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(b) Antarctica means the area south of 60 degrees south latitude.

(c) Antarctic environment means the natural and physical environment of Antarctica and its dependent and associated ecosystems, but excludes social, economic and other environments.

(d) Antarctic Treaty Consultative Meeting means a meeting of the Parties to the Antarctic Treaty, held pursuant to Article IX(1) of the Treaty.

(e) Comprehensive Environmental Evaluation or CEE means a study of the reasonably foreseeable potential effects of a proposed action on the antarctic environment, prepared in accordance with the provisions of $641.18, and includes all comments thereon received during the comment period described M 9041.18(C). A Comprehensive Environ. mental Evaluation shall constitute an environmental impact statement for purposes of the Executive Order.

(1) Environmental Action Memorandum means a document briefly describing a proposed action and its potential impacts, if any, on the antarctic environment prepared by the responsible official when he or she determines that a proposed action will have less than a minor or transitory impact on the Antarctic environment.

(g) Environmental document means an initial environmental evaluation or a comprehensive environmental evaluation.

(h) Environmental review means the environmental review required by the provisions of this part, and includes preliminary environmental review and preparation of an environmental document, and review by the parties to the Protocol, and committees established under the Protocol for that purpose, and the public, as applicable.

(i) Executive Order means Executive Order 12114, Environmental Effects Abroad of Major Federal Actions, 44 FR 1957.

(j) Initial Environmental Evaluation or IEE means a study of the reasonably foreseeable potential effects of a proposed action on the antarctic environment, prepared in accordance with the provisions of 8 641.17.

(k) Preliminary environmental review means the environmental review described in 8641.15(a).

(1) Protocol means the Protocol on Environmental Protection to the Antarctic Treaty, adopted on October 4, 1991, in Madrid, at the fourth session of the Eleventh Special Antarctic Treaty Consultative Meeting and signed by the United States or that date, and all annexes thereto.

(m) Responsible official means the Director of the Office of Polar Programs, or any NSF employee(s) designated by the Director to be principally responsible for the preparation of environmental action memoranda or environmental documents under this part.

(n) Treaty means the Antarctic Treaty signed in Washington, D.C., on December 1, 1959, T.I.A.S No. 4780. (57 FR 40339, Sept. 3, 1992, as amended at 59 FR 37438, July 22. 1994). 8641.15 Preliminary environmental re

view. (a) The responsible official shall be notified early in the general planning process of actions proposed by USAP components that may have impacts on the Antarctic environment, so that environmental review may be integrated into the planning and decisionmaking processes. The responsible official shall conduct a preliminary environmental review of each action, including consideration of the potential direct and reasonably foreseeable indirect effects of a proposed action on the Antarctic environment.

(b) If, on the basis of the preliminary environmental review, the responsible official determines that an action will have less than a minor or transitory impact on the Antarctic environment, he will prepare an Environmental ACtion Memorandum briefly summarizing the environmental issues considered and conclusions drawn from the review. No further environmental review shall be necessary.

8641.16 Preparation of environmental

documents, generally. (a) Preparation of an environmental document. If the responsible official determines, either initially or on the basis of a preliminary environmental review, that a proposed action may have at least a minor or transitory impact on the Antarctic environment, he will prepare an environmental docu

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B ment in accordance with the provisions not subject to the procedures set forth

of this part. In making this determina in this part, except to the extent protion, the responsible official should vided herein: consider whether and to what degree (1) Scientific research activities inthe proposed action:

volving: (1) Has the potential to adversely af (i) Low volume collection of biologii fect the Antarctic environment;

cal or geologic specimens, provided no (2) May adversely affect climate and more mammals or birds are taken than Es weather patterns;

can normally be replaced by natural re(3) May adversely affect air or water production in the following season; quality;

