section_id,title_number,title_name,chapter,subchapter,part_number,part_name,subpart,subpart_name,section_number,section_heading,agency,authority,source_citation,amendment_citations,full_text 10:10:5.0.2.5.19.0.12.1,10,Energy,III,,781,PART 781—DOE PATENT LICENSING REGULATIONS,,,,§ 781.1 Scope.,DOE,,,"[77 FR 4889, Feb. 1, 2012]","The regulations of this part supplement the U.S. Department of Commerce regulations, entitled LICENSING OF GOVERNMENT OWNED INVENTIONS, at 37 CFR Part 404." 10:10:5.0.2.5.19.0.12.2,10,Energy,III,,781,PART 781—DOE PATENT LICENSING REGULATIONS,,,,§ 781.2 Policy.,DOE,,,"[77 FR 4889, Feb. 1, 2012]","(a) It is the policy of this regulation to use the patent system to promote the utilization of inventions arising from Department of Energy supported research and development. (b) Decisions as to grants or denials of any license application will, in the discretion of the Secretary of Energy, be based on the Department of Energy's view of what is in the best interests of the United States and the general public under the provisions of these regulations. Decisions of the Department of Energy under these regulations may be made on the Secretary of Energy's behalf by the Assistant General Counsel for Technology Transfer and Intellectual Property, except where otherwise delegated." 10:10:5.0.2.5.19.0.12.3,10,Energy,III,,781,PART 781—DOE PATENT LICENSING REGULATIONS,,,,§ 781.3 [Reserved],DOE,,,, 10:10:5.0.2.5.19.0.12.4,10,Energy,III,,781,PART 781—DOE PATENT LICENSING REGULATIONS,,,,§ 781.4 Communications.,DOE,,,"[77 FR 4889, Feb. 1, 2012]","All communications concerning the regulations in this part, including applications for licenses, should be addressed or delivered to the General Counsel, Attention: Assistant General Counsel for Technology Transfer and Intellectual Property, U.S. Department of Energy, 1000 Independence Avenue SW., Washington, DC 20585." 10:10:5.0.2.5.19.0.13.5,10,Energy,III,,781,PART 781—DOE PATENT LICENSING REGULATIONS,,,,§§ 781.51-781.52 [Reserved],DOE,,,, 10:10:5.0.2.5.19.0.13.6,10,Energy,III,,781,PART 781—DOE PATENT LICENSING REGULATIONS,,,,§ 781.53 Additional licenses.,DOE,,,"[77 FR 4889, Feb. 1, 2012]","Subject to any outstanding licenses, nothing in this part shall preclude the Department of Energy from granting additional nonexclusive, or exclusive, or partially exclusive licenses for inventions covered by this part when the Department of Energy determines that to do so would provide for an equitable exchange of patent rights. The following circumstances are examples in which such licenses may be granted: (a) In consideration of the settlement of interferences or other administrative proceedings before the U.S. Patent and Trademark Office; (b) In consideration of a release of any claims; (c) In exchange for or as a part of the consideration for a license under adversely held patents; (d) As necessary for meeting obligations of the U.S. under any treaty, international agreement arrangement or cooperation, memorandum of understanding or similar arrangement; or (e) In consideration for the settlement or resolution of any proceeding under the Department of Energy Organization Act or other law." 10:10:5.0.2.5.19.0.14.7,10,Energy,III,,781,PART 781—DOE PATENT LICENSING REGULATIONS,,,,§§ 781.61-781.64 [Reserved],DOE,,,, 10:10:5.0.2.5.19.0.14.8,10,Energy,III,,781,PART 781—DOE PATENT LICENSING REGULATIONS,,,,§ 781.65 Appeals.,DOE,,,"[77 FR 4890, Feb. 1, 2012]","(a) Standing. The following parties have the right to appeal under this part: (1) Pursuant to 37 CFR 404.11: (i) A person whose application for a license has been denied; (ii) A licensee whose license has been modified or terminated, in whole or in part; (iii) A person who timely filed a written objection in response to the notice required by 37 CFR 404.7(a)(1)(i) or (b)(1)(i) and who can demonstrate to the satisfaction of the Federal agency that such person may be damaged by the agency action; or (2) A management and operating contractor appealing an agency decision to grant a copyright license to a third party pursuant to the Rights in Data-Technology Transfer clause for DOE management and operating contracts per 48 CFR part 970. (b) Notice of Appeal. Appeal under paragraph (a) of this section shall be initiated by filing a Notice of Appeal with the Secretary, ATTN: Deputy General Counsel for Technology Transfer and Procurement (“Deputy General Counsel”), within thirty (30) days from the date of receipt of a written notice by the Department of Energy of an action set forth in paragraph (a) of this section. The Notice of Appeal shall specify the portion of the decision from which the appeal is taken. A statement of fact and argument in the form of a brief in support of the appeal shall be submitted with the Notice of Appeal or within thirty (30) days thereafter. (c) Procedure. Appeals under this section shall be conducted pursuant to rules of procedure provided by the Deputy General Counsel. (d) Within sixty (60) days of receiving appellant's brief pursuant to paragraph (b) of this section or such other time period set by the Deputy General Counsel, the Office of the Assistant General Counsel for Technology Transfer and Intellectual Property shall submit to the Deputy General Counsel a response brief and shall timely serve a copy of the response brief to appellant. (e) The Deputy General Counsel shall consider the facts and arguments submitted in appellant's brief submitted under paragraph (b) of this section, as well as those presented by the Assistant General Counsel for Technology Transfer and Intellectual Property. An appeal by a licensee under paragraph (a)(1)(ii) of this section may include a hearing, upon request of the licensee, to address a dispute over any relevant fact. Such request for a hearing must be received by the Deputy General Counsel within thirty (30) days of appellant's receipt of the response brief. (f) The Deputy General Counsel shall issue a written decision, which shall constitute the final action of the Department on the matter. (g) The parties may agree to Alternate Dispute Resolution in lieu of an appeal. (h) Appeals Arising Under National Nuclear Security Administration (NNSA) Management and Operating Contracts. For appeals pursuant to paragraph (a)(2) of this section arising under management and operating contracts administered by NNSA for NNSA facilities, the NNSA Deputy General Counsel for Procurement shall be designated as the appeal authority (Deputy General Counsel) pursuant to paragraphs (b) through (f) of this section." 