Security export control

Introduction

Major countries around the world, including Japan, have established an international framework (international export control regime) for export control in cooperation with the international community in order to prevent weapons of mass destruction (nuclear, chemical, or biological weapons or missiles) and goods and technologies that can be converted into arms and items for military use from being provided to nations and terrorists that threaten the security of the international community. In Japan, through the Foreign Exchange and Foreign Trade Act, export control is conducted from the standpoint of security.

At the University of Tsukuba where advanced and high-level education and research activities are conducted, when teachers, staffs and students engage in the following acts they may be subject to the restrictions under the security export control based on the Foreign Exchange and Foreign Trade Act. Thus, it is necessary in advance to make the required confirmations from such a standpoint and, if needed, apply for approval to the Ministry of Economy, Trade and Industry. In the event of violation, criminal punishment or administrative sanctions may be imposed.

Understanding and cooperation by the concerned parties are essential in order for the University to perform thorough export control. The University’s export control procedures have been organized into this homepage, and I encourage you to utilize it on campus.

What is security export control?

Preventing weapons of mass destruction from being provided to nations and terrorists that threaten the security of the international community is an international challenge. In Japan, regarding the export of materials, equipment and other commodities affiliated with the development, manufacturing of weapons of mass destruction and conventional weapons, as well as transfer of the related technologies to nonresidents, the minimum necessary control is conducted based on the Foreign Exchange and Foreign Trade Control Law (hereinafter referred to as the “Law”).

When exporting (transmitting) goods and technologies restricted under the Law, it is necessary to obtain approval from the Minister of Economy, Trade and Industry. The restrictions under the Law and other regulations are based either on multilateral export control regimes, such as Wassenaar Arrangement(WA), Nuclear Supplies Group(NSG), Australia Group(AG) and Missile Technology Control Regime(MTCR).

Export under security export control refers to sending or carrying goods or technical information to a foreign country. The followings are basic terms related to export control.

Technology transferrefers to the transfer of technology to a foreign country, export of specified recording media for the purpose of technology transfer, information transmission through telecommunication, and technology transfers to nonresidents.
Export of goodsrefers to shipping goods abroad (including shipping within the country of goods that will clearly be shipped to a foreign country) or carrying goods to a foreign country.
Service transactionrefers to the transfer of technology or export of goods.
Transaction examinationrefers to, in addition to classification, making a decision whether or not to conduct the relevant service transaction as the University based on the end-user of the service transaction or the end-use of the technology.
*The above is an excerpt from Article 3 of the Rule for Security Export Control, University of Tsukuba

List Control and Catch-all Control

Whether goods or technology is subject to control is confirmed from the standpoints of specifications, end-user, and end-use of the goods/technology. First, it is necessary to confirm the List Control, and then, depending on the country and institution, the Catch-all Control is confirmed. Applicable restrictions will differ depending on the country, institution, etc., to which the goods and the technology are exported or transferred.

１－(1) List Control	Restrictions on the export of goods related to arms, weapons of mass destruction, conventional arms, etc., listed in items 1 to 15 of Appended Table 1 of the Export Trade Control Order, as well as the restrictions on the provision of the technologies listed in items 1 to 15 of the Appended Table of the Foreign Exchange Order. These lists include many consumer products that can be converted into items for military use and technologies related thereto; therefore, even if the research theme is not closely related to military affairs, the goods may still correspond to one of the items in the list.
１－(2) Catch-all Control (weapons of mass destruction) (conventional arms)	These restrictions are confirmed after confirming the List Control. They are applicable when, based on the end-use by the end-user and end-user’s information, the service transaction may be used for the development of nuclear weapons or development of conventional weapons. Almost all goods other than food and timber, as well as the technologies related thereto, are subject to the restrictions.

１－(1)
List Control

Restrictions on the export of goods related to arms, weapons of mass destruction, conventional arms, etc., listed in items 1 to 15 of Appended Table 1 of the Export Trade Control Order, as well as the restrictions on the provision of the technologies listed in items 1 to 15 of the Appended Table of the Foreign Exchange Order. These lists include many consumer products that can be converted into items for military use and technologies related thereto; therefore, even if the research theme is not closely related to military affairs, the goods may still correspond to one of the items in the list.

１－(2)
Catch-all Control
(weapons of mass destruction)
(conventional arms)

These restrictions are confirmed after confirming the List Control. They are applicable when, based on the end-use by the end-user and end-user’s information, the service transaction may be used for the development of nuclear weapons or development of conventional weapons. Almost all goods other than food and timber, as well as the technologies related thereto, are subject to the restrictions.