(ii) Small-scale detonation of explo(4) May affect atmospheric, terres sives in connection with seismic re

trial (including aquatic), glacial or ma search conducted in the continental inshorine environments;

terior or Antarctica where there will (5) May detrimentally affect the dis be no potential for impact on native tribution, abundance or productivity or

flora and fauna; species, or populations of species of (iii) Use of weather/research balloons, No a fauna and flora;


rockets, and automatic (6) May further jeopardize endan weather stations that are to be regered or threatened species or popu

trieved; and lations of such species;

(iv) Use of radioisotopes, provided (7) May degrade, or pose substantial such use complies with applicable laws risk to, areas of biological, scientific, and regulations, and with NSF procehistoric, aesthetic or wilderness sig dures for handling and disposing of nificance;

radioisotopes. (8) Has highly uncertain environ (2) Interior remodelling and renovamental effects, or involves unique or tion of existing facilities. unknown environmental risks; or

Notwithstanding the foregoing, if in(9) Together with other actions, the formation developed during the planeffects of any one of which is individ ning of any of the actions described in ually insignificant, may have at least this paragraph (c) indicates the possiminor or transitory cumulative envi bility that the action may have at ronmental effects.

least a minor or transitory impact on (b) Prior assessments. Notwithstanding the Antarctic environment, the envithe provisions of $ 641.16(a), if (1) An en ronmental effects of the action shall be vironmental document (including a ge reviewed to determine the need for the neric or programmatic CEE) or its preparation of an environmental docuequivalent has been prepared for a par ment. ticular type of action; (2) That docu (d) Coordination with other committees, ment includes an analysis of potential offices and federal agencies. The responenvironmental effects that are directly sible official shall notify NSF's Comrelevant to the potential effects of the mittee of Environmental Matters when proposed action, taking in account fac he intends to prepare an environmental tors such as the similarity of the ac document, and will coordinate preparations and of the locations within which tion of the document with those entithey take place; and (3) There are no ties. Responsibility for preparation of potential site specific or other impacts the environmental document rests prithat would require further evaluation, marily with the responsible official, then a new environmental document but, as soon as is feasible, he should need not be prepared. Instead, the re consult with and encourage the particisponsible official shall prepare an Envi pation of other knowledgeable individronmental Action Memorandum for the uals within NSF, and, where approproposed action, cross-referencing the priate, with other individuals, governpreviously

prepared environmental ment agencies and entities with reldocument.

evant knowledge and expertise. (c) Exclusions. NSF has determined (e) Type of environmental document. that the following actions will have The type of environmental document less than a minor or transitory impact required under this part depends on the on the Antarctic environment, and are nature of the proposed action under

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review of the action is necessary provided that appropriate procedures, which may include monitoring, are put in place to assess and verify the impact of the action.

(c) Availability to public. An annual list of IEEs and a description of any decisions taken in consequence thereof shall be provided to the Department of State for circulation to all parties to the Protocol and to organizations or committees established pursuant to the Protocol or the Treaty, as required. The Environmental Officer, Division of Polar Programs, shall also make the list and copies of final IEEs available to the public upon request.

consideration. An IEE must be prepared for proposed actions which the responsible official concludes may have at least a minor or transitory impact on the Antarctic environment and for which a CEE is not prepared. A CEE must be prepared if an IEE indicates, or if it is otherwise determined, that a proposed action is likely to have more than a minor or transitory impact on the Antarctic environment.

(f) Obligation of funds. Because of logistic constraints (i.e., constraints due to transportation difficulties, inaccessibility of Antarctic bases for much of the year, and the need to obtain items or materials requiring long lead times), it may not be possible to complete the environmental review of a proposed action before funds must be committed and/or disbursed. In such cases, funds for the proposed action may be committed and/or disbursed, provided:

(1) The appropriate environmental review is completed before implementation of the proposed action in Antarctica, and

(2) Implementation plans for the proposed action will be modified or canceled, if appropriate, in light of the completed environmental review (including public comments, if applicable). (57 FR 40339, Sept. 3, 1992, as amended at 59 FR 37438, July 22, 1994)

8641.17 Initial environmental evalua

tion. (a) Contents. An IEE shall contain sufficient detail to assess whether a proposed action may have more than a minor or transitory impact on the Antarctic environment, and shall include the following information:

(1) A description of the proposed action, including its purpose, location, duration and intensity; and

(2) Consideration of alternatives to the proposed action and any impacts that the proposed action may have on the Antarctic environment, including cumulative impacts in light of existing and known planned actions and existing information on such actions.

