Defence Exports Day One Wednesday, 19th September 2018

DEFENCE EXPORTS ATTENDEE, 2017

08.30 Registration & Coffee

08.50 Chairman’s Opening RemarksGary Stanley, President, Global Legal Services

09.00 HOST NATION OPENING ADDRESS: Modifi cations to Italian Export and Import Controls in 2017-18 Minister Plenipotentiary Francesco Azzarello, Director, National Authority- UAMA (Armament Licensing and Controls), Italian Ministry for Foreign Affairs and International Cooperation

US CONTROLS AND REGULATIONS

09.30 KEYNOTE ADDRESS: Update of State Department/DDTC Activities Mr Anthony Dearth, Chief of Staff, U.S. Department of State

10.00 KEYNOTE ADDRESS: U.S. Export Control Perspectives from the Department of Commerce• The ongoing work on export control reform for defence trade• Continuing to streamline the system• BIS activities Matthew Borman, Deputy Assistant Secretary of Commerce at Bureau of Industry and Security, US Department of Commerce

10.30 Updates to the Wassenaar Arrangement• Developments to the continued promotion of transparency

and greater responsibility in defence trade• Work to ensure the prevention of undesirable exports• Refi ning and encouraging more user-friendly control lists• Responding to international security developments, advances

in technology and key market trends Ambassador Philip Griffi ths, Head of Secretariat, Wassenaar Arrangement

11.00 Intersection of US Export Controls, Foreign Investment and National Security• US Legislation on Export Controls and Foreign Investment• Dealing with emerging technologies and potential unilateral controls • National security controls – old laws being used in new waysNancy Fischer, Partner, Pillsbury Winthrop Shaw Pittman LLP

11.30 Morning Coffee and Networking

12.00 PANEL DISCUSSION: US Export Changes in 2018 and Beyond• Current areas of focus for DDTC and BIS• Impact of the New Presidential Administration• Possibility of transferring licensing of gun exports from the State

to Commerce department and implications• Ongoing ECR efforts and munition list categorization Moderated by Edward Peartree, Group Deputy Head Export Controls, BAE Systems Matthew Borman, Deputy Assistant Secretary of Commerce at Bureau of Industry and Security, US Department of Commerce Tracy Minnifi eld, Deputy Director, Licensing Directorate, Defense Technology Security AdministrationAnthony Dearth, Chief of Staff, U.S. Department of State

12.45 Digitalising Compliance• The intersection of the digital revolution and export controls• Export compliance risks presented by digital solutions• Opportunities for export compliance programmes powered by

digital solutionsEmily Cromwell, Director, Deloitte

13.15 Networking Lunch

14.15 Multinational Procurement: Navigating US Regulations • Compliance regulation as part of the Leonardo group• Best practices dealing with US suppliers• Procurement challenges Carmen Fellows, Senior Director, Global Trade Compliance, Leonardo DRS Technologies

GOVERNMENT PERSPECTIVES FROM EUROPE

14.45 GOVERNMENT PANEL DISCUSSION: Similarities and Differences in European Export Control Systems• Main alignments in regulations with European export controls• The critical differences between the regulations of the

member states and how this can prove diffi cult for intra-community transfers

• Proposed changes and amendments to regulations in themember states and how this will ensure a more fl uid EU systems

• Post shipment verifi cation challenges• Key trends and best practices to simplify compliance Colonel Matthieu Fossat, Deputy Director, Military Equipment Export Control International, Strategic and Technological Affairs, French Secretariat - General for National Defence and Security - Prime Minister’s Services Holger Beutel, Director, Export Monitoring, Information Analysis, War Weapons Control, Verifi cation, Outreach, German Federal Offi ce of Economics and Export Controls (BAFA) Erno Palla Sagues, Technical Advisor, Sub directorate General of International Trade in Defence Material and Dual Use, Spanish Secretary of State for Commerce

15.15 Guidance on Trade Compliance and Export Control Laws• Contract management and document control: current

systems in place• Nexter’s experience working within the Italian control regime• Best strategies for maintaining compliance through

exploitation of new technologiesDavid Di Veroli, Contract and Trade Compliance Head, Nexter