10:10:5.0.2.5.19.0.14.9,10,Energy,III,,781,PART 781—DOE PATENT LICENSING REGULATIONS,,,,§ 781.66 [Reserved],DOE,,,, 10:10:5.0.2.5.19.0.15.10,10,Energy,III,,781,PART 781—DOE PATENT LICENSING REGULATIONS,,,,§ 781.71 [Reserved],DOE,,,, 10:10:5.0.2.5.19.0.15.11,10,Energy,III,,781,PART 781—DOE PATENT LICENSING REGULATIONS,,,,§ 781.81 [Reserved],DOE,,,, 15:15:3.1.1.2.19.0.1.1,15,Commerce and Foreign Trade,VII,D,781,PART 781—GENERAL INFORMATION AND OVERVIEW OF THE ADDITIONAL PROTOCOL REGULATIONS (APR),,,,§ 781.1 Definitions of terms used in the Additional Protocol Regulations (APR).,BIS,,,,"The following are definitions of terms used in parts 781 through 786 of this subchapter (collectively known as the APR), unless otherwise noted: Access Point of Contact (A-POC). The individual at a location who will be notified by BIS immediately upon receipt of an IAEA request for complementary access to a location. BIS must be able to contact either the A-POC or alternate A-POC on a 24-hour basis. All interactions with the location for permitting and planning an IAEA complementary access will be conducted through the A-POC or the alternate A-POC, if the A-POC is unavailable. Act (The). The United States Additional Protocol Implementation Act of 2006 (Pub. L. 109-401). Additional Protocol. The Protocol Additional to the Agreement between the United States of America and the International Atomic Energy Agency for the Application of Safeguards in the United States of America, with Annexes, signed at Vienna on June 12, 1998 (T. Doc. 107-097), known as the Additional Protocol. Additional Protocol Regulations (APR). Those regulations contained in 15 CFR parts 781 to 786 that were promulgated by the Department of Commerce to implement and enforce the Additional Protocol. Agreement State. Any State of the United States with which the U.S. Nuclear Regulatory Commission (NRC) has entered into an effective agreement under Subsection 274b of the Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq. ). Beneficiation. The concentration of nuclear ores through physical or any other non-chemical methods. Bureau of Industry and Security (BIS). The Bureau of Industry and Security of the United States Department of Commerce, including Export Administration and Export Enforcement. Complementary Access. The exercise of the IAEA's access rights as set forth in Articles 4 to 6 of the Additional Protocol (see part 784 of the APR for requirements concerning the scope and conduct of complementary access). Complementary Access Notification. A written announcement issued by BIS to a person who is subject to the APR (e.g., the owner, operator, occupant, or agent in charge of a location that is subject to the APR as specified in § 781.3(a) of the APR) that informs this person about an impending complementary access in accordance with the requirements of part 784 of the APR. Host Team. The U.S. Government team that accompanies the International Atomic Energy Agency (IAEA) inspectors during complementary access, as provided for in the Additional Protocol and conducted in accordance with the provisions of the APR. Host Team Leader. The representative from the Department of Commerce who leads the Host Team during complementary access. International Atomic Energy Agency (IAEA). The United Nations organization, headquartered in Vienna, Austria, that serves as the official international verification authority for the implementation of safeguards agreements concluded pursuant to the Treaty on the Non-Proliferation of Nuclear Weapons (NPT). ITAR. The International Traffic in Arms Regulations (22 CFR Parts 120-130), which are administered by the Directorate of Defense Trade Controls, U.S. Department of State. Location. Any geographical point or area declared or identified by the United States or specified by the IAEA (see “ location specified by the IAEA ,” as defined in this section). Location-specific environmental sampling. The collection of environmental samples (e.g., air, water, vegetation, soil, smears) at, and in the immediate vicinity of, a location specified by the IAEA for the purpose of assisting the IAEA to draw conclusions about the absence of undeclared nuclear material or nuclear activities at the specified location. Location-specific subsidiary arrangement. An agreement that sets forth procedures, which have been mutually agreed upon by the United States and the IAEA, for conducting complementary access at a specific reportable location. (Also see definition of “subsidiary arrangement” in this section.) Location specified by the IAEA. A location that is selected by the IAEA to: (1) Verify the absence of undeclared nuclear material or nuclear activities; or (2) Obtain information that the IAEA needs to amplify or clarify information contained in the U.S. declaration. Managed access. Procedures implemented by the Host Team during complementary access to prevent the dissemination of proliferation sensitive information, to meet safety or physical protection requirements, to protect proprietary or commercially sensitive information, or to protect activities of direct national security significance to the United States, including information associated with such activities, in accordance with the Additional Protocol. National Security Exclusion (NSE). The right of the United States, as specified under Article 1.b of the Additional Protocol, to exclude the application of the Additional Protocol when the United States Government determines that its application would result in access by the IAEA to activities of direct national security significance to the United States or to locations or information associated with such activities. NRC. The U.S. Nuclear Regulatory Commission. Nuclear fuel cycle-related research and development. Those