1

Security Export Control Manual for Overseas Facilities

July, 2017

Nagoya University

Academic Research & Industry-Academia-Government Collaboration/International Education &

Exchange

2

Table of Contents

1. Introduction ............................................................................................................... 3

2. Basic Principles ......................................................................................................... 3

3. Basics of Security Export Control ............................................................................. 4

4. Export Control for Newly Established Overseas Facilities (Forms of Transactions) 5

5. Procedures for Export of Goods (Transaction Form A) ............................................ 6

5.1. Taking out or Shipping Equipment and Instruments Overseas from Japan ................... 7

5.2. Shipping Equipment and Instruments from Overseas Facilities to Japan ...................... 7

5.3. Procuring Equipment and Instruments at Overseas Facilities ........................................ 7

6. Procedures for Providing Technologies (Transferring Technologies Overseas) (Transaction Form

B) 8

6.1. Taking out Technologies At Relocation to Overseas Facilities ..................................... 8

6.2. Providing Lectures and Technical Instructions at Overseas Facilities ........................... 9

6.3. Requesting Faculty or Staff in Japan to Send Technical Data by Email ........................ 9

6.4. Special Lectures or Research Guidance Provided by Faculty at NU through the Internet 9

6.5. Use of Computers at NU by Faculty or Students at Overseas Facilities through the Internet 9

6.6. Technologies Not Subject to Export Control or Requiring No Approval .................... 10

7. Procedures for Enrollment and Procedures for Acceptance of Short Stay at NU (Transaction Form

C) 11

7.1. Enrollment into Overseas Campuses ............................................................................ 12

7.2. Acceptance of Students and Faculty/Staff from Overseas Campuses to NU ............... 12

Reference Material 1: Overview of Security Export Control ......................................... 13

Reference Material 2: Export of Goods and Technlology Provision (Subject to Export Control) 14

Reference Material 3: Residents and Non-residents ....................................................... 15

Reference Material 4: Export Control Procedures at NU ............................................... 16

Reference Material 5: Brokerage Trade Transaction Regulations .................................. 18

Reference Material 6: Steps in Acceptance Procedures .................................................. 18

Reference Material 7: Check List for International Students ......................................... 20

Reference Material 8: Preliminary Check Sheet for Necessity of Online Application in Step 2 21

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1. Introduction

This manual summarizes the knowledge and procedures needed for export control at overseas

facilities of Nagoya University (hereinafter referred to as the “University” or “NU”) for faculty and

staff working at such facilities and also for those working in Japan and dealing with the facilities.

Security export control is multifaceted, and not all aspects may be covered by this manual. Please see

the relevant websites listed below or consult the Export Control Handbook for more information.

For questions or specific matters, please contact the export control office*.

The websites for export control information and the export control office:

Security Trade Control Website at the Ministry of Economy, Trade and Industry (METI):

Export Control in General (Japan’s Security Trade Control System, etc.):

http://www.meti.go.jp/policy/anpo/index.html

Security Export Control Website at NU:

Export Control Procedures at NU; Logging into Online Application System

http://www.aip.nagoya-u.ac.jp/researcher/security/

*If you have questions about this manual or about export controls, please contact the export control

office on the NU website above.

Export Control at NU: see the Export Control Handbook for Security Trade

http://www.aip.nagoya-u.ac.jp/researcher/security/docs/handbook-04kai.pdf

Note: These websites may have restricted access from overseas or outside the University.

2. Basic Principles

Export control implemented at the University (in Japan) for our overseas facilities shall comply

with the Nagoya University Security Export Control Rules.

Export control implemented at the overseas facilities of the University shall be administered in

compliance with the relevant laws and regulations set forth by the countries in which the overseas

facilities are situated, as well as the Nagoya University Security Export Control Rules. (*1)

(*1)

The manual covers the rules and precautions for security export control under the legislation of Japan

(Foreign Exchange and Foreign Trade Act and relevant laws and regulations). The legislation for export

control differs depending on countries, and thus requires investigation and administration for each

country.

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Definitions of Terms:

The terms used in this manual shall be defined as follows:

Overseas facilities--Overseas research facilities (or overseas facilities), overseas campuses,

etc. to be administered by Nagoya University.

Faculty/Staff at Overseas facilities--Faculty and staff members and non-residents who are

relocated to the overseas facilities, excluding those who stay at the facilities for short periods

of time, such as on business trips.

The University or NU--Nagoya University (in Japan)

Faculty/Staff at NU--Faculty and staff members who are based at and employed by the

University (in Japan). They are under employment contracts with the University and thus

are residents in principle.

Export Control--Security export control, unless otherwise specified.

3. Basics of Security Export Control

The following provides the basics of security export control and the terms used. For an overview

of security export control, please see Reference Material 1, Security Trade Control Website at the

METI, the University website for Export Control, and the Export Control Handbook (see the URLs on

Page 3 of this manual).

Purpose: Security export control shall be implemented within the international framework to maintain

international peace and security.