15.45 The UK MoD – How we Approach Export Controls and the ASSC Service• A review of the UK MOD’s obligation to be compliant with

Foreign Nation Export Control Regimes;• UK MOD ASSC Policy – Pan Defence Authority Application;• The UK “Team Defence” approach;• The ASSC Service – How we exploit Information to Ensure/

Assure control Mark Jones, Waterguard Programme ASSC Compliance Lead, UK Ministry of Defence

16.15 Afternoon Tea

CYBER CONTROLS AND COMPLIANCE PERSPECTIVES

16.45 Future Technology Transfer Challenges for Today’s Export Control Practitioners New IT developments present opportunities and threats for compliance;• Cloud Computing – Great idea of fraught with danger?• User id & access controls – Keeping control of who has access

to military controlled technology is an increasing challenge;• The risks and challenges of offl oading and outsourcing; and• Pace and Simplicity – Getting the biggest bang for your buck Warren Bayliss, Global Head of Export Controls, Rolls-Royce

17.15 Cyber Risk Management at Fokker GKN• Experience in cyber risk management and the importance to

export compliance• Coordination between IT and Compliance divisions for

effective compliance• Keeping up with DFAR regulatory changeAndre Hermsen, Chief Compliance & Risk Offi cer, Fokker GKN

17.45 Chair’s Closing Remarks and End of Day One

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Defence ExportsDay Two Thursday, 20th September 2018

08.30 Registration & Coffee

08.50 Chair’s Opening RemarksGary Stanley, President, Global Legal Services

09.00 HOST NATION OPENING ADDRESS: Export Control and Import/Export: Leonardo’s Experience in Trade Compliance• The Leonardo Trade Compliance Programme• Sensitive countries for Leonardo Company• Trade Compliance as an integrated internal control system Pierfi lippo Rossetti, Head of Trade Compliance, Legal, Corporate Affairs and Compliance, Leonardo

09.30 KEYNOTE ADDRESS ON BREXIT: An Opportunity for Trade Control Policy in the UK• Working to continue robust control enforcement whilst

minimising additional burdens on business• Ensuring the UK remains compliant with relevant international

obligations• Sanctions Bill: ensuring the UK has necessary legal powers to

implement sanctions post-Brexit Chris Chew, Head of Policy, Export Control Joint Unit, UK Department for International Trade

10.00 Crucial Updates and Developments to Export Controls in Canada• Export permit assessments – changing requirements• Amendments to brokering controls• A partner with US national technology and industrial base Wendy Gilmour, Director General, Trade Controls Bureau, Department of Foreign Affairs Canada

10.30 Managing Product Classifi cations in current trade environment• OCR will discuss how export classifi cations and customs HTS

classifi cations can impact your supply chain, provide updateson upcoming changes, managing multi-country classifi cations.In addition, OCR will provide an update on electronic licensingsystems with US Agencies and insights on screening withRussian entities on the OFAC and EU trade sanctions lists

Thomas Mathew, Vice President - Global Trade Solutions, OCR

11.00 Morning Coffee

GEO-POLITICAL IMPACT ON DEFENCE TRADE

11.30 Risk Associated to Changes of Policy with Regards to Certain End Users• Geo-political impact on defence trade• Case study: Saudi Arabia• Ensuring a uniform implementation to the EU Common Position

for a real level-playing fi eld Rosa Rosanelli, Chief Export Compliance Offi cer, AIM Norway, Belgium Engine Center

12.00 PANEL DISCUSSION: Preparing for BREXT: Industry Preparations for 2019• Seeking alignments in export control regulations with Europe

and the US• Parallels and differences in preparations for UK withdrawal

from the EU• Key trends and best practices to simplify compliance Warren Bayliss, Global Head of Export Controls, Rolls-Royce Laurence Carey, Senior Manager- International Trade Compliance- EMEA, United Technologies Corporation

