To faculty members and employees, researchers, and graduate students (non-degree research students)

Please check your status without fail. Do you fall under one of the specific categories?

As of May 1, 2022, due to the revision of laws and regulations, the scope of regulation
for the provision of technology in Japan has been changed.
Previously, technology transfers from one resident to another were not subject to control, but now a technology transferto a resident (including Japanese) who falls under a specific category is subject to control under the Foreign Exchange andForeign Trade Act after the review of deemed export controls.

*Translation of partial excerpt from a website of the Ministry of Economy, Trade and Industry (METI) on the clarification of deemed export controls

Residents include Japanese residents as well as international students who entered Japan at least 6 months prior, and international
faculty members and researchers who work at the University of Tsukuba. Residents who are strongly influenced by a foreign nonresident, like resident C’ after the review in the above figure, fall under one or more of the following three specific categories:

Specific category (1) is the category of those who are under the control of a foreign government, foreign corporation, etc. (including
universities and research institutes) based on a contract.
Example 1) Researcher who belongs to the University of Tsukuba and is engaged in research while maintaining employment in aforeign company*1
Example 2) Student who is involved in the management of a foreign venture company*1
Example 3) Faculty member who concurrently works at a foreign university, etc. (including the case where he/she works under thecross-appointment system)*1: Japanese subsidiaries of foreign companies are not included.
Specific category (2) is the category of those who are effectively under the control of a foreign government, etc. based on economic
benefits provided by them.
Example 1) An international student who is provided with large*2 funds for studying abroad by a foreign government, etc.
Example 2) Faculty member or researcher who participates in a science and engineering personnel recruiting program sponsored by aforeign government, etc. and is provided with large*2 funds for research and/or living expenses as an individual*2: Refers to money and other benefits that account for 25% or more of the person’s annual income.
Specific category (3) is the category of those operating in Japan at the behest of a foreign government, etc.
Example 1) Person who receives instructions or requests regarding his/her operations in Japan from a foreign government, etc.
[The METI expects to notify companies, universities, etc. of those who are suspected of falling under specific category (3).]Check whether you fall under any of these specific categories based on the Self-Declaration on Specific Categories. The Self-Declaration on SpecificCategories is not intended to apply unreasonably disadvantageous treatment to you, but to ensure the University’s compliance with laws and regulations
in response to the review of deemed export controls following the amendments of laws and regulations.
Reference: Website of METI on the clarification of deemed export controls
https://www.meti.go.jp/policy/anpo/anpo07.html* A website describing deemed export controls for university faculty members, employees, and students.

If you were employed or enrolled in school before May 1, 2022, and are considered to fall under the above specific categories (1) to(3), you may apply for the following.
Please download the "Specific Type Self-Assessment Form" from the website below, fill it out, and submit it.
https://coi-sec.tsukuba.ac.jp/member-only/yosiki/
Submission to: Students to their academic advisor, faculty/staff/researchers to the administrative organization (Area Support Office, etc.)that has jurisdiction over their organization.

Q&A about specific categories* Excerpt from a website of the Ministry of Economy, Trade and Industry (METI) listing questions andanswers about the clarification of deemed export controls. Partially amended for the University.