Security Export Control: Legislation to screen transactions of export-controlled items that may

possibly be diverted to armaments or weapons, and to require approval from the METI for such

transactions.

Laws and Penalties: Export control in Japan is implemented pursuant to the Foreign Exchange and

Foreign Trade Act (the Foreign Exchange Act). Individuals who have violated the Act are punished by

imprisonment with work and fines, and juristic persons (universities) by administrative sanctions and

fines.

Export-controlled items: Export of goods and provision of technologies are to be controlled. The

“goods” and the “technologies” subject to export control can neither be exported nor provided without

approval by the METI.

Types of Control: Two types of export control are implemented: list control and catch-all control.

List Control: General-purpose goods with a high risk of being used for development etc. of armaments

and weapons are controlled persuant to the itmes 1 to 15 of Table 1 attached to the Export Trade Control

Order (Export Order). Such goods to be exported to any countries and regions are subject to control.

Catch-all Control: Items (excluding lumber, grocery, etc.) that do not fall on the list of items subject

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to the list control and that raise concerns about their use or recipients being involved in the development

of weapons.

Applicability Determination: The determination as to whether the goods to be exported or

technologies to be provided fall on the list of items subject to the list control (items 1 to 15). A

document showing the determination result is called the parameter sheet.

Residents or Non-residents: A criterion in determining whether the technology to be provided is

subject to export control. Technology provison is subject to export controll when the technology is

transferred eventually to a non-resident end user (transferred to overseas), or simply a person who is

resident in a foreign country.

Foreign End User List: To increase the effectiveness of the catch-all control, the Ministry of Economy,

Trade and Industry provides exporters with information on foreign entities that may be involved in

activities such as development of weapons of mass destruction (WMD) and similar items. Any

overseas destinations or recipients included in this list require prudent confirmation.

Weapons of Mass Destruction (Nuclear Weapons and similar items): Nuclear weapons, chemical

or biological warfare agents, and rockets or unmanned aerial vehicles to trasnport such weapons and

aents. Weapons other than those above are called conventional weapons.

4. Export Control for Newly Established Overseas Facilities (Forms of Transactions)

Figure 1 shows the forms of transactions related to export controls for newly established overseas

facilities.

The transactions regulated by the Foreign Exchange Act are (1) exporting goods, and (2) providing

technologies. Other relevant transactions, including the procedures for enrollment or for accepting

foreign students for a short stay in Japan and signing an agreement for joint research, necessitate and

precede the transactions (1) and (2), which are regulated. Thus, the transactions (1) and (2) shall be

called basic transactions, and the other relevant transactions shall be called relevant transactions.

In Figure 1, transactions A1 to B5 (with solid lines) are basic transactions, whereas transactions

C1 and D1 (with dashed lines) are relevant transactions.

The relevant transactions are not subject to the Foreign Exchange Act, but are preliminary

controlled as needed to avoid a risk of defaulting on a contract resulting from failure to obtain approval

after the contract is signed.

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Symbols Forms of Transaction Applicability

of Foreign

Exchange Act

Procedures at

the

University

Cases

A Export of Goods ○: Applicable ○: Required Note 2

B Technology Provision ○: Applicable ○: Required Note 2

C Acceptance × Note 1: ○: Required Note 2

D Others × △: Depends

on transaction

Note: Individual

Consultations

Note 1: To obtain approval or not must be checked in relation to transaction B at the time of acceptance

determination by following the procedures at the University. Consult the Ministry of Economy, Trade

and Industry if necessary.

Note 2: See Reference Material 2 for cases to be controlled under Security Export Control.

Figure 1. Forms of Transactions and Export Control Applicability

5. Procedures for Export of Goods (Transaction Form A)

The “goods” refers to any objects, including research equipment, specimens, samples, and other

supplies. The goods shall undergo customs clearance (inspections by the customs houses), and require

the declaration for import or export.

“Export” refers to taking out goods from Japan and is subject to the Foreign Exchange Act. To

＜国内＞ ＜海外拠点＞

＜第三国＞

名古屋大学（NU）

NU海外拠点

（○○キャンパス）

（A1）機材・研究試料等の発送（A2）試料・機器等の携帯持出し

（C1）入学申請/手続き

（C1）‘入学申請/手続き （D1）入学

（B1）授業（B2）研究指導

（C2）来日手続き※一時的な訪問等

（B4）短期研修

（B3）ｲﾝﾀｰﾈｯﾄを利用した授業等

学生

学内のコンピュータ

技術情報

（B5）海外からのコンピュータの利用（プログラム使用やマニュアル閲覧）

Third Country

（A1）Shipping Equipment and Research Materials （A2）Taking out Specimens and Instruments

（B3）Lectures through the Internet

NU Overseas Facility (ABC Campus)

Student

Enrollment

（C2）Procedures to Visit Japan *Temporary Visit, etc.

（C1）Enrollment Application/Procedures

（C1）‘Enrollment Application/Procedures

（B5）Use of Computers from Overseas (using programs or reading manuals)

University Computer

Tech

nical

Info

rmatio

n

<In Japan> <Overseas Facility>

Nagoya

University

（B4）Short Stay for Training

（B1）Lectures （B2）Research Instructions

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prevent illegal export, the University requires the export control procedures to be taken before any

goods are exported.

