* The Japanese version is the authoritative version, and this English translation is intended for reference
purposes only. Should any discrepancies or doubts arise between the two versions, the Japaneseversion will prevail.

Regulations on Security Export Control of Tokyo University of Foreign
Studies
September 24, 2019
Regulation

No. 95

Amended: March 22, 2022 Regulation No.17
Article 1

Purposes

The purpose of these Regulations is to properly implement Export Control Operations by establishing
the basic policy for security export control (hereinafter referred to as "Export Control") at the Tokyo
University of Foreign Studies (hereinafter referred to as the "University") and establishing an export
control system.
Article 2

Scope of application

These Regulations shall apply to any Provision of Technology and Export of Goods to be conductedby the Employees, etc. and Students, etc. of the University in the course of their educational, researchor other activities in the University.
Article 3

Definition

In these Regulations, the following terms shall be defined as follows:(1) “Foreign Exchange Act, etc.” means Foreign Exchange and Foreign Trade Act (Law No. 228 of
1949; hereinafter referred to as the "Foreign Exchange Act") and Cabinet Orders, Ministerial
Ordinances, Notifications, etc. concerning Export Control under said Act.
(2) “Export Control Operations” means the control operations for conducting safe Transaction incompliance with the export regulation under the Foreign Exchange Act, etc. as trade control efforts
from the viewpoint of international security.
(3) “Provision of Technologies” means to provide technologies to a foreign country, the term "provisionof technology" shall mean the provision of technology to a foreign state, the provision of technology
to a non-resident or a person falling under the specified type, or the provision of technology to aresident who is clearly likely to be re-provided to a non-resident or a person falling under the
specified type.
(4) “Export of Goods” means the act of sending goods to a foreign country as the destination (including
the act of sending goods within Japan where such goods will obviously be sent to a foreign country
as the destination) or act of carrying goods to a foreign country.
(5) “Transaction” means Provision of Technologies or Export of Goods.
(6) “List Control Technologies” means the technologies specified in rows 1 through 15 of the Appended
Table of the Foreign Exchange Order (Cabinet Order No. 260 of 1980).
1

(7) “List Control Goods” means the goods specified in rows 1 row 15 of the Appended Table 1 of theExport Trade Control Order (Cabinet Order No. 378 of 1949; hereinafter referred to as "Export
Order").
(8) "Classification" means to determine whether the technologies to be provided or the goods to beexported fall under the category of List Control Technologies or List Control Goods (hereinafterreferred to as "List Control Technologies, etc.").
(9) “Transaction Screening” means the judgement as to whether the University conducts a Transaction
based on the content of the Classification, the identity of the counterparty to the Transaction, or theuse intended by the counterparty to the Transaction.
(10) “Weapons of Mass Destruction, etc.” means nuclear weapons, military chemical or bacterial agents,
or any apparatus for spraying the same, or, rockets or unmanned aerial vehicles capable oftransporting the same.
(11) “Conventional Weapons” means the goods listed in the middle column of row 1 of the Appended
Table 1 of the Export Order (excluding those falling under the Weapons of Mass Destruction, etc.).
(12) “Development, etc.” means development, manufacturing, use, or storage.
(13) Residents Interpretation and Operation of Foreign Exchange Laws and Regulations (Zokoku No.
4672, 11 29, 55) 6-1-5, Natural and legal persons to be treated as residents in accordance with
Criteria for Residency(14) Nonresident: Nature and juridical persons other than residents.
(15) A person who falls under the specified category

A person who falls under Article 25 (1) of theForeign Exchange and Foreign Trade Act and Article 17 (2) of the Foreign Exchange OrderWith regard to transactions or acts of providing technology that requires permission based on theprovisions (International Trade Bureau No. 492) 1 (3)(f) The term (Limited to a resident who is a natural person.) means the persons listed in (1) to (3) above.
(16) The term "faculty member, etc." means an officer or faculty member including part-time, belonging
to the University.(17) Students, etc.

Students of our university (including special audit students,

course subjects and Researcher, etc., who conducts research at the University.
Article 4

Basic policy

The basic policy for Export Control at the University shall be as follows:(1) To comply with the Foreign Exchange Act, etc. in relation to Provision of Technologies and Exportof Goods so as not to interfere with the maintenance of international peace and security; and(2) To appropriately develop and enhance the system for securely implementing Export Control.
Article 5
1

Chief Export Control Officer

The University shall have a chief officer for Export Control (hereinafter referred to as the "Chief
Export Control Officer") in order to properly and smoothly implement Export Control Operations,and the President of the University shall serve in this capacity.

2

The Chief Export Control Officer shall perform the duties of the General Manager prescribed in the
Ministerial Ordinance Specifying the Compliance Standards for Exporters, etc. (Ordinance of the
Ministry of Economy, Trade and Industry No. 60 of 2009) and shall make final decisions on important2

matters in Export Control.
Article 6
1

General Export Control Manager

The University shall have the General Export Control Manager who supervises export control under
the Chief Export Control Officer, and the Director in charge of the Research or Vice President for
Research shall serve in this capacity.