12.45 “What’s in Your Toolbox” - A Trade Professional’s Toolbox and the Best Way to Utilise It” • What’s in your toolbox as a Trade Practitioner?• Your company’s product• Country regulations Company• Policy Stakeholer input Government input IT/System• Tools Training Your experience• Use the tools in your toolbox to Understand Study Improve Bill Wade, Vice President, Global Trade Compliance, L-3 Communications Integrated Systems

13.15 Networking Lunch

GOVERNMENT PERSPECTIVES FROM EUROPE CONTINUED

14.15 Roundtable Discussion: Defence Export Compliance Across the Baltic Region • How trade controls fi t into European and Global regulations

and unique considerations for the Baltic within them• Doing business in the Baltic – key considerations and

approaches• Projections for export licensing for 2018 and 2019• Strengthening controls against non-democratic countries –

latest developments Jan Pawelec, Director, Department of Sensitive Goods Trading and Technical Safety, Ministry of Foreign Affairs, Poland Christer Ahlström, Director General, Swedish Inspectorate of Strategic Products Renars Danelsons, Head of Strategic Goods and Export Controls, Latvian Ministry of Foreign Affairs

14.45 How to Do Business With the US • Managing US enforcement agencies – key approaches• Lessons learned from recent experiences• ZTE’s experience working with US authorities and work to

preempt compliance divergence• Enforcement of regulations: key approaches taken by ZTEMatt Bell, Chief Compliance Offi cer, ZTE Corporation

15.15 Afternoon Tea

MEETING TECHNOLOGICAL ADVANCES WITH REGULATION

15.45 FMS, Export Control Reform, and the Supply Chain• FMS: What – Why – How?• ECR in relation to FMS• Effects in the Supply Chain• Closure Major (RES.) Martijn Antzoulatos-Borgstein MSc LLM, Manager Import & Export Compliance EMEA Region, EMEA Materials & Logistics, Rockwell Automation

16.15 Next-Generation Technology: Chasing Innovation to Ensure Regulation Compliance • Understanding innovation: How regulators can catch up to

changing technology• Cyber controls: how will we regulate software?• Implications industry and government Martin Lensky, Export Compliance Director, Honeywell Aerospace

16.45 Chairman’s Closing Remarks and Close of Day Two

“First time attendance at this conference was very impressed” DEFENCE EXPORTS ATTENDEE, 2017

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HALF-DAY PRE-CONFERENCE WORKSHOP A | 08.00 - 12.15 Tuesday 18th September Crowne Plaza St Peter’s Hotel & Spa, Rome, Italy

HALF-DAY PRE-CONFERENCE WORKSHOP B | 13.00 - 17.15 Tuesday 18th September Crowne Plaza St Peter’s Hotel & Spa, Rome, Italy

Hosted by: Ms Karen H Nies-Vogel,

Director, Office of Exporter Services, US Department of Commerce

Managing Export Compliance with U.S. suppliers: Essential knowledge on License Exceptions, U.S. Re-Export Controls, and Catch-All’s

Overview of the workshop:This half day session will go into details on specific issues related to items subject to the Export Administration Regulations (EAR). Topics will include, license exception Strategic Trade Authorization (STA); re-export controls including how to properly apply de mininis calculations, the U.S. direct product rule, and end use controls.

Why you should attend?• Hear, learn and discuss export controls and re-export requirements directly

from Matthew Borman, Deputy Assistant Secretary of Commerce for Export Administration

• Learn about US export regulations broad jurisdiction and application to most U.S. origin commodities and technologies

• Understand the critical importance for compliance professionals to staycurrent with the latest regulatory changes and their potential organisational impacts

• Have your specific questions answered directly by U.S. government officialsresponsible for administrating the EAR

About the workshop leader: Mr. Borman serves as Deputy Assistant Secretary for Export Administration where he is responsible for implementing the Bureau of Industry and Security’s (BIS) controls on the export of commercial, dual-use, and less sensitive military items for national security, foreign policy, nonproliferation, and short supply reasons. In addition, he oversees BIS’s programs to ensure that industrial resources are available to meet national and economic security requirements, BIS’s implementation of the Chemical Weapons Convention and the U.S. Additional Protocol.

