June, 2018.9.6

Confidential Information Management
for Industry-Academia Collaborations
Academic Research and Industry-AcademiaGovernment Collaboration Administration Office(AR&IAGC)

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Nagoya Univ.

Importance of the Confidential Information Management in the University●Public Information, etc. (Not Confidential)
(1)
(2)
(3)
(4)

Information which has already been made known to the public (patent applications or
papers that have been published).
Information which has already been made known to the public when disclosed bycompanies, etc.
Information for which it can be proven that the University developed or acquired it on its
own.
Information for which the University has obtained written consent from the other party inadvance of the disclosure.

Confidential
informationlIf not public informationnon

Research Information

Oncamp
us
Infor
matio
n

Confidential information related to
the University's independent
research
Examples:・Experiment data and research results(software, biological samples, etc.) prior topatent application
・Papers, laboratory notes, or otherinformation prior to paper publication.

Offcamp
us
Infor
matio
n

Confidential
information
offered bycompanies
or other
universities,
etc. that isprovided in
the courseofcollaborativ
e research,
etc.
Examples:Researchdata,
researchanddevelopment plans,source code,
etc.

Confidentialinform
ation
other
than
the
below

Information
regarded as“tradesecrets”

While they are, in
principle, madeavailable to the public(later), they must be
protected againstleakage as confidential
until publication.
Exception: Someknow-how, etc. must
continue to be
managed asconfidential.

Confidentialinform
ation
other
than
“tradesecrets”

Contractual liability(civil liability) may be
imposed if informationis leaked.
→Managed inaccordance with thecontract, etc.

“Tradesecrets”

Civil liability, criminal
liability may be
imposed if informationis leaked. (Unfair
Competition→Managed particularly
strictly in accordancewith the contract, etc.

Incases like these, you must pay attention to the
こんな時に、秘密情報管理に注意必要
management of confidential information.
●When
confidential information is obtained and〇 企業との打合せ等で秘密情報を受領、a confidential
information agreement is entered
秘密保持契約締結する場合。
into while meeting with a company or otherinstitution.
〇 企業との共同研究を実施する際、●When
research data, research and
企業側の研究データ・研究開発計画等
development
plans, or other information fromの情報を受け取る場合。
companies is received during collaborative
researchwith the companies.
〇 企業との共同研究に学生を参加●When
having students participate in
させる場合
collaborative research with companies.

♦ If confidential information isleaked…
・Collaborative research partners may filelawsuits
・Social criticism may arise and credibility may
be destroyed

The trust of collaborative research
partners, etc. may be lost.
→Such an occurrence will greatly
impede future collaborative research
efforts.

Confidential information from companies
must be given sufficient attention!!

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Nagoya Univ.

Relationship Between Confidential Information and Trade Secrets
Research Information at the University

Information that must be
kept confidential(confidential information)

Among these, information meeting all
three requirements prescribed in the
Unfair Competition Prevention Act:
(1) Manageability of Confidentiality;(2) Usefulness; and (3) Non-Public
Nature, may be subject to legal protection
as trade secrets under the Act.

Information that does nothave to be managed asconfidential (publishedresearch results, etc.)
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Nagoya Univ.

Concerning Confidential Information, What is a "Trade Secret"?
"Trade secrets" are practical technological information and management
information from which the rights holders may obtain economic profit, that havenot been made available to the public and for which measures have been taken inorder to keep confidential. The following three requirements have been defined in
the Unfair Competition Prevention Act.
Manageability of Confidential Information: Persons who may access the informationmust be limited, and some measures must be taken so that persons who access the information
are aware that the information they have accessed is confidential.

(Examples) ・Information recorded in documents or in data on digital media, theconfidentiality of which is labeled.
・Information disclosed orally or visually, explicitly stated as being confidential.

Usefulness: Information should be objectively useful to business activities, such as production,
sales, or research and development.

(Notice) This applies not only to information directly used for business activities, but also to
information having indirect value.
(Examples) Experiment data prior to patent application, information on matters related to new
discoveries, personal information, customer data, company development plans, etc.

Non-public Nature: Information that is not generally known to or cannot be easily known tothe public under the information holders’ management, by means such as the information is notdescribed in the publications.

(Notice) This does not necessarily conform to the interpretation of “Publicly Known
Inventions” (Article 29 of the Patent Act) in judging the novelty of an invention.

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Nagoya Univ.

A Case of Confidential Information Leakage The case to requiring the mostattention at the University

The pattern by which persons who have been rightfully provided with a trade secretcommit an act of betrayal(No. 5)Behavior through which current executives or employees who have※been
entrusted with trade secrets by the owners of the secrets use or disclose thesecrets for the purpose of profit-making or causing damages*, against theirduties in managing the trade secrets.

University, etc
Faculty, etc
Company A

(Conf
ide
ntial)

Person who has already been provided
with trade secrets during his or her
tenure

E
m
pl
Oy
ee

※）*“Profit-making or causing
damages” refers to a breach of trust forthe purpose of benefiting oneself or athird party, or to cause damages to
one's affiliated institution.

Using the trade secret against theirduties in managing the trade secrets(applies to No. 5.)

Company B
Disclosing the trade secretagainst their duties inmanaging the trade secrets(applies to No. 5.)(Venture Companies)

Persons who have committed the acts of betrayal: “Prison sentence of up to 10
years, and/or a fine of up to 20 million yen (30 million for international leaks) (10million prior to revision).”Affiliated Corporation: “A fine of up to 500 million yen (one billion for internationalleaks) (300 million prior to revision).”Source: Intellectual Property Policy Office, Ministry of Economy, Trade and Industry, "Unfair Competition Prevention Act 2015” 5
Nagoya Univ.

Examples of Confidential Information Obtained from Companies
Information that possibly falls into trade secrets
Information from companies“Intellectual property constituting the company's
strength”“Information assets constituting the company's strength”

Technology/know-how used
to create their uniqueproducts, etc.

