(Provisional Translation)
Three Principles on Transfer of Defense Equipment and Technology
April 1, 2014
Adopted by the National Security Council
Approved by the Cabinet Decision
Amendment : December 22, 2023
The Government made it its basic policy to deal with overseas transfer of defense equipment
and technology in a careful manner in accordance with Prime Minster Eisaku Sato’s remarks at
the Diet in 1967 (hereinafter referred to as “the Three Principles on Arms Exports”) and thecollateral policy guideline by the Miki administration in 1976. These policy guidelines playeda certain role as Japan has been following the path of a peace-loving nation. On the other hand,these policy guidelines including the non-permission of arms exports to communist bloc
countries increasingly proved unsuitable for the current situation. Also, the Government had
repeatedly taken exemption measures depending on the individual necessity of each case sincearms exports to substantially all areas were not permitted, as a result of not promoting arms
exports regardless of the destinations. Under these circumstances, on April 1, 2014, theGovernment reexamined its past policy on the overseas transfer of defense equipment andtechnology, and, while giving due consideration to the roles played by the past policy,comprehensively consolidated it to adapt to the new security environment, reflecting the past
exemption measures made to date, and set out clear principles as “Three Principles on Transferof Defense Equipment and Technology”. Based on the National Security Strategy (adopted onDecember 16, 2022) the Government has decided to partially amend the Principles.
Japan has consistently followed the path of a peace-loving nation since the end of World WarII. Japan has adhered to a basic policy of maintaining an exclusively national defense-orientedpolicy, not becoming a military power that poses a threat to other countries, and observing theThree Non-Nuclear Principles. At the same time, Japan is facing the most severe and complex
security environment since the end of World War II. In addition, the Indo-Pacific region, whereJapan is situated, faces a host of security challenges. Japan has the vital importance of striving
to realize a free and open international order based on the rule of law and securing regional
peace and stability in cooperation with its ally, like-minded countries and others guided by thevision of a Free and Open Indo-Pacific.
Against this backdrop, Japan will prevent the emergence of situations where unilateral changeof the status quo can be easily made and redouble efforts to secure a stable, predictable, freeand open international order based on the rule of law, while continuing to adhere to the coursethat it has taken to date as a peace-loving nation, and as a major player in the international
community. Japan will join together with its ally, like-minded countries and others to achieve
its own security as well as peace and stability in the Indo-Pacific region under the policy ofProactive Contribution to Peace based on the principle of the international cooperation.
In achieving these Japanese security objectives, transfer of defense equipment and technology
overseas is a key policy instrument to ensure peace and stability, especially in the Indo-Pacificregion, to deter unilateral changes to the status quo by force, to create a desirable security
environment for Japan, and to provide assistance to countries that are subject to aggression in
violation of international law, use of force, or threat of force. And, an appropriate overseas
transfer of defense equipment and technology contributes to further active promotion of the1maintenance of international peace and security through timely and effective implementationof contribution to peace and international cooperation such as international peace cooperation,international disaster relief, humanitarian assistance, responses to international terrorism andpiracy, and capacity building of developing countries (hereinafter referred to as “peacecontribution and international cooperation”). Such transfer also contributes to strengthening
security and defense cooperation with Japan’s ally, the United States, like-minded countries andothers, thereby contributing to strengthening regional deterrence. Furthermore, appropriate
overseas transfer of defense equipment and technology contributes to maintaining andenhancing Japan’s defense production and technological bases which are characterized as
defense capabilities themselves, thereby contributing to Japan’s enhancement of defense
capability, given that international joint development and production projects have become theinternational mainstream in order to improve the performance of defense equipment and to deal
with their rising costs.
On the other hand, since the distribution of defense equipment and technology has significant
security, social, economic and humanitarian impact on the international community, the needfor each government to control the transfer of defense equipment and technology in a
responsible manner while taking various factors into account is recognized. In doing so, it isnecessary to take into account securing Japan's advantage and indispensability concerning ourtechnologies and others from the perspective of economic security.
In light of the above, while maintaining its basic philosophy as a peace-loving nation that
conforms to the Charter of the United Nations and the course it has taken as a peace-loving
nation, Japan will control the overseas transfer of defense equipment and technology based on
the following three principles and carry forward with the transfer of defense equipment andtechnology in the joint public and private efforts. The overseas transfer of facilities related toarms production will continue to be treated in the same manner as defense equipment andtechnology.
1.

