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國航天〔2020〕4號

各有關(guān)單位：

　　《月球樣品管理辦法》已經(jīng)審議通過(guò)，現印發(fā)給你們，自發(fā)布之日起施行。

國家航天局

　　2020年12月17日

　　月球樣品管理辦法

　　第一章 總則

　　第一條 為規范月球樣品的保存、管理和使用，發(fā)揮其科研價(jià)值與社會(huì )效益，制定本辦法。

　　第二條 本辦法中的月球樣品是指我國通過(guò)實(shí)施探月工程在月球表面及表面以下采集的，以及國家航天局通過(guò)其他途徑獲得的月球物質(zhì)。

　　第三條 本辦法適用于月球樣品的解封、分類(lèi)、制備、建檔、存儲、申請、分發(fā)、運輸、使用、返還、處置、信息管理及成果管理等全過(guò)程。

　　第二章 職責

　　第四條 國家航天局是月球樣品的管理部門(mén)，主要職責包括：

　　(一) 制定月球樣品管理的相關(guān)政策、制度。

　　(二) 監管科研成果轉化和商業(yè)開(kāi)發(fā)等活動(dòng)。

　　(三) 負責月球樣品國際合作相關(guān)工作。

　　第五條 國家航天局探月與航天工程中心(以下簡(jiǎn)稱(chēng)探月中心)受?chē)液教炀治校瑢?shí)施月球樣品的具體管理工作，主要職責包括：

　　(一) 審核存儲機構制定的月球樣品相關(guān)標準規范。

　　(二) 組建月球樣品專(zhuān)家委員會(huì )。

　　(三) 審核月球樣品借用申請。

　　(四) 監督檢查月球樣品解封、分類(lèi)、制備、建檔、存儲、申請、分發(fā)、運輸、使用、返還、處置、信息管理及成果管理等全過(guò)程，協(xié)調過(guò)程中出現的問(wèn)題。

　　(五) 通過(guò)數據信息平臺定期發(fā)布月球樣品動(dòng)態(tài)信息。

　　(六) 開(kāi)展科學(xué)成果與應用管理，形成并發(fā)布成果清單。

　　第六條 月球樣品存儲在國家航天局及其指定的存儲機構。主存儲機構設在中國科學(xué)院國家天文臺，另外設立備份存儲機構。

　　存儲機構在國家航天局的統籌領(lǐng)導下開(kāi)展月球樣品有關(guān)工作，接受探月中心對月球樣品的統一調配和指導監督，及時(shí)向探月中心提供月球樣品相關(guān)信息，定期向探月中心報告月球樣品存儲和借用情況。如發(fā)生月球樣品污染、損壞等緊急情況，應立即向探月中心報告。

　　存儲機構借用月球樣品，應遵循本辦法規定的申請程序、使用要求。

　　第七條 主存儲機構主要職責包括：

　　(一) 制定月球樣品相關(guān)標準規范。

　　(二) 開(kāi)展月球樣品的解封、分類(lèi)、制備、建檔、存儲。

　　(三) 按程序開(kāi)展月球樣品分發(fā)、返還和處置等工作。

　　(四) 建設并維護存儲設施，具備開(kāi)展相關(guān)工作的能力。

　　(五) 建立月球樣品信息庫，保障所存儲月球樣品的安全。

　　第八條 備份存儲機構主要職責包括：

　　(一) 配合制定月球樣品相關(guān)標準規范。

　　(二) 建設并維護存儲設施。

　　(三) 建立月球樣品信息庫，保障所存儲月球樣品的安全。

　　第九條 月球樣品的借用應以法人為主體(簡(jiǎn)稱(chēng)借用主體)，借用主體主要職責包括：

　　(一) 按照批準的相關(guān)內容和借用協(xié)議進(jìn)行科學(xué)研究或公益活動(dòng)。

　　(二) 在使用過(guò)程中應保證月球樣品的安全，承擔因操作、保管等過(guò)錯致使樣品受損、污染、丟失的責任。

　　(三) 在樣品使用過(guò)程中，應指定專(zhuān)人負責樣品的安全使用，并在申請時(shí)注明。

　　(四) 月球樣品科研成果向探月中心報備。

　　第三章 分類(lèi)、處理及信息發(fā)布

　　第十條 按照基礎用途，月球樣品原則上分為永久存儲、備份永久存儲、研究和公益四種：永久存儲和備份永久存儲樣品作為原始樣品進(jìn)行封存;研究樣品用于月球科學(xué)研究、分析;公益樣品用于展覽、科普、教育等公益性活動(dòng)。

