Procedures for "Deemed Export" for Security Export Control
In order to strengthen the prevention of leakage of sensitive technology related to security,"Deemed Export Control" was clarified and related laws and regulations were revised (effective
May 1, 2022).
As a result, our university has decided to require all applicants to our graduate school toconfirm the applicability of Specific Categories.
Please check the corresponding items at the “Confirmation of Specific Categories” on the
web application system.

◆All applicants (including Japanese nationals) to the graduate school of the
University must be confirmed.
◆Contents to be checked
Check whether or not you fall under category (1) or／and category (2) on the attached " SelfDeclaration on Specific Categories form".
（Please refer to the Q&A about “Specific Categories "）※Please confirm accurately whether or not you fall under any of specific categories. Please
note that if you confirm something that is not true, you may not be able to receive theeducation or conduct research you desire after admission◆Contact
Office of Conflict of Interest and Security Export Control, University of Tsukuba
E-mail anzenhosyo@un.tskuba.ac.jp

Ver.202209

Form 5

Please check the following contents and check the corresponding dd/mm/yyyy
items on the web application system. This form does not need to besubmitted.
Self-Declaration on Specific Categories
To the President of the University of Tsukuba:(Acceptance)Department inUniversityofTsukuba

Name in block letters
Signature
I understand that when the University of Tsukuba transfers technologies to a resident who falls undercategory (1) or (2) described below, the University may be required to obtain a license from the Minister of
Economy, Trade and Industry, and hereby take a pledge on whether I fall under category (1) or (2) for thesake of the University’s compliance with laws and regulations as follows:

I“Foreign” in this form means any country other than Japan.

☐ fall under category (1) below.

Category (1) is the category of those who have entered into an employment contract or any other contract with aforeign government, corporation, etc. (including foreign universities and research institutes).
Specifically, this category includes
1) a person who belongs to the University of Tsukuba and is engaged in research, and also maintains
employment in a foreign company *1,
2) a person who has the status of student and is involved in the management of a foreign venture company*1,and3) a person who concurrently works at a foreign university, etc. (including the case where he/she works under
the cross-appointment system).
*1: Japanese subsidies of foreign companies are not included.

☐ fall under category (2) below.

Category (2) is the category of those who are provided with large*2 economic benefits by a foreign government,※Since the Japanese Government (Monbukagakusho) Scholarship is
etc.
a scholarship from Japan, it does not fall under the category of "foreign
Specifically, this category includes country" and does not fall under Category (2)1) a person who is provided with large*2 funds for studying abroad by a foreign government, etc. and2) a person 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 anindividual.
*2: Refers to money and other benefits that account for 25% or more of the person’s annual income.

☐ do not fall under either of these categories.

If I come to fall under category (1) or (2) in the future, I will notify the University to that effect by submitting theself-declaration on specificcategories again.

Note 1: Check all that apply.
Note 2: When your status is changed regarding these categories, please notify the University to that effect bysubmitting the self-declaration on specific categories again.
Note 3: The contents of this self-declaration form may be shared with those concerned if necessary for export control in the
University of Tsukuba.

About “Specific Categories"

2022.May

regulated by the Foreign Exchange and Foreign Trade Act

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 atechnology transfer to a resident (including Japanese) who falls under a specific category is subject to control
under the Foreign Exchange and Foreign 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, andinternational faculty members and researchers who work at the University of Tsukuba. Residents who are strongly
influenced by a foreign non-resident, like resident C’ after the review in the above figure, fall under one or more of thefollowing 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 a foreign 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/sheworks under the cross-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 a foreign 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 SelfDeclaration on Specific Categories is not intended to apply unreasonably disadvantageous treatment to you, but to ensure theUniversity’s compliance with laws and regulations in response to the review of deemed export controls following the amendments oflaws 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.

Q&A about “Specific Categories”* Excerpt from a website of the Ministry of Economy, Trade and Industry (METI) listing questions and answers 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.

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 for exception
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 notnecessarily required to conclude a written contract, pledge, etc. In short, if
the order of priority of directions and orders or the duties of care of a goodmanager is agreed upon explicitly or implicitly in the group company
rules or based on established practices, it is allowed to claim thatexception 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 of directions
and orders with a corporation that is not a group company, METI may
require submission of documents, etc. that certify the presence andcontents of such agreement.

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.

<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.

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-all
Control.
Q5: Is it correct to think that if a corporation, etc. treats an employee who
refused 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.

Q10: Professor A at Japanese university X is provided with funds for research bya 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 amounts ofmoney or other significant benefits in the context of specific category (2)?
A10: If the funds for research become part of the income of Japanese university
X or the receiver’s (professor A’s) laboratory rather than his/her income
under the control of the university’s personnel in charge of fundmanagement, the funds do not constitute such benefits in the context ofspecific category (2).
On the other hand, if the funds for research become part of the receiver’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 fromsuch benefits accounts for 25% or more of the receiver’s annual income.
Such benefits should be converted to a monetary amount by using acommon method used in general business practices.
Q12: I was consulted by a faculty member or employee who has received thetitle of professor emeritus from a foreign university about whether thisposes a problem. Should the faculty/staff member be treated as a person
who falls under category (2)?
A12: The faculty member or employee need not be treated as a person who falls
under category (2) just because he/she has received the title of professor
emeritus.
Q13: Documents submitted by a student show that he/she was awarded ascholarship from a foreign government, etc., but for what percent of
his/her annual income the scholarship accounts is unknown. In this case, isit correct to consider such a student not to be a person who obviously falls
under specific category (2)?
A13: Generally, when students are awarded a scholarship from a foreign
government, etc., such a scholarship accounts for a large part of theirannual income. Therefore, consider them to fall under category(2).
However, if it is found later by checking documents or by other additional
means that the scholarship accounts for less than 25% of the student’s
annual income, he/she can be considered not to fall under category (2).

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