The very last section of the International Traffic in Arms Regulations, Part 130, establishes rules about political contributions, fees and sales commissions related to defense trade.
It’s an odd-duck piece of the ITAR, 因为它似乎与出口管制关系不大，而与另一项完全不同的法律的执行有关 Foreign Corrupt Practices Act (FCPA) of 1977.
《英雄联盟外围下注》禁止美国.S. 禁止实体为获得或保留业务而向外国官员付款. The anti-bribery law isn’t limited to arms sales; it can apply to anything.
这是全球同类法律中的第一个，最初被许多人视为将美国置于其法律之外.S. 由于禁止当时在世界范围内普遍的商业惯例，企业处于不利地位. 但是随着时间的推移, other countries have enacted their own anti-corruption statutes, changing standards for the conduct of global business.
这已经发生了, 从执法行动和相关处罚的平均规模来看，《英雄联盟外围下注》的执法力度有所加强. 而司法部和证券交易委员会, 执行《英雄联盟外围下注》, brought only two or three cases a year prior to 2000, 自那以来，这一数字一直在稳步增长，2016年达到峰值，有60起案件，总罚款超过60亿美元, according to data from 斯坦福大学法学院.
那么，由国防贸易管制局(DDTC)管理的ITAR在哪里起作用呢?
对于联邦政府来说，这是一个有用的机制，可以收集有关国防贸易中可能违反《英雄联盟外围下注》的信息.
A tool for interagency cooperation
Part 130 of the ITAR doesn’t outlaw bribery; it requires that some applicants for a license or other approval to export, 再出口或再转让国防物品或服务，向DDTC提供有关政治捐款的信息, fees or commissions—whether offered, agreed upon or actually paid. 当然，这些支付类别是最有可能发生违反《英雄联盟外围下注》行为的类别.
As the State Department reviews these disclosures, it shares noteworthy findings with the Justice Department and/or SEC.
很长一段时间, Part 130 was a seldom-referenced piece of the ITAR, and enforcement didn’t seem to be a priority.
Further, 大多数公司从未受到该规则的影响，因为该规则规定的费用和佣金规模并不常见. 只有一小部分出口商有这种关系.
但随着《英雄联盟外围下注》执法力度的加大，很明显，DDTC正在关注第130部分. 一些最引人注目的反海外腐败法行动来自国防贸易，包括:
- A 2010 guilty plea by BAE Systems that resulted in a $400 million fine;
- 2014年的一起案件 Esterline Technologies Corp. resulting in a consent agreement and a $20 million fine;
- A 2020 bribery case in which Airbus 同意支付3美元.9 billion in penalties
小心行事
The regulation is not one of the better written sections of the ITAR, and DDTC has published very little guidance on it. So it’s an area where companies need to be cautious.
本规则适用于申请license或审批出口的实体, 再出口或再转让价值不低于500美元的国防物品或国防服务,供外国武装部队或国际组织使用. The definition of armed forces is more expansive than some might suppose, encompassing national police and national guard, in addition to typical military services.
Part 130’s reach isn’t limited to exports of items on the United States Munitions List from the U.S.; it also applies to reexports of foreign-made articles that contain ITAR-controlled content, as the enforcement actions against BAE Systems and Airbus illustrate.
The rule focuses on payments made to win business in foreign countries, and covers two types of payments:
Fees or commissions: 定义为贷款, gift, donation or other payment of $1,为向外国或者国际组织出售国防物品或者国防服务提供便利的. This is a common type of payment and is usually legitimate, 因为许多公司与世界各地的独立代表或代理商合作，帮助他们培养业务.
If aggregate fees or commissions in a transaction or contract exceed $100,000, they must be reported by the applicant.
Political contributions: 定义为贷款, gift, donation or other payment of $1,000 or more that benefits a foreign governmental or political official, candidate or political party. 这种付款方式显然更可疑，门槛也更低——只有5美元,000 in aggregate – at which the payment must be reported to DDTC.
An example would be a U.S. company trying to earn a contract with a foreign army, 并为国防部长的议会连任竞选基金捐款. It doesn’t come up very often—in part because it’s brazen, 部分原因是许多国家根据本国法律禁止外国公民支付此类款项.
The most common license application to export under the ITAR, Form DSP-5, 包含强制性部分，要求申请人就130部分合规性作出声明.
However, 第130部分的规则不仅适用于直接商业销售，也适用于对外军事销售。. [参见相关文章: 出口许可证 Requirements of Direct Commercial Sales vs. Foreign Military Sales.] Since an export license application isn’t always required under FMS, there’s no built-in reminder to disclose qualifying payments. FMS出口商(在第130部分中称为供应商)只需要了解第130部分，并积极主动地进行任何要求的披露.
向许可证申请人和FMS供应商提供价值500美元的防御物品的供应商,000 or more also need to be familiar with the rules, even though those vendors may not be exporting anything themselves. 申请人和供应商应该询问他们的供应商是否支付了任何符合披露条件的款项. If that information isn’t provided within 25 days, 申请人或供应商可以通过报告自己的付款信息来推进, but must also inform DDTC that the vendor failed to respond.
第130部分最常见的问题之一是解释DSP-5应用程序本身的相关部分，这一点当然可以改进.
The section verifying compliance with Part 130 offers four options:
1. This transaction does not meet the requirements of 22 CFR 130.2.
申请者常常把这句话理解成与其本意相反. They think it means their transaction is in violation of Part 130. 它真正的意思是，这笔交易不符合第130部分规定的披露条件，因为它规模太小，或者不涉及外国军队.
2. This transaction meets the requirements of 22 CFR 130.2. The applicant or its vendors have not paid, nor offered, 也不同意付款, in respect of any sale for which a license or approval is requested, political contributions, fees or commissions in amounts as specified in 22 CFR 130.9(a).
这个“负认证”意味着交易不需要认证，因为它的价值为500美元,用于外国武装部队或国际组织, 但没有支付达到报告总门槛的费用.
3. The applicant or its vendors have paid, or offered, 或者同意支付, in respect of any sale for which a license or approval is requested, political contributions, fees or commissions in amounts as specified in 22 CFR 130.9(a).
This “positive certification” means the transaction requires disclosure, 申请人或其供应商的一项或多项付款超过报告门槛, and the complete details are attached.
4. 我没有被申请人授权证明22 CFR 130的条件.9(a). Please see the attached letter for such certification.
当签署表格DSP-5的人与提供所需披露细节的人不同时，使用此选项.
If you’re looking for a simple takeaway, it’s this: Part 130 only affects a small number of entities, 特别是那些在其他国家从事销售代表或代理服务的人, 但是，应该始终在仔细的出口合规计划中加以考虑.
Do you have questions about the ITAR, Part 130? Visit e2loejn.alanallport.net to learn about our company, our faculty, our staff and our esteemed 出口合规 Professional (ECoP®) certification program. 找到即将到来的 e-seminars, live seminars in the U.S., Europe and elsewhere, and 生活LOL外围下注 and browse our catalog of 80-plus on-demand webinars, visit our ECTI Academy. You can also call the 出口合规 Training Institute at 540-433-3977 了解更多信息.
Scott Gearity is President of ECTI, Inc.