・Information related to manufacturing processes and arrangements
・Information related to research and development (technologicaldevelopment, test records, etc.)
・Product specifications (construction, components description,
specifications, etc.)
・Information related to proprietary technology
・Information related to factory equipment and layouts
・Information related to manufacturing partners and subcontractors

Products backed by trust based on
product quality, mid- and long-term
stable business presence, mid- andlong-term trade relationships, etc. /company’s brand strength

The business strength to provide
products, etc. which meetcustomer needs

Highly skilled employees

・Information related to primary retailers
・Information related to market trend analysis
・Business logs (visit history, reports, etc.)
・Amount or rate of profits from products, goods, and services
・Information related to suppliers, retailers, items, their quantity andprice, etc.
・Information related to retail partners (agencies, franchises, etc.)
・Information related to competitors or competition analysis (trends,
selling prices, etc.)
・Sales documents (estimates, presentation materials, etc.)
・Materials related to meetings with customers
・Materials and information obtained from customers
・Information related to and details of contracts entered into withcustomers
・List of customers’ information (companies or individuals) andinformation related to their representatives
・Documents related to claims from customers
・Information and history of selling or providing products, goods,
and services associated with each customer
・Information related to customers’ management plans, etc.
Information related to the education and continued development oftechnicians (training programs, materials, etc.)

Nagoya Univ.

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Construction of a System for Top Management
Nagoya University has been selected for participation in the risk management model project of the Ministryof Education, Culture, Sports, Science and Technology of Japan (MEXT), and thus the following management
systems have been constructed in order to prevent the leakage of technology.
Approved by the Executive Council, Reported at the Deans & Directors Committee◆ Established, Formulated, and Constructed Items:
・Policies and guidelines
Established・Process for classifying confidential information into
appropriate level
Established・Methods for level management according to thelevel of risk
Established・Informed consent requirements for students
Formulated
Process for obtaining informed consent
Established・University-wide confidential information management
systemConstructed◆ Education and Awareness・Holding of a briefing for awareness activities → Raisingof awareness among researchers and administrative staff, etc.
・Holding of research meetings on and off campus → Cultivation of
personnel in charge of risk management.
・Tools to increase awareness (offer the e-learning course)→
Information sharing and accumulation of examples
・Establishment of a one-stop consultation counter → Practical andefficient confidential information management system

・Information sharing among
NU MIRAI Working Group,
departments, and executives→ Transfer of the information
to top management consistingof the president and top executives
Nagoya Univ.

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Nagoya University’s Confidential Information Management Policy for
Industry-Academia Collaborations
With the enforcement of the revised Unfair Competition Prevention Act (Act No. 47 of 2015), corporations in addition to indiv iduals, suchas faculty and staff members, may now be subject to criminal penalties for behavior in violation of the act relating to confi dential information
kept at universities. In the event that inappropriate management conditions for research information are discovered at Nagoya University(hereinafter referred to as “the University”), it is predicted that the University's social reputation would be greatly affec ted.

PurposeAccordingly, the University shall manage any important knowledge obtained from companies, etc. through industry-academia collaboration
activities as confidential information (hereinafter referred to as “confidential information”) in order to protect faculty, staff members,
students, etc. from violating any laws, work regulations, or other rules in the event of a leak, whether intentional or accidental.
Therefore, remaining grounded in its public role as a contributor to education and research, the University is engaged in the systematicmanagement of confidential information so that companies, etc. can provide their important knowledge without worry, thereby enabling
researchers to produce the best results from their collaborative research endeavors, etc. Moreover, with the aim of further promoting
industry-academia collaboration activities and contributions to society, the University hereby establish the Confidential Information
Management Policy for Industry-Academia Collaborations to clarify the basic concepts of its confidential information management system.

(1) Faculty and staff members, etc., and students shall be subject to this policy. "Faculty and staff members, etc." refers tofaculty, staff members, or researchers of the University, or other persons employed or bestowed with a job title by the
University; they are separately defined in the Confidential Information Management Guidelines for Industry-Academia
Collaborations (hereinafter referred to as "the Guidelines”.)"Students" refers to those students who have participated in collaborative research with companies and obtained or are expected toobtain confidential information (limited to students 20 years of age or older.)(2) The applicable scope of this policy is as prescribed below: However, confidential information including personal
Persons
Subject to information that is related to clinical research, etc. is not included in this policy’s applicable scope. Collaborative
the Policy research, etc. limited to collaborations with other universities or public organizations is also not included.
(i) Confidential information obtained from the other party during collaborative research, etc. (including the nonand
Its Scope disclosure agreement preceding the collaborative research.)(ii) Collaborative research contracts entered into for collaborative research, etc. (limited to information set to betreated as “confidential”.)(iii) Know-how generated during collaborative research, etc., in which confidential information obtained fromcompanies is included, and its contents and attribution are designated.
(3) This policy shall carefully and appropriately respond to requests for disclosure in accordance with the Act on theProtection of Personal Information Held by Independent Administrative Agencies, etc.

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Nagoya Univ.

Management System and Administrative Roles for Confidential
Information Management at Nagoya University
Operational Structure for Confidential Information
Management
University President(General Director)

Board ofDirectors

Confidential Information
Management Committee

Deliberation
Approval

Chairperson of theConfidential Information
Management Committee

Confidential Information
Supervising Director

Drafting of policies andguidelines

Proposal of theoperation
manualMembers fromeach department
Participationof AR&IAGC

Confidential Information
Operations Director

Person in Charge ofConfidential
Information at
AR&IAGC (URA)

Participation ofeach department

Reports from AR&IAGC on
the management situation

Reports

Cooperation

Black: Board of Directors,
University President
Blue: AR&IAGC
Green: Committee
Red: Departments

an operation manual and otheroperational rules.
management situations of eachdepartment from AR&IAGC.

Department Directors
DisseminationConfidential Information
Managing Director (facultyleading the research)

Notifications
and Reports〇 Deliberate on and establish〇 Receive reports on the

Deliberation on andapproval of theoperation manual, etc.

Reports

Management Committee

DisseminationPerson incharge ofcontracts at the
department
officeConsultation

Faculty and staff
members, etc.

Each Department, etc.
〇 Establish operational rules
for confidential information
management in each department.

〇 Designate and manage
confidential information.
(Level 1, Level 2)〇 Disseminate information on
confidential information
management.
Academic Research and IndustryAcademia-Government
Collaboration Administration Office(AR&IAGC)〇 Establish the Confidential
Information Management Policy,
Guidelines, etc.

