export-control-intake

Security Export Control Intake

What This Does

Organize initial information for consulting the export control officer regarding joint research with overseas institutions, technical provision, overseas shipment of samples, equipment, software, and data, acceptance of foreign researchers and international students, technical explanations in online meetings, etc. Do not perform classification determinations or transaction reviews; create confirmation forms and consultation materials.

• Target Users: URA, research support staff, PI, international collaboration staff, departmental administration
• Issues to Solve: Not knowing what may be subject to export control confirmation, leading to delays in consultation
• Expected Effects: Reduce omissions in confirming technical provision, cargo export, counterparties, and end uses

Required Inputs

• Case Overview: Joint research, overseas shipment, technical explanation, acceptance, international conferences, etc.
• Counterparty: Institution name, country/region, contact person, affiliation, end user
• Provided Content: Technology, data, software, samples, equipment, drawings, know-how
• Use: Research purpose, place of use, end use, whether re-provision will occur
• Timing/Method: Shipment date, meeting date, cloud sharing, email, carrying out, mailing
• Related Materials(Optional): Research plan, draft contract, equipment specifications, data description, invitation materials

What It Produces

1. Export Control Confirmation Form Draft: Counterparty, use, provided content, timing, method
2. Provided Items List: A table separating goods, technology, data, software, and samples
3. Counterparty/Use Confirmation List: Country, institution, purpose of use, whether re-provision will occur
4. Consultation Email to Export Control Officer: Request with background, confirmation items, and attached materials
5. Hold Action List: Work to stop until confirmation is complete

Procedure

1. Break down what will be provided

Type	Example	Confirmation Point
Goods	Equipment, samples, parts, chemicals	Overseas shipment, carrying out
Technology	Drawings, experimental conditions, manufacturing methods, know-how	Email, meetings, cloud sharing
Software	Code, models, analysis tools	License, provision method
Data	Experimental data, design data, personal information	Content, disclosure scope, contract
Acceptance of People	International students, foreign researchers, visitors	Access scope, research content

2. Organize the counterparty and use

| 相手先 | 国・地域 | 所属 | 役割 | 用途 | 最終需要者 | 再提供の有無 | 未確認事項 |
|--------|----------|------|------|------|------------|--------------|------------|

Do not judge based only on the country name or affiliation; confirm with the export control officer.

3. Create a draft confirmation form

## 輸出管理確認票ドラフト

- 案件名:
- 目的:
- 相手先:
- 提供内容:
- 提供方法:
- 提供時期:
- 用途:
- 関連契約:
- 添付資料:
- 確認したい事項:

4. Specify the work to be stopped until confirmation is complete

| 作業 | 状態 | 止める理由 | 再開条件 | 担当 |
|------|------|------------|----------|------|

Examples: sending detailed drawings, sharing unpublished code, mailing samples overseas, inviting to a cloud folder.

5. Consult the export control officer

件名: [輸出管理確認] {案件名} について

下記案件について、輸出管理上の確認をお願いいたします。

案件概要:
- {概要}

相手先・用途:
- {相手先}
- {用途}

提供予定:
- {提供物}
- {方法}
- {時期}

確認したい事項:
- 該非判定・取引審査の要否
- 確認完了まで保留すべき作業

Judgment criteria

Judgment item	Points to check	Action
Provided content	Whether it is technology, goods, data, or software	Organize by type
Counterparty	Country, institution, contact person, end user	If unconfirmed, put it on the confirmation form
Use	What it will be used for	Record the use confirmation
Provision method	Email, meeting, cloud, mail, taking out	Record by method
Pre-start conditions	Whether it may proceed before confirmation is complete	Make it a pending task

Common mistakes and countermeasures

Mistake	Countermeasure
Thinking it is irrelevant if nothing is sent	Include technology provision and cloud sharing in the scope of confirmation
Making one's own judgment based only on the country name	Give the counterparty, use, and provided content to the export control officer
Explaining detailed technology in an online meeting	Confirm the provided content in advance
Not deciding the access scope for international students and visitors	Organize the research content and access permissions before acceptance

Quality standards

• The provided content, counterparty, use, method, and timing are organized
• RA is not substituting for classification judgment or transaction review
• The work to be held until confirmation is complete is specified
• There is connection with contracts, international collaboration, safety, and information management

Available Tools

• Read: Reading research plans, draft contracts, equipment specifications, data descriptions, and invitation materials
• Write: Creating confirmation forms, provided item lists, consultation emails, and pending lists
• WebSearch / WebFetch: Confirming counterparty public information and affiliated institution public contact points
• Bash: Formatting the provided item list, counterparty table, and deadline table