/ Supplier Import/Export
Classification Request
FORM – ITO 09

PURPOSE & SCOPE

In order for UTAS to ensure Compliance with all applicable Import/Export Laws/Regulations, UTAS must have detailed information about all parts being provided by your company. You must provide UTAS with the necessary import/export information including information about any U.S. import/export controls that may apply to your product. The information is necessary to ensure that all subsequent imports, exports and re-exports of products containing your parts or components are conducted in compliance with applicable regulations. If you do not understand what information you are supposed to provide in a given field/block, do not guess and do not leave the field blank. Please contact the UTAS operation that provided the form to you for assistance or write “do not know” in the field. Alternatively, you may contact UTAS’s Corporate International Trade Office for assistance at 703-558-8241.

Emphasis is placed on Country of Origin. Many of the products that are assembled, manufactured or produced in the United States contain parts or materials that are of foreign origin. Country of Origin rules have a significant impact on how products and higher level assemblies are labeled, advertised, marketed and sold in the U.S. and abroad.

Your responses may be provided on the UTAS provided ITO-09 form. UTAS prefers suppliers to submit the requested information in electronic format.

Should you have any questions regarding either the ITO-09 form or on the reason for requesting the information, please contact the UTAS operation from which the form was provided.

APPLICABILITY

Seller shall provide Country of Origin (CoO) for each Product. If the Product being provided is determined to be a defense article that is controlled by the U.S. Department of State for export under the International Traffic in Arms Regulations (“ITAR”) and Seller is a U.S. supplier (in accordance with 22 CFR 122.1), Seller shall confirm that it is registered with the DDTC by providing the date of expiration of its DDTC registration. Where Seller has design authority or is a distributor of design authority Product, Seller shall provide the Harmonized Tariff Schedule (HTS) Number or a U.S. Census Bureau Schedule B Number and Export Jurisdiction (State Department (for defense articles) or Commerce Department (for commercial/dual-use goods)) and Export Classification (either U.S. Munitions List Category for defense articles controlled by State or Export Control Classification Number (“ECCN”) for commercial/dual-use goods controlled by Commerce) (“EJ&EC”) for each Product.

Seller shall provide updated information to Buyer for every revision to the HTS number, CoO, EJ&EC and DDTC registration date. This data shall be provided on UTAS ITO 09 form or equivalent.

LEGAL 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)

EAR 738.2(b)

EAR 734.4

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

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 the political entity known as a nation. 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 Commerce controlled items are; 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): The licensing authority for the Department of State.
  • Export Control Classification Number (ECCN): A list of items under the export control jurisdiction of the U.S. Bureau of Industry & Security (U.S. Department of Commerce). The Commodity 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.)
  • Export Jurisdiction and Export Classification (EJ&EC): All items are controlled by the Export Administration Regulation (EAR) or International Traffic in Arms Regulation (ITAR). The Specific ECCN classification or United States Munitions List (USML) classification will provide the guidance necessary to ensure proper export controls are imposed.
  • Harmonized Tariff Schedule Number (HTS): The HTS is a global classification system used to describe most world trade in goods. It is a 10-digit commodity classification number provided in the Harmonized Tariff Schedule.
  • International Trade Office (ITO): International Trade Office Governing UTAS Corporation.
  • Re-Export: The transfer of controlled items to an end use, end user, or destination not previously authorized. ITAR 120.19 or EAR 734.2(b)
  • Schedule B: The Statistical Classification of Domestic and Foreign Commodities Exported from the United States. These 10-digit commodity classification numbers are administered by the Census Bureau and cover everything from live animals and food products to computers and airplanes. It should also be noted that all import and export codes used by the United States are based on the harmonized Tariff System. The HTS of the United States (HTSUS) may be used in lieu of the Schedule B commodity classification.
  • United States Munitions List (USML): A list of items under the export control jurisdiction of the U.S. Department of State. The USML includes articles, services and related technical data that are designated as defense articles and defense services pursuant to Sections 38 and 47(7) of the Arms Export Control Act (22 U.S.C. 2778 and 2794(7)).