〇 Oversee confidential information
management operations.

〇 Provide consultation regarding
confidential information management.

〇 Designate and manage confidential
information (Level 3).

〇 Carry out inspections.
〇 Conduct activities to disseminate
Academic Research and IndustryAcademia-Government Collaboration
Administration Office (AR&IAGC)

Each department, etc.

information and raise awareness.

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Nagoya Univ.

Confidential Information Management Guidelines for IndustryAcademia Collaboration at Nagoya University

The following levels shall be established for the purpose of confidential information management; confidential information
to be treated as trade secrets as agreed upon by the University and any organizations who disclose such confidential
information (hereinafter referred to as “company, etc.”) shall be managed as information with Level 3 or 2 confidentiality.

２ Criteria for designating confidential information within each level shall in principle be as below.
However, level designation not based on the following is also possible.
1. Level 3
Information for which the strictest management is required, as the company, etc. has designated that its leakage may result
in serious losses or disadvantages for the company and considerably affect the company's value, such as stock prices.
2. Level 2
Grades of(a) Confidential information obtained from a company, etc. with certain restrictions imposed by the company, etc. (Confidential
SecretInformation information labeled as “Confidential”, on which indication of the level of confidentiality that corresponds to the trade secrets,
specific access limitations, a distribution record, etc. have been imposed.)(b) Know-how generated through collaborative research, etc., including the confidential information obtained from companies,
etc. as described in item (a) above, and for which its contents and attribution are designated, and on which restrictions havebeen imposed by the other party. (Knowhow labeled as “Confidential”, on which indication of the level of confidentiality that
corresponds to the trade secrets, specific access limitations, a distribution record, etc. have been imposed.)
3. Level 1
Information on which the obligation of maintaining confidentiality under the care of a prudent manager is strictly imposed bycompanies, etc., and which falls under any of the following categories (except for information falling under Level 2 describedabove.)(a) Confidential information obtained from companies, etc. (Confidential information labeled as “Confidential”)(b) Contract documents such as collaborative research agreements (those for which “Confidential” handling has been
deemed necessary.)(c) Know-how generated through collaborative research, etc., including the confidential information obtained from companies,
etc. as described in Level 2, item (a) above, and for which its contents and attribution are designated.

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Nagoya Univ.

Confidential Information Management Guidelines for IndustryAcademia Collaborations at Nagoya University
1.前条で定める秘密情報の等級の指定については、次の各号の方法による。ただし、他機関から異動してきた教職員等が保有する秘密情報については、別途協議するもの
Confidential information level designation prescribed in the preceding article shall be
carried out in accordance with the methods below. However, confidential informationとする。possessed by faculty and staff members, etc. who have been transferred from otherorganizations shall be discussed separately.

一(i)教職員等による指定と届出
Designation and notification by faculty and staff members, etc.
Faculty and staff members, etc. shall classify confidential information obtained from companies, etc. into each level following
イ (a)教職員等は、企業等から取得する秘密情報を、運用マニュアルの秘密情報の等級指定のフローチャートに基づき、等級分けを行うものとする。
the flowchart for Confidential Information Level Designation found in the Operation Manual.
When faculty and staff members, etc. obtain information judged to be of Level 1 confidentiality, they shall designate it as
ロ (b)教職員等は、レベル１と判断した秘密情報を取得等した場合には、秘密情報として特定するとともに、前条に定める秘密情報の等級（レベル１）を指定し、秘密情報管理
confidential information and at the same time notify their Confidential Information Managing Director about the case after designating
責任者へ報告する。
the confidential information level (Level 1) as prescribed in the preceding article.

Designation of Confidential
Information Level(c) When faculty and staff members, etc. obtain information judged to be of Level 2 or 3 confidentiality, they shall notify their

ハConfidential
教職員等は、レベル２又はレベル３と判断した秘密情報を取得した場合には、秘密情報管理責任者に届出を行う。届出を受けた秘密情報管理責任者は、レベル１又はレInformation Managing Director. The Confidential Information Managing Director notified shall designate the confidential
information level (Level 1 or 2) as prescribed in the preceding article for information judged to be of Level 1 or 2 confidentiality, while
秘密情報の ベル２と判断した秘密情報については、前条に定める秘密情報の等級（レベル１又はレベル２）を指定し、又はレベル３と判断した秘密情報については秘密情報統括責任者
for information judged to be of Level 3 confidentiality, he or she shall notify the Confidential Information Supervising Director
等級の指定 （以下「統括責任者」という。）に届出を行う。届出を受けた統括責任者は、前条に定める秘密情報の等級（レベル１、レベル２又はレベル３）を指定する。
(hereinafter referred to as the “Supervising Director”). The Supervising Director notified shall designate the confidential informationlevel (Level 1, 2, or 3) as prescribed in the preceding article.

ニ(ii)教職員等は、秘密情報について、日時の経過等により秘密性が低くなり、若しくは秘密性がなくなった場合又は秘密情報の管理レベルの変更が必要な場合においては、
Faculty and staff members, etc., in accordance with procedures (a) to (c) above, shall complete the procedures for changing or
removing the confidential information level which are prescribed in the preceding article whenever confidentiality is no longer required,
その都度、イ、ロ及びハの手続きに準じて、前条に定める秘密情報の等級の変更又は指定の解除を行うものとする。
the level of confidentiality has decreased, or confidential information management level is required to be changed due to the passageof time or other circumstances.

ホ 教職員等は、秘密情報の開示を行う企業等が正当な権限を有しないとき又は正当な権限を有するか否かにつき疑義のあるときには、当該情報の開示を受けず、疑義が(d) When a company who will disclose confidential information does not hold the proper authority to do so, or there is doubt whether
ある旨を秘密情報管理責任者に届け出るものとする。
it holds the proper authority, faculty and staff members, etc. shall decline the information disclosure and notify their Confidential
Information Managing Director of their doubts.

2 2.本ガイドラインに定めるもののほか、等級の指定については、産学連携における秘密情報管理運用マニュアル（以下「運用マニュアル」という。）において、別途定める。
In addition to what is prescribed in these Guidelines, procedures for level designation shall be separately stipulated in the
Operation Manual for Confidential Information Management for Industry-Academia Collaborations (hereinafter referred to as "theoperation manual”.)

