Tokyo University of Agriculture and Technology, Regulations on Handling Tangible Objects Resulting from Researchand Development
Regulation No. 54, 16-Kei/Kyou, April 7, 2004.
Amendment

Regulation No. 16, 21, April 1, 2009
Regulation No. 38, August 1, 2013.

Regulation No. 27, June 24, 2013.

CONTENTS
Chapter 1 General Provisions (Article 1-Article 6-2)
Chapter 2 Administration (Article 7, Article 8)
Chapter 3 Contract (Article 9-Article 13)
Chapter 4 Miscellaneous (Article 14-Article 16)
Supplementary Provisions
Chapter 1 General Provisions
Article 1 Purpose
The purpose of these Regulations covering the handling of tangible objects constituting the results of research anddevelopment for Tokyo University of Agriculture and Technology (hereinafter referred to as "TUAT") (hereinafterreferred to as "Resulting Tangible Object"), is to facilitate appropriate, competent management of Resulting Tangible
Objects by prescribing matters required in an agreement for the acquisition, management and provision etc. of Resulting
Tangible Objects in order that Resulting Tangible Objects can be employed smoothly in research and development forindustry and for the benefit of academic research.
Article 2 Applicable Regulations etc.
These Regulations prescribing the handling of Resulting Tangible Objects are made based on Article 28 of the Tokyo
University of Agriculture and Technology Accounting Rules, and in the light of the substance of the Report on Survey
concerning Handling of Research and Development Results (Report on Survey concerning Handling of Research andDevelopment Results, May, 2002), the Guidelines for the Handling of Tangible Objects As Research and Development
Results (Ministry of Education, Culture, Sports, Science and Technology Notice 14 Shinkansan No. 22 July 31, 2002,
hereinafter referred to as "Notice 14 Shinkansan No. 22") and the Unfair Competition Prevention Act (Act No. 47 ofMay 19, 1993).
Article 3 Reversion of Ownership Rights in a Resulting Tangible Object
In order to facilitate utilization at a venue of research and development where intellectual property is nurtured, of a
Resulting Tangible Object that is attained as a result of research and development by an officer or employee of TUAT
(hereinafter referred to as "TUAT Executive/Employee"), in such a manner that enables smooth and appropriate
handling and distribution, in principle, the ownership rights in such Resulting Tangible Object shall vest in TUAT,
provided that the vesting of ownership rights in a Resulting Tangible Object attained by a TUAT executive/employee incollaboration with an external organization (including a private organization such as an enterprise etc., and a foreignorganization, hereinafter referred to as "External Organization") shall be handled in conformance with the prescriptionsof the agreement etc. with such External Organization, and relevant laws and regulations.
Article 4 Scope of Resulting Tangible Object
The scope of Resulting Tangible Object encompasses a tangible object (excluding a thesis, lecture, database, program or
anything associated with the copyright therein) having academic value as prescribed in any of the following and atangible object intricately associated with intellectual property pursuant to Article 3 of the Tokyo University ofAgriculture and Technology Intellectual Property Management Regulations (hereinafter referred to as "IntellectualProperty"), being a material, specimen (microorganism, new material, soil, rocks and stones, new plant variety etc.),
strain, experimental animal, trial piece or model etc. corresponding to any of the following.
(1) An object attained or created during research and development, that indicates the achievement of the purpose of theresearch and development.
(2) An object attained or created during research and development, used to attain an object pursuant to the precedingitem.
(3) A created or attained object derived when an object pursuant to the preceding 2 items above was attained or created.
(4) An object for which it is necessary to provide arrangements covering Intellectual Property and maintenance ofconfidentiality, determined as being suitable for handling as a Resulting Tangible Object that is provided or attained
otherwise then as prescribed in the preceding 3 items.
Article 5 Definition of TermsIn these Regulations, the following terms take their meanings as defined below.
(1) "Create" means newly creating a Resulting Tangible Object as intellectual property in the course of research, andplacing said Resulting Tangible Object under the control of TUAT.
(2) "Acquire" means to newly place under the control of TUAT, a Resulting Tangible Object by way of purchase,transfer free of charge or borrowing etc.
(3) "Provision" means to remove from the direct control of TUAT by way of transfer or loan to a party outside of TUAT,a Resulting Tangible Object.
(4) "Keep" means to maintain the qualities etc. of the Resulting Tangible Object.
(5) "Overseas Organization etc." means an organization etc. determined as being a non-resident as prescribed throughoperation and interpretation of the Article 6-1-5, 6 (Determination Standards for Residence) of the Circular Notice ofMinistry of Finance (Zoukoku No. 4672, November 29, 1980).
Article 6-1 Utilization of Resulting Tangible Object
TUAT enables Resulting Tangible Objects to be used for research and development by research organizations andresearchers by facilitating their smooth provision and appropriate handling, and by creating suitable contractual
arrangements etc., makes a broad contribution to society at large by enabling Resulting Tangible Objects to be appliedfor industrial use.
Article 6-2 Compliance with Safe Export Management Systems
In the provision of a Resulting Tangible Object to an Overseas Organization etc. the prescriptions of the Foreign
Exchange and Foreign Trade Act (Act No. 228 of 1949) and all cabinet orders, ordinances or notifications pursuant
thereto, as well as the Tokyo University of Agriculture and Technology Safe Export Management Regulations and otherinternal TUAT regulations must be complied with.
Chapter 2 Administration
Article 7 Methods of Managing Resulting Tangible Objects
There are many different Resulting Tangible Objects created and acquired by TUAT of various different kinds.
Accordingly these are managed according to appropriate and rational systems and methods at TUAT, depending on thenature and asset value of the object concerned and in the light of the applicable regulations etc.
Article 8 Management Systems for Resulting Tangible Objects
1. The management systems pursuant to the preceding article are as follows(1) In the case of a Resulting Tangible Object as prescribed in Article 4, that has particularly high academic or asset
value and concerning which it is considered appropriate from the perspective of the University as a whole, to be
managed by the organization as a whole (hereinafter referred to as "Under Management of the Organization"), a
notification is sent to the personnel managing the asset, and the Resulting Tangible Object concerned is placed undermanagement based on the Tokyo University of Agriculture and Technology Articles Handling Regulations.
(2) In the case of a Resulting Tangible Object that is not Under Management of the Organization (hereinafter referred toas "Research and Trial Materials"), the TUAT Executive/Employee who created or acquired the Resulting Tangible
Object is responsible to keep it appropriately (hereinafter referred to as "Safekeeping by Researchers").
2. In the case of Research and Trial Materials pursuant to the prescriptions of item (2) of the preceding section, a party
with responsibility for Safekeeping by Researchers should clearly record necessary matters such as the reversion ofownership rights in the Resulting Tangible Object concerned and provision to other parties etc., in order to prevent
problems arising subsequently in the acquisition or provision of the object concerned.