activities that are specifically related to any process or system development aspect of any of the following: (1) Conversion of nuclear material; (2) Enrichment of nuclear material; (3) Nuclear fuel fabrication; (4) Reactors; (5) Critical facilities; (6) Reprocessing of nuclear fuel; or (7) Processing (not including repackaging or conditioning not involving the separation of elements, for storage or disposal) of intermediate or high-level waste containing plutonium, high enriched uranium or uranium-233. Nuclear Material. Any source material or special fissionable material, as follows. (1) Source material means uranium containing the mixture of isotopes occurring in nature; uranium depleted in the isotope 235; thorium; any of the foregoing in the form of metal, alloy, chemical, or concentrate. The term source material shall not be interpreted as applying to ore or ore residue. (2) Special fissionable material means plutonium 239; uranium 233; uranium enriched in the isotopes 235 or 233; any material containing one or more of the foregoing, but the term special fissionable material does not include source material. Person. Any individual, corporation, partnership, firm, association, trust, estate, public or private institution, any State or any political subdivision thereof, or any political entity within a State, any foreign government or nation or any agency, instrumentality or political subdivision of any such government or nation, or other entity located in the United States. Report Point of Contact (R-POC). A person whom BIS may contact for the purposes of clarification of information provided in report(s) and for general information. The R-POC need not be the person who prepares the forms or certifies the report(s) for submission to BIS, but should be familiar with the content of the reports. Reportable Location. A location that must submit an Initial Report, Annual Update Report, or No Changes Report to BIS, in accordance with the provisions of the APR, is considered to be a “reportable location” with reportable activities (see § 783.1(a) and (b) of the APR for nuclear fuel cycle-related activities subject to these reporting requirements). Reporting Code. A unique identification used for identifying a location where one or more nuclear fuel cycle-related activities subject to the reporting requirements of the APR are located. Subsidiary Arrangement (or General Subsidiary Arrangement). An agreement that sets forth procedures, which have been mutually agreed upon by the United States and the IAEA, for implementing the Additional Protocol, irrespective of the location. (Also see the definition of “location-specific subsidiary arrangement” in this section.) United States. Means the several States of the United States, the District of Columbia, and the commonwealths, territories, and possessions of the United States, and includes all places under the jurisdiction or control of the United States, including any of the places within the provisions of paragraph (41) of section 40102 of Title 49 of the United States Code, any civil aircraft of the United States or public aircraft, as such terms are defined in paragraphs (1) and (37), respectively, of section 40102 of Title 49 of the United States Code, and any vessel of the United States, as such term is defined in section 3(b) of the Maritime Drug Enforcement Act, as amended (section 1903(b) of Title 46 App. of the United States Code). Uranium Hard-Rock Mine. Means any of the following: (1) An area of land from which uranium is extracted in non-liquid form; (2) Private ways and roads appurtenant to such an area; and (3) Lands, excavations, underground passageways, shafts, slopes, tunnels and workings, structures, facilities, equipment, machines, tools, or other property including impoundments, retention dams, and tailings ponds, on the surface or underground, used in, or to be used in, or resulting from, the work of extracting such uranium ore from its natural deposits in non-liquid form, or if in liquid form, with workers underground, or used in, or to be used in, the concentration of such uranium ore, or the work of the uranium ore. Uranium Hard-Rock Mine (Closed-down). A uranium hard-rock mine where ore production has ceased and the mine or its infrastructure is not capable of further operation. Uranium Hard-Rock Mine (Operating). A uranium hard-rock mine where ore is produced on a routine basis. Uranium Hard-Rock Mine (Suspended). A uranium hard-rock mine where ore production has ceased, but the mine and its infrastructure are capable of further operation. U.S. declaration. The information submitted by the United States to the IAEA in fulfillment of U.S. obligations under the Additional Protocol. United States Government locations. Those locations owned and operated by a U.S. Government agency (including those operated by contractors to the agency), and those locations leased to and operated by a U.S. Government agency (including those operated by contractors to the agency). United States Government locations do not include locations owned by a U.S. Government agency and leased to a private organization or other entity such that the private organization or entity may independently decide the purposes for which the locations will be used. Wide-area environmental sampling. The collection of environmental samples (e.g., air, water, vegetation, soil, smears) at a set of locations specified by the IAEA for the purpose of assisting the IAEA to draw conclusions about the absence of undeclared nuclear material or nuclear activities over a wide area. You. The term “you” or “your” means any person. With regard to the reporting requirements of the APR, “you” refers to persons that have an obligation to report certain activities under the provisions of the APR. (Also see the definition of “person” in this section.)" 15:15:3.1.1.2.19.0.1.2,15,Commerce and Foreign Trade,VII,D,781,PART 781—GENERAL INFORMATION AND OVERVIEW OF THE ADDITIONAL PROTOCOL REGULATIONS (APR),,,,§ 781.2 Purposes of the Additional Protocol and APR.,BIS,,,,"(a) General. The Additional Protocol is a supplement to the existing U.S.