(Provisional Translation)
Implementation Guidelines for the Three Principles
on Transfer of Defense Equipment and Technology
April 1, 2014
Adopted by the National Security Council
Amendment : November 24, 2015
Amendment : March 22, 2016
Amendment : March 8, 2022
Amendment : December 22, 2023
Amendment : March 26, 2024
In accordance with the Three Principles on Transfer of Defense Equipment and Technology(hereinafter referred to as “the Three Principles”, which was adopted by the Cabinet on April 1,2014), the Implementation Guidelines for the Three Principles (hereinafter referred to as “theImplementation Guidelines”) is decided as follows:
Note: Definitions of terms in addition to those in the Three Principles are described in 6. below.
1. Cases in which Overseas Transfer of Defense Equipment and Technology may bePermittedCases in which overseas transfers of defense equipment and technology may be permitted are
as follows:
1) Overseas transfers that contribute to active promotion of peace contribution and international
cooperation, only if the transfers have positive meaning from the viewpoint of peacecontribution and international cooperation, and when:A. the recipient is a foreign government, orB. the recipient is the United Nations (UN) System, organizations conducting activities basedon a UN resolution, organizations conducting activities on a request of internationalorganizations or organizations conducting activities which are requested by a country
which is located in the area of the activity and supported by any of the principal organs ofthe UN.
2) Overseas transfers that contribute to Japan's security, only if the transfers have positive
meaning from the viewpoint of Japan's security, and that:
A. are related to international joint development and production with countries cooperatingwith Japan in security area including the U.S., and of the following:(a) overseas transfer of defense equipment and technology to partner countries forinternational joint development and production, or(b) provision of parts and services to countries other than partner countries of international
joint development and production.
(c) Overseas transfer of defense equipment and technology pertaining to finished products
to countries other than partner countries of international joint development andproduction, only if Japan participates in the international joint development andproduction out of necessity for its defense buildup and direct transfer of finishedproducts to countries other than partner countries is required, as listed below:･ Global Combat Air Programme, only if Japan and the recipient country have1concluded an international agreement obligating the use of defense equipment
transferred from Japan in a manner consistent with the purposes and principles of
the Charter of the United Nations. However, it excludes the case of the transfer toa country where combat is currently deemed to be taking place as part of anarmed conflict.
B. contribute to enhancing security and defense cooperation with countries cooperating withJapan in security area including the U.S., and of the following:(a) overseas transfer of defense equipment and technology included in the provision ofsupplies and services conducted by the Self-Defense Forces (SDF) in accordance withJapanese laws,(b) provision of military technology as a part of mutual exchange of technology with theU.S.,(c) provision of defense equipment and technology pertaining to products licensed fromcountries cooperating with Japan in security area at the request of the license provider
country (including further provision by the license provider country) (In the case offurther provision of defense equipment and technology pertaining to licensed productsthat fall under the category of arms under the Self-Defense Forces Law (includingammunition. The same applies hereinafter.) to a country other than the license provider
country, it excludes the case of the provision to a country where combat is currently
deemed to be taking place as part of an armed conflict unless there are special
circumstances in consideration of the need in terms of Japan’s security),(d) provision of repair and other services to countries cooperating with Japan in security
area, or(e) overseas transfer of defense equipment and technology related to the followings tocountries cooperating with Japan in security area.
(i) parts, or(ii) finished products related to cooperation pertaining to rescue, transport, warning,surveillance, and minesweeping (including arms under the Self-Defense Forces Law
necessary for the performance of such essential duties or for self-protection).
C. are necessary for supporting activities of the governmental agencies including the SDF(hereinafter referred to as “the SDF etc.”), which include the activities of foreign
governments or private entities etc. related to the activities of the SDF etc., or for ensuring
the safety of Japanese nationals, and that are:(a) temporary export of equipment, return of purchased equipment or provision oftechnical information related to the activities of the SDF etc. including replacements ofitems which need repairing with non-defective items,(b) export of equipment for the protection or self-protection of public officials, or(c) export of equipment for the self-protection of Japanese nationals operating in danger
areas.
3) Overseas transfer of defense equipment and technology (excluding arms under the SelfDefense Forces Law and technical information thereto) to a country that is subject toaggression in violation of international law, use of force, or threat of force.
4) Overseas transfers whose impact from the viewpoint of Japan's security is judged to be verysmall such as return of misdelivered items, export of samples to be returned later and re-exportof equipment that was brought into Japan by police officers of a foreign governmental agency.

