Provisional translation
February 4, 2020
Partial Revision March 4, 2020
Partial Revision January 18, 2021
Partial Revision December 28, 2021
Director General for Science, Technology and Innovation Policy, Cabinet OfficeDirector General, Science and Technology Policy Bureau, MEXT
Director General, Council’s Secretariat, Agriculture, Forestry and Fisheries Research Council, MAFF
Director General, Industrial Science and Technology Policy and Environment Bureau, METI

Guidelines for Operation and Evaluation of the Moonshot R&D Program
1. Program Features○ The government presents ambitious goals: Moonshot Goals (hereinafter referred to as MS Goals),
which attract people, and R&D concepts (hereinafter referred to as the concept), from the perspectiveof looking toward a future society, and solving domestic and overseas social issues that will arise.
○ Challenging R&D concepts by being based more on bold ideas that will not just be extensions ofconventional technology, and which are promoted by maximizing knowledge and ideas in the basic
research phase.
○ To achieve the MS Goals, multiple project managers (hereinafter referred to as PMs) are, in principle,
selected under respective MS Goals, and a program director (hereinafter referred to as the PD) is
appointed to direct and supervise, in a unified manner, the program that is comprised of multiple
R&D projects (hereinafter referred to as projects) that PMs promote.
○ Authority for promoting the project is granted to PMs. Flexible management is promoted under the
direction of each PM, while bringing together the wisdom of researchers from all over the world.
○ The PD drafts a portfolio (the management plan that summarizes the project components(combination) and resource allocation, etc., (hereinafter referred to as portfolio) to strategicallyachieve the MS Goals, and the research promotion agencies (funding agencies, hereinafter referred toas FAs) make a final decision on the portfolio based on this. The PMs apply diverse knowledge andideas in the basic research phase, undertake challenging research without fear of failure, and discoverand foster innovative research results.
○ While utilizing the benefits of the multiple-year funding system and repeatedly restructuring theportfolio, we implement R&D that allows for support for up to 10 years from the start of theresearch.
○ As well as always sharing relevant domestic and overseas R&D trends, we establish the mostadvanced research support system through which researchers can challenge leading-edge researchthrough cooperation.
○ To promote the use of research data 1 generated through research activities and to support advanced
research management, we pursue advanced data management, by means such as proactively utilizing
the Research Data Infrastructure System (NII Research Data Cloud) 2.
○ Looking ahead to practical use of the R&D results in society in the future, we actively encourage
utilization of the R&D results and examine the open and close strategy involving industry from the
R&D phase.

1

Research data means data generated in the R&D process, which is manageable in an electromagnetic form. (Source: theCabinet Office Report, “Research data infrastructure development and international cooperation working group” October2019).
2
The NII Research Data Cloud is being developed for full-fledged operation during FY2020 as a research data
infrastructure system to promote research data management, disclosure, and retrieval based on the Integrated Innovation
Strategy 2019 (the Cabinet approval in June 2019).

