English Translation for Reference Use Only

Guidelines for Public Call of the Moonshot Research andDevelopment Program/Realization of sustainable resource circulation to recover
the global environment by 2050

February 20, 2020
Updated on April 10, 2020 (for extension of the period of
public call, etc.)
Updated on May 14, 2020 (for extension of the period of
public call)National Research and Development Agency
New Energy and Industrial Technology Development Organization (NEDO)
Moonshot Research and Development Program Promotion Office,Innovation Promotion Department
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1.

Subject .........................................................................................................................................42.

Program overview ........................................................................................................................4(1)

Background/purpose .......................................................................................................... 4(2)

Program details .................................................................................................................. 4(3)

Program period................................................................................................................... 6(4)

Budget scale/program budget............................................................................................. 7

3.

Application requirements .............................................................................................................7

4.

Submission closing date and place of submission .......................................................................8

5.

Procedures for application ...........................................................................................................9(1)

Preparing your written proposal ......................................................................................... 9(2)

Documents to be attached to your written proposal ........................................................... 9(3)

The cases where the acceptance of your written proposal and written proposal itself areincomplete........................................................................................................................ 10(4)

Registration for the Cross-Ministerial Research and Development Management System (eRad) ................................................................................................................................. 10

6.

Protection of confidential information ....................................................................................... 11

7.

Selection of Entrustees............................................................................................................... 11(1)

Methods of examination................................................................................................... 11(2)

Examination criteria ......................................................................................................... 12(3)

Announcement and notification of Entrustees ................................................................. 14(4)

Schedule ........................................................................................................................... 14

8.

Points of attention ......................................................................................................................14(1)

Contract............................................................................................................................ 14(2)

Re-entrustment from an independent administrative agency for research and development
to private companies ........................................................................................................ 15(3)

Revision and cancellation of research and development plans ........................................ 15(4)

Change of plans for commercialization ........................................................................... 15(5)

Research CV of the PM candidate and key researchers ................................................... 15(6)

The status of certification regarding work-life-balance promoting companies................ 15(7)

Filling in the questionnaire to survey achievements in NEDO research and development
projects............................................................................................................................. 15(8)

Follow-up surveys and evaluations .................................................................................. 16(9)Intellectual property management .................................................................................... 16(10)

Data management............................................................................................................. 16(11)

Activity for Scientific and Technical Dialogue with the People ...................................... 16(12)

Taking measures to the dishonest use and reception of public research funds................. 17
2 / 28(13)Response to misconduct in research activities ................................................................. 19(14)

Voluntary research activities by young researchers at universities and the National
Research and Development Agency, among other similar organizations ........................ 21(15)

Hiring doctoral students as RAs (research assistants) and the like .................................. 21(16)

Disclosure of information about contracts of National Research and Development
Agencies .......................................................................................................................... 21(17)

Security trade control measures (measures to technology leakage to overseas) .............. 22(18)

Eliminating duplication(19)

Ownership and disposition of research and development assets ...................................... 23(20)

Language .......................................................................................................................... 24.............................................................................................. 23

9.

Opening an orientation meeting .................................................................................................24

10.

Contact information for inquiries ..............................................................................................24

11.

Improvement survey concerning work related to NEDO activities ...........................................25

Relevant documents ............................................................................................................................25

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Public Call of the Moonshot Research and Development Program/Realization ofsustainable resource circulation to recover the global environment by 2050
(February 20, 2020 open, updated on April 10, 2020, updated on May 14, 2020)
We updated the words underlined and highlighted in Red (P1, 4, 8, 9, 10, 14, 24-28) on
April 10, 2020.
We updated the words underlined and highlighted in Blue (P1, 4, 8, 14) on May 14, 2020.
The New Energy and Industrial Technology Development Organization (hereinafterreferred to as NEDO) will implement called the Moonshot Research and Development
Project from FY2020. If you are interested in this program, please apply for participationaccording to these guidelines.
The subject of the public call shall be ”Realization of sustainable resource circulation torecover the global environment by 2050” from among the moonshot goals.

1. Subject
Moonshot Research and Development Program/Realization of sustainable resource
circulation to recover the global environment by 2050

2. Program overview(1)

Background/purpose
The Council for Science, Technology and Innovation (hereinafter referred to as the“CSTI”), decided to aim for the creation of disruptive innovations developed in Japan,
and to advance challenging research and development based on bolder ideas going
beyond the mere extension of existing technology (moonshot).
NEDO, as a research advancement corporation that will conduct work related to thisresearch and development, will establish funding, and advance challenging researchand development based on the Basic Plan in order to accomplish the moonshot goal
(hereinafter referred to as the “MS Goal”).

(2)