2

The General Export Control Manager shall perform the following duties:(1) Duties related to establishment, revision, or abolishment of the regulations, etc. on Export Control;(2) Duties related to development, revision, and abolishment of operations, procedures, etc. based on
the regulations, etc. on Export Control;(3) Identification of persons who fall under specified types, Duties related to approval of theClassification and Transaction Screening and preservation of records therefor;(4) Duties related to supervision of the University-wide Export Control Operations and provision of
instructions, communication, and requests, etc. of the matters to be thoroughly informed to the entire
University;(5) Duties related to auditing of Export Control Operations;(6) Duties related to Export Control education;(7) Duties related to requests for reports, etc. and orders for implementation of investigations andimprovement measures, etc. regarding the Export Control Operations to the relevant deans, etc. of
the University;(8) Duties related to consultation and application for permission concerning Export Control Operations
to the Ministry of Economy, Trade and Industry;(9) Duties to supervise the Export Control Committee; and(10) Duties of the person responsible for confirming Classification as specified in the Ministerial
Ordinance Specifying the Compliance Standards for Exporters, etc.

Article 7
1

Export Control Manager, etc.

The University shall have the Export Control Manager under the General Export Control Manager forthe proper implementation of the Export Control Operations, and the General Affairs and Planning
Director shall serve in this capacity.

2

The Export Control Manager shall perform the following duties concerning export control under the
instructions of the General Export Control Manager.
(1) Duties related to thoroughly familiarizing the instructions, communications, requests, etc. given by
the General Export Control Manager;(2) Duties related to approval of the Classification and Transaction Screening and preservation ofrecords therefor;(3) Business related to promotion of Export Control procedure operations;(4) Duties related to Export Control education; and(5)

Duties related to consultation from Employees, etc. of the University in connection withExport Control procedure operations.
3

In order to assist the Export Control Manager and to smoothly carry out the duties in each item of the3

preceding paragraph, the University shall have the Export Control Personnel under the Export Control
Manager and a person appointed as necessary by the Division Chief of Personnel Division, the Division
Chief of Research Promotion Division, the Office Chief of Office for International Affairs, the Division
Chief of Student Exchange Division, the Division Chief of the Institute of Global Studies Administrative
Division, and the Export Control Manager shall serve in this capacity.
4

An export control advisor may be established to obtain guidance and advice on Export Control.

Article 8
1.

Export Control Committee

The University shall have the Export Control Committee (hereinafter referred to as the “Committee”)
to discuss important matters relating to Export Control.

2.

The Committee shall discuss the following matters:(1) Matters relating to establishment, revision, and abolishment of regulations, etc. on Export Control;(2) Matters relating to implementation of education and training, etc. on Export Control;(3) Matters relating to auditing of Export Control;(4) Matters relating to investigation, etc. on the matters consulted by the Chief Export Control Officer;and(5) Any other important matters related to Export Control.

3.

The Committee shall consist of the following members:(1) General Export Control Manager(2) Export Control Manager(3) Faculty member of the Institute of Global Studies who is appointed by the President 2 persons(4) Faculty member of the Institute of Japan Studies and the Research Institute for Languages andCultures of Asia and Africa who is appointed by the President 1 person each(5) Other persons who are deemed necessary by the President several persons

4.

The term of office of the Committee members listed in items (3) to (5) shall be two (2) years, and they
may be reappointed. However, any member appointed to fill in a vacancy shall serve only theunexpired term of his/her predecessor.

5.

The Committee shall have a Chairperson and the member prescribed in item 1 of paragraph 3 shallserve in this capacity.

6.

The Chairperson shall convene a Committee meeting and serve as the chairperson of the meeting.

7.

If the Committee deems it necessary, the Committee may ask persons other than the Committee
members to attend a meeting.

8.

Any matters not set forth in the preceding paragraphs concerning the Committee shall be prescribedby the Committee separately.

Article 91

Duties of Employees, etc.

Any of Employees, etc. who intends to engage in a Transaction shall perform the Classification in
relation to the List Control Technologies, etc. for the technologies to be provided or goods to beexported.

2

Any of Employees, etc. who intends to engage in a Transaction shall verify the nature of business,
nature of education and research, and intended use of such technologies or goods by the counterparty

4and confirm whether or not they are likely to be used for the Development, etc. of the Weapons ofMass Destruction, etc. or Conventional Weapons.
3

Any of Employees, etc. who intends to make a Transaction shall perform a self-classification inaccordance with the Self-Check Sheet prescribed separately and shall submit the Pre-Check Sheet(Form 1) to the Export Control Manager as necessary.