About the organisation: The Bureau of Industry and Security (BIS) is an agency of the United States Department of Commerce that advances U.S. national security, foreign policy, and economic objectives by ensuring an effective export control and treaty compliance system and promoting continued U.S. strategic technology leadership. Among its’ other responsibilities, BIS administers and enforces U.S. export controls on commercial, dual-use and less sensitive military items.

Programme: 13.00 Registration13.30 Opening remarks and introductions 13.40 Specific issues related to items subject to the Export Administration

Regulations (EAR) • Case studies• License exception Strategic Trade Authorization (STA)

15.00 Afternoon Tea15.30 Re-Export Controls under the EAR

• Proper application of de mininis calculations• The U.S. Direct product rule• End us controls

16.50 Closing remarks and Questions17.15 End of Workshop

Hosted by: Gary Stanley, President, Global Legal Services

and Edward Peartree, Group Deputy Head Export Controls, BAE Systems

Jurisdiction, Classification, and Licensing; How to Police Your U.S. Suppliers

Overview of the workshop:Tired of having your U.S. suppliers botch their license applications and thus delay your programs? Beside yourself with their shipping ITAR-controlled parts as EAR99 items? This workshop will explore what you, as a non-U.S. customer, need to know to help your U.S. suppliers prepare error-free licenses that will win quick approval and avoid further applications to authorize reexports and retransfers. Particular emphasis will be on reviewing the “chain of custody” information on subcontractors/sublicensees, downstream customers and end-users, freight forwarders/customs brokers/warehouses, and sales reps/brokers your U.S. suppliers need from you to prepare bullet-proof ITAR and EAR applications..

Why you should attend?• This Workshop is a “must” attend for non-U.S. export control managers,

program managers, and procurement managers who work with U.S. suppliers and have been “burnt” one too many times by those suppliers’ licensing errors.

• Understand how to determine the U.S. export control jurisdiction and classification of what you are ordering to ensure your U.S. suppliers are obtaining the correct export authorization.

• Learn the common mistakes that U.S. suppliers make in completing their applications and what you can do to help your suppliers avoid them.

• Walk away with a list of best practices for dealing with U.S. suppliers on export control matters.

About the workshop leader: Gary Stanley is the President of Global Legal Services, PC, a Washington, DC-based law firm focusing on trade compliance issues. Mr. Stanley represents, among others, numerous U.S., Canadian, and European companies on defense export control issues. He publishes the daily Defense and Export-Import Update newsletter and frequently speaks at ITAR training events around the world. Mr. Stanley has also provided export control training to multiple Canadian Government agencies and the Russian Government.

About the organisation: Programme WATERGUARD Mission statement : ‘To deliver an enduring (post-EU Transition), efficient and effective solution in order to enable the Department to be compliant with HMRC import and export regulatory requirements and with contractual obligations of FMS agreements.’

Programme: 08.00 Registration08.45 Opening remarks and introductions 09.00 The Fundamental Question of U.S. Export Controls: Is the Item Controlled

under the ITAR or EAR?• What is the “Order of Review” for classifying hardware and technical

data?• “Specially Designed”: The key definition to a correct classification• Why the “Devil is always in the details!”• Real-world examples of how to apply these classifications concepts

10.15 Morning Break10.30 Pitfalls of ITAR Applications

• Documenting the “Chain of Custody” in DSP-5 hardware and technical data license applications

• When should a U.S. supplier seek a Warehouse and Distribution Agreement instead of a DSP-5 license?