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Nagoya Univ.

Confidential Information Management Flowchart
Faculty and Staff Members,
etc.

Confidential Information
Managing Director(Research Leader)Department Contact Person Confidential
Person in Charge of Confidential Information
Information for AR&IAGC
Operations Director

Confidential
GeneralInformation
Supervising Director Director

Obtain confidential informationfrom a company (plan to)
Determine the level of confidentiality based on the Operation Manual_Attachment 1 (flowchart).
Direct / Report

Offer consultation

Hold training sessions【 Level designation and notification 】【Level designation】 and notification】
Notify・Determine the level of information
Level
１

Level
２

Level
３

notified as being of Level 2 or 3
confidentiality

Service counter responsibilities

Offer consultation

Service counter responsibilities

Designate
Level designation (Level 1, Level 2)

If determined to be of Level 2 orNotify the Confidential Information
Level 3 confidentiality: Notify the Report Supervising Director if information is
Confidential Information Managing
determined to be of Level 3
confidentiality
Director.
NotifyIf determined to be of Level 1
Levelconfidentiality: Designate the level３
and notify the Confidential Managing
Director.
Designate /Manage【Designation and management of【Designation and management】
of authorized personnel
authorized personnel】
For Level 2 information, designate
For Level 1 information, designate
authorized personnel, and manage
authorized personnel and manage thethe information and give directions
information based on the operation
based on the operation manual.
manualDesignate / Direct

Determine the level of
information notified as
being of Level 3
confidentiality

Level designation(Level 1, 2, and 3)
Designate

等級指定 (レベル３）
Designation andof】【 management
authorized personnel

For Level 3 information,
designate authorized

Designate / Direct personnel, and manage

the information and give
directions based on theoperation manual.

Direct / Report
Carry out inspections(for information of Level
2 and 3 confidentiality)

Report the results of inspection /Give directions for improvement

Make final
decisions

ReportResponsibility for theinspections (forinformation of Level 2
and 3 confidentiality)

Assume thegreatest
responsibility

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Nagoya Univ.

Confidential Information Level Designation Flowchart
2016_11_18

Flowchart for Confidential Information
秘密等級指定のフローチャート
Level Designation
Research Informationfrom Companies

企業からの研究情報

秘密等級指定する場合
For level designation, the following
以下の、５つの判断を行うものとする。

five criteria must be considered.
Criterion-1
判断要素-1NoMust
the information be designated as
秘密情報として指定すべき
confidential
情報か？information?
非公知性を問う？
Yes

判断要素-2
Criterion-2

Has
the other party designated a
相手先から秘密等級指定
confidential
information level?
がある?
Yes

判断要素-3
Criterion-3

Does it have a non-public
nature?

No・通常の守秘義務が課された秘密情報では、Noを選択する。

The answer is “NO” for information on which a normal duty of confidentiality has
been imposed.

Are entities to which information
情報開示先、開示記録
will be disclosed designated, or is arecordの指定がある？
of disclosures directed?
Yes

判断要素-4
Criterion-4〇下記条件を総合的に満たしているか?
○Have
the conditions listed below been comprehensively satisfied?
・Is・theinformation not that for which easy viewing, carrying, and use by faculty and staff members is
教職員が手軽に閲覧・持出し・利用等が必要な情報ではない？
needed?
アクセス権者の範囲が広くなる情報ではない？
・Is・theinformation not that for which the number of authorized personnel needs to be wider?
・ その情報を活用する教職員の目的は産学官連携か？
・Will
faculty and staff members use this information for Industry-Academia-Government Collaboration?
・Is・theinformation not that which is also stored on a device such as a PC for which connection limitations
接続制限がかかっていないＰＣ等にも保管される情報ではない？
are not set?
・ 日々更新される情報ではない？
・Is the information not that which is updated daily?

Will the company bear the cost of

レベル２以上として管理
managing
the information in the
する場合の費用は企業負担？
event it is managed as Level 2

No

秘密管理性を問う？

Is the information managed asconfidential?

Is it necessary to

No

レベル
２ 管理
manage the information
as Level 2の必要性？
confidentiality?

confidentiality or higher?

Is it possible to bear the costs ofputtingフロア・建物制限のrestrictions on a floor andbuilding?
コスト負担可能か？

Yes

Is it possible to agree
to manage theinformation as Level 1
confidentiality?

No

Is it possible toagree to manage

the information
レベル
2 asLevel 1
管理で合意可？
confidentiality?

No

レベル １
管理で合意可？
Yes

Yes

Yes

判断要素-5
Criterion-5

No

No

Yes

Confirm the level of confidentiality (check the value of theconfidential information)
秘密等級の確認（秘密情報の価値チェック)
Reconfirm the necessity of management as Level 2 confidentiality or
判断要素4のレベル2以上管理の必要性再確認
higher, determined above at Criterion-4

レベル 3３
Level

レベル2 ２
Level

レベル 1１
Level

May
be publicly
公開可能
releasedMay
not receive
受け取らないthe information

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Nagoya Univ.

Confidential Information Management Guidelines for IndustryAcademia Collaboration at Nagoya University

1. When faculty and staff members, etc. have students participate in collaborative research, etc., they shall respect
students’ voluntary intentions following the obtainment of their informed consent as prescribed in the operation manual.