Article 10
1

Classification and Transaction Screening

Any of Employees, etc. who intends to engage in a Transaction shall submit the Application forTransaction Screening (Form 2) to the Export Control Manager and obtain approval of the General
Export Control Manager if the Transaction is subject to list control, or, if the Transaction is not subject
to list control but the technologies to be provided or goods to be exported are likely to be used for theDevelopment, etc. of Weapons of Mass Destruction, etc. or Conventional Weapons in light of endusers or intended use or it is informed by the Minister of Economy, Trade and Industry that an
application for permission is required for the Transaction as such technologies or goods are likely to
be used for the Development, etc. of Weapons of Mass Destruction, etc. or Conventional Weapons.

2

Upon receipt of the Application for Transaction Screening prescribed in the preceding paragraph fromany of the Employee, etc., the Export Control Manager shall promptly report such application to theGeneral Export Control Manager and perform a screening as to whether or not such Transaction isappropriate (hereinafter referred to as the "Primary Screening").

3

The Export Control Manager shall submit to the General Export Control Manager the Classificationand the result of Primary Screening, together with the documents, etc. necessary for deliberation on
the license application to the Minister of Economy, Trade and Industry under the Foreign Exchange
Act and obtain approval of the General Export Control Manager (hereinafter referred to as the"Secondary Screening").

4

In the event of any change in the specifications of the technologies to be provided or goods to beexported or any addition to the technologies to be provided or goods to be exported in any Transaction
for which approval has been obtained through the screening under the preceding paragraph,
Employees, etc. shall file again an Application for Transaction Screening as prescribed in paragraph1.

Article 11
1

Application for License under Foreign Exchange Act, etc.

If, as a result of the Secondary Screening, the General Export Control Manager determines that theTransaction requires a license from the Minister of Economy, Trade and Industry under the Foreign
Exchange Act, etc., the General Export Control Manager shall prepare the prescribed application form
and attached documents in the name of the President and file the license application to the Minister of
Economy, Trade and Industry.

2

Employees, etc. shall cooperate in preparing the documents necessary for the Secondary Screening inparagraph 2 of the preceding article and the documents for license application in the preceding
paragraph.

3

Employees, etc. shall not perform any Transaction that requires a license from the Minister of
Economy, Trade and Industry under the Foreign Exchange Act, etc. unless such license is obtained
for the Transaction from the Minister of Economy, Trade and Industry.
5Article 12
1

Control of Provision of Technologies

When performing the Provision of Technologies, Employees, etc. shall confirm that the procedures
for Classification and Transaction Screening have been completed and that there are no changes in
the contents of said technologies.

2

In addition to the matters prescribed in the preceding paragraph, if the Provision of Technologies
requires license issued by the Minister of Economy, Trade and Industry under the Foreign ExchangeAct, etc., Employees, etc. shall confirm that such license has been obtained.

3

If matters under the preceding two (2) paragraphs cannot be confirmed, Employees, etc. shall not
perform such Provision of Technologies.

Article 13
1

Control of Export of Goods

When performing the Export of Goods, Employees, etc. shall confirm that the procedures forClassification and Transaction Screening have been completed and that there are no changes in thecontents of said goods.

2

In addition to the matters prescribed in the preceding paragraph, if the Export of Goods requires
license issued by the Minister of Economy, Trade and Industry under the Foreign Exchange Act, etc.,
Employees, etc. shall confirm that such license has been obtained.

3

If matters under the preceding two (2) paragraphs cannot be confirmed, Employees, etc. shall not
perform such Export of Goods.

4

When any incident occurs at the time of customs clearance in performing Export of Goods, Employees,
etc. shall immediately suspend such export procedures and report to the Export Control Manager tothat effect.

5

Upon receipt of the report in the preceding paragraph, the Export Control Manager shall takeappropriate measures after consultation with the General Export Control Manager.

Article 14

Handling of Transactions by Students, etc.

Any Employees, etc. shall undertake the procedures prescribed in these Regulations if a Student, etc.
to whom he/she mainly provides education or research guidance intends to perform a Transaction.
Article 15

Audit

The General Export Control Manager shall periodically audit the Export Control Operations in order
to confirm that the Export Control at the University is properly performed in accordance with theForeign Exchange Act, etc., these Regulations, and the provisions based on these Regulations.
Article 16
1

Education

The General Export Control Manager and the Export Control Manager shall provide Employees, etc.
with education on Export Control in a planned manner in order for them to gain an understanding
about compliance with the Foreign Exchange Act, etc., these Regulations, and provisions based onthese Regulations and to ensure the implementation thereof.

2

Employees, etc. shall endeavor to provide Students, etc. who use any office that keeps or uses theList Control Technologies, etc. the necessary education and training in order to deepen theirunderstanding of compliance with the Foreign Exchange Act, etc. and these Regulations.

Article 17
1

Documents Control and Storage of Recording Media

Documents necessary for Export Control procedures shall be filled out accurately based on facts.
62Documents for Export Control and their electronic recording media shall be retained for a period ofseven (7) years commencing on the date of the Provision of Technologies or the date of the Export ofGoods.

Article 18
1

ReportIf any of Employees, etc. comes to know any breach or possibility of breach of the Foreign ExchangeAct, etc., these Regulations, or any provision based on these Regulations, he/she shall promptly reportto the General Export Control Manager to that effect.