　　第十一條 主存儲機構接收月球樣品后，按照不同的基礎用途，進(jìn)行為期不超過(guò)六個(gè)月的處理并形成相關(guān)信息。

　　第十二條 處理期結束后，探月中心通過(guò)數據信息平臺向社會(huì )公布月球樣品信息，并根據借用情況對樣品信息動(dòng)態(tài)更新。

　　第四章 借用與分發(fā)

　　第十三條 借用是指使用月球樣品開(kāi)展科學(xué)研究(無(wú)損實(shí)驗和有損實(shí)驗)和公益(教育、展覽等)活動(dòng)，并在活動(dòng)完成后按約定時(shí)間返還。

　　第十四條 借用主體應具有相應的安防和存儲條件，開(kāi)展樣品研究的借用主體應具有相應的研究能力。

　　第十五條 借用主體在數據信息平臺提交月球樣品借用申請表(見(jiàn)附件1，2)。

　　第十六條 探月中心每季度末對借用申請進(jìn)行集中評議，并將評議結果及時(shí)反饋借用主體。探月中心與借用主體簽署《月球樣品借用協(xié)議》(見(jiàn)附件3)，并由主存儲機構按程序發(fā)放。

　　第十七條 研究樣品借用期原則上不超過(guò)一年。確有需要，辦理一次續借手續，續借期不超過(guò)六個(gè)月。借用主體應在借用期滿(mǎn)前至少三十天向探月中心提交續借申請。

　　第十八條 由于月球樣品的珍貴性，借用的研究樣品應節約使用。對于研究樣品的有損實(shí)驗應降低到最低程度，并在研究計劃中詳細論證說(shuō)明。

　　第十九條 公益樣品借用期一般不超過(guò)兩個(gè)月。確有需要，借用主體可辦理一次續借手續，續借期不超過(guò)一個(gè)月。借用主體應在期滿(mǎn)前十五天向探月中心提交延期申請。

　　第二十條 主存儲機構根據探月中心的書(shū)面通知、批準的借用申請表和簽署的《月球樣品借用協(xié)議》，三十天內完成相應樣品的準備和分發(fā)，并反饋探月中心。

　　第五章 使用和返還

　　第二十一條 借用主體應對月球樣品的使用進(jìn)行全程書(shū)面記錄，有損實(shí)驗必須進(jìn)行視頻記錄，保證樣品使用的可追溯性，便于月球樣品的監督、返還和再次分配。

　　第二十二條 借用主體接受探月中心對月球樣品使用情況的檢查。

　　第二十三條 借用主體無(wú)權將月球樣品提供給第三方使用。如需在第三方進(jìn)行實(shí)驗、測試等相關(guān)工作，需在借用申請表中明確，探月中心審核后方可實(shí)施。

　　第二十四條 借用主體在月球樣品使用過(guò)程中如果違反借用協(xié)議中的規定，探月中心有權提前終止協(xié)議，并要求借用主體立即返還樣品。

　　第二十五條 在借用期滿(mǎn)后5個(gè)工作日內，借用主體應及時(shí)向主存儲機構提交返還申請表(見(jiàn)附件4)，隨附月球樣品、借用協(xié)議及必要的說(shuō)明文件等。在返還申請表中，應清晰完整地填寫(xiě)樣品使用記錄，對于有損實(shí)驗(含徹底損壞無(wú)剩余)還需提供相關(guān)實(shí)驗視頻記錄。所借用的樣品應全部返還，因開(kāi)展有損實(shí)驗而無(wú)法完整返還的樣品，應將剩余部分返還。

　　第二十六條 主存儲機構在收到月球樣品返還申請表后，組織對借用主體返還物項的完整性進(jìn)行核查，如有缺項，借用主體需在規定日期內補充提交。主存儲機構對返還的月球樣品進(jìn)行檢測，形成檢測意見(jiàn)后報探月中心。探月中心視情組織專(zhuān)家委員會(huì )復核后，做出審核結論。對于符合返還要求的，主存儲機構負責做好返還樣品的登記入庫和存儲等相關(guān)工作;對于不符合返還要求的，將依據《月球樣品借用協(xié)議》的相關(guān)條款進(jìn)行處理。