Program details
The MS Goal of this public call is:
Realization of sustainable resource circulation to recover the global environment by
2050.
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For information regarding the field and area of the research and development that is
the subject of this public call, please refer to Moonshot Goal 4’s R&D
Concept: ”Realization of sustainable resource circulation to recover the global
environment by 2050,” as well as the subsequent Item (i).
(i) Supplemental explanation of the R&D concept
The following is a supplemental explanation of “3. Direction of Research andDevelopment” of the R&D concept.
The business of this program is research and development oriented toward solving
the problem of global warming (the Cool Earth) or solving the problem ofenvironmental pollution (the Clean Earth), in order to recover the global environment.
The substances attempting to realize sustainable resource circulation on will belimited to substances that cause global warming or environmental pollution, and havebeen difficult to recover utilizing the existing technologies as described below. As such,the circulation of substances that are not presently being released into theenvironment, or substances that can be readily recovered using traditional technology
will not be the subject of this public call.
Substances spread widely into the environment
Substances being released into the environment in low concentrations
Regarding methods to realize sustainable resource circulation of the subject
substances described above, methods involving one of the technologies described
below will be subjects of the public call.
Technologies that can recover the subject substances and convert them into
valuable materials
Technologies that decompose or detoxify the subject substances
Note, regarding the methods that recover subject substances and convert them into
valuable materials, partial proposals that develop either a method of recovery or amethod of conversion will be permitted, but an complete image including the remaining
portion (from resource recovery to use) must be anticipated in the proposal.
Methods that are useful to recover the global environment, but do not directly
constitute a form of resource circulation (i.e., methods to control or reduce release of
substances, etc.) will not be subjects of the public call. Therefore, that store recovered
substances, but do not convert them into valuable materials, shall also be excluded
from the public call. However, if this storage method is a highly promising, such asnovel technology that differs from traditional storage technology, and demonstrates
high compatibility with recovery technologies, investigation of the storage methods will
be permitted.
5 / 28Furthermore, if the method recover or detoxify substances that are different fromthe substances that cause global warming or environmental pollution, such methods
will also be excluded from the public call.
Regarding technological level for research and development, challenging researchand development that are not currently being undertaken shall be the target.
Furthermore, regarding the current stage of research and development, the subject
research and development level shall be technologies in between the laboratory levelto the bench test level, while technologies that are already in the pilot stage orprototype level shall be excluded from the public call.
(ii) Execution system of the program
Under this public call, NEDO will, as general, select multiple Project Managers(hereinafter referred to as the “PMs”), who manage research and development
projects, and multiple research and development projects including the details of
research and development and involved researchers (these research anddevelopment projects being hereinafter referred to as “Projects”), and implement
research and development programs (hereinafter referred to as the “Programs”)
comprised of multiple Projects oriented toward accomplishing the MS Goal . Basedon the MS Goal set by CSTI as well as the R&D Concepts formulated by the Ministryof Economy, Trade and Industry, NEDO shall appoint Kenji Yamaji, Senior Vice
President and Director-General of Laboratories of the Research Institute of Innovative
Technology for the Earth (RITE), a public interest incorporated foundation, to theposition of Program Director (hereinafter referred to as the “PD”). The PD develops a
portfolio for strategic fulfillment of the MS Goal (a management plan that compiles thepolicies of project composition (structure) and resource allocation, etc. Hereinafterreferred to as the “Portfolio”) and provides unified direction and supervision for the
Program. For details on the policy, roles of PD and PMs, and the method of
performance of research and development, please refer to the “Guidelines forOperation and Evaluation of the Moonshot R&D”.
(3)

Program period
The total project period shall be maximum of ten years from FY2020. However, CSTI
will decide whether to continue or conclude the Program to accomplish the MS Goal on
the 5th year (2024) after the start of research and development.
As a general rule, the initial contracts shall last for three years. But the contracts for the
project whose execution plan exceeds three years shall be extended, revised, or
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canceled based on the results of stage-gate reviews. Unless otherwise specified, stagegate reviews shall be conducted in the third (FY2022), fifth (FY2024), and eighth year
(FY2027) after the start of this program. However, the timing of these reviews may be
advanced, whenever deemed necessary based on the progress of each research anddevelopment project.
(4)

Budget scale/program budget
There is no upper budget limit for each Project, but multiple PMs and Projects shall bechosen. Furthermore, 20.4 billion yen in funding has been prepared up to the present as
the budget required for 5 years of research and development.

3. Application requirements
We anticipate applications by multiple companies. Corporations eligible for this application
shall be companies, universities, research and development partnerships, and others,
which satisfy the conditions shown in the following (1) through (7), the Basic Plan, and the
Implementation Policy for FY2020.
(1) These corporations shall have a track record in research and development of thetechnology or the related technologies, and they also shall have the organization andpersonnel needed for them to achieve their research and development targets and to
implement their proposed research and development plans.
(2) These corporations shall have the management base needed to implement contract
work smoothly, and they also shall have sufficient ability to manage funds andfacilities.
(3) These corporations shall have the system to appropriately implement the measuresneeded for NEDO to promote its projects based on entrustment contracts.
(4) The representative organization of the proposal is a Japanese business, university, orother such entity, and is an organization which has PM candidates among its staff.
Note that, even if the applying organizations do not have any PM candidates on staff
at the time of their proposals, if the organization plans to hire such an individual after
they are chosen for the adoption, they may submit a proposal. Further, NEDO will not
inquire as to the nationality of the PM candidates.
(5) The organization has capability sufficient to establish and realize practical applicationand commercialization plans for the research and development results of theapplicable Project. Note, if the proposing organizations plan, for example, toincorporate businesses, etc. into their implementation system during the project, orplan to start up businesses during the project, in anticipation of eventually
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implementing the research and development results into society, then applications
made solely by universities and other similar organizations at the start of research anddevelopment is also permitted.
(6) These corporations shall agree to Standard Form of Business Entrustment Contracts(draft) and Special Conditions for the Moonshot Research and Development Programthat NEDO presented.
(7) In the interest of ensuring secure controls over trade, this public call shall, as a meansof preventing outflow or leakage of sensitive technologies, exclude from its business
any proposals that include in its implementation system, businesses, organizations,etc. that are published on the “foreign user list” developed by the Ministry of Economy,
Trade and Industry in response to the trends in development of nuclear weapons,
among other concerns, regulated by Article 4, Paragraph 1, Item 3(b) of the Export
Trade Control Order (hereinafter referred to as the “Businesses, etc.”), or any
Businesses, etc. affiliated with nations to which weapons or weapons-related exports
are prohibited via UN Security Council resolution (nations and regions under a UNarms embargo) (Schedule 3-2 of the Export Trade Control Order), (*1) as well as the 3nations of concern under such resolution (Schedule 4 of the Export Trade Control
Order)(*2).
*1, *2: Please refer to the following website for details on “Schedule 3-2 of the Export
Trade Control Order” and “Schedule 4 of the Export Trade Control Order”: website of
the Ministry of Economy, Trade and Industry<https://www.meti.go.jp/policy/anpo/law02.html>

