最后一部分 《十大网赌正规网址》第130部分, 制定有关政治献金的规则, 与防务贸易有关的费用及销售佣金.
这是ITAR的一个奇怪的部分, because it appears to have less to do with export controls than with enforcement of a different law altogether: the 1977年的《十大网赌正规网址》.
The FCPA prohibits U.S. entities from making payments to foreign officials for the purpose of obtaining or retaining business. The anti-bribery law isn’t limited to arms sales; it can apply to anything.
It was the first law of its kind globally, and was initially seen by many as putting U.S. businesses at a disadvantage by prohibiting what was then a common business practice around the world. But over time, 其他国家也制定了自己的反腐败法规, 不断变化的全球商业行为标准.
As that has happened, enforcement of the FCPA has increased—as measured both by enforcement actions and the average size of the associated penalties. While the Department of Justice and the Securities and Exchange Commission, which enforce FCPA, 2000年之前，一年只接两三个案子, the numbers have grown steadily since—with a peak in 2016 of 60 cases and total penalties in excess of $6 billion, 根据 Stanford Law School.
So where does the ITAR – administered by the Directorate of 国防贸易管制 (DDTC) – come into the picture?
It’s a useful mechanism for the federal government to collect information about potential infringements of the FCPA involving defense trade.
机构间合作的工具
Part 130 of the ITAR doesn’t outlaw bribery; it requires that some applicants for a license or other approval to export, reexport or retransfer defense articles or services provide information to the DDTC about related 政治献金, 费用或佣金——无论是否提供, 约定的或实际支付的. These payment categories, of course, are the ones where FCPA violations are most likely to occur.
国务院正在审查这些披露的信息, 它与司法部和/或SEC分享了值得注意的发现.
For a long time, 第130部分是ITAR中很少被提及的部分, 执法似乎也不是首要任务.
Further, most companies are never affected by the rule because fees and commissions of the size stipulated in the rule are uncommon. It’s a small universe of exporters that have these kinds of relationships.
But as enforcement of the FCPA increases, it’s clear that DDTC is paying attention to Part 130. Some of the highest profile FCPA actions have come out of defense trade, including:
- 2010年的认罪答辩 BAE Systems 这导致了4亿美元的罚款;
- A 2014 case against Esterline技术十大网赌正规网址. 最终达成了一份同意协议，并被罚款2000万美元;
- 2020年的贿赂案 Airbus agreed to pay $3.90亿美元的罚款
Proceed with caution
该条例并不是ITAR中写得更好的部分之一, 而DDTC在这方面几乎没有发表任何指导意见. 所以这是一个十大网赌正规网址需要谨慎的领域.
The rule applies to an entity that submits an application for a license or approval to export, reexport or retransfer defense articles or defense services worth at least $500,000 for the use by the armed forces of a foreign country or international organization. 武装部队的定义比一些人想象的要宽泛, 包括国家警察和国民警卫队, 除了典型的军事服务.
第130部分的范围并不局限于出口物品 美国军需品清单 from the U.S.; it also applies to reexports of foreign-made articles that contain ITAR-controlled content, 正如针对BAE系统十大网赌正规网址和空中客车十大网赌正规网址的执法行动所表明的那样.
该规定的重点是为在国外赢得业务而支付的款项, 包括两种付款方式:
费用或佣金: Defined as a loan, gift, 捐款或其他付款$1,000 or more to facilitate the sale of defense articles or defense services to a foreign country or international organization. 这是一种常见的付款方式，通常是合法的, as many companies work with independent reps or agents around the world to help them cultivate business.
如果交易或合同的总费用或佣金超过100美元,000, 他们必须由申请人报告.
政治的贡献: Defined as a loan, gift, 捐款或其他付款$1,为外国政府或政治官员提供的金额在1万英镑或以上, 候选人或政党. This type of payment is more obviously suspicious and has a lower threshold – just $5,总金额为000美元，必须向DDTC报告.
一个例子就是美国.S. 一家十大网赌正规网址试图与外国军队签订合同, and making a contribution to the defense minister’s parliamentary reelection campaign fund. 它不经常出现，部分原因是它很无耻, and in part because many countries prohibit such payments from foreign nationals under their own laws.
根据ITAR最常见的出口许可证申请， Form DSP-5, contains a mandatory section that requires the applicant to make a statement regarding Part 130 compliance.
However, the rules of Part 130 apply not only to Direct Commercial Sales but also to 对外军售 (FMS). [See related post: 直接商业销售的出口许可证要求. 对外军售.因为在FMS下并不总是需要出口许可证申请, 没有内置提醒来披露符合条件的付款. FMS exporters (referred to as suppliers in Part 130) simply need to know Part 130 and be proactive in making any called-for disclosures.
Vendors who provide defense articles to license applicants and FMS suppliers valued at $500,000或更多的人也需要熟悉规则, 即使这些供应商自己可能不出口任何东西. Applicants and suppliers are expected to ask their vendors if they’ve made any payments that qualify for disclosure. 如果25天内没有提供这些信息, the applicant or supplier may move forward by reporting information on its own payments, 但也必须通知DDTC供应商没有回应.
One of the most common troubles with the Part 130 is interpreting the relevant portion of the DSP-5 application itself—something that could certainly be improved.
验证130部分合规性的部分提供了四个选项:
1. 此交易不符合22 CFR 130的要求.2.
Applicants often understand this to have the opposite of its intended meaning. 他们认为这意味着他们的交易违反了第130部分. What it really means is that the transaction doesn’t qualify for disclosure under Part 130 because it’s too small or doesn’t involve a foreign military.
2. 该交易符合22 CFR 130的要求.2. 申请人或其供应商尚未付款, nor offered, nor agreed to pay, 就任何需要牌照或批准的销售而言, 政治献金, 按22 CFR 130规定的金额收取费用或佣金.9(a).
This “negative certification” means the transaction does require a certification because it is valued at $500,000 or more and is for a foreign armed force or international organization, but that no fees were paid that meet the aggregate threshold for reporting.
3. 申请人或其供应商已付款, or offered, or agreed to pay, 就任何需要牌照或批准的销售而言, 政治献金, 按22 CFR 130规定的金额收取费用或佣金.9(a).
这种“正面赌博十大排名官方网站”意味着交易需要披露, with one or more payments by the applicant or its vendors exceeding the reporting threshold, 附件是完整的细节.
4. I am not authorized by the applicant to certify the conditions of 22 CFR 130.9(a). 赌博十大排名官方网站请见附件.
This option is used when the person signing Form DSP-5 is different from the person who is providing details of the required disclosures.
如果你想找个简单的外卖, 它是这样的:第130部分只影响少数实体, especially those who engage the services of sales representatives or agents in other countries, but it should always be considered in a careful export compliance program.
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Scott Gearity 是ECTI十大网赌正规网址的总裁.