CLARIFICATION: The following information is provided to add clarification of the UTAS expectations for each section of the ITO-09 Form. Suppliers have the option to provide single classification using the word formatted ITO-09 or multiple classifications using the excel formatted ITO-09. Various information is required depending upon the design authority of the item(s). Use the following information to determine what information is required;

  1. U.S. Supplier with design authority: The information in section 1, 2, 3 & 5 is required for all items when a U.S. Supplier has the design authority.
  2. Non-U.S. Supplier: The information in section 1, 2, 3 & 4 is required for all items when a non U.S. supplier 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 / Manufacture Information.

1.1Supplier Information: Legal business name, street address and phone number

1.2Additional Information: Name and contact information of individual certifying the information.

1.3Export Control Point of Contact Information: Identify the name and contact information of an individual within your organization that handles trade compliance.

Section 2: Commodity Information

2.1 Design Authority: Identify who has the design authority (Supplier, Manufacturer, UTAS).

2.2Designed for: Specify the application the item was designed for i.e. Military, Civil, Commercial, etc

2.3 Type: Hardware or Technical Data

2.4 UTAS Part Number: Identify the Part Number identified on the UTAS drawing, request for quote or purchase order.

2.5 Supplier Part Number: Identify Supplier part identifier / number

2.6Manufacturer Part Number: When supplier is not the manufacturer of the item, identify the manufacturer part identifier / number.

2.8 Description: Identify the Supplier part description

2.8Manufacturer Name: Identify the manufacturer of the item if the supplier is not the manufacturer.

2.9 Tariff Classification: Identify the Harmonized Tariff Schedule Number instead of the Schedule B Number whenever possible.

2.10 CoO: 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.

Section 3: Export Control Information

3.1Export Controls: Identify if the item is subject to export controls

  • An item falls under US Export Controls jurisdictions when;
  • Items that were manufactured in the US,
  • Items that contain US technology,
  • Non-US created or manufactured items already in the US,
  • Non-US created or manufactured items destined to a Goodrich operation in the US (e.g., items manufactured at a Goodrich operation outside the US but intended to be provided to a Goodrich operation in the US)
  • Items that are NOT in the public domain.
  • Piece parts and components/general commodities that are commercially available catalog items and used in Commercial applications are typically deemed to be subject to Commerce Export Jurisdiction even if such parts are also used on military applications. The following piece parts and components/general commodities are deemed to be the following:
  • Nuts
  • Bolts
  • Cap Screws
  • Wires
  • Washers
  • Shims
  • Seals
  • Caps
  • Clips
  • Hoses
  • Grommets
  • Rivets
  • Fasteners
  • Circlips (C-Clips)
  • Ties (Zip ties)
  • Cotter Pins
  • Zerk Fittings (Grease fittings)
  • Keys (Square keys)
  • Roll Pins
  • Furthermore, catalog items which we procure 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 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. Guidance for this is provided for in the ITAR.

3.2Export/Import Requirements: Identify the information that UTAS must provide to you, i.e., Import License, Appostille, End Use Certificate or other information. Enter N.A. if information is not necessary.

3.3Re-export Restrictions: Identify if the item is subject to export controls.

3.4Re-export Restrictions Comments: If item is subject to export restrictions please specify the controls.

Section 4: Non-US

4.1Provided from: Identify if the item was originally provided from the U.S.

4.2U.S. Contents: Identify if the item contains U.S. parts, components and/or technology.

4.3De Minimis %: Identify the percentage of US origin contents within the item

Section 5: United States

5.1Jurisdiction: Select the applicable control for the item. Department of State (ITAR controlled items with a USML classification) or Department of Commerce (EAR controlled items with an ECCN classification.)

5.2Classification: Identify the USML Category for ITAR items or ECCN Classification for EAR controlled items.

5.3DDTC Registration Expiration Date: U.S. Department of State’s Directorate of Defense Trade Controls (DDTC) registration date.

Legend: Sub-Sections in the ITO-09 identified with an * are required fields.

ITO-09 Forms:

ITO-09 Rev 08 – Oct 22, 2012Page 1