4. Submission closing date and place of submission
Please prepare 12 copies of your written proposal (one original copy and 11 duplicate
copies) as well as electronic files (CD-R or DVD-R. The data must be editable in Microsoft
Office 2013, and no PDFS are allowed), according to these guidelines for public call andmail or take it to the place of submission by the closing date shown below. The submissionof your proposal via fax or email is not acceptable. Note that the written proposals must be
submitted in either Japanese or English (partially or in its entirety).
(Period of public call: From Thursday, February 20, 2020 to Tuesday, June 2, 2020)(1) Submission closing date/time: Not later than noon of Tuesday, June 2, 2020
* Closing date has been extended from May 20, 2020 to June 2, 2020, considering infection
control measures against new coronavirus (COVID-19) and its impact on proposal
preparation work.
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* The period of public call may be extended depending on the status of the application andfor other reasons. When the period of public call is extended, you will be informed on the
NEDO website.
If you register for the NEDO email delivery service, you will receive email notifications, as
needed, concerning the latest information about this public call, which will be posted on the
NEDO website.
You are recommended to register for this service.
https://www.nedo.go.jp/nedomail/index.html(2) Place of submission:
Moonshot Research and Development Program Promotion Office, Innovation Promotion
Department, New Energy and Industrial Technology Development Organization
Muza Kawasaki Central Tower, 20F, 1310 Omiya-cho, Saiwai-ku, Kawasaki City,
Kanagawa 212-8554, Japan* When you submit your written proposal by postal mail, please write in red on theenvelope, Enc. a written proposal for the Moonshot Research and Development Program.
* For foreign companies, etc. that will not be able to submit the template for their coversheets on time, submissions of copies will be permitted.
* If you are unable to register your written proposal on the e-Rad by the closing date, besure to consult the responsible NEDO department in advance.

5. Procedures for application(1)

Preparing your written proposal

・ Refer to Attachment 1, 2, and 11 for the format of the cover, abstract, and body text inyour written proposal. Make your plans for the commercialization of research anddevelopment results according to Attachment 3.
・ You need to submit 12 copies of your written proposal (one original copy and 11
duplicate copies).
(2)

Documents to be attached to your written proposal

・ Attach the following documents or the equivalent thereof to your written proposal.
・ One copy of your company profile (descriptions about your organization such ascompany history, business units, and research centers). (This requirement does not
apply if you had a contract with a NEDO department/section to which you submitted awritten proposal within the last one year.)
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・ One copy of the most recent business report・ One copy of financial statements (balance sheet, income statement, and cash flow
statement) (for the last three years)
・ If there is a doubt not conforming to Standard Form of Business Entrustment Contracts(draft), 2 copies of documents showing the details (one original copy and one
duplicate copy), because agreeing to Standard Form of Business Entrustment
Contracts(draft) and Special Conditions for the Moonshot Research and Development
Program that NEDO presented is the requirement for submitting your proposal.
・ Research CV of the PM candidate and key researchers (see Attachment 4 for details)
・ The numbers of young researchers (aged 40 or younger) and female researchers
・ The status of certification regarding work-life-balance promoting companies (seeAttachment 5 for details)
・ The questionnaire to survey achievements in NEDO research and development
projects (see Attachment 6 for details).
・ A written proposal for e-Rad application (see (4) for details).
(3)

The cases where the acceptance of your written proposal and written proposal
itself are incomplete

・ Proposals submitted by those ineligible for this application or incomplete written
proposals are not acceptable.
・ When receiving written proposal you submitted, NEDO will submit to you a proposal
document receipt certificate at a later date. Please mail the Proposal Document
Acceptance Form in Attachment 7, with your company name and others filled inadvance.
・ Submitted written proposals may not be returned.
If your written proposal is incomplete, and if the inadequacy is not rectified by theapplication closing date, the proposal will be treated as invalid. In that case, thedocuments will be returned.
(4)Registration for the Cross-Ministerial Research and Development Management
System (e-Rad)

When applying for this public call, you also need to submit a written proposal for an e-Rad
application. When multiple corporations are involved in joint names, one representative
corporation should register for the e-Rad application. If you are business, university, orother such entity in outside Japan, and newly require to obtain research institute ID, pleasecontact to the e-mail address in 10. Contact information for inquiries. The registration
10 / 28

method will be advised. Please refer to the e-Rad portal site for details.
e-Rad portal site http://www.e-rad.go.jp/

6. Protection of confidential information
NEDO stores the written proposal you submitted for a certain period under close
supervision and under relevant regulations stipulated in line with the guidelines concerning
the management of administrative documents based on the Act concerning theManagement of Public Records and Archives. In this case, NEDO may use the personal
information obtained only for the examination of your research and development
implementation system, excluding those submissions required by laws and regulations.
However, NEDO may use such information as part of the statistical data in which specificindividuals cannot be identified. Additionally, under Article 3 of the Act on the Protection of
Personal Information Held by Incorporated Administrative Agencies, NEDO shall discard
the Research CV of the PM candidate and Key Researchers, which is one of theattachments to your written proposal, in an appropriate way immediately after an adopted
corporation is determined. In the meanwhile, NEDO shall treat the information registered in
e-Rad (project names, application names, researcher names, research institution names,
budgets, and project periods) and the summary of such information as information that isscheduled to be made public, which is stipulated in Article 5-(i)(a) of the Act on Access toInformation Held by Independent Administrative Agencies (Act No. 140 of 2001). Please beaware in advance that NEDO may request the PM, in addition to the information describedabove, to provide a variety of other forms of information in response to a request from the
Cabinet Office, among other governmental entities.