Chapter 3 Contract
Article 9 Examination of Research and Trial Materials
1. In the case that a TUAT Executive/Employee acquires or provisions research and trial materials, he/she must, withconsideration to the properties of the provision and trial materials concerned, refer to documents required for
examination of the object concerned and obtain consent from the head of the Center for Innovation and Intellectual
Property, provided in the case in which the party who acquires or provisions the research and trial materials is anacademic/research staff member etc. affiliated with an educational organization such as a university etc. or a researcheretc. affiliated with a research organization such as a laboratory etc. set up by an incorporated administrative agency inJapan, no payment is required, moreover when an agreement with the organization is not required, these examinationand consent procedures may be dispensed with.
2. The head of the Center for Innovation and Intellectual Property shall issue consent to acquire or provision theResearch and Trial Materials with application of conditions concerning the handling of Intellectual Property.
Article 10 Procedures to Acquire Research and Trial Materials
1. When a TUAT Executive/Employee acquires Research and Trial Materials he/she shall, after obtaining consent
pursuant to the preceding article, request performance of the necessary procedures from the personnel managing thecontract.
2. The procedures to acquire Research and Trial Materials pursuant to the preceding section are as prescribed separately.
Article 11 Procedures for Provision of Research and Trial Materials
1. When a TUAT Executive/Employee provisions Research and Trial Materials, he/she shall, after obtaining consent
pursuant to Article 9, request performance of the necessary procedures from the personnel managing the contract.
2. In principle, payment for provision of Research and Trial Materials will be required in the case of provision to acompany etc. and will not be required in the case of provision to a government organ or academic research organizationetc.
3. Notwithstanding the preceding section, expenditures required for preparation of Research and Trial Materials(including delivery costs etc., hereinafter referred to as "Adjustment Expenses") shall be included in price for payment,or may be otherwise collected as a price payable.
4. In addition to the provisions of the preceding three sections, additional procedures covering provision of Researchand Trial Materials shall be prescribed separately.
Article 12 Resulting Tangible Object Under Management of the Organization
Procedures in the case of an agreement covering a Resulting Tangible Object that is Under Management of theOrganization as prescribed in Article 8 1. (1) shall be performed in accordance with the prescriptions of the Tokyo
University of Agriculture and Technology Articles Handling Regulations, provided that in the case in which it isnecessary to have arrangements covering the handling of Intellectual Property when making the agreement concerned,
the prescriptions of Article 9 shall apply enabling an examination consent to be obtained.
Article 13 Duty of Confidentiality
1. The handling of data etc. related to a Resulting Tangible Object is subject to Notice 14 Shinkansan No. 22, and mustbe handled appropriately in the light of the requirements therein.
2. When a TUAT Executive/Employee acquires or provides a Resulting Tangible Object, in the case that there is a dutyof confidentiality in operation, such TUAT Executive/Employee shall comply with that duty.
Chapter 4 MiscellaneousArticle 14 Resulting Tangible Object Incentive Premium
1. When a TUAT Executive/Employee receives income from the provision of a Resulting Tangible Object, TUAT may
allocate 50% of that income as an incentive premium for provision of a Resulting Tangible Object (hereinafter referred
to as "Resulting Tangible Object Incentive Premium") to the research center to which the person who created theResulting Tangible Object (hereinafter referred to as "the Creator") is posted, provided that when that income includes
Adjustment Expenses, amounts applicable for those expenses may be deducted when calculating the Resulting Tangible