-IAEA Safeguards Agreement, which entered into force in 1980. It provides the IAEA with access to additional information about civil nuclear and nuclear-related items, materials, and activities and with physical access to reportable locations where nuclear facilities, materials, or ores are located (to ensure the absence of undeclared nuclear material and activities) and to other reportable locations and locations specified by the IAEA (to resolve questions or inconsistencies related to the U.S. Declaration). The Additional Protocol is based upon and is virtually identical to the IAEA Model Additional Protocol (see IAEA Information Circular, INFCIRC/540, at http://www.iaea.org/Publications/Documents/Infcircs/index.html ), except that it excludes IAEA access to activities with direct national security significance to the United States, or to locations or information associated with such activities, and provides for managed access in connection with those same activities and to locations or information associated with those activities. (b) Purposes of the Additional Protocol. The Additional Protocol is designed to enhance the effectiveness of the U.S.-IAEA Safeguards Agreement by providing the IAEA with information about aspects of the U.S. civil nuclear fuel cycle, including: Mining and concentration of nuclear ores; nuclear-related equipment manufacturing, assembly, or construction; imports, exports, and other activities involving certain source material (i.e., source material that has not reached the composition and purity suitable for fuel fabrication or for being isotopically enriched); imports and exports of specified nuclear equipment and non-nuclear material; nuclear fuel cycle-related research and development activities not involving nuclear material; and other activities involving nuclear material not currently subject to the U.S.-IAEA Safeguards Agreement (e.g., nuclear material that has been exempted from safeguards pursuant to paragraph 37 of INFCIRC/153 (Corrected) June 1972). (c) Purposes of the Additional Protocol Regulations. To fulfill certain obligations of the United States under the Additional Protocol, BIS has established the APR, which require the reporting of information to BIS (as described in parts 783 and 784 of the APR) from all persons and locations in the United States (as described in § 781.3(a) of the APR) with reportable activities. This information, together with information reported to other U.S. Government agencies and less any information to which the U.S. Government applies the national security exclusion, is aggregated into a U.S. declaration, which is submitted annually to the IAEA. The APR also provide for complementary access at such locations in accordance with the provisions in part 784 of the APR." 15:15:3.1.1.2.19.0.1.3,15,Commerce and Foreign Trade,VII,D,781,PART 781—GENERAL INFORMATION AND OVERVIEW OF THE ADDITIONAL PROTOCOL REGULATIONS (APR),,,,§ 781.3 Scope of the APR.,BIS,,,,"The Additional Protocol Regulations or APR implement certain obligations of the United States under the Protocol Additional to the Agreement Between the United States of America and the International Atomic Energy Agency Concerning the Application of Safeguards in the United States of America, known as the Additional Protocol. (a) Persons and locations subject to the APR. The APR, promulgated by the Department of Commerce, shall apply to all persons and locations in the United States, except : (1) Locations that are subject to the regulatory authority of the Nuclear Regulatory Commission (NRC), pursuant to the NRC's regulatory jurisdiction under the Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq. ); and (2) The following United States Government locations (see definition in § 781.1 of the APR): (i) Department of Energy locations; (ii) Department of Defense locations; (iii) Central Intelligence Agency locations; and (iv) Department of State locations. (b) Activities subject to the APR. The activities that are subject to the recordkeeping and reporting requirements described in the APR are found in parts 783 and 784 of this subchapter (APR)." 15:15:3.1.1.2.19.0.1.4,15,Commerce and Foreign Trade,VII,D,781,PART 781—GENERAL INFORMATION AND OVERVIEW OF THE ADDITIONAL PROTOCOL REGULATIONS (APR),,,,§ 781.4 U.S. Government requests for information needed to satisfy the requirements of the APR or the Act.,BIS,,,,"From time-to-time, one or more U.S. Government agencies (i.e., the Department of Defense, the Department of Energy, the NRC, or BIS) may contact a location to request information that the U.S. Government has determined to be necessary to satisfy certain requirements of the APR or the Act (e.g., clarification requests or vulnerability assessments). If the manner of providing such information is not specified in the APR, the agency in question will provide the location with appropriate instructions." 15:15:3.1.1.2.19.0.1.5,15,Commerce and Foreign Trade,VII,D,781,PART 781—GENERAL INFORMATION AND OVERVIEW OF THE ADDITIONAL PROTOCOL REGULATIONS (APR),,,,§ 781.5 Authority.,BIS,,,,"The APR implement certain provisions of the Additional Protocol under the authority of the Additional Protocol Implementation Act of 2006 (Pub. L. 109-401, 120 Stat. 2726 (December 18, 2006)). In Executive Order 13458 of February 4, 2008, the President delegated authority to the Department of Commerce to promulgate regulations to implement the Act, and consistent with the Act, to carry out appropriate functions not otherwise assigned in the Act, but necessary to implement certain declaration and complementary access requirements of the Additional Protocol and the Act." 7:7:7.1.1.4.27.0.9.1,7,Agriculture,VII,D,781,PART 781—DISCLOSURE OF FOREIGN INVESTMENT IN AGRICULTURAL LAND,,,,§ 781.1 General.,FSA,,,,"The purpose of these regulations is to set forth the requirements designed to implement the Agricultural Foreign Investment Disclosure Act of 1978. The regulations require that a foreign person who acquires, disposes of, or holds an interest in United States agricultural land shall disclose such transactions and holdings to the Secretary of Agriculture. In particular, the regulations establish a system for the collection of information by the Agricultural Stablization and Conservation Service (FSA) pertaining to foreign investment in United States agricultural land. The information collected will be utilized in the preparation of periodic reports to Congress and the President by the Economic Research Service (ERS) concerning the effect of such holdings upon family farms and rural communities." 