Students and Collaborative
Researchers

教職員等は、学生を共同研究等に関与させる場合、運用マニュアルに定めるインフォームド・コンセントを行ったうえ
2. When faculty and staff members, etc. have students who do not have contractual relationships with the University, such
で、学生の自主的意思を尊重する。
as employment contracts, participate in collaborative research, etc., they can ask the students to sign a “Consent Form”
the handling of research results and confidential information prior to the start of their engagement in the
2detailing
教職員等は、本学との間に雇用等の契約関係が無い学生を共同研究等に関与させる場合、共同研究の相手機関
collaborative research, etc. if the other party in the collaborative research requests them to do so.
から要求があれば、共同研究等を開始する前に、当該学生に対して、研究成果の取扱い及び秘密情報の取扱いを記
3. When faculty and staff members, etc. have students who have contractual relationships with the University, such as
employment contracts, participate in collaborative research, etc., the students will be under the confidentiality obligations
載した「同意書」に署名させることができる。
of their contracts with the University.
34.教職員等は、本学との間に雇用等の契約関係がある学生を共同研究等に関与させる場合、当該学生に対して、Faculty and staff members, etc. shall have students who will graduate, complete their course of study, or withdraw fromthe University, reconfirm the legal mechanisms and practical action, etc. for the protection of confidential information, as
大学との契約等により守秘義務を負わせるものとする。
as the contents of the confidentiality obligation they must owe while they engaged in the collaborative research, etc.
学生及び共 4well
教職員等は、卒業し、修了し、又は退学する学生に対しては、秘密情報の保護の法的仕組み及び実際の運用等
Furthermore,
all confidential information obtained by such students shall be transferred to faculty and staff members, etc.
同研究員
並びに共同研究等に従事した際に負っている守秘義務内容を確認させる。また、学生が取得した秘密情報は、全て
5. When faculty and staff members, etc. have students who do not have any contractual relationships with the University,
such as an employment contract, participate in collaborative research, etc., the information they shall be allowed access
教職員等へ移管させるものとする。
to must be restricted to the minimum amount of Level 1 confidential information that is necessary for their research.
56.教職員等は、本学との間に雇用等の契約関係がない学生を共同研究等に関与させる場合、当該学生にアクセス
When faculty and staff members, etc. have students who have contractual relationships with the University, such as
employment contracts, participate in collaborative research, etc., they shall be allowed access to all information of Level 1
させることができる情報は、レベル１の秘密情報のうち研究のための必要最小限な情報に限るものとする。
confidentiality; however, in principle, access to Level 2 or 3 information is not granted.
67.教職員等は、本学との間に雇用等の契約関係がある学生を共同研究等に関与させる場合、当該学生にアクセス
When accepting collaborative researchers, the Confidential Information Managing Director may instruct theさせることができる情報は、レベル１の全てとし、レベル2以上は原則認めない。
collaborative researchers, as is necessary, to sign a “Consent Form” detailing the handling of research results andinformation prior to the start of their engagement in the collaborative research, etc.
7confidential
共同研究員を受け入れる場合、必要に応じ、秘密情報管理責任者は、当該共同研究員に対して、共同研究等を開始する前に、研究成果の取扱い及び秘密情報の取扱いを記載した同意書に署名させることができる。

１４
Nagoya Univ.

Informed Consent Flowchart

暫定版

研究室配属の学生が共同研究テーマに参画する場合
When students assigned to a laboratory participate in collaborative research, explanation of informed
以下のインフォーム要件の説明を行うものとする。
consent requirements

学生へのインフォームド・コンセントのフローチャート
Informed Consent Flowchart for Students (Short(要約版）
Version)shall be provided as below:

the research theme and the selected classification: A, B, or C.
□□Explain
研究テーマと、種別A、B、Cの選択種について説明します。
A (research
conducted solely by the laboratory);
B (collaborative research in（企業を含む共同研究）
which companies do not・A （研究室単独研究）、B（企業を含まない共同研究）、C
as partners); C (collaborative research in which companies participate as partners)□participate
共同研究に参画した場合の、メリット、ディメリットについて説明します。
□Explain the advantages/disadvantages of participating in the collaborative research.
・製品化、事業化の醍醐味を味わえます。
- Participants can experience the best part of working, such as commodification and industrialization. ・・研究のモチベーションがあがります。
- Their
motivation to conduct research will be increased.
・企業での研究開発のポイントが理解できます。
- Participants
will be better able to understand the point of research and development at companies.
- Participants
may be asked to sign a non-disclosure agreement as part of their duty of confidentiality.
・守秘義務を、秘密保持契約に署名を求められることがあります。
- Presentationof research results at academic conferences or submission of papers may be restricted.
・研究成果の学会発表、論文投稿で制限がかかる場合があります。
- Employment
at other companies in the same industry may be restricted when seeking employment.
・就職時に同業他社への就職が制限される場合があります。
□Explain the rules for collaborative research.
□ 共同研究のルールについて説明します。
- Explain the system for collaborative research so that students understand their position within it.
・共同研究の体制を説明し、学生個人の立場を理解- Explain
the operation manual for the management of confidential information.
・秘密情報管理の運用マニュアルを説明してもらいます。
- Explainthat they must proceed with their duties by obtaining approval from the person responsible forthe・業務は研究責任者の承認を得、その指示に従うことを説明します。
research and following their instructions.

・Explain that research themes areclassified by type.
・研究テーマの選択種があることを説明します
・Inform students of the advantages
Informed Consent
インフォーム要件-１，２
Requirements
1 and 2Student

選択肢-1
Decision 1

・学生にとって共同研究のメリット知らせますcollaborative research offers them.

・Inform
students of the disadvantages
・学生にとって共同研究のデメリット知らせますcollaborative research may bring them.
・Explain
the duty of confidentiality for
・研究情報の守秘義務について説明します
research information.
・共同研究体制と遂行上のルールを説明します
・Explain the system and rules forcarrying out collaborative research, etc.

Are you able to accept theNo

restrictions, duty of
共同研究の制約事項・守秘義務やconfidentiality, and rules for
ルールを許容できますか？
collaborative research?

- Explain the contents of the consent form and ask students to submit it with their seals affixed (not mandatory).

・同意書の記載事項を説明し、同意書に捺印し提出して頂く（任意）。

Yes

This
question is only
教員のみの判断要素で す。
for faculty.

Explain that even if selecting “NO”, students will not suffer consequences in the laboratory.
・-Noを選択しても、研究室で不利益が生じることがないことを説明します。

Is
it in the budget
RA 等として雇用できる
to予算がある場合ですか？
hire students as
RAs, etc.?
Yes

Informed Consent
インフォーム要件-３
Requirement 3

No

Must be addressed with companies at the time ofentering into a collaborative research contract.

(共 同 研 究 契 約 時 に 企 業 と 要 調 整 ）Although you may not be
hired as an RA, etc., are you

Yes

R Astill
等としての雇用はないがinterested in participatingin collaborative research
秘密情報を含む共同研究にinvolving confidential
興味がありますか？

RA等の業務を説明します

Explain the duties of an RA, etc.

information?