• Common mistakes in drafting ITAR Part 124 Technical Assistance Agreements and Manufacturing Licensing Agreements

• Key elements of an ITAR § 123.9(c) Request for Reexport/Retransfer (GC Letters)

11.15 Pitfalls of EAR Applications and License Exceptions• Documenting the “Chain of Custody” in BIS-748P commodity,

software, and technology applications• Special requirements that may apply to EAR applications• Having a strategic plan for U.S. suppliers to use License Exception STA• What to do when you still need an authorization for a reexport or

transfer (in country)11.45 Best Practices for Working with U.S. Suppliers

• Learn the No. 1 Rule for avoiding mistakes and heading off violations• Whose contact information should you have handy?• Are you entitled to see the license or other authorization?• Dealing with unexpected ITAR provisos or EAR license conditions

12.10 Closing Remarks and Questions12.15 End of Workshop

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HALF-DAY PRE-CONFERENCE WORKSHOP B | 13.00 - 17.15 Tuesday 18th September

Crowne Plaza St Peter’s Hotel & Spa, Rome, Italy

Hosted by: Warren Bayliss, Global Head of Export Controls, Defence,

Rolls-Royce Plc

New Technology – a Bed of Roses or Increased Anxiety for Today’s Export Control Practitioners?

Overview of the workshop:Warren Bayliss, Head of Export Controls for Rolls-Royce’s global Defence business will discuss the opportunities and threats of new IT capabilities. Defence Companies, like Rolls-Royce face the challenge of automating manual export control processes, but remaining fully compliant with regulations, which are struggling to keep up with fast advances in technological capability. Should export control practitioners welcome and embrace these new opportunities or be cautious until the regulatory environment is clear about the way forward. When IT service providers promise fully compliant export control solutions – are they right? Can they be trusted? Is new technology a bed of roses for export control practitioners or fraught with anxiety and worry.

Why you should attend?• Discuss the growing and varied challenges

facing trade compliance and export controlpractitioners in charge of IT systems

• Learn key requirements for IT systemcompliance transfers, exports, re-exports andrecord-keeping

• Explore the utilisation of automated tools and solutions for protecting technology, transferringit compliantly and record keeping

• Learn best practices for maintaining compliance with automated manual export controlprocesses that are struggling to keep up with rapid innovations in technological capability

About the workshop leader: Warren has worked over 25 years in the defence business for both the UK Ministry of Defence and Rolls-Royce. In Government, Warren worked in high profile positions with the Defence Intelligence Staff, NATO and European Policy Group and the International Relations Group of Defence Equipment & Support. He provided regular briefings and submissions to Ministers, Senior Civil Servants and Chiefs of Staff on a range of defence procurement and industrial issues, including export controls. Warren also led MOU negotiations on large scale procurement programmes, such as the Joint Strike Fighter and

A400M aircraft. Warren was responsible for the UK Defence Industrial Participation Policy and the MOD’s Export Control Policy. This included regular discussions with the U.S. Government on export control matters and the implementation of the U.S. UK Defense Trade Co-Operation Treaty in 2012. Warren provided extensive policy advice, guidance and training to over 100 integrated procurement teams on a range of export control licensing, compliance and regulatory issues.

Warren joined Rolls-Royce in 2014 and Heads up the Export Control Team for its global Defence business. This includes significant licensing and compliance challenges in an intense and diverse operational environment which involves goods, software and technology moving in and out of the business. This role requires significant risk management and advice and guidance to Senior business leaders on a range of complex technological issues, including product classifications, U.S. derived origin technology, re-exports and licence exemptions and exceptions. Warren has overseen the introduction of the new SAP-Global Trade Services IT System into the defence business and is leading his global teams through continuous improvement and significant transformation activities as the export control team fully embraces modern technology and fully automates its tools and processes.

Warren has an MA Degree in Defence Studies, studied business studies at Liverpool University and has a very keen interest in international relations, trade, fashion design and modern art. Warren also likes running marathons and recently broke his personal best at the Bristol 10K challenge in 2017.

Warren used to act as the Secretary of the UK Ministry of Defence and Defence Industry Working Group on U.S. export control matters. He has been a regular speaker at high profile industry events and has also lectured at leading Colleges and Universities throughout the UK.