The procedures for exporting goods are taken pursuant to the Security Export Control Rules set

forth by the University. The basic procedures are as follows:

5.1. Taking out or Shipping Equipment and Instruments Overseas from Japan

A faculty/staff member(s) belonging to the University takes the export control procedures. For

shipment of goods upon a request from a faculty memeber at an overseas facility, a faculty or staff

member who has received the request takes the procedures.

A faculty/staff member who exports goods upon a request shall be well-prepared for any inquiries

from the customs or other organications. When needed, export approval is obtained with the assistance

of the Export Control Unit.

For certain goods that are temporarily taken out from Japan for personal use on a business trip

overseas, such as personal computers, mobile phones, and their accessories, the online application

procedure may be omitted. However, the procedure cannot be omitted when a personal computer is

used at an overseas facility for a long time. (Reference Material 8)

5.2. Shipping Equipment and Instruments from Overseas Facilities to Japan

The necessary export procedures are taken after the relevant export laws at overseas facilities

have been investigated. However, sending goods back to Japan equates to import, which requires no

export control procedures.

Equipment and instruments for which export is approved on condition that sending them back

be reported require reporting to the MITI, and thus require import customs clearance documents.

5.3. Procuring Equipment and Instruments at Overseas Facilities

Procuring equipment and instruments within the countries of overseas facilities requires no

transactions related to export control because such procurement involves no acts of export.

However, orders placed from Japan (from the University) to corporations in third countries

(countries other than “white countries”) for goods to be delivered to overseas facilities may be subject

to the Brokerage Trade Transaction Regulations. (Reference Material 5)

e.g., An order placed to a corporation based in India for an analyzer to be directly delivered to an

Check if the procedure is

needed

Check if online application is

needed

Determine applicability

File online application

Obtain approval for any controlled

goodsExport

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overseas facility in Mongolia.

Comments: Although this transaction involves no export from Japan, this transaction may be subject

to the Foreign Exchange Act because the item is exported or imported between foreign coutries under

the purchase agreement being signed by the University and the Indian corporation (under an instruction

from Japan).

6. Procedures for Providing Technologies (Transferring Technologies Overseas) (Transaction Form

B)

The technologies subject to export control are designs, manufacture, and use of goods (listed in 1

to 16 of Table 1 attached to the Export Trade Control Order) that are subject to export control, and

their associated technologies.

The technologies are subject to export control when they are provided as technical data including

presentations, articles for contribution, research records, designs, user manuals, experimental data, and

technical specifications in the form of documents, data stored in media such as USB flash drives or

data stored in memory in devices, as well as when the technologies are provided as technical assistance

such as research guidance, lectures, consultations, verbal explanation, and technology exchange.

(Reference Material 1)

The procedures for providing technologies are as follows, which are basically the same as the

procedures for exporting goods.

6.1. Taking out Technologies from Japan at Relocation to Overseas Facilities

The technologies to be taken to an overseas facility (including research materials, teaching

materials, and software) are listed, and technologies subject to export control are determined from the

list. Each technology determined to be export-controlled requires the procedures above.

Comments:

- Faculty/staff members working overseas shall become non-residents of Japan upon departure from

Japan to overseas facilities they will belong to. In export control, even technologies taken out by

residents (their status as of before departure) for personal use are deemed to be directed to non-

residents, and are thus subject to export control. Thus, taking out export-controlled technologies (e.g.,

the technology for culturing bacteria with toxicity) requires the export control procedures, and in some

cases requires obtaining approval (service transaction approval) by the METI before such technologies

Check if the procedure is

needed

Check if online application is

needed

Determine applicability

File online application

Obtain approval for any controlled

technology

Take out the technology

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are taken out.

- The teaching materials are subject to export control, because such materials provide technologies to

overseas students. Contents of such materials (including whether the contents are publicly known and

their applicability to export control) as well as potential users of the materials (e.g., students and

researchers) must also be scrutinized.

- Potential users of the teaching materials can be effectively determined during their enrollment

procedures. This determination procedure shall be included in the acceptance check in Transaction

Form C in the procedures at the University.

6.2. Providing Lectures and Technical Instructions at Overseas Facilities

Technologies that have already been checked (the technologies for which the procedures have

already been taken) at the time of taking out the technologies from Japan in preceding Article 6.1

require no local procedures.

Technologies to be newly taken out from Japan for overseas research activities require the

procedures to be taken as in preceding Article 6.1.

Providing any technologies newly developed at overseas facilities is not deemed as taking out

technologies from Japan and thus requires no procedures at the University.

6.3. Requesting Faculty or Staff in Japan to Send Technical Data by Email

Faculty or Staff members who transfer technologies shall take the export control procedures for

the technologies in the same manner as in Article 6.1. For controlled technologies, approval (service

transaction approval) shall be obtained before the technologies are transferred.