2

Upon receipt of the report under the preceding paragraph, the General Export Control Manager shallinvestigate the details of such report and shall report to the Chief Export Control Manager without
undue delay upon discovery of any breach of the Foreign Exchange Act, etc., these Regulations, or
any provision based on these Regulations.

3

Upon receipt of the report under the preceding paragraph, the Chief Export Control Officer shall direct
the departments concerned of the University to take measures and shall report the same to the relevant
administrative agency without undue delay.

Article 19

Clerical Work

Clerical work relating to Export Control shall be handled by the Research Promotion Division of theGeneral Affairs and Planning Department with the cooperation of the relevant departments anddivisions.
Article 20

Miscellaneous Provisions

Any matters not set forth in these Regulations concerning Export Control shall be prescribed separately.

7Form 1 (Related to Article 9)

Pre-Check Sheet (Export of Goods/Provision of Technologies)
Date of Application:

ApplicantAffiliation, Title, Name:
Contact Info.: Phone

E-mail:*This sheet must be prepared and submitted in advance when considering the Provision of Technologies orExport of Goods.
*This sheet must be submitted to the Research Promotion Division at least one (1) month prior to theProvision of Technologies or Export of Goods.
1. Purpose and type of transaction□ Joint research □ Contracted research □ Provision of research results □ Academic exchange
agreement
Purpose of [Confidentiality Agreement (□ Yes □ No)]transaction □ Meetings, discussions, etc. □ Participation in academic meetings □ Research activities (sampling,collection of information, etc.)□ Other ()□ Provision of Technologies *Check all of the applicable method of provision below.
□ Telephone □ E-mail □ File sharing via Internet□ Provision of recording media□ Provision of printed materials such as documents and drawings
Type oftransaction□ Provision of Technologies and programs in connection with provision of equipment, etc.
□ Other ()□ Export of Goods *Check the applicable shipment.
□ Shipment/checkout of specimens and samples□ Shipment/checkout of equipment, etc. [□ Self-made/modified product □ Purchased product]□ Other ()

To be filled in only when PC is taken out abroad.
PC (Manufacturer: Model No. :)Checkout of Data in the PC is provided:
PC to□ Yes (*Check the corresponding box in the "Type of Transaction" above)
abroad□ No (only for use by yourself)
Describe security measures.
()

8Form 1 (Related to Article 9)
2. Information on recipient
Name (name of organization):
Counterparty of Address:
contract
End-user/User:
Destination(country)
Channel oftransaction
Scheduledcontract date
Judgement on
residency [Incase ofProvision ofTechnologies]

-->

-->

Scheduled
From totransaction
periodWhether or not the recipient of the technologies is a resident in Japan:□ Non-resident□ Resident (suspected of providing information again to a non-resident)□ Resident*Even if the recipient is Japanese, he/she may be a non-resident. For details, refer to the
supplementary explanation on the Self-Check Sheet.

3. Information on suppliers of technologies and goods and outline of technologies and goods
Affiliation, name, andtitle of the supplier
Name and specificationof technologies to beprovided or goods to beexported
Purpose of use by thecounterparty*If there are multiple persons who provide technologies or export goods, list them in the "Affiliation, name, andtitle" field.
*Please fill in the "Name and specification of technologies to be provided or goods to be exported" and "Purposeof use by the counterparty" fields in as much detail and as specifically as possible. If the space is not sufficient,a separate sheet may be used and attached.

9Form 1 (Related to Article 9)
4. Information requiring verification about the counterparty
The counterparty is listed on the End User List (* 1).

□ Yes
□ No

The destination is one of the countries/regions listed in the Appended Table 4 or Appended Table 3-2 ofthe Export Order
(*2).

□ Yes
□ No

Considering the information published on the website, etc. or information obtained, the counterparty is
involved in or is suspected of having been involved in the Development, etc. (i.e., development,
manufacture, use, or storage; hereinafter the same shall apply) of Weapons of Mass Destruction, etc.
(nuclear weapons, chemical weapons, biological weapon, rockets, unmanned aerial vehicles),Conventional Weapons, or technologically advanced materials, parts, or products used therefor.

□ Yes
□ No

Considering the information published on the website, etc. or information obtained, the technologies tobe provided or goods to be exported are suspected of being used for the Development, etc. of Weaponsof Mass Destruction, Conventional Weapons, or technologically advanced materials, parts, or products
used therefor.

□ Yes
□ No

Considering the information published on the website, etc. or information obtained, the technologies tobe provided or goods to be exported are suspected of being used for the research on nuclear fusion or theDevelopment, etc. of nuclear fuel materials or nuclear reactors, etc.

□ Yes
□ No

Considering the information published on the website, etc. or information obtained, the technologies tobe provided or goods to be exported are suspected of being used for the Development, etc. of chemical
substances, microorganisms, toxins, etc. or space research by the military force or police of a foreigncountry or a person contracted by such military force or police.

□ Yes
□ No

You have other information on the counterparty or intended use requiring verification for security export
control.