　　第六章 成果管理

　　第二十七條 使用月球樣品研究成果發(fā)表論文和開(kāi)展學(xué)術(shù)交流等活動(dòng)，應明確標注月球樣品的編號，并注明“月球樣品由國家航天局提供(Lunar Sample Provided by CNSA)”。

　　第二十八條 使用月球樣品研究成果發(fā)表論文和申報知識產(chǎn)權，應在三個(gè)月內登錄數據信息平臺進(jìn)行報備，由探月中心匯總并公布，以促進(jìn)月球樣品科研成果的共享。

　　第二十九條 探月中心組織專(zhuān)家委員會(huì )定期對月球樣品科研成果進(jìn)行評價(jià)，促進(jìn)科技成果轉化與應用。

　　第三十條 借用主體利用月球樣品或月球樣品相關(guān)科研成果和產(chǎn)品開(kāi)展商業(yè)活動(dòng)，應征得探月中心書(shū)面同意，并遵守《月球樣品借用協(xié)議》。

　　第七章 安全管理

　　第三十一條 借用主體應具備相應的安全保障和管理條件，確保月球樣品在使用過(guò)程中安全、不受到污染。

　　第三十二條 如月球樣品丟失，應立即向當地警方報警并向探月中心報告;如發(fā)生污染、損壞等，借用主體需在24小時(shí)內提交書(shū)面說(shuō)明，情節嚴重的，探月中心將提請國家航天局和有關(guān)機關(guān)依法追究法律責任。

　　第八章 國際合作

　　第三十三條 月球樣品的管理和使用遵守中華人民共和國締結和參加的相關(guān)國際公約。

　　第三十四條 國家航天局鼓勵開(kāi)展基于月球樣品的空間科學(xué)國際聯(lián)合研究工作，促進(jìn)成果的國際共享。

　　第三十五條 探月中心按照國家航天局有關(guān)協(xié)議和批復，組織開(kāi)展月球樣品的聯(lián)合研究、交流、展示、饋贈等工作。

　　第九章 附則

　　第三十六條 對違反本辦法相關(guān)規定的，國家航天局和有關(guān)機關(guān)將依法追究其法律責任。

　　第三十七條 本辦法自發(fā)布之日起施行，國家航天局負責解釋。

　　附件：

　　附件1. 研究樣品借用申請表　　

　　附件2. 公益樣品借用申請表　　

　　附件3. 月球樣品借用協(xié)議 　　

　　附件4. 樣品返還申請表　　

　　Notice of China National Space Administration on the Distribution of Procedures for Requesting Lunar Samples

　　To all units concerned:

　　The Procedures for Requesting Lunar Samples is approved and adopted. Official versions are effective immediately.

　　China National Space Administration

　　December 17, 2020

　　Procedures for Requesting Lunar Samples

　　Chapter 1 General Provisions

　　Article 1 These Procedures are established for the proper storage, management and usage of lunar samples for scientific research and social benefits.

　　Article 2 The lunar samples refer to the materials collected on and below the surface of the Moon through China's lunar exploration program and the lunar materials obtained by China National Space Administration (CNSA) through other means.

　　Article 3 The present Procedures shall be applicable to the overall process of unsealing, classification, preparation, documentation, storage, application, distribution, transportation, use, return, dispositioning, management of information, and documentation of results.

　　Chapter 2 Responsibilities

　　Article 4 China National Space Administration is the management authority of lunar samples, with main responsibilities that include:

　　(1) Formulating policies and regulations for the management of lunar samples;

　　(2) Supervising application and commercialization of scientific research achievements; and

　　(3) International cooperation on lunar sample studies.

　　Article 5 CNSA's Lunar Exploration and Space Engineering Center (hereinafter referred to as LESEC) has been entrusted to carry out the management of lunar samples, with main responsibilities including:

　　(1) Reviewing Standards and Operating Procedures formulated by the curatorial agencies;

　　(2) Establishing an expert committee on lunar samples;

　　(3) Reviewing applications for requesting lunar samples;

　　(4) Supervising and coordinating the process of unsealing, classification, preparation, documentation, storage, application, distribution, transportation, use, return, dispositioning, management of information, and documentation of results.;

　　(5) Publishing dynamic information on lunar samples on a regular basis through data information platform; and

　　(6) Implementing the monitoring of science returns and its applications, and preparing and publishing a list of publications and achievements.