12. Determination of the Moonshot Goals and Formulation of the R&D Concept○ The Visionary Council consisting of experts was established to discuss drafted MS Goals, from theperspectives of looking toward a future society and solving domestic and overseas social issues thatwill arise.
○ The Council for Science, Technology and Innovation (hereinafter referred to as CSTI) determines the
MS Goals in light of advice from the Visionary Council. When MS Goals are determined, we makesure to establish a research support system to maximize ideas and knowledge from researchers.
○ Relevant ministries and agencies formulate the concept to achieve the MS Goals. Consideration is
given to incorporating ideas for achieving the MS Goals and international strategy perspectives.
○ According to changes in the social environment and advances in science and technology, if deemednecessary, CSTI adds and/or changes the MS Goals after evaluating their technical feasibility andlistening to domestic and overseas opinions.
3. The R&D Promotion System[CSTI/CSTI Members]○ CSTI determines the MS Goals.
○ In principle, CSTI members receive a report on the progress of R&D every year from the Strategy
Promotion Council, and advise on the promotion of this entire program from a broad perspective.
[Strategy Promotion Council]○ A Strategy Promotion Council comprised of people from industry, relevant ministries and offices,and researchers, is established to strategically promote R&D, to accelerate the practical use of the
R&D results in society, and to achieve effective cooperation and coordination among the relevant
ministries/offices and the relevant FAs.
○ The duties of the Strategy Promotion Council are listed below:
1) Receive a report of progress and other matters from the relevant FAs every year in principle,
and give advice and approval on the concept of project components and fund allocation, etc.,from global and comprehensive perspectives to achieve the MS Goals.
2) Advise on the ways and means for the practical use of the R&D results in society. This involves
bridging the gap between the R&D and practical use in society, collaborating with the private
sector, and attracting well-timed private investment based on role-sharing at the different stagesof R&D activities between the public and private sectors. Also provide support for the practicaluse of the R&D results in society. In addition, give advice to promote international cooperation.
○ Progress reports and the minutes of meetings of the Strategy Promotion Council are, in principle,
disclosed to give maximum consideration to the transparency of the program’s operation andaccountability.
[Relevant Ministries and Agencies]○ The relevant ministries and agencies formulate the concept with the aim of achieving the MS Goals,
and strategically and collectively promote related R&D, cooperating with other ministries andoffices.
[FAs]○ FAs are responsible for realizing concepts that achieve the MS Goals.
○ The duties of FAs are listed below:
1) Appoint a PD who is deemed qualified for each MS Goal, then manage and supervise them.
One or more sub-PDs who assist the PD may be appointed, as necessary.
2) After discussions with the PD, openly recruit and select, in principle, more than one PM.
3) Determine a portfolio based on the PD`s draft.
4) Instruct the PMs to draw up a project plan under the direction of the PD.
5) Collect and analyze information on domestic and overseas R&D trends and the challenges forthe practical use of the R&D results in society, with incorporating the opinions of outside
experts, including researchers in humanities and social sciences.

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Hear from the PD and PMs about the status of the project’s progress, the resource allocation andthe role-sharing between the public and private sectors, according to the progress of the R&D,
and in principle, report the details to the Strategy Promotion Council every year.
7) Provide support for the management of intellectual property, international standardization,
public relations, and technical trends surveys, so that the PD and PMs can properly manage
these. In addition, identify a promising project (or a part of the project) in an early stage fromthe perspective of the practical use of its R&D results in society, and ensure that support from
specialists can be acquired as necessary so that the capability to identify a project that will bepractically used in society in the future can be effectively demonstrated. To gain public
understanding and support, help the PD and PMs to smoothly conduct bi-directional
communication activities (public dialogue on science and technology) through which they can
explain to society their research activities.
8) Since crosscutting support such as ELSI (Ethical, Legal and Social Issues) /mathematicalscience is also important for R&D acceleration and its practical use in society, provide an
opportunity for the PD and crosscutting researchers to exchange their opinions, and establish asystem through which a PM can acquire the support of crosscutting researcher(s), if the PD
deems it necessary, and if the PM requires it.
9) Promptly appoint a new PD when an accident occurs or a vacancy arises on the PD, or when it
is deemed that the PD is not fulfilling their duties. In addition, promptly review the system of
the project in discussion with the PD when an accident occurs or a vacancy arises on a PM, orwhen the PD deems that the PM is not fulfilling their duties. If it is decided that the project willcontinue, the details of the PM selection method will be determined by the FA, including
methods other than open recruitment.
10) Decide the details of PDs’, sub-PDs’, and PMs’ working conditions.
11) Construct an environment in which young researchers with bold and flexible ideas, who willdefine future society, can actively participate in a project.
12) The relevant FAs cooperate and share related domestic and overseas R&D trends to build themost advanced research support system.
13) To pursue advanced data management, manage a data catalogue comprised of metadata 3
submitted by PMs and researchers by utilizing systems such as the Research Data Infrastructure
System.
○ When performing these duties, FAs strive to create an environment in which researchers can focus on
research by improving the efficiency of evaluation work, as well as continue their efforts incooperation with the relevant ministries and offices, and other research promotion organizations.
Also, FAs utilize advanced data management to ensure fairness of research, and engage in efforts toprevent a contractor from committing a wrongful act and misapplying research funding.
[PD]○ The terms of the PD and sub-PD are, in principle, five years, and they may also be reappointed.
○ Any nationality is welcome to be the PD, but the PD is principally based in Japan after being
appointed.
○ The duties of the PD are listed below:
1) To realize the concept and achieve the MS Goals, strategically build a draft portfolio, andpromote R&D in challenging and systematic ways.
2) When building a draft portfolio, in principle, combine multiple projects that take different
research approaches by taking into account their R&D innovation and originality, and future
economic and social ripple effects, since the chance of success (or failure) and their research
results (return) will vary according to their respective research approaches, even among the
research projects that aim for the same goal. For example, let’s assume there is a project throughwhich significant research results can be achieved, but with a limited chance of success, while
there is another project through which a certain level of research results can be achieved with ahigh chance of success. In such case, funds will be allocated by comprehensively considering
3