□ Yes
□ No

If "Yes" is selected for other information requiring verification in the field above, please describe the reason thereforin this field.

*1

End User List on the Ministry of Economy, Trade and Industry's website. Please make sure to check thelatest information.
http://www.meti.go.jp/policy/anpo/law05.html#user-list*2

Appended Table 4 and Appended Table 3-2 of the Export Trade Control Order. Please make sure to checkthe latest information.
Refer to the Export Trade Control Ordinance at: https://www.meti.go.jp/policy/anpo/law02.html* If “Yes” is selected in any of the items above in this Section, a careful screening is required, in principle.
Therefore, please consult the Research Promotion Division regarding details on the information
requiring verification.

10Form 1 (Related to Article 9)
5. <Provision of Technologies> Judgment on applicability of exemptions under the Foreign Exchange Act(public domain/basic science)
The transaction is the Provision of Technologies in the public domain.
The transaction is the Provision of Technologies in the research activities on basic sciencefields.

□ Yes
□ No
□ Yes
□ No

If “Yes” is selected in any of the items above, please enter the reason in this field, referring to the explanation below.

*The term "Provision of Technologies in the public domain" means:● Provision of Technologies that are already open to the general public via newspapers, books,
magazines, brochures, files in a telecommunication network, etc.;● Provision of Technologies that are available to the general public, such as academic journals,
public patent information, or minutes of open symposiums;● Provision of technologies that are available or audible to the general public at factory tour
courses, lectures, exhibitions, etc.; and● Provision of open source programs.
If the technologies to be provided include any technologies other than “public domain technologies,” you may
not check “Yes.”*"Provision of Technologies in the public domain” refers to the cases where said technologies are available to
the general public.
Please note that the Provision of Technologies in any symposiums or meetings, etc. in which generalpublic cannot participate but only limited persons can does not fall under the category of "Provision ofTechnologies in the public domain.”*The term “technologies on basic science fields” means the research activities that:● mainly aim at investigating the principles on phenomena in the field of natural science;● which are performed by way of theoretical or experimental methods; and● do not aim at designing or manufacturing specific products.
However, even if the research activities mainly aim at investigating the principles on phenomena in the fieldof natural science, such as the research on universe formation process, but the technologies to be provided
include the technologies, etc. used in the research activities aiming at designing or manufacturing specificproducts (such as experimental or observation apparatus), you may not check “Yes.”

11Form 1 (Related to Article 9)
6. Self-check<Provision of Technologies> “Yes” is selected in either or both of the items in "5.
Judgement on applicability of exemptions under the Foreign Exchange Act (public

□ Yes
□ No

domain/basic science)."● If "Yes" is selected, you are not required to make entries in the fields below.

However, in some cases it may not be easy to judge whether the information is in the “public domain/basic
sciences,” so please submit this completed sheet to the Research Promotion Division to have it checked.
This field may be changed to "No" in response to an inquiry or a request for more detailed information by aperson in charge.
● Please note that even if “Yes” is selected in this field (falls under “public domain/basic
science”) but "Yes" is selected in section 4 (there is information requiring verification), you
may be required to submit the Application for Transaction as a result of careful screening
including inquiry by the person in charge.

The technologies or goods described in 3. are clearly not subject to the list control. (*)

□ Yes
□ No

“Yes” is not selected in any items in “4. Information requiring verification about thecounterparty.”

□ Yes
□ No

*For items subject to list control, please refer to "Matrix Table of Goods and Technologies” on the Ministry of
Economy, Trade and Industry's website (http://www.meti.go.jp/policy/anpo/matrix_intro.html).
● If “Yes” is selected for all items in the self-check field, please submit this completed sheet to
the Research Promotion Division.
● If there is at least one "No" in the self-check field, the Application for Transaction Screening
must be submitted.

(After checking the documents, the person in charge may make an inquiry, request for more detailed
information, etc. to the applicant. As a result of inquiries, etc., you may be required to submit the
Application for Transaction Screening.)
For use by the person in charge

General Export Control
ManagerUpon review of the pre-check above, the judgment is given as follows:□ Transaction permitted □ Application for Transaction must be submitted.
Date:
Reference number:

Person in charge

12

Export Control Manager

Research Promotion
Division

Form 1 (Related to Article 9)

Pre-Check Sheet (Acceptance of Foreigners (International Students, Researchers, etc.))
Date of Application:
ApplicantAffiliation, Title, Name:
Contact Info.: Phone

E-mail:* This sheet must be prepared and submitted in advance when considering the Provision of Technologies, etc.
to international students, researchers, visitors, etc.
* Please submit this sheet to the Research Promotion Division at least one (1) month before you accept aforeigner.
1. Person to be accepted□ International student[□ Graduate student □ Undergraduate student □ Research student
Acceptancecategory (check □ Other ( )]□ Researcher/faculty member
the applicable[□ Employed by the University (title:) □ Other (box)□ non-degree student)]□ Temporary Visitor[□ Meeting for research □ Observation of facilities, equipment, etc. □ Other (NameCountry of origin(nationality)
Organization oforiginScheduled
From toacceptanceperiod*If multiple persons from the same department of the same organization are planned to be accepted, please list
the names of all such persons in the “Name” field.
*In the “Organization of origin” field, please enter all organizations to which the person to be accepted has
belonged so far.
2. Prospective host office, etc. and outline of technologies to be provided
Prospective hostundergraduate
school,department, etc.
Name and titleof academic
supervisor andperson who
providestechnologies
Area of research

