Guidance on end-user and end-use controls and U.S. person controls

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BIS publishes certain lists of individuals, organizations, and addresses subject to export, reexport, and transfer (in-country) restrictions involving items subject to the EAR. These restrictions may apply broadly to all items subject to the EAR (EAR99 and items on the Commerce Control List) and in situations where no license would otherwise be required based on the item’s classification or destination.  Note also that the restrictions generally apply in situations in which a listed party is a party to the transaction (see Section 748.5 of the EAR), including applicant, purchaser, and consignee, not only to the end user or recipient of the items. 

Consolidated Screening List (CSL)

The Consolidated Screening List (CSL) consolidates multiple lists maintained by the Departments of Commerce, State, and the Treasury of individuals and organizations subject to specified, primarily trade-related  restrictions. The CSL includes four BIS restricted parties lists:  Denied Persons List, Entity List, Unverified List, and Military End-User List. 

Denied Persons List

The Denied Persons List is a list of individuals and entities that have been denied export privileges involving items subject to the EAR pursuant to parts 764 and 766 of the EAR.  The process to request authorization to engage in actions otherwise prohibited by a denial order is described in Section 764.3(a)(2) of the EAR. 

Entity List

The Entity List (supplement no. 4 to part 744) identifies persons reasonably believed to be involved, or pose a significant risk of being or becoming involved, in activities contrary to the national security or foreign policy interests of the United States.  The Entity List also identifies addresses associated with significant transshipment of sensitive items to countries of concern.  The EAR imposes license requirements on, and limit the availability of, most license exceptions for items subject to the EAR that are exported, reexported, or transferred (in-country) to persons and addresses on the Entity List.  See Sections 744.11 and 744.16 of the EAR.

Unverified List

The Unverified List (supplement no. 6 to part 744) is a list of parties whose bona fides BIS has been unable to verify.  No license exceptions may be used for exports, reexports, or transfers (in-country) to unverified parties. A statement must be obtained from such parties prior to shipping items not subject to a license requirement. See Section 744.15 of the EAR.

Military End-User List

The Military End-User (MEU) List (supplement no. 7 to part 744) identifies foreign parties as military end users that are subject to a license requirement for the export, reexport, or transfer (in-country) of items described in supplement no. 2 to part 744 of the EAR.  See Section 744.21 of the EAR.  The MEU List is not an exhaustive list, and exporters, reexporters, and transferors must conduct their own due diligence to determine whether entities not identified on the MEU List meet the definition of a military end user (Section 744.21(g)).

Similar to end-user controls, the specific end use of an item subject to the EAR may trigger a license requirement, even if a license would not ordinarily be required based on the item’s classification (e.g., item is EAR99) and country of destination. 

For example, Section 744.4(a) states, “a license is required to export, reexport, or transfer (in-country) an item subject to the EAR when you know the item will be used in the design, “development,” “production,” stockpiling, operation, installation (including on-site installation), maintenance (checking), repair, overhaul, or refurbishing of chemical or biological weapons in or by any country or destination, worldwide.”  

Additionally, BIS may inform persons, either individually by specific notice or through amendment to the EAR, that a license is required for a specific export, reexport or transfer (in-country) or for the export, reexport, or transfer (in-country) of specified items to a certain end-user, due to an unacceptable risk of use in, or diversion to specified end uses.  See part 744 of the EAR for all end use controls.

Specific activities of “U.S. persons,” wherever located may require a license when a party  knows, or is informed by BIS, that the activities will support certain end uses and end users of concerns, namely, nuclear, missile, chemical or biological weapons, chemical weapons precursors, or certain military-intelligence end uses and end users, as described in Section 744.6(b) of the EAR.  “Support” (Section 744.6(b)(6)) broadly applies to activities that do not involve items subject to the EAR.   

Supplement No. 3 to Part 732: BIS's “Know Your Customer” Guidance and Red Flags provides guidance when evaluating the facts of a transaction or activity, including end uses, end users, and destinations.  If in doubt, contact BIS or submit a confidential lead or tip to BIS Export Enforcement.