・R
A等に採用された場合、共同研究費からその費用が支払われます。
‐When
hired as an RA, etc., the cost of employment will be paid from・R A等に採用された場合、教職員同様に、守秘義務を 負います。
collaborative research funds.
・R A等に採用された場合、契約書記載事項で拘束されます。

-When hired as an RA, etc., the student will bear the same duty ofconfidentiality as faculty and staff members.
-When hired as an RA, etc., the student shall be bound by the contents set
forth in the contract.

Do you consent to being

Student
選択肢-2
Decision 2

Informed Consent
インフォーム要件-４
Requirement 4

hired as an RA, etc., andRA等としての雇用承諾でき、
can you sign and affix your
契約書に署名・捺印できます？

Noseal to the contract?
-Have students sign and affix their seals to the employment contracts for RAs,
・ RA等としての雇用契約書に署名・捺印を行って頂きます。
etc.
・ 同意書の記載事項を説明し、同意書に署名・捺印して頂きます(任意）。
Yes-Explain the contents of the consent form and ask students to submit it with
・記載事項を遵守しない場合は、課される民事・刑事罰の具体例等
their seals affixed (not mandatory).
を説明する。
-Provide concrete examples of civil or criminal punishment that may be
imposed in the event that students do not comply with the contents of theabove documents.

No

Explain the handling ofconfidential information.

秘密情報の取り扱いについて説明します

・ 本件共同研究における秘密情報の-Explain the specific details of
取扱いの具体的な内容の説明を行
handling confidential
います。
information during the・ 共同研究遂行上のルールを理解す
collaborative research.
るための教育、啓発活動（説明会や-Explain thatstudents are
eLearning）に参加義務があることを
obliged to attend educational
説明します。

Although students
may not be hired
and awareness activities (suchas RAs, etc., whenas orientations and e-learning)faculty judge thatso that they may better
Are you able to accept the understand the rules forthey are capable ofcontents of the consent form
carrying out
秘密情報の守秘義務に関する
Complyingregarding your duty ofcollaborative
同意書を許容できますか？
confidentiality for the
RA等の雇用がないが、withNo
research.
confidential
information?
秘密情報遵守できると、
confidentiality
教員が判断した場合
Yes
requirements.

Explaineducational and
教育、啓発活動について説明します
awareness activities.
・共同研究遂行上のルールを理解するための教育、啓発活動-Explain educational and awareness activities.あ（説明会やeLearning）に参加義務があることを説明します。

(collaborative research in which
C C（秘密情報を含む企業との共同研究）
companies participate as partners)

B (collaborative research in which
B （企業を含まない共同研究）
companies
do not participate as partners)

A (research
conducted
A （研究室単独研究）
solely by the laboratory)

Nagoya Univ.

１５

Operational Manual for Confidential Information Management for
Industry-Academia Collaborations at Nagoya University
暫定版
Purpose
目的

These detailed operational rules aim to establish the matters necessary to carry out, in a reasonable manner,
本運用細則は、別途定める産学連携における秘密情報管理ガイドラインの第5条に定める秘密情報の等級の指定、第6confidential
information level designation as prescribed in Article 5, confidential information management asprescribed in Article 6, and obtainment of informed consent from students as prescribed in Article 7of the条で定める秘密情報の管理、第7条で定める学生へのインフォームドコンセントを合理的に遂行するために必要な事項をConfidential Information Management Guidelines for Industry-Academia Collaboration stipulated separately, and定め、産学連携における秘密情報の適正な管理および活用を図ることを目的とする。
to consequently promote proper management as well as utilization of confidential information during industryacademia collaborations.

Confidential
秘密情報
Informationの指定
Designation

1. Regarding confidential information level designation as prescribed in Article 5 of the Confidential Information
Management Guidelines for Industry-Academia Collaboration, the Confidential Information
Management
産学連携における秘密情報管理ガイドライン5条に定める秘密情報の等級指定については、
秘密情報管理委員会等
Committee,
etc.
shall
prescribe
policiesandstandards
toidentify
theconfidential
informationand designate a
で、秘密情報の特定、秘密等級の指定の方針や基準を決定し、それに沿って各部局で運用ルールを定め、教職員にて秘level of confidentiality. In accordance with these policies, etc., each department shall establish operational
密情報を特定、秘密等級の指定を行うものとする。
rules by which faculty, etc. shall identify confidential information and also designate its level of confidentiality.
２2.教職員は、企業から入手した秘密情報を、別紙１に定める秘密情報の等級指定のフローチャートに基づき等級分けをFaculty and staff members, etc. shall classify confidential information obtained from companies into appropriate
行うものとする。
level, based on the Confidential Information Level Designation Flowchart stipulated in Attachment 1.

Confidential
Information
秘密情報のManagement at
等級ごとの管理
Each Level

1. For the management of confidential information (Levels 1 to 3) as prescribed in Article 4 of the Confidential
産学連携における秘密情報管理ガイドライン4条に定める秘密情報（レベル１、レベル2、レベル3）を管理するに当たり、Information
Management Guidelines for Industry-Academia Collaboration, specific examples of confidential
information management set forth in Article 6 of the same Guidelines shall be prescribed in Appended Table 1;
同6条の秘密情報の管理の具体例を、秘密情報資料及び電子化情報の表示、アクセス制限、保管、複製、閲覧、配布、
specific examples include how to label a level of its confidentiality, restrict access to, store, copy, view, distribute,
持出、廃棄の方法等として別表１に定める。
take out, and dispose of documents with confidential information or digitized information.

Informed

When faculty and staff members, etc. have students participate in collaborative research, etc., they shall
教職員は、共同研究等に学生を参画させる場合、学生の自主的な意思を尊重し、産学連携における秘密情報管理ガイ
obtain informed consent from students as prescribed in Article 7 of the Confidential Information Management
ドライン7条に定める学生へのインフォームドコンセントを行うものとする。
Guidelines for Industry-Academia Collaboration, respecting students’ voluntary intentions.
一(i) 教職員は、別紙２に定めるフローチャートを参考に、インフォームドコンセントの要件を学生に説明し、学生の合意のもFaculty and staff members, etc. shall explain the requirements of informed consent to students using theと共同研究等に参画させる。
flowchart prescribed in Attachment 2 as a reference, and have them participate in collaborative research, etc.
only upon receiving their consent.