13)]Form 1 (Related to Article 9)
Research planfor the person to
be accepted

Outline oftechnologies tobe provided* If multiple academic supervisors or persons who provides technologies are anticipated, please list the names
and titles of all such persons in the "Name and title of academic supervisor and person who provide
technologies” field.
* Please fill in the "Research plan for the person to be accepted" and "Outline of technologies to be provided"
fields in as much detail and as specifically as possible. If the space is not sufficient, a separate sheet may be
used and attached.
3. Information requiring verification about the person to be accepted
The organization of origin of the person to be accepted is listed on the End User List (*1).

□ Yes
□ No

The country of origin of the person to be accepted is one of the countries/regions listed in the Appended
Table 4 or Appended Table 3-2 of the Export Order. (* 2)

□ Yes
□ No

Considering the past research topic, etc. of the person to be accepted, the person is suspected of being
involving in the Development, etc. (i.e., development, manufacture, use, or storage) of Weapons of Mass
Destruction, etc. (nuclear weapons, chemical weapons, biological weapons, rockets, unmanned aerial
vehicles), Conventional Weapons, or technologically advanced materials, parts, or products used
therefor.

□ Yes
□ No

You have other information on the counterparty or intended use requiring verification for security export
control.

□ Yes
□ No

If "Yes" is selected for other information requiring verification in the field above, please describe the reason thereforin this field.

14

Form 1 (Related to Article 9)*1

Please refer to the End User List on the Ministry of Economy, Trade and Industry's website(http://www.meti.go.jp/policy/anpo/law05.html#user-list).

*2

Appended Table 4 and Appended Table 3-2 of the Export Trade Control Order. Please make sure to checkthe latest information.
Refer to the Export Trade Control Ordinance at: https://www.meti.go.jp/policy/anpo/law02.html* If “Yes” is selected in any of the items above in this Section, a careful screening is required, in principle.
Therefore, please consult the Research Promotion Division regarding details on the information
requiring verification.
4. <Provision of Technologies> Judgment on applicability of exemptions under the Foreign Exchange Act(public domain/basic science)
The transaction is the Provision of Technologies in the public domain.
The transaction is the Provision of Technologies in the research activities on basic sciencefields.

□ Yes
□ No
□ Yes
□ No

If “Yes” is selected in any of the items above, please enter the reason in this field, referring to the explanation below.

*The term "Provision of Technologies in the public domain" means:● Provision of Technologies that are already open to the general public via newspapers, books,
magazines, brochures, files in a telecommunication network, etc.;● Provision of Technologies that are available to the general public, such as academic journals,
public patent information, or minutes of open symposiums;● Provision of technologies that are available or audible to the general public at factory tour
courses, lectures, exhibitions, etc.; and● Provision of open source programs.
If the technologies to be provided include any technologies other than “public domain technologies,” you may
not check “Yes.”*"Provision of Technologies in the public domain” refers to the cases where said technologies are available to
the general public.
Please note that the Provision of Technologies in any symposiums or meetings, etc. in which generalpublic cannot participate but only limited persons can does not fall under the category of "Provision ofTechnologies in the public domain.”*The term “technologies on basic science fields” means the research activities that:15

Form 1 (Related to Article 9)● mainly aim at investigating the principles on phenomena in the field of natural science;● which are performed by way of theoretical or experimental methods; and● do not aim at designing or manufacturing specific products.
For example, even if the research activities mainly aim at investigating the principles on phenomena in thefield of natural science, such as the research on universe formation process, but the technologies to be provided
include the technologies, etc. used in the research activities aiming at designing or manufacturing specificproducts (such as experimental or observation apparatus), you may not check “Yes.”
5. Self-check“Yes” is selected in either or both of the items in "4. Judgement on applicability of
exemptions under the Foreign Exchange Act (public domain/basic science)."

□ Yes
□ No

● If "Yes" is selected, you are not required to make entries in the fields below.
However, in some cases it may not be easy to judge whether the information is in the “public domain/basic
sciences,” so please submit this completed sheet to the Research Promotion Division to have it checked.
This field may be changed to "No" in response to an inquiry or a request for more detailed information by aperson in charge.
● Please note that even if “Yes” is selected in this field (falls under “public domain/basic
science”) but "Yes" is selected in section 4 (there is information requiring verification), you
may be required to submit the Application for Transaction as a result of careful screening
including inquiry by the person in charge.

Goods subject to list control are not included in "Outline of technologies to be provided" of
2. (*).