7.

Selection of Entrustees(1)

Methods of examination

The selection of Entrustees shall be examined in two stages: the Adoption Examination
Committee by the PD, external experts and NEDO's internal Contract/Grant Examination
Committee.
The Contract/Grant Examination Committee determine a final contractor based on the
results of preliminary examination and under the criteria that NEDO stipulated. When theneed arises, NEDO may conduct a hearing examination and require you to attend such
hearing and submit additional information.
Because the selection of contractors is not made open to the public, please be
forewarned that NEDO shall not be able to respond to inquiries regarding the examination
process, such as the progress of the examination.
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(2)Examination criteriaa.

Criteria for adoption examinationi.

The details of your proposal are consistent with the MS Goal and Research andDevelopment Concept (with no unnecessary parts included).

ii.

The proposed approach is novel and technologically superior to others.

iii.

In the case of a joint proposal, individual proposals are complementary to each other,or are otherwise structured in an efficient and effective way.

iv. The proposed details and research schemes are feasible (from the standpoints oftechnical feasibility, the appropriateness of schemes and interim targets, etc.)v.

The applicant has the proven capabilities needed to fulfill this research anddevelopment (track records in development and others in the related fields,
implementation systems including re-entrustment contractors, the participation of
excellent researchers, etc.).

vi. As a result of the applicant conducting this research and development, a positive
ripple effect on people's life and economic society shall be expected. (Companies shallexpect the practical application and commercialization of these technical results.
When the applicant is a university or public research and development institution thatis not involved in the practical application and commercialization of technical results, it
envisions in what forms resulting products and services will be put into practicalapplication and commercialized.)vii. The status of certification regarding work-life-balance promoting companies. (OnMarch 22, 2016, the Headquarters for Creating a Society in which All Women Shine
approved the Guidelines for Utilization of Public Procurement and Subsidies towards
the Promotion of Women's Advancement. To drive initiatives to realize work-lifebalance throughout society, which is a precondition for women's advancement, theguidelines stipulate a new scheme by which work-life-balance promoting companies
are given additional points more extensively in scoring auction-based projects under
Article 20 of the Act on Promotion of Women’s Participation and Advancement in the
Workplace. Based on these guidelines, companies certified under the Women
Empowerment Act (Eruboshi-certified companies), companies certified under the Act
for Measures to Support the Development of the Next Generation (Kurumin-certified
and Platinum Kurumin-certified companies), and companies certified under the Youth
Employment Promotion Act (Youth Yell-certified companies) are given additional points
in scoring auction-based projects.)
viii. Comprehensive evaluation
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Furthermore, when young researchers (aged 40 or younger) and female researchers areregistered as the PM candidate or key researchers, and if the proposal is based on theirpast performance and potential, they are given additional points. From the view point ofimportance on fairness of research and development, ensuring transparency and fairnessof research and development activity, proper treatment of research and development result
will be also considered.
b.

Criteria for selection by the Contract/Grant Examination Committee
The Contract/Grant Examination Committee shall select Entrustees based on thefollowing criteria.

i.

The details of the written proposal relating to contract work shall comply with thefollowing items.

1.

Targets of development and others are consistent with NEDO's intentions.

2.

The methods and details of development and others are excellent.

3.

The cost effectiveness of development and others is excellent.

ii.

The ability of Entrustees to accomplish this development and others complies with thefollowing items.

1.

Having a track record in development and others in the related fields.

2.

Having an established system to implement this development and others.
(This includes Re-Entrusted Contractors and others. In the context of an international
joint research framework, the merits of working with these Entrustees are clear. If they
are trying to receive (or already receiving) assistance from research and development
supporting institutions particularly in the partner countries, its appropriateness shall beverified.)3.

Having the existing facilities needed for this development and others.

4.

Having an established management foundation.

5.

Having the researchers and others needed for this development and others.

6.

Having the system to appropriately implement the measures NEDO needs for the
management of contract work.

In selecting Entrustees, NEDO takes the following points into consideration.
1.

Incorporating excellent partial proposers into development and other systems.

2.

Rationalizing the division of development and contract work fees for each of thedevelopment items.

3.

Developing competitiveness and other systems.
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4.

Clearly defining the division of roles when utilizing general incorporated
associations/foundations, research and development partnerships, or others.

(3)a.

Announcement and notification of Entrustees
Announcement of adoption results
NEDO shall release adopted projects (implementer names, program overview) on its
website and others. For unadopted projects, NEDO shall notify the proposers about
the result and the reasons why they were not adopted.

b.

Announcement of the names of adoption examiners
NEDO shall disclose the names of adoption examiners when announcing adopted
projects.

c.