共同研究等に学生
Consent Whenを参画させる場合のHaving Students
インフォームド
Participate in
Collaborative
コンセント
Research, etc.

１６
Nagoya Univ.

Operational Manual for Confidential Information Management for
Attachment 1
Industry-Academia Collaborations at Nagoya University
SectionLevel 3

●Confidential Information that its leakage may
Criteria
result in extremely serious losses orforDesignation advantages for a company, etc.
e.g.) Confidential Information that affects
company’s stock prices, M&A, LBO, etc.

● Confidential Information Supervising Director shallLevel
determine and designate a level of the notified
Designation confidential information based on the Designation
Flowchart.

● For confidential information determined and designatedas Level 3 confidentiality, the original data shall be
managed.

Level 2
● Confidential Information that its leakage may result inserious losses or advantages for a company, etc.

e.g.) Confidential information regarding research, etc.
received from companies during collaborative research,
etc., on which restrictions have been imposed by theother party.

Level 1

暫定版

● Information, etc. on which a normal obligation of maintaining

confidentiality is imposed between the University and company,
etc.

e.g.) Confidential information regarding research etc. received
from companies, etc. during collaborative research, etc.
e.g.) Contract documents such as collaborative research
agreements, etc.
e.g.) Know-how generated through collaborativee.g.)Know-how generated during collaborative research, etc., inresearch, etc., including the confidential information
which confidential information obtained from companies, etc.
obtained from companies, and for which its contents andis included, and its contents and attribution are designated.
attribution are designated, and on which restrictions have ● In principle, a level of confidential information which students
been imposed by the other party.
may access is Level 1 only.

● Confidential Information Managing Director shall determine anddesignate a level of the notified confidential information based on the
Designation Flowchart.

● For confidential information determined and designated as Level 2
confidentiality, the original data shall be managed.

● Confidential information designated as Level 3 confidentiality shall bereported to the Confidential Information Supervising Director

Authorized
Personnel● The Confidential Information Supervising Director will
designate authorized personnel.
Faculty and staff members, etc. and collaborative
researchers● The Confidential Information Managing Director willLabeling●Confidential information labeled by companies
as “Top Secret” or other such words, shall belabeled as Level 3 confidential information.

●Confidential information labeled by companies as“Secret” or other such words, shall be labeled as
Level 2 confidential information.

designate authorized personnel.
Faculty and staff members, etc. and collaborative
researchers● Confidential Information designated Faculty and staff members in chargeof the management of obtained confidential information shalldetermine and designate its level based on the Designation Flowchart,then report the result to the Confidential Information Managing
Director.
● Confidential Information designated as Level 2 confidentiality or
higher must be reported to the Confidential Information Managing
Director.
● Faculty and staff members in charge of the management of obtained
confidential information will designate authorized personnel
Faculty and staff members, etc., collaborative researchers, andstudents●Confidential information labeled by companies as“Confidential” or other such words, is desired to belabeled as Level 1 confidential information.

Entrance and ●Entering and leaving the buildings or floors where ●Entering and leaving the rooms where documents ●Entering and leaving the rooms where documents
Exit
documents with confidential information orwith confidential information or digitizedwith confidential information or digitized information
Restriction
digitized information is stored must be restricted.
information is stored must be restricted.
is stored are desired to be restricted.

Storage● Confidential information data (such as documents in● Confidential information data (such as documents in paper ●Confidential information data (such as documents inpaper form) must be stored in a locked dedicated storageform) must be separated from other data and stored in apaper form) must be stored in a locked storage
cabinet, etc.
locked dedicated storage cabinet, etc.
cabinet.
Keys must be managed by the Confidential Information● Keys must be managed by the faculty and staff
●
Keys
must
be
managedbytheConfidential
Information
Supervising Director, or faculty and staff members, etc.
members in charge of the management of obtained
Managing Director
and collaborative researchers designated by theconfidential information.
Confidential Information Supervising Director.
● When storing digitized information on information device●When storing digitized information on information ● When storing digitized information on information device (such(such as PC), make sure to take measures such as encryption,
as in a PC), install the information device in the accessdevice (such as in a PC), make sure to takethen store the information on a dedicated information device
controlled area as a general rule.
measures such as encryption, and install the
not connected to any network and install the information
In the case it cannot be installed in the access controlled area,
device in the access controlled area.
information device in the access controlled area.
take measures such as encryption, then store it on information
The information device must be authenticated by password.
The information device must be authenticated bydevice, or setup an authentication by password on the device.
password.

●Digitized information must not be stored on
digital media (such as a USB).

●When storing digitized information on digital
media (such as a USB), take measures such as
encryption, then setup an authentication by
password on the digital media.
Store the digital media in a locked storage
cabinet, etc.
● Keys must be managed by the Confidential
Information Managing Director●When storing digitized information on digital media(such as a USB), the digital media must be stored in alocked storage cabinet, etc., separating from otherdigital medias.
● Keys must be managed by the faculty and staff
members in charge of the management of obtained
confidential information.

１７
Nagoya Univ.

Operational Manual for Confidential Information Management for
Attachment 1
Industry-Academia Collaborations at Nagoya University
SectionCopy

Level 3
●Copying, printing, and taking pictures are notallowed.

Level 2

暫定版

Level 1● Only the Confidential Information Managing Director or●Only faculty and staff members in charge of
those who have received permission from the Confidential
the management of obtained confidential information,
Information Managing Director are allowed to copy, print,
or those who have received authority to access fromor take pictures.
faculty and staff members in charge of the● When printing out digitized information, as a generalmanagement of obtained confidential information,
rule, use printers installed in an access controlled area,
may copy, print, or take pictures.
or a private room, etc. where only the authorizedhandlers of such digitized information have occupied, and●When copying or printing, make sure to collect all
be careful that the information is not be read by anyone
data or papers once copying or printing is complete,
without authority to access such digitized information.
If using the printers installed in the place other thanabove, make sure to wait in front of the printer during
printing, and collect all papers once printing is complete.

Viewing●Anyone without authority to access theinformation shall not be allowed to view it.