□ Yes“Yes” is not selected in any items in “3. Information requiring verification about the person
to be accepted.”

□ Yes

□ No

□ No

*For items subject to list control, please refer to "Matrix Table of Goods and Technologies” on the Ministry of
Economy, Trade and Industry's website (http://www.meti.go.jp/policy/anpo/matrix_intro.html).

● If “Yes” is selected for all items in the self-check field, please submit this completed sheet
to the Research Promotion Division.
● If there is at least one "No" in the self-check field, the Application for Transaction Screening
must be submitted.

(After checking the documents, the person in charge may make an inquiry, request for more detailed
information, etc. to the applicant.

16Form 1 (Related to Article 9)
As a result of inquiries, etc., you may berequired to submit the Application forTransaction Screening.)For use by the person in
chargeGeneral Export Control
ManagerUpon review of the pre-check above, the judgment is given as follows:□ Transaction permitted □ Application for Transaction must be submitted.
Date:
Reference number:

Person in charge

17

Export Control Manager

Research Promotion
Division

Form 2 (Related to Article 10)

Application for Transaction Screening (Provision of Technologies/Export of Goods)
Date of Application:

Outline of Provision of Technologies/Export of Goods

Researchers
providingtechnologies, etc.
Subject(description)

Affiliation:

Title:Name oftechnologies/goods(Amount):__________________<Technolog
ies><Goods>Classification(rows 1–15)

Name:

Appended Table of Foreign Exchange Order:row ( )□ Controlled □ Not controlled□ Unclear/Questionable(Ministerial Ordinance Specifying Goods:
Article , paragraph , item )Appended Table of Foreign Exchange Order:row ( )□ Public domain □ Basic science□ Unregulated□ Controlled □ Not controlled□ Unclear/Questionable(Ministerial Ordinance Specifying Goods:
Article , paragraph , item )Appended Table 1 of Export Order: row ( )□ Public domain □ Basic science□ Unregulated□ Controlled □ Not controlled□ Unclear/Questionable(Ministerial Ordinance Specifying Goods:
Article , paragraph , item )Appended Table 1 of Export Order: row ( )(Ministerial Ordinance Specifying Goods:
Article , paragraph , item )Grounds for the above judgment□ Low value exemptions □ Unregulated□ Controlled □ Not controlled□ Unclear/Questionable□ Low value exemptions □ Unregulated* In particular, when checking any box other than "Controlled," please describe in as much detail and as specifically as
possible in the context of specific details of the technologies/goods to be provided.

Destination
Counterparty ofcontractName(organization)Country:
Name of organization:□ New □ Renewal □ Military-related*Enter website address ()*Attach materials on the organization concerned.

AddressEnduser or
user
Residency
requirements(Provision ofTechnologies)
Intended use by
the counterparty

Name of end-user or user:*Enter website address (*Attach materials on the end-user or user.

)

Whether or not the recipient of the technologies is a resident in Japan:□ Non-resident□ Resident (suspected of providing information again to a non-resident)□ Resident
Description ()□ Related to Weapons of Mass destruction, etc. □ Related to Conventional Weapons □ Related to military affairs□ Unclear/Questionable □ Other (Other than those related to military affairs)
Materials : □ Yes (please attach) □ No

18

Form 2 (Related to Article 10)
I. Weapons of Mass Destruction Catch-all Control
In the case of the provision/export to the countries/regions other than those listed in Appended Table 3 of the

Objective
condition*Please refer to theresults of the Intended
Use Check Sheet andEnd-User Check Sheet as
appended.

Export Order (including countries/regions under the United Nations Arms Embargo), please check theapplicable box in relation to the Weapons of Mass Destruction Catch-all Control:(i) Is there at least one (1) "Yes" in the Intended Use Check Sheet? □ Yes □ No(ii) Is there at least one (1) "Yes" in the End-User Check Sheet?
□ Yes □ No
II. Conventional Weapon Catch-all Control
In the case of the provision/export to the countries/regions under the United Nations Arms Embargo, please checkthe applicable box in relation to the Conventional Weapon Catch-all Control:(i) Is there at least one (1) "Yes" in the Intended Use Check Sheet?

□ Yes □ No(ii) (If "Yes" is selected in (i) ) Is there at least one (1) "Yes" in the exclusion of the intended use requirement at
the bottom of the Intended Use Check Sheet?
□ Yes □ No
III. Are there any unclear points or doubts about the confirmation of objective requirements?
□ Yes □ No

Informedcondition

Have you been informed by the Minister of Economy, Trade and Industry that you should file an application forlicense?
□ Yes □ No

Channel oftransaction

-->

-->

Scheduled contract
date

Scheduledtransaction
periodFrom
to*If there are so many items requiring Classification and one (1) sheet is not sufficient to show all items, please
use two (2) or more sheets.
========================For use by the person in charge==============================Overall judgment result on Transaction (Date of judgment:)
General Export
Control Manager