6.4. Special Lectures or Research Guidance Provided by Faculty at NU through the Internet

In addition to students based at overseas facilities, faculty/staff members working at overseas

facilities shall also be non-residents. Remote lectures and research guidance using video conferencing

systems through the Internet are deemed as the acts of providing technologies. In any such cases, the

export control procedures shall be taken for technologies to be transferred with the same sequence as

in Article 6.1. before the special lectures etc. are provided. For the controlled technologies, approval

(service transaction approval) shall be obtained before the technologies are transferred.

6.5. Use of Computers at NU by Faculty or Students at Overseas Facilities through the Internet

When a program (e.g., an analyzing program) stored in a computer at NU is used from overseas,

it is deemed as provision of the program (technology provision) regardless of whether it is downloaded.

Any other application program being freely accessible to a user than the intended program for use is

also deemed as provision of the program.

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Figure 6.1. Use of NU Computer from Overseas

Before technologies become accessible (before an ID or password is issued), the export

control procedures for the technologies shall be followed in the same manner as in Article 6.1. before

the technologies are transferred. For controlled technologies, approval (service transaction approval)

shall be obtained before the technologies are transferred.

To prevent the controlled technologies from being provided without approval, computer

administrators and faculty members who create and administer application programs shall implement

appropriate administration by, for example, setting passwords for the security of information.

6.6. Technologies Not Subject to Export Control or Requiring No Approval

- Technologies irrelevant to designs, manufacture, and use of certain goods shall not be subject to

export control

Technologies not aiming at certain goods, such as data of non-scientific research papers,

accounting, or personnel management, or game software, are not subject to export control. Such

technologies are not required to be listed as technologies subject to export control.

Non-scientific research activities can be subject to export control; for example, manuals for

measuring equipment and cameras contain technologies for using the goods (measuring equipment and

cameras) and thus are subject to export control.

- Technologies known to the public require no approval

Among the technologies subject to export control, “technology in the public domain and

technology to be made known to the public” require no approval. (Refer to the provision listed below

related to service transactions that require no approval as prescribed in Article 9, paragraph (2) of

Ministerial Ordinance on Trade Related Invisible Trade, etc.)

To simplify the export control procedures, determining whether the listed technologies for

provision constitute the “technology in the public domain and technology to be made known to the

public” is effective.

Specifically, textbooks for lectures etc. containing only publicly-known technologies,

including technologies subject to export control, require no approval. The University requires neither

applicability determination nor the online application procedures for such technologies.

<Details> -Japan- -overseas-

Researcher at University or Research Institute Overseas (Non-resident)

Used by a Researcher Overseas (ID issued)?

Tech

nolo

gic

al In

form

ation

Supercomputer at NU

Program

Use a Computer at NU (Accessed for Computation)

Technology Provided?

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Excerpts from Article 9 of Ministerial Ordinance on Trade Related Invisible Trade, etc.

(Transactions, etc. which Do Not Require Permission)

(2)

(ix) transactions to provide technology which is in the public domain or to provide technology

so as to make said technology known to the public (excluding transactions to make said

technology known to the public for the purpose of providing it to a specified person), and

which fall under any of (a) to (e) below:

(a) transactions to provide technology which is already open to a large number of unspecified

people through, for example, newspapers, books, magazines, catalogues, or files on a

telecommunication network;

(b) transactions to provide technology available to a large number of unspecified people,

contained, for example, in academic journals, public patent information, or minutes of

public symposiums;

(c) transactions to provide technology available to or which can be audited by a large number

of unspecified people through, for example, factory tour courses, lectures or exhibitions;

(d) transactions to provide a program whose source code is open to the public; or

(e) transactions which are designed for making said technology available, or available for

inspection, to a large number of unspecified people, through, for example, sending copies

of presentations at academic conferences or copies of handouts at exhibitions or on other

occasions, or by contributing articles to magazines.

7. Enrollment Procedures, and Procedures for Acceptance of Short Stay at NU (Transaction Form C)

At the time of enrollment to overseas campuses or acceptance of foreign students, etc. from

overseas campuses to Japan (NU campuses) for a short stay, the acceptance procedures associated

with export control shall be taken.

The acceptance procedures associated with export control are taken to avoid any risks arising

after the acceptance. The acceptance procedures include determining whether approval is required,

approval is obtainable, etc., and whether accepted individuals have any connections to suspicious

organizations such as militaries of foreign countries. The determination can take careful

considerations, possibly involving consultation with the Ministry of Economy, Trade and Industry.

The acceptance procedures shall be followed in the same manner as the acceptance of foreign

students to NU; the department responsible for such acceptance shall use export control self-checks

and shall file online application for any concerned cases. The basic procedures are as follows:

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Note: Risk Evaluation (Final determination)

For online application, the Examination Division performs checks related to statutory control

(whether to fall under the list control and the catch-all control). Even for approved online application

(with no statutory problem identified), the division responsible for the acceptance shall take into

consideration advice from the Examination Department, administrative risks, and external impacts in

making a final judgement.