Incidental conditions
NEDO may impose additional conditions upon adoption (such as not accepting
proposed re-entrustment, joint research with other institutions, participation as reentrustment research, changes to performance plan (including budget), etc.)(4)

ScheduleYear 2020
February 20: Start of public call
Orientation meetings was cancelled
June 2: Public call closing
From the middle of June to middle of July (plan): Adoption Examination Committee(examination by external experts)
The end of July (plan): Contract/Grant Examination Committee
The beginning of August (plan): Determination of Entrustees
The beginning of August (plan): Announcement (press release)
Around October (plan): Contract signing

8. Points of attention(1)

Contract

Upon the conclusion of a new business entrustment contract, NEDO applies the latest
General Conditions of Business Entrustment Contract and Special Conditions for theMoonshot Research and Development Program. NEDO requires you to conduct paperwork
for contract work based on the paperwork manual NEDO presents.
Reference・ Procedures for entrusted programs: General conditions and forms
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https://www.nedo.go.jp/itaku-gyomu/yakkan.html
・ Procedures for entrusted programs: Manuals
https://www.nedo.go.jp/itaku-gyomu/manual.html(2)

Re-entrustment from an independent administrative agency for research anddevelopment to private companies

Unless otherwise specified, NEDO may not accept re-entrustment from an independentadministrative agency for research and development to private companies or joint
performance between the two parties (excluding those without the flow of funds to ReEntrusted Contractors or Joint Contractors).
(3)

Revision and cancellation of research and development plans

NEDO may revise the contents of research and development or cancel the research anddevelopment halfway through.
(4)

Change of plans for commercialization

If an event occurs after the conclusion of a contract, which applies for Article 27-2 of theGeneral Conditions of Business Entrustment Contract, NEDO shall require you to promptly
change and submit Plans for Commercialization of Research and Development Results(Attachment 3).
(5)

Research CV of the PM candidate and key researchers

You need to describe in your research CV the information about the PM candidate, as wellas key registered researchers who become the registered researchers in charge of eachprogram item and the registered researchers and others serving as supervisory managers
across multiple program items. See Attachment 4 for more information.
(6)

The status of certification regarding work-life-balance promoting companies

Concerning Entrustees described in the implementation system of your written proposal,
you need to describe the status of certification under the Women Empowerment Act(Eruboshi certification), certification under the Act for Measures to Support theDevelopment of the Next Generation (Kurumin certification and Platinum Kurumin
certification), and certification under the Youth Employment Promotion Act (Youth Yellcertification). See Attachment 5 for more information.
(7)

Filling in the questionnaire to survey achievements in NEDO research and
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development projects
You need to describe in the questionnaire about your technical results in the past NEDO
research and development projects. See Attachment 6 for more information.
Please be sure to submit this questionnaire because NEDO shall utilize these survey
results for adoption examination.
(8)

Follow-up surveys and evaluations

After the completion of this research and development, NEDO may require you tocooperate with follow-up surveys and evaluations on your technical results. For more
information, please read attached Reference Material 1. Outline of Follow-up Surveys and
Evaluations.
(9)Intellectual property management

The Basic Policy on intellectual property management in NEDO Moonshot Research andDevelopment Program is applied to this program. See Attachment 8 for more information.
NEDO shall require you to cooperate with the Survey on Utilization of Patents, Etc. (BayhDole survey) concerning patents and others as this program's technical results.
(10)

Data management

The Basic Policy for Data Management in NEDO Moonshot Research and Development
Program is applied to this program. See Attachment 9 for more information.
Furthermore, as a form of advanced data management, the classifications of saving, sharing,
publishing, etc. of research data will be clarified in accordance with the open/close strategy,
and the information exchange between researchers as well as the saving, sharing, andpublishing of research data will be supported through the use of Research Data Infrastructure
System (NII Research Data Cloud),etc.
(11)

Activity for Scientific and Technical Dialogue with the People

Business operators entrusted with this project are able to charge the direct expenses
needed for activities to explain the contents and technical results of their research activities
to society and people in an easily understandable way (hereinafter referred to as Scientificand Technical Dialogue with the People). If you are conducting activities for Scientific andTechnical Dialogue with the People in this project, describe the details of such events andneeded expenses in your written proposal for submission. NEDO shall judge the necessityof expenses for such activities by taking into account their impact on the research activity
itself.
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If you have conducted such activities, describe your accomplishments in the Performance
Report and others at the end of the fiscal year.
While NEDO does not preclude your voluntary involvement in these activities outside thisproject, if you have conducted these activities using overhead expenses, report the fact to
NEDO by describing them in the Performance Report (only matters related to these
activities).
ReferenceCouncil for Science and Technology on June 19, 2010
Promotion of Scientific and Technical Dialogue with the People (a basic initiative)
http://www8.cao.go.jp/cstp/stsonota/taiwa/(12)

Taking measures to the dishonest use and reception of public research funds

Concerning the dishonest use and reception of public research funds (hereinafter referred
to as Dishonest Use, Etc.), as a fund distribution organization, NEDO shall take necessary
measures based on Guideline for Responding to Dishonest Use, etc., of Public ResearchFunds (which was formulated by the Ministry of Economy, Trade and Industry on December
3, 2008, hereinafter referred to as Guideline for Dishonest Use *1) as well as Organizational
Directive concerning Measures for Suspension of Grants and Suspension from Designation
Pertaining to Contracts (Organizational Directive No. 1 of FY2004 on April 1, 2004, which
was formulated by NEDO, hereinafter referred to as Organizational Directive concerning
Suspension of Grants*2).
At the same time, NEDO requests the implementers of this project to take necessary
measures as research institutions.
If the dishonest use of public research funds is identified, involving research funds for thisproject and other funds from projects supported by government agencies, NEDO shall takethe following measures.
*1. Go to the website of the Ministry of Economy, Trade and Industry for Guideline for
Dishonest Use:
http://www.meti.go.jp/policy/economy/gijutsu_kakushin/innovation_policy/kenkyu-fuseishishin.html*2. Go to the website of NEDO for Organizational Directive concerning Suspension of
Grants: https://www.nedo.go.jp/itaku-gyomu/kokuhatu_index.html
a.

If the dishonest use of public research funds is identified in this project:i.

Depending on the severity of the fraudulence and others, NEDO shall have you refund
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all or part of the research funds.
ii.