Export Control
Manager

Reference
number□ Approved
Judgement on
Transaction
screening□ Unregulated□ Conditionally□ General
approved
license□ Report to/consult with the
Ministry of Economy, Trade andIndustry

Conditions fortransaction
approval
Reasons forjudgment above

19

Export Control
Personnel□ Not
controlled□ Specificlicense□ Disapproved

Person in charge□ Exemptions (low value andothers)□ License exceptionForm 2 (Related to Article 10)

Application for Transaction Screening (Acceptance of Foreigners (International Students,
Researchers, etc.))
Date of Application:

Outline of technologies to be taught/provided to foreigners
Person in chargeof acceptance

Person to be
accepted

Classification oftechnologies tobetaught/provided(rows 1–15)

Affiliation:

Title:Name (alphabetic
characters)
Country of origin(country)

Name:

Organization oforiginOrganization:*Enter website address ()*Attach materials on the organization.

Name:Country:

Appended Table of Foreign Exchange Order: row ( ) (Ministerial Ordinance Specifying Goods:
Article , paragraph , item )*When there are multiple row numbers that may be applicable, list all of them.
□ Controlled □ Not controlled □ Unclear/Questionable □ Public domain □ Basic science□ Otherwise unregulated
Appended Table of Foreign Exchange Order: row ( ) (Ministerial Ordinance Specifying Goods:
Article , paragraph , item )*When there are multiple row numbers that may be applicable, list all of them.
□ Controlled □ Not controlled □ Unclear/Questionable □ Public domain □ Basic science□ Otherwise unregulated
Appended Table of Foreign Exchange Order: row ( ) (Ministerial Ordinance Specifying Goods:
Article , paragraph , item )*When there are multiple row numbers that may be applicable, list all of them.
□ Controlled □ Not controlled □ Unclear/Questionable □ Public domain □ Basic science□ Otherwise unregulated
Grounds for the above judgment* In particular, when checking any box other than "Applicable," please describe in as much detail and as specificallyas possible in the context of specific details of the technologies to be provided.

Resident
requirements
Planned/desired
place ofemployment of
the person to be
accepted after
graduation(fill in to theextent of yourknowledge)

Whether or not the person to be accepted is a resident in Japan:□ Resident□ Resident (suspected of providing information again to a non-resident)□ Non-resident
Name (alphabetic Name:character)*Enter website address ()*Attach materials on the person to be accepted.
Address

20

Form 2 (Related to Article 10)
Intended use ofthetechnologies tobe provided[In case ofinternational
students, etc.,
intended use attheplanned/desirered course after
graduation](fill in to theextent of yourknowledge)

Objective
condition

Description ()□ Related to Weapons of Mass Destruction, etc. □ Related to Conventional Weapons□ Related to military affairs □ Unclear/Questionable □ Other (Other than those related to military affairs)
Materials: □ Yes (please attach) □ No

I. Weapons of Mass Destruction Catch-all Control: If the country of origin, organization of origin, or
planned or desired place of employment after graduation of the person to be accepted is any region otherthan those listed in Appended Table 3 of the Export Order (including countries/regions under the United
Nations Arms Embargo), please check the applicable box in relation to the Weapons of Mass Destruction
Catch-all Control:(i) Is there at least one (1) "Yes" in the Intended Use Check Sheet?
□ Yes □ No(ii) Is there at least one (1) "Yes" in the End-User Check Sheet?

*Please refer to theresults of the Intended
Use Check Sheet andEnd-User Check Sheetas appended.

□ Yes □ No

II. Conventional Weapon Catch-all Control: If the country of origin, region of origin, or planned or desired
place of employment after graduation of the person to be accepted is any of the countries/regions under theUnited Nations Arms Embargo, please check the applicable box in relation to the Conventional Weapon
Catch-all Control:(i) Is there at least one (1) "Yes" in the Intended Use Check Sheet?

□ Yes □ No(ii) (If "Yes" is selected in (i) ) Is there at least one (1) "Yes" in the exclusion of the intended use
requirement at the bottom of the Intended Use Check Sheet?
□ Yes □ No
III. Are there any unclear points or doubts about the confirmation of objective requirements? □ Yes □ No

Informedcondition

Have you been informed by the Minster of Economy, Trade and Industry that you should file an application
for license in relation to the organization of origin or the planned or desired place of employment after
graduation of the person to be accepted?

□ Yes □ No

From
to
Scheduledacceptanceperiod*If there are so many items requiring Classification and one (1) sheet is not sufficient to show all items, please
use two (2) or more sheets.

========================For use by the person in charge==============================Overall judgment result on Transaction (Date of judgment:)
General Export
Control Manager

Export Control
Manager

21

Export Control
Personnel

Person in charge

Form 2 (Related to Article 10)
Reference
numberJudgement on
Transaction
screening□ Approved□ Unregulated□ Conditionallyapproved□ Report to/consult with the
Ministry of Economy, Trade andIndustry

Conditions fortransaction
approval

Reasons forjudgment above

22□ Not controlled□ Disapproved□ Exemptions (public domain,basic science, and others)