Form12-2
Date:

Pledge (for non-residents)
To: President of Yokohama National University
Affiliation:
Full name:
Email address:
Destination of YNU:
I hereby pledge to comply with the following items regarding my visit to Yokohama National
University (research facilities, laboratory visits, technical meetings, etc).
1.

During enrollment or employment or any as such at Yokohama National University, I will
neither provide nor carry out any property belonging to the University without a permission. In
any of the following cases, I will consult my supervisor or the export control manager and, ifnecessary, take the prescribed procedures based on the Foreign Exchange and Foreign Trade Act,related laws and regulations, and the internal regulations of the University.

(1) In the case that I intend to provide technical information related to a research to a foreign country
or to a non-resident or a resident under the significant influence of a non-resident (i.e., a person
falling under the “Specific Categories”.) during this period, or in the case that it becomes clear
during this period that I will provide such information after leaving the University.
(2) In the case that I intend to export (send, take abroad, etc.)research equipment, materials used inresearch, or tangible objects by a research during this period, or in the case that it becomes clear
during this period that I will export these items after leaving the University.
2． I will not use the technical information obtained by a research for the development, production,use, or storage of weapons of mass destruction (WMD) (nuclear weapons, chemical weapons,biological weapons, WMD delivery systems such as missiles, and unmanned aerial vehicles,
conventional weapons, or materials, components, or products used in these weapons. I will use
such technical information only for civil purposes.

※ Regarding to the “Specific Categories”, please refer to Page 4 ofhttps://www.ripo.ynu.ac.jp/wp-content/uploads/2022/10/en_daigaku.pdf

Form10-2
Date:
Confirmation Letter regarding the Applicability of the Specific Categories forCompliance with Article 25 (1) and (2) of the Foreign Exchange and Foreign Trade Act
To: President of Yokohama National University
Affiliation:
Full name:
Email address:
Destination of YNU:
I understand when [Yokohama national University] transfers technology to a resident
who falls under the clauses 1(3)サ ① or ② of the "Notification for Transactions orActs of Transferring Technology Requiring Permission pursuant to Article 25 (1) of theForeign Exchange and Foreign Trade Act and Article 17 (2) of the Foreign Exchange
Order" (Document No. 492 of the Trade Bureau published on December 21, 1992;
hereinafter referred to as the "Notification for Technology Transfer"), [Yokohama
National University] is likely to be required to obtain a license from the Minister ofEconomy, Trade, and Industry pursuant to Article 25 (1) and (2) of the Foreign Exchangeand Foreign Trade Act, and, for the sake of compliance by [Yokohama NationalUniversity] with the clauses 1(3)サ① or ② of the Notification for Technology Transfer,
I hereby confirm that I:☐ fall under the category (1) below.
☐ fall under the category (2) below.
☐ fall under the categories (1) and (2) below.
☐ DO NOT fall under any of the categories below and no confirmation is required.
(1) A Person who has entered into an employment contract, a delegation contract, aservice contract, or any other contract with a corporation or any other organization
established under the foreign laws and regulations (except for its branch offices, localoffices or other offices in Japan, hereinafter referred to as a "Foreign Corporation"), ora foreign government, a foreign governmental agency, a foreign local government, aforeign central bank, a foreign political party or any other political organization(hereinafter referred to as a "Foreign Government") and is subject to the direction andorder of the Foreign Corporation or the Foreign Government, or owes the duty of care