NEDO shall suspend the conclusion of contracts and grants for the business operatorsand others that were involved in the dishonest use of public research funds.
(Based on Organizational Directive concerning Suspension of Grants, NEDO shalltake measures to suspend the conclusion of contracts and grants for up to six years
after the first day of suspension.)

iii.

NEDO shall reject application for its projects by the researchers who conducted thedishonest use of public research funds and those who conspired with them (including
those who violated the obligation of diligence; the same shall apply hereinafter).
(Based on Guideline for Dishonest Use, NEDO shall reject applications for its projects
by these researchers for one to five years following the fiscal year when the researchfunds were refunded, depending on the severity of the fraudulence. If the use of
research funds to obtain personal profits for private purposes is identified, NEDO shallreject application by those involved for ten years.)

iv.

NEDO shall provide fund distribution organizations of government agencies and otherswith information about the measures against the dishonest use of research funds andthose researchers subject to the measures. Because of this arrangement, those who
led the fraudulence and those who conspired with them may see their applications forresearch funds rejected by fund distribution organizations of government agencies andothers. Conversely, when fund distribution organizations of government agencies andothers provide NEDO with information about the fraudulence, NEDO may take similaraction. In the event of the dishonest use of research funds in other government
agencies, NEDO may take the measures i through iii above against those researchers.

v.

As a measure against the dishonest use of research funds, NEDO shall disclose thecompany name (researcher names) and the details of the fraudulence.

b.

The status of the progress in system development and others based on Guidelines for
Responding to Dishonest Use, Etc. (which was formulated by the Ministry of Economy,
Trade and Industry on December 3, 2008)
Before signing a contract for this project, each research institution should develop the
management/audit system of research expenses based on the guidelines.
NEDO may request you about the status of the progress in your system development.
When NEDO requests, please report your situation immediately. If you already havesubmitted a similar report in the fiscal year to separately apply for other researchfunds, including those supported by government agencies and others, the submissionof a copy of that report may substitute for the reporting requirement of NEDO.
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NEDO may conduct an on-site survey concerning the status of the progress in systemdevelopment and others based on the guidelines.
(13)

Response to misconduct in research activities

Concerning misconduct in research activities (fabrication, falsification, and plagiarism),
NEDO as a fund distribution organization and this project's implementer as a research
institution shall take necessary measures based on Guidelines for Responding to Misconduct
in Research (which was formulated by the Ministry of Economy, Trade and Industry on
December 26, 2007, hereinafter referred to as Guidelines for Misconduct in Research *3) aswell as Organizational Directive concerning Response to Misconduct in Research Activities(Organizational Directive No. 17 of FY2007, which was formulated by NEDO on February 1,
2008, hereinafter referred to as Organizational Directive concerning Research Misconduct*4). For this reason, in addition to setting up a whistleblower helpdesk, NEDO shall take thefollowing measures when misconduct is identified from research papers related to research
activities funded by this project and other projects supported by government agencies.
*3. Go to the website of the Ministry of Economy, Trade and Industry for Guidelines for
Misconduct in Research:
http://www.meti.go.jp/policy/economy/gijutsu_kakushin/innovation_policy/kenkyu-fuseishishin.html*4. Go to the website of NEDO for Organizational Directive concerning Research
Misconduct: https://www.nedo.go.jp/itaku-gyomu/kokuhatu_index.html

a. If misconduct is identified in this project:i.

Depending on the severity of the misconduct, NEDO shall have you refund all or partof the research funds.

ii.

NEDO shall reject application for its projects after the following fiscal year by those
involved in misconduct.
(The rejection period of application: Depending on its severity, two to ten years
following the fiscal year when the misconduct was identified.)iii.

For those who were considered responsible for the misconduct to a certain degree,
though not identified as being directly involved, NEDO shall reject their application
for its projects after the following fiscal year, because they neglected the obligation ofdiligence as responsible persons for such papers.
(The rejection period of application: Depending on the degree of responsibility, one tothree years following the fiscal year when the misconduct was identified.)
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iv.

NEDO shall provide fund distribution organizations of government agencies andothers with information about the measures against the misconduct and thoseresearchers subject to the measures. Because of this arrangement, those involved in
the misconduct and those considered liable to a certain degree in the iii above may
see their application for projects rejected by fund distribution organizations ofgovernment agencies and others. Conversely, when fund distribution organizationsof government agencies and others provide NEDO with information about
misconduct, NEDO may take similar action.

v.

After determining measures against the misconduct, NEDO shall disclose the names
and affiliations of those who were subject to the measures, the details of themeasures, the name of the research fund affected by the misconduct, the amount of
the research fund involved, the details of the research and misconduct, and a reporton survey results of identifying misconduct.

b. When it is found that there was misconduct involving national research funds in thepast:
Those who were identified as involved in misconduct in research activities supported bynational research funds (including those who were responsible for the contents of research
papers affected by the misconduct), NEDO may reject their participation in its projects
based on Guidelines for Misconduct in Research.
NEDO requests the implementers of this project, as research institutions, to strive for thedevelopment of regulations and the establishment of a whistleblower helpdesk based on
Guidelines for Misconduct in Research.

c. Contact information about NEDO's whistleblower helpdesk concerning research
misconduct and others
The following is the contact information of NEDO's whistleblower helpdesk foraccusations, consultations, and reporting concerning the dishonest use of public researchfunds and misconduct in research activities.
Risk Management Department, National Research and Development Agency New Energy
and Industrial Technology Development Organization
1310 Omiya-cho, Saiwai-ku, Kawasaki City, Kanagawa 212-8554, Japan
Phone: 044-520-5131
Fax: 044-520-5133
Email: helpdesk-2@ml.nedo.go.jp
Website: The whistleblower helpdesk concerning misconduct in research activities and the
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dishonest use of research funds
https://www.nedo.go.jp/itaku-gyomu/kokuhatu_index.html
Contact by phone: 09:30–12:00 and 13:00–18:00 on weekdays(14)