7.1. Enrollment into Overseas Campuses

Overseas campuses may access technologies subject to export control through lectures,

research guidance, and research activities using information infrastructure provided at the overseas

campuses or from Japan. Any enrollment (acceptance) into overseas campuses shall be deemed as

acceptance to the NU campuses in Japan, and thus shall take the acceptance procedures (*).

Those who are required to take the export control procedures are non-residents in principle as

defined in Reference Material 3. Note that Japanese working at a foreign research institute are

required to take the export control procedures.

Note 1: (*) For details about the acceptance procedures, refer to Reference Materials 6 to 7.

7.2. Acceptance of Students and Faculty/Staff Members from Overseas Campuses to NU

When students and researchers, etc. who have already enrolled in overseas campuses, and

faculty/staff members of foreign nationalities who have been employed overseas by NU are accepted

to Japan (NU campuses), the acceptance procedures associated with export control shall be taken at

the division responsible for the acceptance. The acceptance procedures shall be followed in the same

manner as the acceptance procedures for foreign students etc. (foreign students, foreign researchers,

and foreign visitors) of NU.

Note 1: (*) For details about the acceptance procedures, refer to Reference Materials 6 to 7.

Check if the procedure is

needed

Two self-checks for Export Control

Check if online application is

needed

File online application

(applicability determination)

Risk evaluation (final

determination)Acceptance

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Reference Material 1: Overview of Security Export Control

(Excerpts from: the seminar material on the Ministry of Economy, Trade and Industry website)

For exporting/providing goods or technologies subject to export control, approval must be obtained in advance. Export/provision without approval can constitute a violation of the Foreign Exchange Act, and can receive penalties in accordance with the law.

Foreign Exchange and Foreign Trade Act: Purpose and Overview

The Foreign Exchange and Foreign Trade Act (the Foreign Exchange Act) stipulates that “export of goods” and “provision of technologies,” in which the goods or technologies have a risk of being used as or diverted to WMD, require obtaining approval by the Ministry of Economy, Trade and Industry to maintain peace and security in the international community.

The technologies and the goods subject to export control pursuant to the Foreign Exchange Act are defined in the list control and the catch-all control.

Export of goods: Shipment of goods from Japan to foreign countries. An act of taking research equipment, specimens, etc. outside Japan on a business trip or in collaborative research with corporations or universities overseas constitutes export of goods.

Provision of technologies: Presentation of materials, sending emails, oral communication using telephone, etc., including provision of “technical data” and “technical assistance” defined below.

Provision of technologies through business trips overseas or acceptance of researchers from abroad also constitutes provision of technologies.

*Technical data refers to written documents, data stored in storage media such as USB flash drives or any other devices, and programs. e.g., presentation materials, articles for contribution, design drawings, user manuals, experimental data, and technical specifications *Technical assistance refers to technical guidance, technical training, provision of operational knowledge, consulting services, etc. e.g., display/explanation through presentation software, oral presentations, and research guidance

An act of research guidance or technical provision to foreign researchers, trainees, students, etc. within Japan constitutes provision of technologies. When a foreign student is accepted, the activities of the entity from which the student comes must be scrutinized, and the student must be checked for any possibility of working for an arms company after he or she will leave Japan.

Overview of Control of Service (Technical) Transactions

To prevent leakage of specific technologies that can be diverted to manufacture or use of WMD and conventional weapons, the following transactions are controlled:

1. a transaction to provide the technologies from a resident to a non-resident, and

2. a transaction to provide the technologies in any foreign country. To reinforce the control of these transactions, the following acts require approval: 3. taking out the technologies, and 4. transmitting electronic data of the technologies to any foreign country.

An

y p

erson

A

Any pe

rson

Any p

erson

Resid

ent

Non

-R

esiden

t

Provide

Provide

human perspective

Provide

Technology provision from resident to non-resident

Controls related to Notes 2, 3, and 4 became effective on November 1, 2009.

Technology provision from non-resident residing in Japan to foreign country, and technology provision to resident residing in foreign country

For a transaction of a technology without the approval for transaction (Note 1), the approval for taking out (Note 2) must be obtained separately. When a technology is taken outside Japan, approval for either transaction or for taking out must be obtained.

geographic perspective

National

border

Taking out USB flash drive, etc.

Approval for transaction

Approval for transaction

Note 1

Note2

Approval for taking out

14

Reference Material 2: Export of Goods and Technlology Provision (Subject to Export Control)

The following cases are subject to the Foreign Exchange Act and export control.

A: Exporting goods

(A1) Taking out by carrying (hand-carrying) research equipment, other supplies, specimens, etc. on a

business trip overseas.

(A2) Separately sending research equipment, other supplies, specimens, etc. overseas through a

delivery agent.

(A3) Signing Material Transfer Agreement (MTA) with foreign universities or research institutes, and

providing specimens, genes, bacterium strains, etc.

(A4) Loading measuring equipment, etc. into an investigation ship for meteorological observation or

ocean survey outside the territorial waters.