Metadata provides explanatory information about research data, such as data name, content, administrator, location ofstorage, contact of administrator, and policy for closure, sharing, and disclosure of research data.

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4)
5)

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the chance of success and research results. In the case of a project that requires technicalexamination, although research results can be anticipated if successful, the project starts as its
feasibility study with a small start. Thereafter the allocation of funding fluctuates according to
the progress status.
Always understand the progress of R&D based on the portfolio, and manage and supervise in a
unified manner the PMs who oversee the relevant projects while constantly reviewing theportfolio, such as allocating resources with a focus on research that is steadily progressing, anddiscontinuing a project if it is deemed to be unlikely to produce results.
Lead the portfolio review based on advice from external evaluators and the Strategy Promotion
Council.
Objectively evaluate the research content and lead the utilization of private funding, as well as
indirectly support PM activity by pursuing the practical uses of the R&D results in the society
and collaboration with the private sector, and promoting international cooperation. In addition,
conduct bi-directional communication activities (public dialogue on science and technology) to
explain the research activities to society.
Conduct other actions necessary to promote research for which the PD is responsible.

[PM]○ All nationalities are welcome to be a PM, but PMs are principally based in Japan after being
appointed.
○ Allow PM to concurrently engage in other work. The time allocated for research (effort rate) is set by
FAs.
○ The duties of a PM are listed below:
1) Under the direction of the PD, refine a proposed project during an open call to improve it, draw
up a project plan (target setting of project, preparation of R&D details and implementation
schedule, establishment of an R&D system to implement the project, and formulation of a plan
to allocate research funding to participating R&D institutions in the project), and strategically
implement the project. Moreover, flexibly and nimbly implement project modifications andchanges in direction, including practical use of some research results in society.
2) Properly manage intellectual property and information, and actively and strategically promoteinternational cooperation.
3) Objectively evaluate the research content, seek sponsors from private enterprises if R&D is at
the phase at which private funding can be used, and also try to draw on private funding. In
addition, conduct bi-directional communication activities (public dialogue on science andtechnology) to explain the research activities to society.
4) Develop a data management plan (DMP) that defines the data to be managed, and also
aggregate metadata about the data to be managed from researchers based on DMP, and submitthat to FAs. In addition, with systems such as the Research Data Infrastructure System, store
and share the data to be managed, and publish the data to the extent necessary.
4. The R&D Implementation Method[Open Recruitment and Selection]○ After discussions with the PD, FAs openly recruit and select, in principle, more than one PM insideand outside Japan. On this occasion, establish an evaluation system comprised of outside experts, andask for the opinions of outside experts to recruit PMs from a comprehensive perspective.
Furthermore, when establishing an evaluation system, it should be taken into consideration that theMoonshot R&D Program aims at challenging R&D concepts by being based more on bold ideas thatwill not just be extensions of conventional technology.
○ The following points should be taken into consideration when selecting a PM:
・ They have expert knowledge and a wide human network such as relevant researchers inside andoutside Japan, to promote cutting-edge research.
・ They have management and leadership skills such as the ability to establish an optimal R&D
system, and nimbly review the system according to the status of progress.
・ Project targets and contents proposed by the PM (hereinafter referred to as proposal details) arechallenging and based more on bold ideas than existing proposals, and comprise innovative
proposals from which a substantial impact on future industry and society is expected.
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・ From the perspective of technical feasibility and practical use of its R&D results in society,appropriate scenarios (hypothesis for success) for achieving the MS Goals by 2050 can beclearly explained.
・ The proposals contain top-level R&D capabilities, knowledge, and ideas, regardless of whether
they come from inside or outside Japan.
[Building a Portfolio/Drawing up of a Project Plan]○ FAs instruct the PMs to refine a proposed project during an open call to improve it and draw up a
project plan under the direction of the PD.
○ To realize the concept and achieve the MS Goals, the PD strategically builds a draft of portfolio.
○ FAs determine the portfolio based on a draft of portfolio built by the PD.
○ FAs establish a system to check the PD and PMs do not have conflicts of interest during the course ofdrawing up a project plan and R&D implementation, so as to promote R&D in a fair and appropriatemanner.
[R&D Implementation]○ Under the direction of the PD, the PMs flexibly and nimbly promote acceleration and deceleration ofindividual R&D challenges in the projects according to the progress of R&D, and changes in
direction, including practical use of some research results in society, with their own authority andresponsibilities.
