Defense Trade Advisory Group Defense Export Control and

Defense Trade Advisory Group Defense Export Control and Compliance System (DECCS) Enhancement Prioritization Plenary Session May 14, 2020 SENSITIVE BUT UNCLASSIFIED

Agenda • • • Working Group Members Tasking Issues/Topics Recommendations Questions and Discussion 2 SENSITIVE BUT UNCLASSIFIED

Working Group Members Alexis Mitchell * Fran Mulla * Sarah Banco Andrew Booth Steven Casazza Greg Hill Cindy Keefer Spence Leslie Jeff Merrell Kim Pritula Lockheed Martin Corporation Moog Inc. Space X Sierra Nevada Corporation Defense Trade Solutions Leonardo DRS, Inc. BAE Systems, Inc. n. Vent Rolls-Royce North America National Shooting Sports Foundation * Co-Chairs 3 SENSITIVE BUT UNCLASSIFIED

Task 1. Defense Export Control and Compliance System (DECCS) DDTC Task POC: Karen Wrege, Chief Information Officer (CIO) Background: DDTC rolled out DECCS 1. 0 on February 18. We are currently working through our list of known issues that have come up since the deployment. We would like DTAG to help us plan the DECCS 2. 0 version. Tasking: DDTC requests the DTAG to give its views on prioritization of enhancements. There a lot of areas to focus on – it would be very helpful to get an industry perspective on what we should put at the top of our “to-do” list. 4 SENSITIVE BUT UNCLASSIFIED

Tasking Clarification from DDTC DECCS 1. 0 & 2. 0 are notional descriptors because DDTC is using agile development model Strong tempo for operations and maintenance (break/fix) updates based on Helpdesk support One-form is a future requirement based on need to update ITAR prior to release DDTC recognizes an opportunity to focus on enhancements and seeking guidance from industry for prioritization which would have greatest impact for users Goal of tasking is to seek feedback to prioritize development efforts SENSITIVE BUT UNCLASSIFIED 5

DECCS Releases to Date DECCS Registration and Licensing Go Live - February 18, 2020 Launch of DDTC internal DECCS Compliance Case Management System (CCMS) - February 19, 2020 Weekly / Bi-weekly operations and maintenance and enhancement releases: • Registration, licensing and watchlist Enhancements: • Implement USML updates to Cat I, III • End user self-service through DECCS portal 6 SENSITIVE BUT UNCLASSIFIED

DDTC’s List of Enhancements under Consideration o Resume work on One Form based on better understanding of data and industry feedback o Review website and create plan of action to improve content o Release DS-7787 Disclosure Form o Release updated company dashboard to external DECCS users o Implement identity proofing in OKTA for domestic external users (to transition away from digital certificates) 7 SENSITIVE BUT UNCLASSIFIED

DDTC’s List of Enhancements under Consideration o Expand Industry Application Programming Interface (API) for submission of new form types, disclosures and supporting documentation o Allow users to add supplemental submissions to Advisory Opinion and CJ forms o Refine/improve end-user self service through DECCS portal o Indexed, searchable, and versioned ITAR information for external consumption o Create means to end remaining paper processes (e. g. 123. 9(c) applications, FMS Part 130, Canadian exemption reports, etc. ) 8 SENSITIVE BUT UNCLASSIFIED

DTAG Recommendations Updates to Current Functionality: Recommendation Timing (Near/Mid/Long) Address foreign person submission and signature requirement for applications and association to affiliated U. S. registrant (e. g. DS-6004, DS-4294, AO’s) Near Review and resolve new registration field requirements & submission issues (e. g. print full copy of DS-2032, multiple roles of officers/directors) Near Address concerns with change to use of special characters Near Address concerns on unit price beyond two decimal points Near Update to auto assign applications to group based on EO’s groups assignment (including EO’s with multiple roles: e. g. administrator) Mid Consider form field user interface improvements (e. g. date fields) Mid 9 SENSITIVE BUT UNCLASSIFIED

DTAG Recommendations New Functionality: Recommendation Timing (Near/Mid/Long) Review forms to enhance consistency remove redundancy (e. g. automate DSP-5 block 3 as derived from sum of countries of parties in block 14) Near Create ability to copy a prior applications / template Mid Create holistic industry interface (i. e. API) from submission to expiration (e. g. submission, status, upload/download, etc. ) Mid Add subscription / notification option to DECCS case status functionality to identify changes to status (licensing & compliance modules) Mid Develop tool to capture all communication on an application within DECCS application similar to DECCS Support Case or BIS SNAP-R functionality Long Integrate all case status into single view (i. e. ELISA & CN tracking) prior to ELISA retirement Long Allow users to access multiple company accounts within DECCS (similar to ACE) for 3 rd parties who support multiple entities Long SENSITIVE BUT UNCLASSIFIED 10

DTAG Recommendations Additional Ideas for DECCS Implementation: Recommendation Timing (Near/Mid/Long) DDTC stand up a routine schedule to meet with applicants and/or DTAG to review DECCS schedule and solicit input to prioritize development tasks Near Publish DECCS release notes to allow industry to understand what DDTC has accomplished Near Publish near term development tasks to reduce the volume of support calls on the same topic Near Stand up technical working group with IT professionals for electronic signature / authentications solutions Mid Utilize DTAG to provide analysis on digital vs. paper applications and USG workflow processes Mid Review applications requirements to reduce redundancy and enhance consistency (e. g. agreement, transmittal letter, license vehicle) Long 11 SENSITIVE BUT UNCLASSIFIED

Top Three Recommended Development Priorities 1. Develop tool to capture all communication between LO’s and applicants within DECCS application similar to DECCS Support Case or BIS SNAP-R functionality 2. Implement identity proofing to transition away from digital certificates for signature and foreign person signature requirement 3. Create ability to copy a prior applications or create templates. 12 SENSITIVE BUT UNCLASSIFIED

Additional Non-Development Recommendations Stand up a DECCS working group with applicants and/or DTAG to review workflow methodology, automation, form requirements, prioritization and schedule, including technical working group with IT professionals for technically challenging requirements Publish near term listing of development tasks and publish DECCS release notes Continue to enhance training DDTC offerings: • Continue to provide DECCS training webinars • Produce sample/example completed cases for industry to use as training materials Create a more efficient means for applicants to communicate notices of administrative changes to active authorizations directly in DECCS, as opposed to uploading a “letter” 13 SENSITIVE BUT UNCLASSIFIED

Questions and Discussion 14 SENSITIVE BUT UNCLASSIFIED