(b) Further environmental review. If an IEE indicates that a proposed action is likely to have no more than a minor or transitory impact on the Antarctic environment, no further environmental

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8641.18 Comprehensive environmental

evaluation. (a) Scoping. If it is determined that a CEE will be prepared, the responsible official shall publish a notice of intent to prepare a CEE in the FEDERAL REGISTER, inviting interested persons and government agencies to participate in the process of identifying significant issues relating to the proposed action and determining the scope of the issues to be addressed in the CEE.

(b) Contents of CEE, A CEE shall be a concise and analytical document, prepared in accordance with the range of relevant issues identified in the scoping process. It shall contain sufficient information to permit informed consideration of the reasonably foreseeable potential environmental effects of a proposed action and possible alternatives to that proposed action. Such information shall include the following:

(1) A description of the proposed action including its purpose, location, duration and intensity;

(2) A description of the initial baseline environmental state with which predicted changes are to be compared, and a prediction of the future environmental state in the absence of the proposed action;

(3) A description of the methods and data used to forecast the potential impacts of the proposed action;

(4) An estimate of the nature, extent, duration and intensity of the likely direct potential impacts of the proposed action:

(5) A consideration of the potential pacts in relation to the advantages of indirect or second order impacts from the proposed action shall be provided the proposed action;

to the Department of State for circula(6) A consideration of potential cu- tion to all Parties to the Protocol, and mulative impacts of the proposed ac shall be available to the public upon retion in light of existing activities and quest, at least sixty (60) days prior to other known planned actions and avail the commencement of the proposed acable information on those actions;

tivity in Antarctica. Notice of such (7) A description of possible alter public availability shall be published in natives to the proposed action, includ- the FEDERAL REGISTER. ing the alternative of not proceeding,

(e) Implementation of proposed action. and the potential consequences of No final decision shall be taken to prothose alternatives, in sufficient detail ceed in Antarctica with an action for to allow a clear basis for choice among which a final CEE is required until the alternatives and the proposed ac- after the earlier of: tion;

(1) The first Antarctic Treaty Con(8) Identification of measures, includ- sultative Meeting taking place at least ing monitoring, that could be employed one hundred and twenty days after cirto minimize, mitigate or prevent po- culation of the draft CEE, or tential impacts of the proposed action, (2) Fifteen months following the cirdetect unforeseen impacts, provide culation of the draft CEE. early warning of any adverse effects,

8641.19 Modification of environmental and carry out prompt and effective response to accidents;

documents. (9) Identification of unavoidable po

The responsible official should revise tential impacts of the proposed action; or supplement an environmental docu(10) Consideration of the potential ef

ment if there is a change in a proposed fects of the proposed action on the con

action that may have more than a duct of scientific research and on other minor or transitory effect on the antexisting uses and values;

arctic environment, or if there are new (11) Identification of gaps in knowl

circumstances or information that inedge and uncertainties encountered in dicate the action may have impacts compiling the information required by not anticipated in the original environthis paragraph (b);

mental document. (12) A non-technical summary of the information included in the CEE; and

8641.20 Notification of the availability (13) The name and address of the per

of environmental documents and

other information. son and/or organization which prepared the CEE, and the address to which

The Environmental Officer, Office of comments thereon should be directed.