Voluntary research activities by young researchers at universities and the
National Research and Development Agency, among other similar organizations

Following the formation of new contracts from 2020 onward, voluntary research for theadvancement of the present Project by young researchers under the age of 40 (until the final
day of the fiscal year in which the researcher turns 40 years old) retained by universities or
the National Research and Development Agency, and other organizations may be
implemented.
Note that, after being adopted, universities and the National Research and Development
Agency, and other similar organizations, will include mention of such young researcher
voluntary research in their Execution Plans, and report on the accomplishments of suchyoung researchers to this organization via daily reports or monthly reports, among othermethods.
(15)

Hiring doctoral students as RAs (research assistants) and the likeIn order to attract talented students and adults from Japan and overseas, certain goalvalues were set for the 3rd, 4th, and 5th Science and Technology Basic Plans by the Cabinet
Office: to better provide for the economic needs of students, particularly doctoral students,
the plans set goals to ensure that “around 20% of current doctoral students receive salaries
equivalent to their living expenses.”
Cabinet Office

Science and Technology Basic Plan

https://www8.cao.go.jp/cstp/kihonkeikaku/index5.html
For this program, doctoral student RAs, etc. can be registered as researchers, and be paid
researcher fees.
Note that any doctoral students who handle confidential information through theirinvolvement in this program must enter into an employment contract that includes aconfidentiality obligation with the university organization contracting with NEDO, and all
individuals who directly engage in this program must register as researchers.
(16)

Disclosure of information about contracts of National Research andDevelopment Agencies

In accordance with the Basic Policy on the Review of Administrative and Business
Operations of Incorporated Administrative Agencies (Cabinet Decision dated December 7,
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2010), please be forewarned that NEDO may disclose information about the relationshipbetween you and NEDO on its website after making an adoption decision, as shown in
Attachment 10. NEDO regards your application for this programs your agreement to thisarrangement.
(17)a.

Security trade control measures (measures to technology leakage to overseas)
To ensure international peace and security including Japan, the Japanese
government is implementing export control measures* under the Foreign Exchange
and Foreign Trade Act (Act No. 228 of 1949) (hereinafter referred to as the Foreign
Exchange Act). When exporting (providing) cargoes and technologies regulated by
the Foreign Exchange Act, you need to obtain permission from the Minister of
Economy, Trade and Industry under the Foreign Exchange Act.
* Under international agreements, Japan's security export control system consists
mainly of (i) a system that requires permission from the Minister of Economy, Tradeand Industry when exporting (providing) cargoes (technologies) with at least a certain
level of specifications/capabilities such as carbon fiber and NC machine tools (i.e.,
list controls) and (ii) a system that requires permission from the Minister of Economy,
Trade and Industry when exporting (providing) cargoes (technologies) that do not
apply to list controls and satisfy a certain level of conditions (application/demand-side
conditions or informed conditions) (i.e., catch-all controls).

b.

Not only the export of cargoes but also the provision of technology is subject tocontrol under the Foreign Exchange Act. When providing foreign persons (nonresidents) with technologies under list controls, you need to obtain prior permission.
The provision of technology includes not only the provision of technical informationsuch as drawings, specifications, manuals, samples, and prototypes on recording
media such as paper, e-mail, CDs, and USB memory devices but also the provisionof operational knowledge through technical guidance and skill training and technicalassistance in seminars. Accepting international students from overseas andconducting joint research activities may involve frequent exchanges of technologies,
which could be subject to control under the Foreign Exchange Act.

c.

Please be reminded that exporting (providing) technologies obtained through thisentrusted program could be subject to control. For a project designated by the
Ministry of Economy, Trade and Industry, NEDO shall check at the conclusion of theentrustment contract whether the entrustee plans to export cargoes/technologies that
22 / 28

apply to export control of the Foreign Exchange Act, and shall also check thepresence of an export management system if the entrustee has an intention to export
them. Note that this confirmed status may be reported to the Ministry of Economy,
Trade and Industry based on a request from said Ministry. Furthermore, if a violationof regulations under the Foreign Exchange Act is identified concerning technologies
obtained through this entrusted program, NEDO may cancel all or part of thecontract.
Please refer the following for the details of security trade control.

d.

・ Ministry of Economy, Trade and Industry: Security trade control (general):
http://www.meti.go.jp/policy/anpo/(Q&A: http://www.meti.go.jp/policy/anpo/qanda.html)
・ Ministry of Economy, Trade and Industry: Security Export Control Handbook:
http://www.meti.go.jp/policy/anpo/seminer/shiryo/handbook.pdf
・ Center for Information on Security Trade Control: http://www.cistec.or.jp/
・ Guidance for the Control of Sensitive Technologies for Security Export for Academic
and Research Institutions
http://www.meti.go.jp/policy/anpo/law_document/tutatu/t07sonota/t07sonota_jishukan
ri03.pdf(18)

Eliminating duplication
If a project proposed this time is judged as the same research anddevelopment theme (in terms of the names and contacts of allocated researchand development) as a past or ongoing project by the same proposer in otherschemes in which subsidy, trust money, etc. are subsidized by the government(including national research and development agencies), NEDO shall not adopt
the proposed project.

(19)

a.

Ownership and disposition of research and development assets

Ownership of assets

Among the acquired assets that were purchased or manufactured to implement contract
work (when companies and public interest corporations are Entrustee), NEDO has
ownership of assets whose purchase prices are 500,000 yen or more (including
consumption tax) and whose statutory useful life is one year or more. (Article 20 (1) of
General Conditions)* Entrustee have ownership of research and development assets when they are national
23 / 28

research and development agencies and others (national research and development
agencies, independent administrative agencies), universities and others (national
universities, inter-university research institutions, private universities, technical colleges),and local incorporated administrative agencies.

b.

