The “Entity List” can be found as Supplement No. 4 to Part 744 of the Export Administrative Regulation (EAR).The list 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.       

实体清单实际上是美国《出口管理条例》第744部分的“管制措施”下的附录四。顾名思义，在这一附件中列有一系列国外商业实体、研究机构、政府及私有组织、个人及其他法人。此向名单内列出的实体出口、转出口及境内转让特定物品，需要按清单内的具体规定申办特殊的出口许可。 

The Entity List is created and executed by BIS. 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 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. The ERC, composed of representatives of the Departments of Commerce, State, Defense, Energy and, where appropriate, the Treasury, makes all decisions regarding additions to, removals from, or other modifications to the Entity. The ERC makes all decision to add an entry to the Entity List by majority vote and makes all decisions to remove or modify an entry by unanimous vote. Each amendment of the Entity List will be executed in the form of administrative final rule.

《出口管理条例》由美国工业及安全局负责实施及执行。实体清单第一次于1997年二月公布，目的是限制向可能使用大规模杀伤武器的实体进行出口。自第一公开面世以来，加入实体名单的原因已经扩展至工业及安全局有合理理由认为曾经参与、正在参与，或是很大机会正在参与或将会参与不利于美国国家安全或外交政策利益的活动的实体。清单内的实体增加或移除由终端用户审查委员会投票决定。这个委员会是由商务部、国防部、能源部和财务部的代表组成。最终的实体名单以及实体项下的具体出口管制措施，由美国商务部通过行政立法的方式公布。 

2.     Consequences of Designation to the Entity List     被列入实体清单的后果

In order to understand the legal consequences of being added to the Entity List, it is necessary to understand the basic regime under EAR. EAR governs all the export, reexport, and transfer (domestic) of items with “dual intent” (both civil and military intent). Items over which BIS exercises regulatory jurisdiction under the EAR include:

想要理解实体清单的法律后果，首先需要理解《出口管制条例》的基本模式。该条例规管“两用”产品（民用和军用）的出口、转口和国内转让。《出口管制条例》对物项的管辖包括：

All items in the United States, including in a U.S. Foreign Trade Zone or moving in transit through the  United States from one foreign country to another;

All U.S. origin items wherever located;

Foreign-made commodities that incorporate controlled U.S.-origin commodities, foreign-made commodities that are ‘bundled’ with controlled U.S.-origin software, foreign-made software that is commingled with controlled U.S.-origin software, and foreizgn-made technology that is commingled with controlled U.S.-origin technology;

Certain foreign-made direct products of U.S. origin technology or software. 

实际位于美国的商品、软件和技术(包括经美国转运的物品和位于对外贸易区的物品)。

不论位于世界何地，所有源自美国的商品、软件和技术。

通过整合、加入美国的商品、软件、技术生成的外国软件/技术。

利用美国技术或软件在外国直接制造的某些特定产品。

EAR’s jurisdiction is so broad that it governs basically all the items which by themselves are, or using technology or software during the process of being, manufactured, transported, processed or assembled in the United States. Different restrictions are enforced onto different items based on its category in the Commerce Control List (CCL). CCL lists the item and its corresponding Export Control Classification Number (ECCN) denoting the reason for its restriction. Items that do not have an ECCN will be designated EAR99.  The EAR99 classification is generally assigned to low technology or low risk items that do not require an export license. However, the export of EAR99 items may be prohibited or require an export license depending on their destination country or end user, part of which is determined by the Entity List.

可见《出口管理条例》的管辖范围极其宽泛，包括了所有在美国、或使用美国技术或软件生产、运输、加工、组装的物品。为了在如此庞大的管辖范围内明确具体的管制物项及要求，美国商务部制定了《商业管制清单》, 用5位数的ECCN编码对所有管控物项进行归类并确认该物项的管制原因、管制级别、以及是否需要许可。ECCN物项被细分为十类，不包括在这十类内的一般为科技含量较低的物项，被同一归类为EAR99。通常情况下，对EAR99物项进行出口、再出口和转让时，不需要任何的许可证。然而如EAR99物项被出口至被制裁国家，或接收方位于实体名单之内，那么也可能被要求申请相关的许可。

The Entity List specifies the license requirements that it imposes on each listed person. Those license requirements are in addition to license requirements imposed elsewhere in the EAR. The Entity List also specifies the license review policy for each entity, indicating the standard BIS will adopt in its decision of whether to issue an exporting license or not. Presumption of denial is the most common review policy, which means that BIS will presume the license application should be denied unless the applicant provides sufficient evidence to overcome such presumption.

清单实体将会被注明“许可证要求”和“许可证审查政策”。“许可证要求“规定哪些物品需要办理许可。”许可证审查政策“规定BIS将采取什么样的裁量方式进行许可证申请的审查。而通常情况下，在对出口许可证进行审查时，都会采取“拒绝推定”，也就是说，在审查出口许可证的申请时首先推定为拒绝签发出口许可证，除非申请人能够提供足够的证据推翻上述推定。