Polar Programs, shall make Environ(c) Circulation of draft CEE. A draft of

mental Action Memoranda, environeach CEE shall be provided to the De

mental documents and final data obpartment of State for circulation to all

tained under $641.21, available to the Parties to the Protocol and to organi

public upon request. However, notice of zations or committees established pur

such availability need not be given, exsuant to the Protocol or Treaty, as re

cept as specifically provided in this quired by the Protocol, and shall be

part. made publicly available. Notice of such (57 FR 40339, Sept. 3, 1992, as amended at 59 public availability shall be published in FR 37438, July 22, 1994) the FEDERAL REGISTER. All such parties shall have a period of not less than

8641.21 Monitoring. ninety (90) days within which to review Scientific, analytic and/or reporting and comment upon the draft CEE.

procedures shall be put in place, in(d) Final CEE. A final CEE shall ad- cluding appropriate monitoring of key dress, and shall include or summarize, environmental indicators, to assess and comments received on the draft CEE. verify the potential environmental imThe final CEE, notice of any decisions pacts of actions which are the subject related thereto, and any evaluation of of a CEE. All proposed actions for the significance of the predicted im- which an environmental document has

650.18 Delegation of authority. APPENDIX A TO PART 650_OPTIONAL FORMAT

FOR CONFIRMATORY LICENSE AUTHORITY: 35 U.S.C. 200-212, 42 U.S.C. 1870(e) and 1871; and the Presidential Memorandum entitled “Government Patent Policy”, issued February 18, 1983.

SOURCE: 57 FR 18053, Apr. 28, 1992, unless otherwise noted.

been prepared shall include procedures designed to provide a regular and verifiable record of the actual impacts of those actions, in order, inter alia, to

(a) Enable assessments to be made of the extent to which such impacts are consistent with the Protocol; and

(b) Provide information useful for minimizing or mitigating those im pacts, and, where appropriate, information on the need for suspension, cancellation or modification of the action. 8641.22 Cases of emergency.

This part shall not apply to actions taken in cases of emergency relating to the safety of human life or of ships, aircraft or equipment and facilities of high value, or the protection of the environment which require an action to be taken without completion of the environmental review required by this part. Notice of any such actions which would otherwise have required the preparation of a CEE shall be provided immediately to the Department of State for circulation to all parties to the Protocol and to committees and organizations established pursuant to the Treaty or Protocol, as required. A description of the emergency action undertaken shall also be provided to the Department of State for appropriate circulation within ninety days of the action.

8 650.1 Scope of part.

This part contains the policies, procedures, and clauses that govern allocation of rights to inventions made in performance of NSF-assisted research. It applies to all current and future funding agreements entered into by the Foundation that relate to performance of scientific or engineering research. As stated in the NSF Acquisition Regulation (chapter 25 of title 48 of the Code of Federal Regulations), this part applies to contracts as well as to grants and cooperative agreements. 8650.2 National Science Foundation

patent policy. As authorized by the National Science Board at its 230th meeting, October 15-16, 1981, the Director of the National Science Foundation has adopted the following statement of NSF patent policy.

(a) In accordance with the Bayh-Dole Act and the Presidential Memorandum entitled “Government Patent Policy" issued February 18, 1983, the Foundation will use the Patent Rights clause prescribed by the Department of Commerce in all its funding agreements for the performance of experimental, developmental, or research work, including awards made to foreign entities, unless the Foundation determines that some other provision would better serve the purposes of that Act or the interests of the United States and the general public.

(b) In funding agreements covered by a treaty or agreement that provides that an international organization or foreign government, research institute, or inventor will own or share patent rights, the Foundation will acquire such patent rights as are necessary to comply with the applicable treaty or agreement.

(c) If an awardee elects not, to retain rights to an invention, the Foundation


Sec. 650.1 Scope of part. 650.2 National Science Foundation patent

policy. 650.3 Source of authority. 650.4 Standard patent rights clause. 650.5 Special patent provisions. 650.6 Awards not primarily for research. 650.7 Awards affected by international

agreements. 650.8 Retention of rights by inventor. 650.9 Unwanted inventions. 650.10 Inventions also supported by another

Federal agency. 650.11 Utilization reports. 650.12 Waivers and Approvals. 650.13 Exercise of march-in rights. 650.14 Request for conveyance of title to

NSF. 650.15 Appeals. 650.16 Background rights. 650.17 Subcontracts.

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