7:7:7.1.1.4.27.0.9.2,7,Agriculture,VII,D,781,PART 781—DISCLOSURE OF FOREIGN INVESTMENT IN AGRICULTURAL LAND,,,,§ 781.2 Definitions.,FSA,,,"[49 FR 35074, Sept. 6, 1984, as amended at 58 FR 48274, Sept. 15, 1993]","In determining the meaning of the provisions of this part, unless the context indicates otherwise, words importing the singular include and apply to several persons or things, words importing the plural include the singular, and words used in the present tense include the future as well as the present. The following terms shall have the following meanings: (a) AFIDA. AFIDA means the Agricultural Foreign Investment Disclosure Act of 1978. (b) Agricultural land. Agricultural land means land in the United States used for forestry production and land in the United States currently used for, or, if currently idle, land last used within the past five years, for farming, ranching, or timber production, except land not exceeding ten acres in the aggregate, if the annual gross receipts from the sale of the farm, ranch, or timber products produced thereon do not exceed $1,000. Farming, ranching, or timber production includes, but is not limited to, activities set forth in the Standard Industrial Classification Manual (1987), Division A, exclusive of industry numbers 0711-0783, 0851, and 0912-0919 which cover animal trapping, game management, hunting carried on as a business enterprise, trapping carried on as a business enterprise, and wildlife management. Land used for forestry production means, land exceeding 10 acres in which 10 percent is stocked by trees of any size, including land that formerly had such tree cover and that will be naturally or artificially regenerated. (c) Any interest. Any interest means all interest acquired, transferred or held in agricultural lands by a foreign person, except: (1) Security interests; (2) Leaseholds of less than 10 years; (3) Contingent future interests; (4) Noncontingent future interests which do not become possessory upon the termination of the present possessory estate; (5) Surface or subsurface easements and rights of way used for a purpose unrelated to agricultural production; and (6) An interest solely in mineral rights. (d) County. County means a political subdivision of a State identified as a County or parish. In Alaska, the term means an area so designated by the State Agricultural Stabilization and Conservation committee. (e) Foreign government. Foreign government means any government other than the United States government, the government of a State, or a political subdivision of a State. (f) Foreign individual. Foreign individual means foreign person as defined in paragraph (g)(1) of this section. (g) Foreign person. Foreign person means: (1) Any individual: (i) Who is not a citizen or national of the United States; or (ii) Who is not a citizen of the Northern Mariana Islands or the Trust Territory of the Pacific Islands; or (iii) Who is not lawfully admitted to the United States for permanent residence or paroled into the United States under the Immigration and Nationality Act; (2) Any person, other than an individual or a government, which is created or organized under the laws of a foreign government or which has its principal place of business located outside of all the States; (3) Any foreign government; (4) Any person, other than an individual or a government: (i) Which is created or organized under the laws of any State; and (ii) In which a significant interest or substantial control is directly or indirectly held: (A) By any individual referred to in paragraph (g)(1) of this section; or (B) By any person referred to in paragraph (g)(2) of this section; or (C) By any foreign government referred to in paragraph (g)(3) of this section; or (D) By any numerical combination of such individuals, persons, or governments, which combination need not have a common objective. (h) Person. Person means any individual, corporation, company, association, partnership, society, joint stock company, trust, estate, or any other legal entity. (i) Secretary. Secretary means the Secretary of Agriculture. (j) Security interest. Security interest means a mortgage or other debt securing instrument. (k) Significant interest of substantial control. Significant interest or substantial control means: (1) An interest of 10 percent or more held by a person referred to in paragraph (g)(4) of this section, by a single individual referred to in paragraph (g)(1) of this section, by a single person referred to in paragraph (g)(2) of this section, by a single government referred to in paragraph (g)(3) of this section; or (2) An interest of 10 percent or more held by persons referred to in paragraph (g)(4) of this section, by individuals referred to in paragraph (g)(1) of this section, by persons referred to in paragraph (g)(2) of this section, or by governments referred to in paragraph (g)(3) of this section, whenever such persons, individuals, or governments are acting in concert with respect to such interest even though no single individual, person, or government holds an interest of 10 percent or more; or (3) An interest of 50 percent or more, in the aggregate, held by persons referred to in paragraph (g)(4) of this section, by individuals referred to in paragraph (g)(1) of this section, by persons referred to in paragraph (g)(2) of this section, or by governments referred to in paragraph (g)(3) of this section, even though such individuals, persons, or governments may not be acting in concert. (l) State. State means any of the several States, the District of Columbia, the Commonwealth of Puerto Rico, the Northern Mariana Islands, Guam, the Virgin Islands, American Samoa, the Trust Territory of the Pacific Islands or any other territory or possession of the United States." 