　　Article 6 The lunar samples are stored at CNSA and its designated curatorial agencies. The main curatorial agency is the National Astronomical Observatories of the Chinese Academy of Sciences, and a backup curatorial agency is also established.

　　The curatorial agencies, under the supervision of CNSA and specific guidance of LESEC, shall provide information, from preliminary examination, on lunar samples in a timely manner, and report the curation and distribution of lunar samples to LESEC on a regular basis. Any emergency case such as lunar sample contamination and damage shall be reported to LESEC immediately.

　　The curatorial agencies shall adopt the following procedures for sample handling.

　　Article 7 The main responsibilities of the main curatorial agency include:

　　(1) Formulating standards and Operating Procedures related to lunar samples;

　　(2) Implementing the unsealing, classification, preparation, documentation, and storage of lunar samples;

　　(3) Implementing the distribution, return and dispositioning of lunar samples in accordance with the procedures;

　　(4) Building and maintaining the lunar sample storage facilities, to make sure that these facilities have the capability to carry out the necessary work; and

　　(5) Establishing a lunar sample curation catalog, thus to secure the information safety of the lunar samples.

　　Article 8 The main responsibilities of the backup curatorial agency include:

　　(1) Participating in the formulation of the standards and operating procedures related to lunar samples;

　　(2) Building and maintaining storage facilities; and

　　(3) Establishing a lunar sample information catalog to guarantee the security of lunar samples stored.

　　Article 9 Requesting of lunar samples shall be made by a legal person (hereinafter referred to as the requesting subject), and the main responsibilities of the requesting subject shall include:

　　(1) Conducting scientific research or socially beneficial activities in accordance with the relevant content of approval and agreement;

　　(2) Responsible for the security of the lunar samples, and bearing responsibilities for their damage, contamination, or loss due to operational and storage negligence;

　　(3) A dedicated person shall be appointed to be responsible for the safe use of the sample. Clear instructions shall be given to the person or persons responsible for sample handling; and

　　(4) Reporting in the scientific research results of lunar samples to LESEC.

　　Chapter 3 Classification, Handling and Information Release

　　Article 10 According to basic uses, lunar samples are divided into four types in principle: permanently stored samples, permanently stored backup samples, research samples, and samples for public beneficial activities, of which permanently stored samples and permanently stored backup samples are sealed and maintained in a pristine state as original samples, research samples are used for scientific investigation and analysis, and the samples for public beneficial activities are used for activities such as exhibition, public outreach, and education.

　　Article 11 The main curatorial agency shall receive and keep the lunar samples for a period of not more than six months, according to different basic uses, to conduct preliminary sample handing and to form a set of relevant information.

　　Article 12 After the end of the above (initial) sample handling period, LESEC will publish lunar sample information to the public through the data information platform, and update the sample information dynamically according to the status of sample requests.

　　Chapter 4 Request and Distribution

　　Article 13 Request refers to the use of lunar samples for scientific research (non-destructive and destructive experiments) and public beneficial activities (education, exhibition, etc.) and the return of samples at an agreed time after the completion of such activities.

　　Article 14 The requesting subject shall be able to ensure the safety and storage of the sample, and the requesting subject that will conduct the sample research shall have the corresponding investigation competence as being proposed.

　　Article 15 The requesting subject shall submit a request application form for lunar samples on the data information platform (see Annexes 1 and 2).

　　Article 16 LESEC will conduct a centralized review of request applications at the end of each quarter and provide timely feedback on the results of the review to the requesting subjects. LESEC will sign a Lunar Sample Loan Agreement (see Annex 3) with the requesting subject, and the main curatorial agency will allocate the sample according to the procedures.

　　Article 17 The term for request of a research sample shall, in principle, not exceed one year. If it is absolutely necessary, the request can be renewed once for a period not exceeding six months. The requesting subject shall submit an application for renewal to LESEC at least thirty days before the expiration of the request.

　　Article 18 In view of the precious nature of lunar samples, the requested research samples shall be used sparingly. Destructive experiments on research samples shall be reduced to the minimum and demonstrated and explained in detail in the research plan.

　　Article 19 The term for requesting of sample for public beneficial activities generally does not exceed two months. If it is really necessary, a request can be renewed once for a period not exceeding one month. The requesting subject shall submit an application for renewal to LESEC fifteen days before the expiration.