○ The PD and PMs always understand domestic and overseas R&D trends, and nimbly review theportfolio and projects according to the progress of R&D. In particular, they strive to understandsimilar R&D trends overseas, actively attract high-profile overseas researchers, and promote joint
research.
○ The PD and PMs pursue advanced data management, such as encouraging information exchange
among researchers, and data storage, sharing, and disclosure.
○ FAs actively support management activities of the PD and PMs, and develop an environment inwhich outside experts can advise the PD and PMs as required.
[Report on the Status of Progress to the Strategy Promotion Council]○ In principle, FAs report on the status of the program’s progress and other matters every year to theStrategy Promotion Council, and improve the program (project components and fund allocation, etc.)by receiving the Council’s advice and such.
[Implementation Period]○ Support is available for up to 10 years from the start of the research (the start of the first project
among multiple projects), while the portfolio is repeatedly reviewed.
○ FAs report on the results of external evaluations and self-evaluations to the Strategy Promotion
Council. After discussing with the PD, they rule on project continuation, acceleration, deceleration,
modification, and termination (such as a portfolio review), based on the Council’s advice.
○ CSTI evaluates the status of progress of the program’s R&D aimed at achieving the MS Goals, andthe prospects of achieving the MS Goals in the fifth year after the start of research, and decides
whether to continue or terminate the program aimed at achieving the MS Goals.
5. R&D Evaluation[Evaluation]○ FAs establish an evaluation system comprised of outside experts, and implement external
evaluations.
○ External evaluations are, in principle, implemented in the third and fifth years from the start ofresearch. If it is decided that a program will continue for more than five years, it will then be
evaluated in its eighth and tenth years. If FAs find it necessary to accelerate the evaluation period
according to the project features, an appropriate schedule shall be established in advance.
○ In principle, FAs implement a self-evaluation based on the evaluation criteria specified in thefollowing section every year (other than those years in which external evaluations are implemented)
5and report the results to the Strategy Promotion Council and the relevant ministries and agencies that
formulate the concept. They will also consult with outside experts as necessary. In that case, they will
also report the details of their opinions and how they are reflected in the self-evaluation.
[Evaluation Perspectives]
External evaluation is mainly based on the following perspectives, through which FAs specify detailed
evaluation criteria in cooperation with the relevant ministries and offices.
<Evaluation of the program>
・ The appropriateness of the portfolio aimed at achieving the MS Goals
・ The status of progress of the program’s R&D aimed at achieving the MS Goals
・ The future prospects for the program’s R&D aimed at achieving the MS Goals
・ PD’s management status (including portfolio management, direction to and supervision of PMs,
flexibility and nimbleness)
・ Cooperation with industry and the status of bridging the gap between the R&D and practical use
in society (including the status of acquiring private funding [matching]and spin-out)
・ Effective and efficient R&D promotion through international cooperation
・ Challenging and innovative efforts based on bold ideas
・ Effective and efficient use of research funding (including role sharing between the public andprivate sectors, and stage-gates)
・ Bi-directional communication activities (public dialogue on science and technology)
・ FAs’ support for PD/PM activities<Evaluation of the project>
・ The appropriateness of project targets and contents aimed at achieving the MS Goals
・ The status of progress toward project targets (particularly comparisons of both domestic andoverseas)
・ The future prospects of project targets
・ The status of establishing an R&D system
・ PM’s project management status (including flexibility and nimbleness)
・ Status of research data storage, sharing, and disclosure
・ Cooperation with industry and the status of bridging the gap between the R&D and practical use
in society (including the status of acquiring private funding [matching]and spin-out)
・ Effective and efficient R&D promotion through international cooperation
・ Challenging and innovative efforts based on bold ideas
・ Effective and efficient use of research funding (including role sharing between the public andprivate sectors, and stage-gates)
・ Bi-directional communication activities (public dialogue on science and technology)[Handling Evaluation Results]○ FAs report on the results of external evaluations and self-evaluations to the Strategy Promotion
Council and relevant ministries and agencies that formulate the concept. The results of external
evaluations and self-evaluations are made public in principle.
○ FAs report on the results of external evaluations and self-evaluations to the Strategy Promotion
Council. After discussing with the PD, they rule on project continuation, acceleration, deceleration,
modification, and termination (such as a portfolio review), based on the Council’s advice.
○ If a project, or some part of a project, is discontinued after a review of the portfolio, FAs, the PD and
PMs will provide the necessary support so that the secondary research results obtained to that point
can be utilized in other businesses and R&D projects, with help from the Strategy Promotion
Council.
○ FAs will announce publicly how the results of external evaluations and self-evaluations werereflected in the project continuation, acceleration, deceleration, modification, and termination (suchas a portfolio review).
○ FAs will make a follow-up evaluation after a certain period of time has elapsed after R&D
termination, and conduct a follow-up of the achievements of PMs’ projects.