Clarification of cases where transfers are prohibited
Overseas transfer of defense equipment and technology will not be permitted when:1) the transfer violates obligations under treaties and other international agreements thatJapan has concluded,2) the transfer violates obligations under United Nations Security Council resolutions, or3) the defense equipment and technology is destined for a country party to a conflict (acountry against which the United Nations Security Council is taking measures tomaintain or restore international peace and security in the event of an armed attack).

2.

Limitation to cases where transfers may be permitted as well as strict examination andinformation disclosure
In cases not within 1. above, cases where transfers may be permitted will be limited to thefollowing cases. Those cases will be examined strictly while ensuring transparency. Morespecifically, overseas transfer of defense equipment and technology may be permitted insuch cases as the transfer contributes
to active promotion of peace contribution and international cooperation, or
to Japan’s security from the viewpoint of- implementing international joint development and production projects with countries
cooperating with Japan in security area including its ally, the U.S. (hereinafter referredto as “the ally and partners”),2

- enhancing security and defense cooperation with the ally and partners, as well as- supporting the activities of the Self-Defense Forces including the maintenance of its
equipment and ensuring the safety of Japanese nationals.
The Government will conduct strict examination on the appropriateness of the destinationand end user, and the extent the overseas transfer of such equipment and technology willraise concern for Japan’s security. Then the Government will make a comprehensive
judgment in light of the existing guidelines of the international export control regime andbased on the information available at the time of export examinations.
Significant cases that require especially careful consideration from the viewpoint of Japan’s
security will be examined at the National Security Council (NSC). As for the cases thatwere deliberated at the NSC, the Government will disclose their information in accordancewith the Act on Access to Information Held by Administrative Organs (Law No. 42 of1999).
3.

Ensuring appropriate control regarding extra-purpose use or transfer to third parties
In cases satisfying 2. above, overseas transfer of defense equipment and technology will
be permitted only in cases where appropriate control is ensured. More concretely, theGovernment will in principle oblige the Government of the recipient country to gain itsprior consent regarding extra-purpose use and transfer to third parties. However,appropriate control may be ensured with the confirmation of control system at thedestination in such cases as those where the transfer is judged to be appropriate for active
promotion of peace contribution and international cooperation, when the transfer involves
participation in an international system for sharing parts etc., and when the transfer
involves delivery of parts etc. to a licenser.

Implementation guidelines for the policy described above will be decided by the NSC. The
Minister of Economy, Trade and Industry will implement the Foreign Exchange and Foreign
Trade Act (Law No.228 of 1949) appropriately in accordance with the decision. The
Implementation Guidelines will be amended in a timely manner in response to changes in thesecurity environment and security needs.
For the purpose of this policy, “defense equipment and technology” refers to “arms and militarytechnologies”; “arms” refers to items listed in Section 1, Annexed List 1 of the Export Trade
Control Order (Cabinet Order No. 378 of 1949), and are to be used by military forces anddirectly employed in combat; and “military technologies” refers to technologies for the design,production or use of arms.
The Government will contribute actively to the peace and stability of the international
community under the policy of Proactive Contribution to Peace based on the principle of theinternational cooperation. Under such policy, it will play a proactive role in the area ofcontrolling defense equipment and technology as well as sensitive dual-use goods andtechnologies to implement the Arms Trade Treaty and further strengthen the international export
control regimes.

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