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The Denied Persons List Standard Order

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The Denied Persons List

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(a) Contents

(1) This table lists orders that currently deny export privileges in whole or in part. Orders are published in full in the Federal Register.

(2) Publication of orders. New or amended denial orders are published in the Federal Register as they are issued, and their issuance announced in Export Administration Bulletins. Although diligent efforts have been made to ensure the accuracy of the information in this table, the Federal Register is the authoritative source for denial orders.

(3) Table: This table is updated as new orders are promulgated and existing orders expire. The table does not appear in the Code of Federal Regulations.

(b) Effect of Denial Orders

The failure by any person to comply with any denial order is a violation of the Export Administration Regulations (EAR).

(c) Standard and Non-standard Orders

Denial Orders designated either "standard" or "non-standard" in the column headed "Type of Denial Order " in this table.

The March 1996 revision of the Export Administration Regulations (EAR) adopted "standard" text for denial orders. This text was similar to language that BXA had been using previously. All denial orders issued after March 1996 are either "standard" (conforming to the standard language in the EAR) or "non-standard." The EAR say that "...denial orders issued prior to March 25, 1996 shall be construed, in so far as possible, as having the same scope and effect as the standard denial order." [paragraph (a)(1) of Supp. No. 2 of part 764] In this table, all orders, both pre- and post-1996 are listed as either "standard" or "non-standard." If you want to consult the text of a pre-1996 order, go to the Export Administration Regulations Web site maintained by the Government Printing Office where you can find the Federal Register citation of the order itself.

Standard orders issued after August 27, 2002 to conform to the following language:

IT IS THEREFORE ORDERED:

FIRST, that [the denied person(s)] may not, directly or indirectly, participate in any way in any transaction involving any commodity, software or technology (hereinafter collectively referred to as "item") exported or to be exported from the United States that is subject to the Export Administration Regulations (EAR), or in any other activity subject to the EAR, including, but not limited to:

A. Applying for, obtaining, or using any license, License Exception, or export control document;

B. Carrying on negotiations concerning, or ordering, buying, receiving, using, selling, delivering, storing, disposing of, forwarding, transporting, financing, or otherwise servicing in any way, any transaction involving any item exported or to be exported from the United States that is subject to the EAR, or in any other activity subject to the EAR;

or

C. Benefiting in any way from any transaction involving any item exported or to be exported from the United States that is subject to the EAR, or in any other activity subject to the EAR.

SECOND, that no person may, directly or indirectly, do any of the following:

A. Export or reexport to or on behalf of the denied person any item subject to the EAR;

B. Take any action that facilitates the acquisition or attempted acquisition by a denied person of the ownership, possession, or control of any item subject to the EAR that has been or will be exported from the United States, including financing or other support activities related to a transaction whereby a denied person acquires or attempts to acquire such ownership, possession or control;

C. Take any action to acquire from or to facilitate the acquisition or attempted acquisition from the denied person of any item subject to the EAR that has been exported from the United States;

D. Obtain from the denied person in the United States any item subject to the EAR with knowledge or reason to know that the item will be, or is intended to be, exported from the United States; or

E. Engage in any transaction to service any item subject to the EAR that has been or will be exported from the United States and which is owned, possessed or controlled by a denied person, or service any item, of whatever origin, that is owned, possessed or controlled by a denied person if such service involves the use of any item subject to the EAR that has been or will be exported from the United States. For purposes of this paragraph, servicing means installation, maintenance, repair, modification or testing.

THIRD, that, after notice and opportunity for comment as provided in section 766.23 of the EAR, any person, firm, corporation, or business organization related to the denied person by affiliation, ownership, control, or position of responsibility in the conduct of trade or related services may also be made subject to the provisions of this order.

FOURTH, that this order does not prohibit any export, reexport, or other transaction subject to the EAR where the only items involved that are subject to the EAR are the foreign-produced direct product of U.S.-origin technology.

This order, which constitutes the final agency action in this matter, is effective [DATE].

Standard denial orders issued between March 25, 1996 and August 26, 2002 were effective immediately upon the signature of the order.

The terms of "non-standard" orders are published in the Federal Register. The Federal Register for 1995 to present is available on the Government Printing Office Access Web site. Prior to 1995, you may need to consult the printed version or other on-line source of the Federal Register.

If you have questions about the scope of a particular denial order, you may contact the:

Office of Enforcement Analysis
U.S. Department of Commerce, Room 4065
14th Street and Constitution Ave., NW
Washington, DC 20230
Telephone (202) 482-4255,
Fax (202) 482-0971
Submit a DPL question to OEA

Lists of Parties of Concern

In the event a company, entity or person on one of the following lists appears to match a potential party in an export transaction, additional due diligence is required before proceeding. Depending on which list the match was found, a match indicates either: there is a strict export prohibition; a specific license requirement; or the presence of a "red flag".

Prior to taking any further actions, users are to consult the requirements of the specific list on which the company, entity or person is identified by reviewing the webpage of the agency responsible for the list.

Denied Persons List

A list of individuals and entities that have been denied export privileges. Any dealings with a party on this list that would violate the terms of its denial order are prohibited.

Entity List

The Entity List identifies foreign parties that are prohibited from receiving some or all items subject to the EAR unless the exporter secures a license. Those persons present a greater risk of diversion to weapons of mass destruction (WMD) programs, terrorism, or other activities contrary to U.S. national security or foreign policy interests. By publicly listing such persons, the Entity List is an important tool to prevent unauthorized trade in items subject to the EAR.