(A5) Sending back samples to a foreign researcher after analyzing them.

B: Providing technologies

(B1) Announcing an unpublished technology overseas at an academic conference or an event closed

to the public.

(B2) Holding a technical meeting overseas with overseas researchers joining a joint research project.

(B3) Providing research guidance in Japan to non-residents who are foreign students or foreign

researchers.

(B4) Holding a technical meeting with those who temporarily visit Japan from foreign universities,

research institutes, etc.

(B5) Showing foreign visitors research facilities that are closed to the public.

(B6) Exchanging unpublished technical information with overseas researchers, acquaintances, etc. by

email, phone, etc.

In the following cases, acceptance or signing agreements precedes provision of technologies

or export of goods. Thus, the export control procedures must be taken to determine any risks related

to export control in advance.

C: Accepting foreign students and foreign researchers

(C1) Accepting foreign students, foreign researchers, foreign trainees, etc. (including employment).

(C2) Signing a joint research agreement with an unknown party (when concern arises).

15

Reference Material 3: Residents and Non-residents

Note: When an agreement (on a joint research project, etc.) is signed between universities, and

technologies are provided to faculty/staff members dispatched from foreign universities, the

determination of residency is made on a legal person basis. More specifically, a foreign national who

has stayed in Japan for 6 months or more is deemed as a non-resident.

(Reference)

The term “residents” and “non-residents” are defined in the Foreign Exchange Act, Article

6, paragraph 1, (v) (Residents) and in the Foreign Exchange Act, Article 6, paragraph 1, (vi) (Non-

residents). When an entity’s residency or non-residency is unclear, it is determined based on

“Interpretation/Operation of the Foreign Exchange Act” notified by the Ministry of Finance.

The Foreign Exchange Act, Article 6, paragraph 1, (v)

The term “residents” refers to natural persons having their domicile or residence in

Japan and judicial persons having their principal office in Japan. The branch offices,

local offices or other offices in Japan of non-residents, irrespective of whether they

have legal authority of representation, shall be deemed to be residents even if their

principal office is situated in a foreign state.

Residents and Non-residents

Non-residentsJ

a

p

a

n

e

s

e

n

a

t

i

o

n

a

l

s

1. A person resident in Japan2. A person working at Japan’s diplomatic establishmentsoverseas

1. A person working at a research institute or an officeoverseas2. A person who left Japan to stay overseas for 2 years ormore3. A person who has spent 2 years or more overseas sinceleaving Japan4. A person who has been temporarily back home, stayingJapan for less than 6 months

F

o

r

e

i

g

n

n

a

t

i

o

n

a

l

s

1. A person working at an office in Japan2. A person who has spent in Japan for 6 months or more

1. A person residing overseas2. A person who is an official of a foreign government or aninternational institution3. A diplomat and a consul (limited to those who are assignedor employed overseas)

L

e

g

a

l

p

e

r

s

o

n

s

a

n

d

o

r

g

a

n

i

z

a

t

i

o

n

s

1. Foreign corporations, etc. overseas2. Branches and offices of Japanese corporations, etc.overseas3. Foreign diplomatic establishments and internationalinstitutions in Japan

US and UN military personnel, etc.*from “Interpretation/Operation of the Foreign Exchange Act” by the Ministry of Finance

Indivi

duals

1. Japanese corporations, etc. in Japan2. Branches or offices of foreign corporations, etc. in Japan

3. Japanese diplomatic establishments overseas

Residents

16

The Foreign Exchange Act, Article 6, paragraph 1, (vi)

The term “non-residents” refers to natural persons and juridical persons other than

residents.

NU Faculty/staff members working at Overseas facilities (overseas campuses) or belonging to

Overseas facilities are “non-residents.”

Reference Material 4: Export Control Procedures at NU

Exporting goods (equipment, etc.), providing technologies, or accepting foreign students and

researchers requires, in principle, the procedures at the University associated with export control.

The export control procedures mainly consist of the following:

Step 1: Check whether export control is needed

Step 2: Check whether online application can be omitted

Step 3: Prepare materials (parameter sheet, etc.) for online application

Step 4: File online application

Step 5: Obtain approval *For controlled goods and technologies only

Step 6: Export goods or provide technologies (or proceed with acceptance)

Step 7: Save documents

For more details, refer to the following for self-control or filing online application.

17

1. Introduction of Security Export Control Online Application System

1-1-1 Role of Online Application System

1. Contact with entities or persons overseas (business trip overseas, acceptance of foreign students, shipment of goods overseas, etc.)

Security Export Control

Internal Menu (Internal Use only)

Online Application

Online Application for the First Time

Customs Clearance & Hand-carry

Procedures at the University

Foreign Students Acceptance

Export Control Office

Tools

When Online Application Can Be Omitted

Checklist for Foreign Students Acceptance

Self-check for Genes & Organisms

Format/Entry Example for Online Application

Goods-Technology Integrated Matrix Table

Applicability Determination Form

Online Application Manual

Back to Home

To Researchers

Security Export Control

Online Application

Online Application

Internal Use Only

Read the following. When you are ready for Online Application, log in.