HALF-DAY POST-CONFERENCE WORKSHOP C | 08.30 - 12.30 Friday 21st September Crowne Plaza St Peter’s Hotel & Spa, Rome, Italy

HALF-DAY POST-CONFERENCE WORKSHOP D | 13.00 - 17.00

Friday 21st September Crowne Plaza St Peter’s Hotel & Spa, Rome, Italy

Hosted by: Mark Jones, Waterguard ASSC Compliance Lead,

UK Ministry of Defence

UK MoD ASSC Management – Exploiting Best Practice and Information across UK Defence

Overview of the workshop:This workshop will look to explore the approach taken by the UK MOD in support of what the UK call a “Team Defence” approach to resolving the issues, understanding and shared working practices required to enable effective and efficient Export Control Compliance from the different views across a complex stakeholder environment. The first part of the workshop will look at the strategy used, processes followed and practices employed to get “Team Defence” to work together to jointly qualify and quantify what our mutual export control issues were? To develop a common language, common definitions and understand what information is important and how this can be captured and shared across. From the very beginning, our approach has been recognised as the only way to remove organisational stove pipes, focus pan “Team defence” expertise to achieve a common goal, ultimately receiving recognition as “Overall Winner of the Defence Information Best Practice Award”.

The second element to this workshop is to explore the methodology that the UK MOD have employed in order to identify controlled technology, the export control regimes associated to it and its impact throughout complex Military systems, platforms and capabilities. Identifying our methodology and understanding the limitations of

the source information and the working with legacy Information services to answer key “End-Use” and “Transaction Authorisation” pro-active and audit review information requirements across the “Team Defence” Supply / Support chain.

Why you should attend?• Learn from a recognised “Best Practice”

approach to collaborative working across a Government – Industry partnership;

• Learn from the issues found, mistakes made and solutions employed to fulfil the requirements of a very complex stakeholder group;

• Identify a strategy and method to truly understand what is really the controlled technology within a complex system, Platform or Capability;

• Enable stakeholders to focus their attention on what technology is important and not to over-manage that technology that either is notcontrolled or has been released from control.

About the organisation: Programme WATERGUARD Mission statement : ‘To deliver an enduring (post-EU Transition), efficient and effective solution in order to enable the Department to be compliant with HMRC import and export regulatory requirements and with contractual obligations of FMS agreements.’

Programme: 13.00 Registration13.30 Opening remarks and introductions 13.40 Session 1 – Develop Stakeholder

engagement strategy and plan and understand cross boundary information requirements;• Develop relationships with Industry

Partners and Supply Chain;• Agree joint problem statement;• Target Issues, accept not everything can

be resolved at once;• Communicate openly

15.00 Afternoon Tea and Networking15.30 Session 2 - Develop an Equipment

Breakdown Structure (EBS) and identify controlled technology;• Understand the approach to EBS creation

and analysis;• Capture licenses, authorisations and

provisos;• Apply regulatory impacts;• Exploit data throughout the Inventory

Management, Engineering, Commercialand Finance functional domains.

16.50 Closing Remarks and Questions17.00 End of Workshop

Programme: 08.30 Registration09.00 Opening remarks & introductions (led by Warren Bayliss)09.15 Session One – The Regulatory Environment

• What is Technology?• Challenges of tracking and tracing• Challenges of Document Markings• Segregation of U.S. military controlled technology and

risks of ‘co-mingling’• ITAR ‘see through rule’ versus EAR de-minimus &

Foreign Direct Product Rule• Dept of State and Dept of Commerce guidelines for

managing technology• Experiences from Rolls-Royce & other defense

companies.• A view from the regulator.

10.15 Refreshments Break10.45 Session Two – New IT Tools to manage compliance

• Enabler or added complexity• Defining the business requirement• Making the business case for investment• Multitude of tools and providers• The need for careful due diligence• The basics; electronic transfers, data marking, data

tagging, record-keeping.• Access Controls• License issues (incidental v actual access to U.S.

controlled technology)• Foreign nationals and foreign based servers• Is ‘cloud’ technology a dream or nightmare for

export control practitioners?11.45 Session Three – A review of the IT Tools in the market

place• What tools are available?• Who are the ‘big’ IT providers?• Do they think about regulations when designing new

tools?• Tracking & Tracing, Document Markings & Record-

Keeping• Costs v Benefits• Best Practice• A view from the industry.

12.20 Closing Summary and Key Conclusions (led by Warren Bayliss)

12.30 End of Workshop

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