Object Incentive Premium.
2. The Adjustment Expenses shall be apportioned to the research center to which the Creator is posted immediately after
the income pursuant to the preceding section is obtained.
Article 15 Matters Determined by Prerogative
When it is necessary to implement an agreement to acquire or provision a Resulting Tangible Object, authority toexercise a prerogative in certain matters shall be as prescribed in the Attachment.
Article 16 Other
Other necessary matters pertaining to the handling of Resulting Tangible Objects may be prescribed separately inaddition to these Regulations.
Supplementary Provision
These Regulations shall come into effect from April 7, 2004, and shall be applied retrospectively from April 1, 2004.
Supplementary Provision(Regulation No. 16, 21, April 1, 2009)
These regulations shall come into effect from April 1, 2009.
Supplementary Provision(Regulation No. 27, June 24, 2013)
These regulations shall come into effect from June 24, 2013, and shall be applied retrospectively from April 1, 2013.
Supplementary Provision(Regulation No. 38, August 1, 2013)
These regulations shall come into effect from August 1, 2013.
Attachment
Other party type/TUAT's position
Partymaking
provisionPriceAuthorized byContract signedby

Party acquiring

PriceAuthorized byContract signedbyGovernment or academic researchorganization etc.
No payment
Payment
Head of CIIP*1
Head of CIIP
Signedby Signed
byPresident.
President.
Prerogativeby Prerogativebyheadofthe headoftheResearch Support Research Support
Office of the Office of theResearchand ResearchandInternational
International
Affairs Division Affairs Division*2
No payment
Payment
Head of CIIP*1
Head of CIIP
Signedby Signed
byPresident.
President.
Prerogativeby Prerogativebyheadofthe headoftheResearch Support Administration
Office of the Office of theResearchand Regional
International
Administration
Affairs Division Division *3*2

Private corporation
No payment
Head of CIIP
Signedbypresident.
Prerogativebyheadofthe
Research Support
Office of theResearchandInternational
Affairs Division

Payment
Head of CIIP
Signedbypresident.
PrerogativebyheadoftheResearch Support
Office of theResearchandInternational
Affairs Division

No payment
Head of CIIP
SignedbyPresident.
Prerogativebyheadofthe
Research Support
Office of theResearchandInternational
Affairs Division

Payment
Head of CIIP
SignedbyPresident.
PrerogativebyheadoftheAdministration
Office of theRegionalAdministration
Division *3

*1 May be dispensed with
*2 The signing party may make the contract as an individual in the case where this is allowed in their own capacity andconsent may be dispensed with.
*3 In cases where the amount exceeds ¥5 million, an executive officer (if not present, the Vice President (in charge ofadministration and finance)).