66. Eligible Project Costs○ Costs necessary to promote the projects are taken care of by making withdrawals from the funds
established by FAs for this program.
○ Eligible project costs include the following, with details of costs determined by FAs. The indirect
cost ratio is 30% for universities and 10% for private enterprises (but 20% for SMEs) among
domestic R&D institutions, and the ratio for others is established respectively by FAs. In addition,
the indirect cost ratio for overseas R&D institutions can be set in consideration of the local economic
level. The following R&D may include verification up to POC (Proof of Concept) as necessary.
1) Costs required to implement R&D
2) Costs required for project management○ Costs associated with an application for intellectual property rights (hereinafter referred to as costs
for intellectual property rights) may be paid as R&D expenses (direct costs) in a commissioned
research contract. If it is difficult to pay the costs for intellectual property rights through direct costs,
FAs may pay such expenses through a contract executed separately from the commissioned researchcontract. Costs for intellectual property rights after project termination are borne by the R&D
institution.
7. Handling Intellectual Property, etc.
○ Intellectual property rights, in principle, belong to the R&D institution that is a contractor, or a
researcher belonging to the said institution, by applying Article 17 of the Industrial Technology
Enhancement Act. The PMs place importance on utilizing intellectual property rights to achieve the
MS Goals, and determine the policy for utilizing intellectual property rights. Procedural details aredefined by FAs.
○ In the case of the participation of a foreign R&D institution, not less than 50% of the foreign R&D
institution’s ownership interests of the intellectual property rights obtained by carrying out the
research, is compelled to belong to FAs.
○ The transfer of intellectual property rights obtained by carrying out the research, and theestablishment and transfer of an exclusive license, shall all require the prior approval of FAs.
○ Data to be managed shall be managed by the R&D institution that is a contractor, or by researchers
belonging to the said institution under their responsibilities in accordance with the data policy of each
institution. The categories of storage, sharing, and disclosure of data to be managed shall be clarified
based on the open and close strategy, and research data are disclosed to the extent necessary byutilizing system such as the Research Data Infrastructure System.
8. Handling Conflicts of Interest○ Since the PD is responsible for selecting PMs and for building and managing a portfolio, the PD is
not allowed to participate as a PM or as a researcher. On the other hand, it is not appropriate to judge
conflicts of interest between the PD or PMs and participating R&D institutions by a one-size-fits-all
criteria, if that prevents Japan from attaining top-level capabilities in R&D and diverse knowledge asa result. Therefore, FAs will render proper judgment on permitting participation or not, in the light ofnecessity, reasonability, and appropriateness of the respective relationships, with respect to conflictsof interest between the PD and participating R&D institutions in the portfolio that the PD is
responsible for building, and between the PMs and participating R&D institutions in projects that thePMs are responsible for drawing up. The results will be published as necessary. The details aredefined in documents such as the application guidelines by FAs.

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