7:7:7.1.1.4.27.0.9.3,7,Agriculture,VII,D,781,PART 781—DISCLOSURE OF FOREIGN INVESTMENT IN AGRICULTURAL LAND,,,,§ 781.3 Reporting requirements.,FSA,,,"[49 FR 35074, Sept. 6, 1984, as amended at 51 FR 25993, July 18, 1986]","(a) All reports required to be filed pursuant to this part shall be filed with the FSA County office in the county where the land with respect to which such report must be filed is located or where the FSA County office administering programs carried out on such land is located; Provided, that the FSA office in Washington, DC, may grant permission to foreign persons to file reports directly with its Washington office when complex filings are involved, such as where the land being reported is located in more than one county. (b) Any foreign person who held, holds, acquires, or transfers any interest in United States agricultural land is subject to the requirement of filing a report on form FSA-153 by the following dates: (1) August 1, 1979, if the interest in the agricultural land was held on the day before February 2, 1979, or (2) Ninety days after the date of acquisition or transfer of the interest in the agricultural land, if the interest was acquired or transferred on or after February 2, 1979. (c) Any person who holds or acquires any interest in United States agricultural land at a time when such person is not a foreign person and who subsequently becomes a foreign person must submit, not later than 90 days after the date on which such person becomes a foreign person, a report containing the information required to be submitted under paragraph (e) of this section. (d) Any foreign person who holds or acquires any interest in United States land at a time when such land is not agricultural land and such land subsequently becomes agricultural land must submit, not later than 90 days after the date on which such land becomes agricultural, a report containing the information required to be submitted under paragraph (e) of this section. (e) Any foreign person required to submit a report under this regulation, except under paragraph (g) of this section, shall file an FSA-153 report containing the following information: (1) The legal name and the address of such foreign person; (2) In any case in which such foreign person is an individual, the citizenship of such foreign person; (3) In any case in which such foreign person is not an individual or a government, the nature and name of the person holding the interest, the country in which such foreign person is created or organized, and the principal place of business of such foreign person; (4) The type of interest held by a foreign person who acquired or transferred an interest in agricultural land; (5) The legal description and acreage of such agricultural land; (6) The purchase price paid for, or any other consideration given for, such interest; the amount of the purchase price or the value of the consideration yet to be given; the current estimated value of the land reported; (7) In any case in which such foreign person transfers such interest, the legal name and the address of the person to whom such interest is transferred; and (i) In any case in which such transferee is an individual, the citizenship of such transferee; and (ii) In any case in which such transferee is not an individual, or a government, the nature of the person holding the interest, the country in which such transferee is created or organized, and the principal place of business; (8) The agricultural purposes for which such foreign person intends, on the date on which such report is submitted, to use such agricultural land; (9) When applicable, the name, address and relationship of the representative of the foreign person who is completing the FSA-153 form for the foreign person; (10) How the tract of land was acquired or transferred, the relationship of the foreign person to the previous owner, producer, manager, tenant or sharecropper, and the rental agreement; and (11) The date the interest in the land was acquired or transferred. (f)(1) Any foreign person, other than an individual or government, required to submit a report under paragraphs (b), (c), and (d) of this section, must submit, in addition to the report required under paragraph (e) of this section, a report containing the following information: (i) The legal name and the address of each foreign individual or government holding significant interest or substantial control in such foreign person; (ii) In any case in which the holder of such interest is an individual, the citizenship of such holder; and (iii) In any case in which the holder of significant interest or substantial control in such foreign person is not an individual or a government, the nature and name of the foreign person holding such interest, the country in which such holder is created or organized, and the principal place of business of such holder. (2) In addition, any such foreign person required to submit a report under paragraph (f)(1) of this section may also be required, upon request, to submit a report containing: (i) The legal name and the address of each individual or government whose legal name and address did not appear on the report required to be submitted under paragraph (f)(1) of this section, if such individual or government holds any interest in such foreign person: (ii) In any case in which the holder of such interest is an individual, the citizenship of such holder; and (iii) In any case in which the holder of such interest is not an individual or a government, the nature and name of the person holding the interest, the country in which such holder is created or organized, and the principal place of business of such holder. (g) Any foreign person, other than an individual or a government, whose legal name is contained on any report submitted in satisfaction of paragraph (f) of this section may also be required, upon request, to: (1) Submit a report containing: (i) The legal name and the address of each foreign individual or government holding significant interest or substantial control in such foreign person; (ii) In any case