22. Focuses of the Strict Examination of Overseas Transfers
1) Export authorization for individual cases
Prior to granting an export authorization for an individual case that is judged as a case in which
overseas transfer of defense equipment and technology may be permitted as referred to in 1.
above, the Government will conduct strict examination on desirability of the transfer, taking into
consideration the following two focuses in a composite manner:・ appropriateness of the destination and end user
・ extent the overseas transfer of the defense equipment and technology may raise concern
for Japan's security
More specifically, as for the appropriateness of the destination, the Government will consider ittaking into account such factors as what impact the country or region of destination is posing to
the international peace and security such as whether the overseas transfer to the destination has
positive meaning from the viewpoint of peace contribution and international cooperation as wellas Japan's security. As for the appropriateness of the end user, the Government will consider ittaking into account such factors as the use of defense equipment and technology by the end user
and the certainty of appropriate control. In particular, the overseas transfer of defense equipment
and technology pertaining to finished products that fall under the category of arms under theSelf-Defense Forces Law will be carefully considered, taking into account the impact oninternational peace and security, including whether or not combat is currently taking place incountry or region of destination as part of an armed conflict, and the security relationshipbetween Japan and country or region of destination.
As for the extent of the security concern, the Government will consider it taking into accountsuch factors as nature, technical sensitivity, use (purpose), quantity and form (whether finishedproducts or parts, goods or technology, etc.) of the defense equipment and technology to betransferred, as well as the possibilities of extra-purpose use or transfer to third parties(hereinafter referred to as " transfer to third parties etc.").
From the focuses including those described above, the Government will make a comprehensive
judgment when deciding whether it will finally approve or disapprove each transfer in light ofthe existing guidelines of the international export control regimes and based on the information
available at the time of the overseas transfers.
2) Prior consent for transfer to third parties etc.
In granting prior consent for transfer to third parties etc., the Government will conduct strict
examination on desirability of granting such consent, taking into account the following two
focuses as referred to in 1) in a composite manner, while taking into account the security
meaning and others for the country granting the consent to.
・ appropriateness of the destination country and end user
・ extent the transfer to third parties etc. of the defense equipment and technology may
raise concern for Japan's security
3. Ensuring Appropriate Control
Prior to overseas transfer of defense equipment and technology, the Government will in principle
oblige the Government of the recipient country to gain its prior consent regarding transfer to3

third parties etc. in order to ensure appropriate control of the defense equipment and technology
after the overseas transfer. However, appropriate control may be ensured with the confirmationof a control system at the destination in the following cases. Even in such cases, for transfer of
those with high technical sensitivity, the Government of the recipient country is, in principle,obliged to do so.
1) the transfer is judged to be appropriate for active promotion of peace contribution andinternational cooperation, and when:A. the transfer is in urgent need or highly important from humanitarian perspective,
B. the recipient is the UN System or organizations conducting the activities based on aUN resolution,
C. the transfer is for the provision of technical information or specimens which arenecessary for participating in an international tendering, orD. the defense equipment to be transferred is small in price and quantity and thus deems
to have small security concern.
2) the transfer involves participation in an international system for sharing parts etc.,3)

the transfer involves delivery of parts etc. related to finished products that are properly
controlled under the export control system of a country other than the destination country,4) the transfer involves delivery of parts etc. to a licenser or to an importer,5) the transfer involves delivery of parts, etc. to participate in the supply chain of defense
equipment, etc. led by other governments or companies of other countries,6) the contribution of parts or technology to be transferred to the recipient country is judged
to be considerably small,7) the overseas transfer is necessary for the activities of the SDF etc. or for ensuring the safetyof Japanese nationals, or8) the transfer is judged to have very small impact from the viewpoint of Japan's security suchas return of misdelivered items, export of samples to be returned later and temporary
landing of goods.
When confirming the control system at the destination, the Government will conduct theconfirmation, in so far as reasonable, through a document such as a certification issued by therecipient government or other person responsible for the control of the defense equipment andtechnology to be transferred. In addition, the Government will confirm the circumstances
surrounding the control of defense equipment and technology at the destination, the reliabilityof the organization controlling defense equipment and technology, the export control systemand the circumstances surrounding its implementation in the country or region of destination,
based on the information available at the time of the transfer.
If it is found that the defense equipment and technology is not appropriately controlled after its
overseas transfer, the Government will take strict measures against the person etc. whotransferred the defense equipment and technology, including imposing penalties in accordancewith the Foreign Exchange and Foreign Trade Act (Law No. 228 of 1949, hereinafter referred
to as “the Foreign Exchange Act”).
In addition, when defense equipment and technology transferred from Japan is transferred to athird country based on prior consent of the Government, the Government may ensure appropriate
4control of the equipment and technology by confirming the appropriate control over the third
country by the recipient of the defense equipment and technology from Japan or its government.
4. Procedures upon the Deliberations
1) Deliberations at the NSC
Overseas transfers of defense equipment and technology will be deliberated at the NSC in thefollowing cases. When judging the possibility of approving the overseas transfer of defense
equipment and technology falls under B, C or D below in accordance with the Foreign
Exchange Act, the Minister of Economy, Trade and Industry will give due consideration to
the deliberation.