● Anyone without authority to access the information shall not beallowed to view it.

in order to prevent anyone without authority toaccess from reading the printed or copied
information.

● Anyone without authority to access the information shall not beallowed to view it.

● When showing digitized information on the screen, be aware of your ● When showing digitized information on the screen, be aware of yoursurroundings so that anyone without authority to access theinformation cannot read it.

Distribution ●Distribution and sending are not allowed.

surroundings so that anyone without authority to access theinformation cannot read it.

● Documents shall be labeled as “Secret” or other such words to●It is desirable that documents, etc. are labeled as“Confidential” or other such words to indicate its Level
1 confidentiality, and other necessary measures suchas providing an explanation of the methods of● In the case where the document, etc. is distributed during a meeting,handling such information or collecting documents,
etc., consecutive numbers shall be attached to each copy, and all
shall also be taken in order to prevent the leakage of
copies shall be collected once the meeting is finished.
information.
● When sending documents, etc. via postal mail, the envelope shall be
indicate its Level 2 confidentiality, and other necessary measures
such as providing an explanation of the methods of handling suchinformation shall also be taken in order to prevent the leakage of
information to anyone without authority to access the information.

sealed and sent as a confidential letter depending on the situation.

●When sending digitized information via e-mail to those with authority
to access the information, the information shall be encrypted before
being sent.

●When sending via FAX, request a recipient of the fax data to wait in●When sending digitized information via e-mail to thosewith authority to access the information, theinformation shall be encrypted or password shall be
set to digital media before being sent.

front of the FAX machine to receive the data as soon as it arrives.

Takingout●The information shall not be taken outside thestorage area.

● If taking the information outside the storage area,● If taking the information outside the storage area, persons
permission from the Confidential Information Managing
with authority to access themselves must carry the information
Director shall be obtained in advance.
and store it in a storage cabinet at the destination.
● If taking the information outside campus, the assigned
handler themselves must carry the information and store ● If taking out digital media on which digitized information is
it in a storage cabinet at the destination.
stored outside the storage area, appropriate measures such as
encryption of data, etc. shall be taken.
● If taking out digital media on which digitized informationis stored outside the storage area, appropriate measures● If sending digitized information via e-mail or other means,such as encryption of data, etc. shall be taken.
appropriate measures such as encryption of data, etc. shall be● If sending digitized information via e-mail or othertaken.
means, appropriate measures such as encryption of data,etc. shall be taken.

Disposal●Permission from the Confidential Information

Supervising Director shall be obtained inadvance.
●Under the direction and responsibility of theConfidential Information Supervising Director,
remaining information shall be disposed of sothat it is not viewed by any third party.

●Permission from the Confidential Information

Managing Director shall be obtained in advance.

●Under the direction and responsibility of theConfidential Information Managing Director,
remaining information shall be disposed of sothat it is not viewed by any third party.

●Under the direction and responsibility of thefaculty and staff members in charge of the
management of obtained confidential
information, remaining information shall bedisposed of so that it is not viewed by any third
party.

１８
Nagoya Univ.

Trial Phase of the Confidential Information Management
Policy, etc.
The formulated Confidential Information Management Policy, etc. and its
format are being tested as follows:
1. Institute of Innovation for Future Society (COI)
COI, at which academic-industrial collaborative courses with various institutions are conducted,
has referred to the Confidential Information Management Policy, etc. in carrying out sufficientmanagement methods for confidential information: COI has obliged retirees and students to submit
confidentiality consent forms, thus complying with the Confidential Information Management Rules.
2. Open Innovation Platform for Enterprises, Research Institutes, and Academia (OPERA)
A structure for conducting full-scale collaborative research projects in addition to hiringdoctoral students is required for the OPERA platform. For this structure, a system in compliancewith the Rules has been implemented, with the soon to be operated “Check Sheet for Hiring
Students (for students / academic advisors)," which incorporates informed consent as prescribedin the Confidential Information Management Guidelines for Industry-Academia Collaboration, andother rules and regulations.
3. Large-Scale Collaborative Research Projects Being Conducted with the Support of the Regional
Collaboration & Communication GroupAs a precondition for entering the several large-scale collaborative research project agreementsthat the Regional Collaboration & Communication Group is currently coordinating, confidential
information management on the part of the University is being requested by companies, etc.
Confidential Information Management Rules are under consideration for use by referring to the
Confidential Information Management Policy, and other rules and regulations.

１９
Nagoya Univ.

Future Schedule
Plan Details
Risk
Management
Model Project
Plan・Establish
System2017

2016
DecemberJanuary February March

April

May

June

Establishment of best practices for the system,
management methods, etc.
▼

▼

▼

▼

12/15

12/20

12/27

1/6

▼

1/10 Deans & Directors Meeting (Report)
Strategy Meeting
Executive Council(AR&IAGC)
Executive Board Meeting (Decide)
Strategy Meeting
AR&IAGC(研推)
Departmental Meeting
Cooperate with related
departments on campus

Campus consensus
Draft policy and・Establish
guidelines
Guidelines
・Differentiated Draft operation
Control Modelmanual・Trial Phase

Testing within AR&IAGC (COI, OPERA, Large-Scale
Projects)

Begin full implementation

・Information Science（2/15）、Engineering （3/8）、Materials and Systems
for Sustainability（3/29）、Medicine （4/5）、Bioagricultural Sciences（5/24）

・Dissemination
and AwarenessInformation sessions within the university
and its departments (Planned)
・Training session for URAs in charge（1/20）
・Release of the E-Learning Course for Confidential Information Management

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Nagoya Univ.

One-stop Consultation Counter for Confidential Information
Management
Feel free to consult with us if you have any concerns about
the handling of confidential information or other matters.

Academic Research and Industry-Academia-Government Collaboration Administration Office (AR&IAGC)

Regarding the handling of confidential information during industry-academia collaborations1.
Non-disclosure agreement shall be entered into prior to disclose confidential information
to outside parties or receive disclosed information from outside parties.

2. During your internship, you must pay special attention to certain
matters, such as the following important points.

【相談窓口】 【Contact】
学術研究・産学官連携推進本部
Academic Research and Industry-Academia052-747 -6702 Government Collaboration Administration
Office (AR&IAGC)

21
Nagoya Univ.