in which the holder of such interest is an individual, the citizenship of such holder; and (iii) In any case in which the holder of such interest in such foreign person is not an individual or a government, the nature and name of the foreign person holding such interest, the country in which each holder is created or organized, and the principal place of business of such holder. (2) Submit a report containing: (i) The legal name and address of each individual or government whose legal name and address did not appear on the report required to be submitted under paragraph (g)(1) of this section if such individual or government holds any interest in such foreign person and, except in the case of a request which involves a foreign person, a report was required to be submitted pursuant to paragraph (f)(2) of this section, disclosing information relating to nonforeign interest holders; (ii) In any case in which the holder of such interest is an individual, the citizenship of such holder; and (iii) In any case in which the holder of such interest is not an individual or government and, except in a situation where the information is requested from a foreign person, a report was required to be submitted pursuant to paragraph (f)(2) of this section disclosing information relating to nonforeign interest holders, the nature and name of the person holding the interest, the country in which such holder is created or organized, and the principal place of business of such holder. (h)(1) Any person which has issued fewer than 100,000 shares of common and preferred stock and instruments convertible into equivalents thereof shall be considered to have satisfactorily determined that it has no obligation to file a report pursuant to § 781.3 if, in addition to information within its knowledge, a quarterly examination of its business records fails to reveal that persons with foreign mailing addresses hold significant interest or substantial control in such person. (2) Any person which has issued 100,000 or more shares of common and preferred stock and instruments convertible into equivalents thereof shall be considerd to have satisfactorily determined that it has no obligation to file a report pursuant to § 781.3 if, in addition to information within its knowledge, a quarterly examination of its business records fails to reveal that the percentage of shares held in such person both by persons with foreign mailing addresses and investment institutions which manage shares does not equal or exceed significant interest or substantial control in such person. (3) If the person in paragraph (h)(2) of this section determines that the percentage of shares, which is held in it both by persons with foreign mailing addresses and investment institutions which manage shares, equals or exceeds significant interest or substantial control in such persons, then such person shall be considered to have satisfactorily attempted to determine whether it has an obligation to file a report pursuant to § 781.3 if it sends questionnaires to each such investment institution holding an interest in it inquiring as to whether the persons for which they are investing are foreign persons and the percentage of shares reflected by the affirmative responses from each such investment institution plus the percentage of shares held by persons listed on the business records with foreign mailing addresses does not reveal that foreign persons hold significant interest or substantial control in such person. (i) Any foreign person, who submitted a report under paragraph (b), (c), or (d) of this section at a time when such land was agricultural, and such agricultural land later ceases to be agricultural, must submit, not later than 90 days after the date on which such land ceases being agricultural, a revised report from FSA-153 or a written notification of the change of status of the land to the FSA office where the report form was originally filed. The report form and notification must contain the following information: (1) The legal name and the address of such foreign person; (2) The legal description, which includes the State and county where the land is located, and the acreage of such land; (3) The date the land ceases to be agricultural; (4) The use of the land while agricultural. (j) If any foreign person who submitted a report under paragraph (b), (c), or (d) of this section ceases to be a foreign person, such person must submit, not later than 90 days after the date such person ceases being a foreign person, a written notification of the change of status of the person to the FSA office where the report form FSA-153 was originally filed. The notification must contain the following information: (1) The legal name of such person; (2) The legal description and acreage of such land; (3) The date such person ceases to be foreign. (k) Any foreign person who submitted a report under paragraph (b), (c), or (d) of this section must submit, not later than 90 days after the change of information contained on the report, a written notification of the change to the FSA office where the report form FSA-153 was originally filed. The following information must be kept current on the report: (1) The legal address of such foreign person; (2) The legal name and the address required to be submitted under (f)(1) of this section; (3) The legal name and the address required to be submitted under (g)(1) of this section." 