of a good manager to the Foreign Corporation or the Foreign Government, according
to the contract, except for either of the following cases.
(a) In the case where the Person has entered into an employment contract, a delegation
contract, a service contract, or any other contract with a Japanese corporation andis subject to the direction and order of the Japanese corporation or owes the duty ofcare of a good manager to the Japanese corporation, according to the contract, theJapanese corporation or the Person has agreed with the Foreign Corporation or theForeign Government that the direction and order of the Japanese corporation or theduty of care of a good manager to the Japanese corporation shall prevail over thedirection and order of the Foreign Corporation or the Foreign Government, or theduty of care of a good manager to the Foreign Corporation or the ForeignGovernment.
(b) In the case where the Person has entered into an employment contract, a delegation
contract, a service contract, or any other contract with a Japanese corporation andis subject to the direction and order of the Japanese corporation or owes the duty ofcare of a good manager to the Japanese corporation, according to the contract, thePerson has entered into an employment contract, a delegation contract, a service
contract or any other contract with a Group Foreign Corporation (a ForeignCorporation that directly or indirectly holds 50% or more of the voting rights of theJapanese corporation or a Foreign Corporation of which 50% or more of the voting
rights are held by the Japanese corporation. The same shall apply hereinafter.) andis subject to the direction and order of the Group Foreign Corporation or owes theduty of care a good manager to the Group Foreign Corporation, according to thecontract.
(2) A Person who earns or agrees to earn a large amount of money or other significant
profit (money or other profit that accounts for 25% or more of the Person’s annual
income when converted into money) from a Foreign Government.
Note1:This letter will be used for the purpose of thorough security export control and risk
management at the University.
Note2: This letter may be shared with relevant sections for the purpose of export control.
Note3: If there is any change in the above specific category, please submit this letter again.

Appendix 1: “Letter of Confirmation” to submit to your organization
Confirmation Letter regarding the Applicability of the SpecificCategories for Compliance with Article 25 (1) and (2) of theForeign Exchange and Foreign Trade Act
To:
Date:
Address:Name:
I understand when [INSERT ENTITY NAME] transfers technology to aresident who falls under the clauses 1(3)サ① or ② of the"Notification for Transactions or Acts of Transferring Technology
Requiring Permission pursuant to Article 25 (1) of the Foreign
Exchange and Foreign Trade Act and Article 17 (2) of the Foreign
Exchange Order" (Document No. 492 of the Trade Bureau publishedon December 21, 1992; hereinafter referred to as the "Notification forTechnology Transfer"), [INSERT ENTITY NAME] is likely to berequired to obtain a license from the Minister of Economy, Trade, andIndustry pursuant to Article 25 (1) and (2) of the Foreign Exchange
and Foreign Trade Act, and, for the sake of compliance by [INSERTENTITY NAME] with the clauses 1(3)サ① or ② of the Notification forTechnology Transfer, I hereby confirm that I:□ fall under the category (1) below.
□ fall under the category (2) below.
□ fall under the categories (1) and (2) below.
□ DO NOT fall under any of the categories below and no confirmationis required.

Check this box if you fall under Category 1. (cf. Page
4 of this material)
You fall under Category 1 if you have contractedwith a foreign government or a foreign
corporation.
The following cases are the exceptions of Category 1.
‐ You are employed by a group company of theJapanese company that you work for; or‐ The order and direction of the Japanese company
that you work for supersede that of a foreign
government or foreign company, based on theagreement between the Japanese company or you
and the foreign government or the foreigncompany.

Please check this box if you fall under Category 2.
You fall under Category 2 if you earn a large
amount of money or other significant profit fromforeign government.
* “A large amount of money” means profit that
accounts for 25% or more of your annual income.

Please check this box if you fall under both Category
1 and 2.
Please check this box if you do not fall underneither Category 1 nor 2.
1

Appendix 2: The flowchart to Check regarding Category 1
Have you entered into an employment
contract (i.e., temporal or physical obligation
regardless of its name), a delegation contract
as a board member with a foreign corporation(including a foreign university) or a foreigngovernment?

NOYou do NOT fall under
Category 1.

YES
Is there any agreement that confirms thedirection or the duty of care according to thecontract with your organization in Japan (i.e.,the destination of your letter of confirmation)
supersedes the direction or the duty of careaccording to the contract with your foreign
corporation or foreign government?

YES
You do NOT fall under
Category 1.

NOIs the foreign corporation with which you
have contracted a group company of yourorganization in Japan (i.e., the destination ofyour letter of confirmation)?

YESNOYou MIGHT fall under
Category 1.
Please check the original text ofthe “Notification for TechnologyTransfer.”

2Appendix 3: The flowchart to Check regarding Category 2
Do you earn or agree to earn, as anindividual not in the name of youruniversity or laboratory, a large
amount of money or other significant
profit from a foreign government?

NOYou do NOT fall under
Category 2.

NOYES
Does the profit account for 25% ormore of your annual income whenconverted into money?

YESOrI don’t know

You MIGHT fall under
Category 2.
Please check the original text of
the “Notification for Technology
Transfer.”3