Disposition of Assets

Based on the business entrustment contract, after the completion of the contract work
period, Entrustees are supposed to take over assets under NEDO's ownership on a
payment basis. The price of those assets shall be equal to the remaining value on the
project completion date. (Article 20 (2)(i) and (iii) of General Conditions)Note, as assets belonging to NEDO will be subject to the limitations on property
disposition described in Article 22 of the Act on Reasonable Execution of Budget Related to
Subsidies (Act No. 179 of 1955), there may be conditions placed on the disposition by the
Minister of Economy, Trade and Industry.
(20)

Language

The authentic text for the Guidelines for Public Call will be in Japanese. Even if an English
version of the text has been prepared for reference, only the authentic text in Japanese
shall have any effect, and under no circumstances shall the English text have any effect.

9. Opening an orientation meeting
All of the scheduled briefings and individualized consultations regarding the details of thiscontract work, public call of proposals, procedures for this contract, and proposal
documents, among other matters, to be held throughout the country, was cancelled due tothe infection control measures against new coronavirus.

10. Contact information for inquiries
NEDO may receive your inquiries no later than 1 week before the public call deadline only
via e-mail to the following address. Please be reminded that NEDO would not respond toinquiries about the progress of examination and the like.
Moonshot Research and Development Program Promotion Office, Innovation Promotion
Department, New Energy and Industrial Technology Development Organization (NEDO)
E-mail: moonshot-office@nedo.go.jp

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11. Improvement survey concerning work related to NEDO activities
NEDO always accepts work improvement surveys concerning NEDO activities
If you would like to share your opinions with us, please submit them through item “7.
Improvement survey concerning work related to NEDO activities” found at the link below.
https://app13.infoc.nedo.go.jp/enquete/form.rbz?cd=1645
Please note that the content need not be limited to the present business matters.

Relevant documents
Moonshot Goal 4 “Realization of sustainable resource circulation to recover the global
environment by 2050”
R&D concept “Realization of sustainable resource circulation to recover the global
environment by 2050”
Guidelines for Operation and Evaluation of Moonshot R&D Program
Basic plan for the “Moonshot Research and Development Program”
Implementation Policy for FY2020
Format of a written proposal
Attachment 1: Special instructions for preparing a written proposal, the front cover, andbody text
Attachment 2: Form for summary table and entrustee summary table
Attachment 3: Plans for the commercialization of research and development results
Attachment 4: Filling out research CV of the PM candidate, key researchers, young
researchers and female researchers
Attachment 5: The status of certification regarding work-life-balance promoting companies
Attachment 6: Filling out the questionnaire to survey achievements of NEDO research anddevelopment projects
Attachment 7: Proposal document receipt certificate
Attachment 8: Basic Policy for intellectual property management in the NEDO Moonshot
Research and Development Program
Attachment 9: Basic Policy for data management in the NEDO Moonshot Research andDevelopment Program
Attachment 10: Disclosure of information about research contracts
Attachment 11: Proposal Summary
Reference material 1: Outline of follow-up surveys and evaluations
Business Entrustment Contract (draft), General Conditions of the Business Entrustment
Contracts, and Special Conditions for the Moonshot Research and Development Program.
25 / 28

(Reference) Proposal Documents to be submitted by each party
Proposal Document

A)B) JointC) Re-

Name

Representative

Proposer

Entrusted

Organization

except forContractor

Note

A)&C)

Front Page

Yes

Yes

No

Confirming the

Yes

Yes

Yes

A) may summarize

absence of

this form with theinterested parties

others parties

Proposal: Body text

Submit by each proposer

Attachment 2:

Submit by each proposer

Summary table
including all ofContractors
Attachment 2:

Yes

Yes

Yes

Summary table of(Formulate

Entrustee, Joint“Summary

Contractor, andtable of

Brach Office

ReEntrusted
Contractor
and Joint
Contractor”
by using
the similarform)

Attachment 3:

Yes

Yes

Yes

If you plan to advance yourPlans for the

R&D via joint proposal,commercialization

consortium, or otherof R&D results

collaborative method, andyou plan to jointly work
toward practical applicationand commercialization of

26 / 28

your R&D, you are free toclarify how each party plans
to contribute toward practicalapplication andcommercialization in a joint
submission.

Attachment 4:

Yes

Yes

Yes

PM candidate andkey researcher CV
Attachment 4
Young and Female

Yes

No

（Submit by each proposer）

researcher CV
Attachment 5:

No for overseas parties

No

The status ofcertification
regarding work-lifebalance promoting
companies
Attachment 6:

Yes

Yes

Yes

Filling out the（Only private

（Only

（Only

questionnaire tocompany）

privateprivatecompany）

company）

surveyachievements of
NEDO R&D projects
Attachment 7:

Submit by each proposer

Proposal document
receipt certificate
Attachment 11:

Submit by each proposer

Proposal Summary
Company profile

Yes

Yes

(descriptions about
your organizationsuch as company
history, business
units, and research
centers)
27 / 28Yesthe most recent

Yes

Yes

Yes

Yes

Yes

Yes

Doubt notYes, if you

Yes, if you

Yes, if you

conforming tohave thehave thehave theStandard Form of

doubt.

doubt.

doubt.

business report
Financialstatements (balance
sheet, income
statement, and cash
flow statement) (for thelast three years)

Business Entrustment
Contracts

e-Rad application

Submit by each proposer

28 / 28