Log in

Environment to Start

2. Export control required?

・Refer to websites for information

*Guidance and advice to faculty is important

3. Can online application be omitted?

Check whether online application can be omitted based on the following: (1) When online application can be omitted (2) Checklist for foreign students acceptance

4. Prepare materials required for online application

Obtain manufacturer parameter sheet for purchased goods Self-made goods are determined at NU Prepare catalogues, papers, and other requirements

5. Online Application (Log in)

18

Reference Material 5 Brokerage Trade Transaction Regulation

When party C purchases goods from party B and sells the goods to party A as illustrated

below, party C is not responsible for a trade of the goods between parties A and B, and thus is not

subject to the regulation.

For order placement and goods transfer conducted in the illustrated manner, the export

control procedures must be taken to determine whether approval is needed.

Reference Material 6: Steps in Acceptance Procedures

When accepting foreign students, etc., take the following procedures (see the following

chart).

1. Opportunity for accepting foreign students, etc. arises

2. [Step 1] Check whether a person to be accepted should be subject to export control (necessity for

Brokerage Trade Transaction Regulation

Broker transaction of goods used in relation to WMD

Brokered by a Japanese corporation

Approval is required depending on the countries where A and B are situated

Broker transaction of weapons

Approval is required regardless of the countries where A and B are situated

Transaction Pattern

(1) When a corporation in Japan has both a selling contract and a buying contract

Goods Transfer

Buying Contract Selling Contract

When the “other requirements” are applicable, party C must obtain approval for Brokerage Trade Transaction. (Note: This also applies to a tripartite trade where a selling contact and a buying contact are fulfilled in parallel.)

19

export control check). Basically, those who are classified into “Non-residents” and “Foreign

Nationals” defined in Reference Material 3 are subject to export control.

3. [Step 2] When the person falls in [Step 1] above, the “Check List for International Students” is

used to determine whether online application can be omitted.

“Export Control Check” is conducted at a relevant department. In the “export control check,” the

person to be accepted is checked whether online application can be omitted.

When online application is determined to be omitted, the person is determined acceptable, and the

procedures are complete.

4. [Step 3] When online application is determined necessary in [Step 3], the procedures for online

application related to the acceptance are taken through the Security Export Control homepage in the

website for final determination to accept the person, which is made by the Export Chief General

Manager.

Refer to the following for the checklists and check sheets as referred to above.

“Export Control Check” in [Step 1]: (URL below)

http://www.aip.nagoya-u.ac.jp/researcher/security/foreign_students/checklist/index.html

“Check List for International Students to determine whether online application is required”

in [Step 2]: (URL below)

http://www.aip.nagoya-u.ac.jp/researcher/security/foreign_students/folder/index.html

Flowchart for accepting foreign students, etc. In advance, follow Steps 1 to 3 in the flowchart below.

1. Opportunity for accepting foreign students, etc. arises

2. Conduct export control check with acceptance application forms [Step 1]

3. Whether online application can be omitted? (Determine whether to omit online application using the Check List for International Students.)

[Step 2]

4. Online application required

[Step 3]

Not checked (not suspicious) Can be omitted

Online Application is not required. Self-control*

Can be omitted

(*Note:Self-control: Administration such as storing checked documents at relevant departments)