<General Q&A about specific categories>
Q1: Do foreign governments, etc. in the context of specific categories include(1) to (4) below?
(1) Government-run companies or publicly owned companies(2) National and public universities and research institutes(3) United Nations and other international organizations(4) Public organizations equivalent to independent administrative
institutes in Japan
A1: Foreign governments, etc. refer to foreign governments, foreign
government agencies, foreign local governments, foreign central banks,
and foreign political associations including political parties.
(1) to (3), in principle, are not deemed to be a foreign government, etc.
as long as they have a separate legal body from the government.
(4) may, as a foreign government agency, be deemed to be a foreign
government, etc.
Q2: Do foreign corporations, etc. in the context of specific categories include
branches of foreign corporations located in Japan?
A2: Foreign corporations, etc. refer to corporations and other associations
established based on foreign laws and regulations. Branches of foreign
corporations located in Japan are not included in foreign corporations,etc. in the context of specific categories.
Q3: Do persons who fall under specific categories include juristic persons andother associations? Does it include both residents and non-residents?
A3: Persons who fall under specific categories are limited to residents who arenatural persons.
Q4: Is technology transfer to residents who fall under a specific category
subject to the Catch-all Control?
A4: Yes, it is.
In the event that resident A transfers a technology that constitutes item
16 in the appended table of the Foreign Exchange Order to resident B,and resident B is influenced by non-resident C (or resident B falls undera specific category), a license must be obtained if the use of thetechnology by non-resident C meets the requirements of the Catch-allControl.
Q5: Is it correct to think that if a corporation, etc. treats an employee whorefused to submit a pledge as a person who does not fall under any
specific category, that they are fulfilling their duty of care as acorporation, etc.?
A5: No, it is not. If a notification is not made by an employee under theirdirection and order to the effect that he/she does not fall under any
specific category, the probability that he/she may fall under one or more
specific categories cannot be eliminated. If a technology subject tocontrol under the Foreign Exchange and Foreign Trade Act istransferred to that employee, they, in principle, are not considered tohave fulfilled their duty of care as a corporation, etc. Consequently, it isnecessary to consider limiting technologies transferred to that employee
to publicly known or basic scientific/research technologies or to takeother measures.
It is expected that requiring employees to submit a self-declaration on
categories will be considered a part of the conflict of interest control
that corporations, etc. are supposed to conduct.
Q6: If an employee comes to fall under a specific category, how should it bedealt with?
A6: You are expected to apply for a license when you transfer a technology
subject to control under the Foreign Exchange and Foreign Trade Act tothat employee.
<Q&A about specific category (1)>Q7: Professor A at Japanese university X concurrently works as a professor atforeign university Y. Does professor A fall under specific category (1)?

A7: In general, professor A falls under specific category (1) unless exception
provision (a) or (b) regarding specific category (1) applies.
In brief, exception provisions (a) and (b) are the cases described below:(a) Case in which there is an agreement to the effect that directions andorders given to professor A by Japanese university X have priority overthose given by foreign university Y.
(b) Case in which a person employed by an ordinary Japanese company
has also entered into an employment contract or any other contract witha foreign subsidiary that is a group company (with more than 50% of its
capital owned directly or indirectly by the Japanese company).
Generally, this exception does not apply to universities.
Q8: Is it necessary to conclude a contract on the order of priority of directions
and orders or the duties of care of a good manager in order forexception provision (a) to apply regarding specific category (1)?
A8: It is required that an agreement on the order of priority of directions andorders or the duties of care of a good manager be reached, but you are
not necessarily required to conclude a written contract, pledge, etc. In
short, if the order of priority of directions and orders or the duties ofcare of a good manager is agreed upon explicitly or implicitly in thegroup company rules or based on established practices, it is allowed toclaim that exception provision (a) regarding specific category (1)applies on the grounds of this agreement.
On the other hand, for an agreement on the order of priority ofdirections and orders with a corporation that is not a group company,
METI may require submission of documents, etc. that certify thepresence and contents of such agreement.
<Q&A about specific category (2)>
Q9: Do persons who are provided with large amounts of money or othersignificant benefits in the context of specific category (2) include those
who have previously received such benefits?
A9: No, not in principle.
On the other hand, if a person has previously received benefits from aforeign government, etc. in the form of a loan, etc., and they owe theforeign government, etc. an obligation that is due and payable or has nodue date set, the person is considered to have being receiving a benefit
in the form of the nonuse of the right to claim the execution of theobligation.
Q10: Professor A at Japanese university X is provided with funds for research
by a foreign government, etc. The use of the funds is limited to costs forresearch, and they cannot be used for costs for personnel including thereceiver. In this case, do the funds for research constitute large amountsof money or other significant benefits in the context of specific category(2)?
A10: If the funds for research become part of the income of Japaneseuniversity X or the receiver’s (professor A’s) laboratory rather thanhis/her income under the control of the university’s personnel in chargeof fund management, the funds do not constitute such benefits in thecontext of specific category (2).
On the other hand, if the funds for research become part of thereceiver’s (professor A’s) income, they constitute such benefits.
Q11: If benefits other than money are received, how should such benefits beconverted to a monetary amount?
A11: If benefits other than money are received from a foreign government,etc., it needs to be determined whether the monetary amount converted
from such benefits accounts for 25% or more of the receiver’s annualincome. Such benefits should be converted to a monetary amount byusing a common method used in general business practices.
Q12～Q14 are omitted.
Please check our website for the rest.

Office of Conflict of Interest and Security Export Control, University of Tsukuba
1-1-1 Tennodai, Tsukuba 305-8577, Japan / Tel: 029-853-2877 / Fax: 029-853-5816
E-mail anzenhosyo@un.tsukuba.ac.jp

https://coi-sec.tsukuba.ac.jp/