　　Article 20 The main curatorial agency shall complete the preparation and distribution of the corresponding sample within thirty days in accordance with the written notice of LESEC, the approved request application form and the signed Lunar Sample Loan Agreement, and give feedback to LESEC.

　　Chapter 5 Use and Return

　　Article 21 The requesting subject shall record the entire use of lunar sample in writing, and the destructive experiments must be recorded in video, so as to ensure the traceability of the use of sample and facilitate the supervision, return and redistribution of the lunar sample.

　　Article 22 The requesting subject is subject to inspection by LESEC on the use of lunar samples.

　　Article 23 The requesting subject has no right to provide the lunar sample to a third party. Experiments, testing and other related work to be conducted by a third party shall be explained in the original request application form by the requesting subject, and must be approved before implementation.

　　Article 24 If the requesting subject violates the provisions of the request agreement during the use of lunar sample, LESEC shall have the right to terminate the agreement in advance and request the requesting subject to return the sample immediately.

　　Article 25 Within five working days after the expiration of the request, the requesting subject shall submit a return application form (see Annex 4) to the main curatorial agency in a timely manner, with the lunar sample, loan agreement and necessary documents attached. The sample use record in the return application form shall be filled in clearly and completely, and video record of relevant destructive experiments (including complete destruction without any remaining material) shall be provided. The requested sample shall be returned in full, and for any sample that cannot be returned completely due to destructive experiments, the remaining part shall be returned.

　　Article 26 The main curatorial agency shall organize the verification of the integrity of the items returned after receiving the return application form. In case of any missing items, the requesting subject shall make supplementary submission within the specified period. The main curatorial agency will inspect the returned lunar sample, form an inspection opinion, and report to LESEC. LESEC will organize a review by the committee of experts as appropriate and draw a conclusion. If the returned sample meets the requirements, the main curatorial agency shall be responsible for the registration, storage, and other related work. If the returned sample does not meet the requirements, the main curatorial agency shall be responsible for the treatment in accordance with the relevant provisions of Lunar Sample Loan Agreement.

　　Chapter 6 Publication of Scientific Results

　　Article 27 Publication of papers, academic exchanges and other activities that use the research achievements of lunar sample analysis shall clearly identify the serial number of the lunar sample and indicate that "Lunar Sample Provided by CNSA".

　　Article 28 Publication of papers and declaration of intellectual property that derived from the usage of lunar samples shall be reported through the data information platform within three months and will be collected and published by LESEC to promote the sharing of scientific research results from the analysis of lunar samples.

　　Article 29 LESEC organizes a committee of experts to evaluate the scientific research achievements of lunar sample analysis on a regular basis, and to promote the transformation and application of scientific and technological achievements.

　　Article 30 Commercial activities to be conducted using lunar samples or relevant scientific research achievements and products by a requesting subject shall be subject to written approval by LESEC and follow the Lunar Sample Loan Agreement.

　　Chapter 7 Security Management

　　Article 31 The requesting subject shall possess the corresponding security assurance and management conditions, to ensure that the lunar sample is secure and free from contamination.

　　Article 32 If a lunar sample is lost, the requesting subject shall notify the local police immediately and report to LESEC. In case of contamination, damage, etc., the requesting subject shall submit a written explanation within 24 hours. In serious cases, LESEC will request CNSA and other relevant authorities to investigate and pressing legal charges in accordance with the law.

　　Chapter 8 International Cooperation

　　Article 33 The management and use of lunar samples shall comply with the relevant international conventions that the People's Republic of China has established or adopted.

　　Article 34 CNSA encourages lunar sample-based joint international research, and supports the international sharing of science results.

　　Article 35 LESEC shall organize joint research, exchanges, exhibition, and goodwill gifts related to lunar samples, in accordance with the relevant agreements and approvals of CNSA.

　　Chapter 9 Supplementary Articles

　　Article 36 Whoever violates the provisions of the present Procedure shall be subject to investigation by CNSA and other authorities for legal responsibility.

　　Article 37 The present Procedure shall come into force as of the date of publication, and CNSA shall be responsible for its interpretation.

Annex：

Annex 1 Request Application Form of Research Samples 

Annex 2 Request Application Form of Samples for Public Beneficial Activities 

Annex 3 Lunar Sample Loan Agreement

Annex 4 Sample Return Application Form

　《月球樣品管理辦法》有關(guān)情況解讀