7:7:7.1.1.4.27.0.9.4,7,Agriculture,VII,D,781,PART 781—DISCLOSURE OF FOREIGN INVESTMENT IN AGRICULTURAL LAND,,,,§ 781.4 Assessment of penalties.,FSA,,,,"(a) Violation of the reporting obligations will consist of: (1) Failure to submit any report in accordance with § 781.3; (2) Failure to maintain any submitted report with accurate information; or (3) Submission of a report which the foreign person knows: (i) Does not contain, initially or within thirty days from the date of a letter returning for completion such incomplete report, all the information required to be in such report; or (ii) Contains misleading or false information. (b) Any foreign person who violates the reporting obligation as described in paragraph (a) of this section shall be subject to the following penalties: (1) Late-filed reports: One-tenth of one percent of the fair market value, as determined by the Farm Service Agency, of the foreign person's interest in the agricultural land, with respect to which such violation occurred, for each week or portion thereof that such violation continues, but the total penalty imposed shall not exceed 25 percent of the fair market value of the foreign person's interest in such land. (2) Submission of an incomplete report or a report containing misleading or false information, failure to submit a report or failure to maintain a submitted report with accurate information: 25 percent of the fair market value, as determined by the Farm Service Agency, of the foreign person's interest in the agricultural land with respect to which such violation occurred. (3) Penalties prescribed above are subject to downward adjustments based on factors including: (i) Total time the violation existed. (ii) Method of discovery of the violation. (iii) Extenuating circumstances concerning the violation. (iv) Nature of the information misstated or not reported. (c) The fair market value for the land, with respect to which such violation occurred, shall be such value on the date the penalty is assessed, or if the land is no longer agricultural, on the date it was last used as agricultural land. The price or current estimated value reported by the foreign person, as verified and/or adjusted by the County Agricultural Stabilization and Conservation Committee for the County where the land is located, will be considered to be the fair market value." 7:7:7.1.1.4.27.0.9.5,7,Agriculture,VII,D,781,PART 781—DISCLOSURE OF FOREIGN INVESTMENT IN AGRICULTURAL LAND,,,,§ 781.5 Penalty review procedure.,FSA,,,"[49 FR 35074, Sept. 6, 1984, as amended at 60 FR 67318, Dec. 29, 1995]","(a) Whenever it appears that a foreign person has violated the reporting obligation as described in paragraph (a) of § 781.4, a written notice of apparent liability will be sent to the foreign person's last known address by the Farm Service Agency. This notice will set forth the facts which indicate apparent liability, identify the type of violation listed in paragraph (a) of § 781.4 which is involved, state the amount of the penalty to be imposed, include a statement of fair market value of the foreign person's interest in the subject land, and summarize the courses of action available to the foreign person. (b) The foreign person involved shall respond to a notice of apparent liability within 60 days after the notice is mailed. If a foreign person fails to respond to the notice of apparent liability, the proposed penalty shall become final. Any of the following actions by the foreign person shall constitute a response meeting the requirements of this paragraph. (1) Payment of the proposed penalty in the amount specified in the notice of apparent liability and filing of a report, if required, in compliance with § 781.3. The amount shall be paid by check or money order drawn to the Treasurer of the United States and shall be mailed to the U.S. Department of Agriculture, P.O. Box 2415, Washington, DC 20013. The Department is not responsible for the loss of currency sent through the mails. (2) Submission of a written statement denying liability for the penalty in whole or in part. Allegations made in any such statement must be supported by detailed factual data. The statement should be mailed to the Administrator, Farm Service Agency, U.S. Department of Agriculture, P.O. Box 2415, Washington, DC 20013. (3) A request for a hearing on the proposed penalty may be filed in accordance with part 780 of this title. (c) After a final decision is issued pursuant to an appeal under part 780 of this title, the Administrator or Administrator's designee shall mail the foreign person a notice of the determination on appeal, stating whether a report must be filed or amended in compliance with § 781.3, the amount of the penalty (if any), and the date by which it must be paid. The foreign person shall file or amend the report as required by the Administrator. The penalty in the amount stated shall be paid by check or money order drawn to the Treasurer of the United States and shall be mailed to the United States Department of Agriculture, P.O. Box 2415, Washington, DC 20013. The Department is not responsible for the loss of currency sent through the mails. (d) If the foreign person contests the notice of apparent liability by submitting a written statement or a request for a hearing thereon, the foreign person may elect either to pay the penalty or decline to pay the penalty pending resolution of the matter by the Administrator. If the Administrator determines that the foreign person is not liable for the penalty or is liable for less than the amount paid, the payment will be wholly or proportionally refunded. If the Administrator ultimately determines that the foreign person is liable, the penalty finally imposed shall not exceed the amount imposed in the notice of apparent liability. (e) If a foreign person fails to respond to the notice of apparent liability as required by paragraph (b) of this section, or fails to pay the penalty imposed by the Administrator under paragraph (d) of this section, the case will, without further notice, be referred by the Department to the Department of Justice for prosecution in the appropriate District Court to recover the amount of the penalty. (f) Any amounts approved by the U.S. Department of Agriculture for disbursement to a foreign person under the programs administered by the Department may be setoff against penalties assessed hereunder against such person, in accordance with the provisions of 7 CFR part 13." 7:7:7.1.1.4.27.0.9.6,7,Agriculture,VII,D,781,PART 781—DISCLOSURE OF FOREIGN INVESTMENT IN AGRICULTURAL LAND,,,,§ 781.6 Paperwork Reduction Act assigned number.,FSA,,,,The information collection requirements contained in these regulations (7 CFR part 781) have been approved by the Office of Management and Budget (OMB) under the provisions of 44 U.S.C. Chapter 35 and have been assigned OMB control number 0560-0097.