold
c. Identify the types of U.S. customers to which the products have been sold (select at least one)
DoD

Defense Contractors/Industry

National Laboratory

Government Agencies

Commercial Industry

None

Please specify the laboratory

d. Provide all the current uses for the product

e. Identify the types of foreign customers to which the product has been sold (select at least one)
MOD

National Police

Coast Guard

Border Security

Commercial Security

Customs

Gendarmerie

Government Owned Airlines

Commercial Airlines

Government Intelligence Agencies

Defense Contractors/Industry

None

Other

If other, please specify

*15. Has this product or any variant been exported?

Yes

No

Unknown

If yes, under whose licensing jurisdiction; (Select all that apply)
State
Commerce
Other

Please specify

The product was previously authorized for export from the U.S.
a. by State
license number(s)

agreement (technical assistance agreement or manufacturing agreement) number(s):

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b. by Commerce

Provide case number(s):

c. by Other

Provide reference number(s):

*16. The requester has knowledge that a USML Determination/Commodity Jurisdiction (CJ) (Select one)
Unknown

Has never been requested for this product
Had been requested

Case Number:

Has been requested and completed

*17. The requester has knowledge that a Commodity Classification (Select one)
Has never been requested for this product

Unknown
Case Number:

Had been requested
Has been requested and completed

ECCN:

*18. Identify the USML or ECCN Category that you believe currently controls the product. (Select one)
USML Category, Paragraph and Subparagraph

USML Category

USML Sub Category

USML Commodity

CCL ECCN (e.g. 2A000)
Unknown
If you identified an USML or ECCN, provide rationale for selection of number

*19. Is the product that is the subject of this request also the subject of an enforcement matter?

Yes

No

a. If yes, what is the kind of enforcement matter? (select at least one)
Detainment/seizure

DDTC Voluntary Disclosure

Civil Proceeding

Criminal Proceeding

Other

Office of Export Enforcement (OEE)/Department of Commerce (DOC)

Please specify

b. If yes, provide details of the enforcement activity

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20. Provide any additional information that might assist in processing your request

*21. Abstract of the Case Disposition for Public Disclosure
a. Would you have any objection to the Government publishing (e.g., DDTC Internet website) the language describing the product as stated
in Block 7a?
Yes
No
b. Provide a description of the product that does not include proprietary or other controlled information so that an abstract of the case
disposition may be posted on the DDTC Internet website for public access and information.

c. If you object to such a posting, provide a detailed rationale for DDTC consideration

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