Checked

20

Reference Material 7: Check List for International Students

A 懸念等確認

B 特例・対象外

11 留学生・外国人研究者等へ提供予定の技術は、公知の技術、基礎科学分野にあたる？ Yes□ No□

12 留学生・外国人研究者等へ提供予定の技術は、輸出管理対象でない（対象外＝特定の貨物の設

置・製造・使用の技術でない）？

Yes□ No□

13 チェック時点で、他の日本の他大学等と雇用契約等、日本での雇用関係がある？ Yes□ No□

14 チェック時点で、来日後 6か月以上経過している？ Yes□ No□

様式１ 留学生・外国人研究者等の受入れの輸出管理確認リスト

教員等は、留学生・外国人研究者等から研究室受入れ希望の打診があったら、次のチェックを行いチェック後のリス

トを部局担当職員及び輸出管理審査部門まで提出下さい。

A 懸念等確認に「No」が１つでもある場合には、懸念ありとして、提出に加え、電子申請のうえ輸出管理審査部門の

審査・承認を受けて下さい。

※提出先：（部局等担当職員）：部局等にお問い合わせ下さい。（輸出管理審査部門）：anzen@aip.nagoya-u.ac.jp

※ 内容に関する相談はこちら：（輸出管理審査部門）anzen@aip.nagoya-u.ac.jp 内線番号：6443、6702

部局名 受入れ教員氏名

留学生・外国人

研究者等の氏名

チェック日 年 月 日

プログラム名称 ※ ある場合のみ記載

研究テーマ名

１ 経済産業省、外務省、入国管理局等の国家機関等から輸出管理関連の問い合わせがない？ Yes□ No□

２ 外国ユーザーリスト機関から（出身者を含む）受入れでない？ Yes□ No□

３ 国籍等が懸念国からの受入れでない？（懸念国：イラン、イラク、北朝鮮［3カ国］） Yes□ No□

４ 国籍等が国連武器禁輸国からの受入れでない？（禁輸国：アフガニスタン、中央アフリカ、コ

ンゴ民主共和国、イラク、レバノン、リビア、北朝鮮、ソマリア、スーダン［9カ国］）

Yes□ No□

５ Yes□ No□

６ 留学生・外国人研究者等が帰国後、軍・兵器関連に所属する予定がない（チェック時に把握で

きる予定）？

Yes□ No□

７ 教員の保有技術が機微度レベルＡに区分された場合、もしくは機微度リストに基づき電子申請

が必要との連絡を部局等から受けていない？

Yes□ No□

８ 軍民融合が懸念される機関からの受入れでない？（中国軍事四証など） Yes□ No□

９ その他、輸出管理上疑義はない？ Yes□ No□

10 上記チェック欄のうち、Ｎｏがない、かつ、不明な点がない？ Yes□ No□

（別紙 様式１）

１訪問又は留学、研究等の目的が不明又は不明確でない。

２派遣元（機関等）が不明又は不明確でない。

３派遣元が「核兵器等の開発等」を行う又は行ったことありとの情報を入手していない。

４外国の軍・兵器製造業者に所属する又は所属したことがない。

５外国の軍・兵器製造業者と密接に関係がある機関に所属する又は所属したことがない。

次の

5項目に

該当する？

21

Reference Material 8: “Preliminary Check Sheet for Necessity of Online Application” Used in

[Step 2]

URL： http://www.aip.nagoya-u.ac.jp/researcher/security/docs/jizenn-check-sheet.pdf

Sheet A Preliminary Check Sheet for Necessity of Online Application

Sheet B Self-check for Genes & Organisms, etc. (for exclusive use)

Date of check: (month/day/year)

Subject Name

.

Yes 　　　　Yes No No

If Yes, also check for the

technologies

　No Ｎｏ

YesYes They are non-scientif ic

materials and data.

　　 NoNo

　No

　Yes Yes YesYes

No Yes

NoYes

No　　No

Yes YesYes

No

NoYes

　　 No

No

　　Ｙｅｓ

Yes　　Ｎｏ

Online application is not necessary, but conduct self-check and act with full attention to the Foreign Exchange Act.

If you have any concerns or uncertain points, do not proceed, but consult us.

Even when online application is unnecessary, if confirmation records should be stored, you may file online application

(records are kept in the Export Control Administrative Office).

Designation Place (Name

of Country or Region)Name of Technology to

Provide or Name of Goods

Appendix 8-1. Preliminary Check Sheet for

Necessity of Online Application

This sheet is for self-checking the need of online application and the format of the preliminary

check sheet to be used.

Contact with overseas and foreigners

Export of goods Provision of technologies

Technologies are shipped or taken out at the same time

Commercially available PCs or mobile phones for self-use that are expected to be takenback to Japan

Sending or Taking out genes, organisms, etc.

Filed online application after recent revision oflaws

Export to white countries?

Technical information to bring is for self-use and not to be provided.

Is technical information to provide related to designs, manufacture, and useof goods?

Unpublished data to

provide or present?

Papers or contribution

to journals?

Open to unspecified,

many people?

Prepare preliminary checklist (fill in technologies)

Please check the

「Check List for

International Students」

Prepare preliminary checklist (fill in acceptance)

Newly provide technologies to foreign students, etc. having been accepted.

Unpublished datato provide or present?

Did the person conclude employment contract in Japan?

Has the person spent6 months or more since arrival in Japan?

Acceptance of foreign students, etc.

Prepare preliminary checklist (fill in goods)

Self-check sheet for genes and organisms, etc.

Need to fill

in Sheet B

*If No, please

consult the Export Control Administrative

Taking out goods such as devices, equipment, specimens, PCs, materials overseas by shipping or on a businesstrip overseas

Taking out technical information on a business trip overseas, or providing technical information by email, etc.Providing technologies through lectures or presentations at academic meetings

Accepting or having accepted foreign students, etc.

Accepting guests or visitors.

Case of academic meetings and symposiums with restricted participants falls into No

They are handouts for academic meetings and exhibitions to be published on the Internet.

Any

applicable

items?

※Please contact the Export Control

Administrative in case of condition change

No need of online applicationBut you need 「Check List for International

Students」 to your department and the ExportControl Administrative.

No need of onlineapplication

No need of onlineapplication

No need of onlineapplication

No need of onlineapplication

22

For information and consultation about security export control, please contact the export

control offices below.

○Research Cooperation Department, Security Export Control

Telephone: 747-6443 E-mail address: anpo@aip.nagoya-u.ac.jp

○Academic Research & Industry-Academia-Government Collaboration, Security Export Control

Telephone: 747-6702 E-mail address: anpo@aip.nagoya-u.ac.jp

http://cistec.or.jp/english/export/Overview4th.pdf