（Form 4）

Confirmation Letter regarding the Applicability of the Specific Categories for Compliancewith Article 25 (1) and (2) of the Foreign Exchange and Foreign Trade Act
To: The Graduate University for Advanced Studies, SOKENDAI
Date:
Address:
Name:(Signature (electronic signature))

I understand when The Graduate University for Advanced Studies, SOKENDAI 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 Actand Article 17 (2) of the Foreign Exchange Order" (Document No. 492 of the Trade Bureau published onDecember 21, 1992; hereinafter referred to as the "Notification for Technology Transfer"), The Graduate Universityfor Advanced Studies, SOKENDAI is likely to be required to obtain a license from the Minister of Economy,
Trade, and Industry pursuant to Article 25 (1) and (2) of the Foreign Exchange and Foreign Trade Act, and, for thesake of compliance by The Graduate University for Advanced Studies, SOKENDAI with the clauses 1(3)サ① or② 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.
(1) A Person who has entered into an employment contract, a delegation contract, a service contract, or any other contract witha corporation or any other organization established under the foreign laws and regulations (hereinafter referred to as a "ForeignCorporation"), or a foreign government, a foreign governmental agency, a foreign local government, a foreign 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 theForeign 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 othercontract with a Japanese corporation and is subject to the direction and order of the Japanese corporation or owes the duty of care of a goodmanager to the Japanese corporation, according to the contract, the Japanese corporation or the Person has agreed with the Foreign
Corporation or the Foreign Government that the direction and order of the Japanese corporation or the duty of care of a good manager to theJapanese corporation shall prevail over the direction and order of the Foreign Corporation or the Foreign Government, or the duty of care of agood manager to the Foreign Corporation or the Foreign Government.
(b) In the case where the Person has entered into an employment contract, a delegation contract, a service contract, or any other contract with aJapanese corporation and is subject to the direction and order of the Japanese corporation or owes the duty of care of a good manager to theJapanese corporation, according to the contract, the Person has entered into an employment contract, a delegation contract, a service contract or
any other contract with a Group Foreign Corporation (a Foreign Corporation that directly or indirectly holds 50% or more of the voting rightsof the Japanese 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.) and is subject to the direction and order of the Group Foreign Corporation or owes the duty of care a goodmanager to the Group Foreign Corporation, according to the contract.
(2) A Person who earns or agrees to earn a large amount of money or other significant profit (money orother profit that accounts for 25% or moreof the Person’s annual income when converted into money) from a Foreign Government.

*This page does not require submission.

Reference guide: Simple flowchart for checking the applicability of specificcategories■ Specific category ①: Has signed employment agreements, etc., with a foreign government orcorporation
Has an employment agreement (withgeographicandtimerestrictions
governing all parties to the agreement), ora delegation agreement as a director orauditor, been signed with a foreign
university, corporation, or government?

NO
Category ① does not
apply.

YES
Category ① applies.
（except in the case of (a) and (b)）■ Specific category ②: Benefits financially from foreign governments, etc.

NO

Individually (not as a university orlaboratory) receives significant monetaryor other benefits, or a pledge thereof,
from a foreign government, etc.?

Category ② does notapply.

NOYES
Accounts for more than 25% of annual
income when converted into monetaryterms?

Category ② applies.

YES

Examples corresponding to specific categories ① and ② are as follows.
Specific category ①【Persons subject to the control of foreign governments, corporations,etc., pursuant to agreements】
Example ① Adult students working at foreign corporations (not as foreignowned enterprises)
Specific category ②【Persons subject to the effective control of foreign governments, etc.,
pursuant to financial benefits】
Example ① Students receiving funds for studying abroad from foreign
governments
Example ② Researchers participating in a foreign government's science andengineering recruitment program and individually (not as a university orlaboratory) receiving significant research funding and living expenses
From METI's Guidance for the Control of Sensitive Technologies for Security Export for Academic and Research Institutions, 4th revision