BIS can add to the Entity List a foreign party, such as an individual, business, research institution, or government organization, for engaging in activities contrary to U.S. national security and/or foreign policy interests. In most instances, license exceptions are unavailable for the export, reexport, or transfer (in-country) to a party on the Entity List of items subject to the EAR. Rather, a prior license is required, usually subject to a policy of denial. For guidance concerning the prohibitions and license application review policy applicable to a particular party, please review that party's entry on the list. Procedures for removal from the Entity List appear in section 744.16 of the EAR. General Orders also may restrict exports to named individuals or entities.

Unverified List

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 UVL 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.

Consolidated Screening List

The Consolidated Screening List is a downloadable file that consolidates export screening lists of the Departments of Commerce, State and the Treasury into one spreadsheet to assist in screening potential parties to regulated transactions. If the potential match is from the consolidated list, please follow the detailed instructions on the Consolidated List homepage to determine what list the potential match is from and under what government agency’s jurisdiction.

Denied Persons List

Information on "How Do I Avoid Dealing with Unauthorized Parties?"

Instructions for downloading the ASCII Delimited version

Direct Download [Right Click to begin the download]
Date that the Delimited File was Last modified: Friday, October 17, 2014

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Also available on this Web site are:

A list of the Recent Changes to the DPL that have occurred within the last 90 days and

Information on "Standard" denials

The Fine Print: Export Privileges are denied by written order of the Department of Commerce. Each order affecting export privileges is published in the Federal Register. These orders are the official source of information about denied persons and are controlling if there is an inconsistency with anything on this list or elsewhere on this Web site. The Federal Register from 1998 to the present is available on the Government Printing Office Access Web site. Prior to 1998, you may need to consult the printed version or other on-line source of the Federal Register.

Updates:

Changes to the list within the last 90 days appear on the Recent Changes page. You are encouraged to check that page to see when an update has been uploaded to this Web site. Please remember, however, the Federal Register is the final authority for the terms of the denial orders.

 

Entity List

Supplement No. 4 to Part 744 of the Export Administration Regulations  This document is formatted and provided by BIS as a convenience to the public. However, it does not constitute the official version of the Entity List and may not include recent changes and amendments. To ensure that you are relying on the official version of the Regulations, please visit the Code of Federal Regulations, which is available here.

General Description

The Export Administration Regulations (EAR) contain a list of names of certain foreign persons – including businesses, research institutions, government and private organizations, individuals, and other types of legal persons – that are subject to specific license requirements for the export, reexport and/or transfer (in-country) of specified items. These persons comprise the Entity List, which is found in Supplement No. 4 to Part 744 of the EAR. On an individual basis, the persons on the Entity List are subject to licensing requirements and policies supplemental to those found elsewhere in the EAR.

License Requirements Imposed by the Entity List

The Entity List specifies the license requirements that it imposes on each listed person. Those license requirements are independent of, and in addition to, license requirements imposed elsewhere in the EAR. For example, if you want to export, reexport or transfer (in-country) an EAR99 item to a listed entity and the license requirements for that person as specified in the “License Requirement” column of the Entity List state “all items subject to the EAR,” you would have to obtain a license before exporting, reexporting or transferring (in-country) the item, even if the EAR99 item could otherwise be sent to the country of destination without a license provided the proposed end-use does not trigger another license requirement under Part 744 of the EAR.

Note also that provisions of the EAR other than the Commerce Control List (Supplement No. 1 to Part 774 of the EAR) (CCL) and the Entity List impose license requirements on exports, reexports and transfers (in-country) of items subject to the EAR. See, for example, the end-use requirements in Part 744 or the embargo and special destination requirements in Part 746, and note that if any of these parts impose a license requirement, you would have to obtain a license prior to the export, reexport or transfer (in-country) of the item.

License Application Review Policy

BIS evaluates license applications to any listed entity according to the policy stated in the “License Review Policy” column of the Entity List. If there is more than one license requirement for a particular transaction (e.g., if the export transaction contains both persons included on the Entity List and an item that requires a license based on reason for control and destination, as determined by the classification of the item on the CCL and the Country Chart), you should submit only one license application, which BIS will evaluate according to all applicable licensing policies. For such license applications, the applicant should indicate the involvement of a person listed on the Entity List. If any applicable policy requires denial, BIS will deny the application, even if another policy provides for approval. For example, if your proposed transaction requires a license based on the item’s reason for control and your proposed consignee is on the Entity List, BIS will evaluate your application on the basis of the CCL licensing policy in Part 742 of the EAR and the policy for the consignee stated on the Entity List. If either policy requires denial, BIS will deny your application.

License Exceptions and the Entity List

Section 744.1(c) of the EAR prohibits the use of license exceptions for almost all exports and reexports to listed entities. If the citation “§744.20 of the EAR” appears in the “Entity” column of the Entity List for a particular entity, the License Requirement column will indicate whether or not any license exceptions are available for exports, reexports or transfers (in-country) to that entity. If the citation “§744.20 of the EAR” does not appear then no license exceptions are available to that entity.

Background and Purpose of the Entity List

BIS first published the Entity List in February 1997 as part of its efforts to inform the public of entities who have engaged in activities that could result in an increased risk of the diversion of exported, reexported and transferred (in-country) items to weapons of mass destruction (WMD) programs. Since its initial publication, grounds for inclusion on the Entity List have expanded to activities sanctioned by the State Department and activities contrary to U.S. national security and/or foreign policy interests.

 

Unverified List

Parties listed on the Unverified List (UVL) are ineligible to receive items subject to the Export Administration Regulations (EAR) by means of a license exception. In addition, exporters must file an Automated Export System record for all exports to parties listed on the UVL and obtain a statement from such parties prior to exporting, reexporting, or transferring to such parties any item subject to the EAR which is not subject to a license requirement. Restrictions on exports, reexports and transfers (in-country) to persons listed on the UVL are set forth in Section 744.15 of the EAR. The Unverified List is set forth in Supplement No. 6 to Part 744 of the EAR.

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