A. when the basic policy is considered,
B. when especially careful consideration is required as for the application of the conditions
for approving the transfers,
C. when especially careful consideration is required as for the appropriateness of thedestination and the extent of security concerns, etc. with particular care, for approving
the overseas transfer of defense equipment and technology or the prior consent fortransfer to third parties etc.,
D. when the Government has never made a decision to permit similar types of overseas
transfer or prior consent for transfer to third parties etc. of arms under the Self-Defense
Forces Law (except for the cases where the overseas transfer of defense equipment andtechnology may be permitted, as listed in 1.-2)-C. or 1.-4)), or
E. when the status of overseas transfers of defense equipment and technology is reported.
2) Deliberations at the NSC board
Overseas transfers of defense equipment and technology will be deliberated at the NSC board
in the following cases. The Minister of Economy, Trade and Industry will make a decision
based on such deliberations when deciding whether or not to approve overseas transfers ofdefense equipment and technology that refer to B or C below in accordance with the Foreign
Exchange Act.
A. when the basic policy is considered,
B. when the Government has never made a decision to permit similar types of overseas
transfers or prior consent for transfer to third parties etc. (except for the provision oftechnical information at the stage of coordination with other governments or companiesof other countries, where the contribution to the recipient country is judged to beconsiderably small),C. when the Government newly transfers arms under the Self-Defense Forces Law to a
destination for which the Government has made a decision in the past to permit
overseas transfers or prior consent for transfer to third parties etc. of the same type ofarms (except for the cases where the overseas transfer of defense equipment andtechnology may be permitted as listed in 1.-2)-C. or 1.-4)), or
D. when the status of overseas transfers of defense equipment and technology is reported.
3) Cooperation among the Government ministries and agencies concerned
Given that a comprehensive judgment is required for deciding whether or not to approveoverseas transfers of defense equipment and technology, the Government ministries andagencies concerned will coordinate closely for necessary arrangements and what appropriate
control for such overseas transfers should be. The following department or division will serve
as a point of contact for each ministry or agency. However, other department or division may
also serve as such a point of contact as necessary for each transfer.
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A. National Security Secretariat, Cabinet Secretariat (NSS)B. National Security Policy Division, Foreign Policy Bureau, Ministry of Foreign Affairs(MOFA)
C. Security Export Control Policy Division, Trade Control Department, Trade andEconomic Cooperation Bureau, Ministry of Economy, Trade and Industry (METI)
D. International Cooperation Division, Department for Equipment Policy, Acquisition,
Technology and Logistics Agency (ATLA), Ministry of Defense (MOD)
5. Regular Reporting and Information Disclosure
1) Regular reporting
The Minister of Economy, Trade and Industry will prepare an annual report on the status of
the approval of overseas transfers of defense equipment and technology (including priorconsent for transfer to third parties etc.), submit it to the NSC, and publish it.
2) Information disclosure
For transfers that were deliberated at the NSC pursuant to 4 (1) above (including thosepertaining to prior consent for transfer to third parties etc.), the Government will disclose
relevant information in accordance with the Act on Access to Information Held byAdministrative Organs (Law No. 42 of 1999). The Government will pay due consideration toinformation disclosure so that it does not lack transparency compared to the cases where theGovernment has taken exemption measures on a case-by-case basis.
6. Miscellaneous Items
1) Definition
A. “International joint development and production” refers to international joint
development including international joint research or international joint production inwhich the Government or Japanese companies participate and includes:(a)International joint development between the Government and a foreign government,(b)Participation by a Japanese company in the development of defense equipment andtechnology by a foreign government,(c)Production licensed from a foreign country that is carried out by a Japanese company
in partnership with a foreign counterpart,(d)Development or production that is carried out by a Japanese company using Japaneseand foreign technologies in partnership with a foreign company,(e)Participation in an international system for sharing parts etc., and(f)Provision of technical information or specimens for a feasibility study regarding
international joint development or international joint production.
B. "Arms under the Self-Defense Forces Law" means firearms, gunpowder, swords, andother machines, instruments, devices, etc. intended to directly kill or wound people ordestroy objects as a means of armed struggle (including, arms such as destroyers, fighter
aircraft, tanks, etc., which are inherently equipped with firearms etc. and themselves act
directly to kill or wound people or destroy objects as a means of armed struggle, butexcluding parts).
C. "Parts" means an item that is incorporated as a part of a finished product. However, it
excludes the one that can function as equipment by themselves.
2) Relationship with the previous Three Principles on Arms Exports and the collateral policy
guidelines
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Since the Three Principles is a guideline newly adopted upon reviewing the previous ThreePrinciples on Arms Exports and the collateral policy guidelines, future overseas transfersof defense equipment and technology will be examined in accordance with the Foreign
Exchange Act based on the Three Principles. The exemption measures that were taken
under the previous Three Principles on Arms Exports and the collateral policy guidelines
prior to the adoption of the Three Principles will be examined as the cases that may bepermitted to transfer overseas under the Three Principles.
3) Date of enforcement
The Implementation Guidelines is enforced on April 1, 2014.
4) Revision
The Implementation Guidelines will be revised in a timely manner after promptly reviewing
the necessity for revision in response to changes in the security environment and security
needs. Given that the Three Principles is an implementation standard for the Foreign
Exchange Act, the Implementation Guidelines may be revised when a draft is prepared byMETI in consultation with NSS, MOFA and MOD and is adopted by the NSC.

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