HUD 24 CFR PART 28-2011 IMPLEMENTATION OF THE PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986《1986年联邦民事欺诈补偿法案的实施》.pdf

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1、280 24 CFR Subtitle A (4111 Edition) 27.113 27.113 Foreclosure costs. A commission may be allowed to the foreclosure commissioner notwith-standing termination of the sale or ap-pointment of a substitute commis-sioner before the sale takes place. 27.115 Disposition of sales proceeds. The foreclosure

2、commissioner will keep such records as will permit the Secretary to verify the costs claimed, and otherwise to enable the Secretary to audit the foreclosure commis-sioners disposition of the sale pro-ceeds. 27.117 Transfer of title and posses-sion. (a) If the Secretary is the successful bidder, the

3、foreclosure commissioner shall issue a deed to the Secretary upon receipt of the amount needed to pay the costs of tax liens and prior liens, as set forth in 12 U.S.C. 3762(a)(2) and (a)(3). If the Secretary is not the successful bidder, the foreclosure com-missioner shall issue a deed to the pur-ch

4、aser or purchasers upon receipt of the entire purchase price in accordance with the terms of the sale as provided in the Notice of Default and Fore-closure Sale. (b) The register of deeds or other ap-propriate official in the county where the property is located shall, upon ten-dering of the customa

5、ry recording fees, accept all instruments pertaining to the foreclosure which are submitted by the foreclosure commissioner for rec-ordation. The instruments to be ac-cepted shall include, but not be limited to, the foreclosure commissioners deed. If the foreclosure commissioner elects to include th

6、e recitations re-quired under the Statute (12 U.S.C. 3764) in an affidavit or an addendum to the deed, the affidavit or addendum shall be accepted along with the deed for recordation. The Clerk of the Court or other appropriate official shall can-cel all liens as requested by the fore-closure commis

7、sioner. 27.119 Redemption rights. Only for purposes of redemption rights under the Statute, a foreclosure shall be considered completed upon the date and at the time of the foreclosure sale. 27.121 Record of foreclosure and sale. The statements regarding the fore-closed mortgage required to establis

8、h a sufficient record shall include the date the mortgage was recorded. The state-ments regarding the service of the No-tice of Default and Foreclosure Sale shall include the names and addresses of the persons to whom the Notice was mailed and the date on which the No-tice was mailed, the name of th

9、e news-paper in which the Notice was pub-lished and the dates of publication, and the date on which service by posting, if required, was accomplished. 27.123 Deficiency judgment. If the price at which the security property is sold at the foreclosure sale is less than the unpaid balance of the debt s

10、ecured by such property after dis-position of sale proceeds in accordance with the order of priority provided under the Statute, the Secretary may refer the matter to the Attorney Gen-eral who may commence an action or actions against any and all debtors to recover the deficiency, unless such an act

11、ion is specifically prohibited by the mortgage. PART 28IMPLEMENTATION OF THE PROGRAM FRAUD CIVIL REM-EDIES ACT OF 1986 Sec. 28.1 Purpose. 28.5 Definitions. 28.10 Basis for civil penalties and assess-ments. 28.15 Investigation. 28.20 Request for approval by the Depart-ment of Justice. 28.25 Complaint

12、. 28.30 Response. 28.35 Statute of limitations. 28.40 Hearings. 28.45 Settlements. AUTHORITY: 28 U.S.C. 2461 note; 31 U.S.C. 38013812; 42 U.S.C. 3535(d). SOURCE: 61 FR 50213, Sept. 24, 1996, unless otherwise noted. 28.1 Purpose. This part: (a) Establishes administrative proce-dures for imposing civi

13、l penalties and assessments against persons who make, VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00290 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-281 Off

14、ice of the Secretary, HUD 28.10 submit, or present, or cause to be made, submitted, or presented, false, fictitious, or fraudulent claims or writ-ten statements to Federal authorities or to their agents; and (b) Specifies the hearing and appeal rights of persons subject to allegations of liability f

15、or such penalties and as-sessments. Hearings under this part shall be conducted in accordance with the Administrative Procedure Act pur-suant to part 26, subpart B, of this chapter. 61 FR 50213, Sept. 24, 1996, as amended at 73 FR 76831, Dec. 17, 2008 28.5 Definitions. (a) The terms ALJ and HUD are

16、de-fined in 24 CFR part 5. (b) The terms Claim, Knows or has reason to know, Person, Reviewing Offi-cial, and Statement have the same meanings as defined in 31 U.S.C. 3801. (c) Ability to payis determined based on an assessment of the respondents resources available both presently and prospectively

17、from which the Depart-ment could ultimately recover the total award, which may be predicted based on historical evidence. (d) Benefit means anything of value, including, but not limited to, any ad-vantage, preference, privilege, license, permit, favorable decision, ruling, sta-tus, or loan insurance

18、 or guarantee. (e) Respondent means any person al-leged to be liable for a civil penalty or assessment under 28.25. (f) The reasonable prospect of collecting an appropriate amount of penalties and assessments is determined based on a generalized assessment made by a Re-viewing Official based on the

19、limited information available in the Report of Investigation for purposes of deter-mining whether the allocation of HUDs resources to any particular ac-tion is appropriate. This assessment is not the same as the assessment made when determining ability to pay, nor is the reasonable prospect of colle

20、cting a factor to be considered in determining the amount of any penalty or assess-ment in any particular case. (g) Report of Investigationmeans a re-port containing the findings and con-clusions of a Program Fraud Civil Remedies Act investigation by the In-spector General or his or her designee, as

21、 described in 28.15. 73 FR 76831, Dec. 17, 2008 28.10 Basis for civil penalties and as-sessments. (a) Claims. (1) A civil penalty of up to $7,500 may be imposed upon any person who makes, presents, or submits, or causes to be made, presented, or sub-mitted, a claim that the person knows or has reaso

22、n to know: (i) Is false, fictitious, or fraudulent; (ii) Includes or is supported by a written statement which asserts a ma-terial fact which is false, fictitious, or fraudulent; (iii) Includes or is supported by any written statement that: (A) Omits a material fact; (B) Is false, fictitious, or fra

23、udulent as a result of the omission; and (C) Is a statement in which the per-son making, presenting, or submitting such statement has a duty to include such material fact; or (iv) Is for payment for the provision of property or services which the per-son has not provided as claimed. (2) Each voucher

24、, invoice, claim form, or other individual request or de-mand for property, services, or money constitutes a separate claim. (3) A claim shall be considered made to HUD, to a recipient, or to a party when the claim actually is made to an agent, fiscal intermediary, or other en-tity, including any St

25、ate or political subdivision of a State, acting for or on behalf of HUD, the recipient, or the party. (4) Each claim for property, services, or money is subject to a civil penalty without regard to whether the prop-erty, services, or money actually is de-livered or paid. (5) Liability under this par

26、t shall not lie if the amount of money or value of property or services claimed exceeds $150,000 as to each claim that a person submits. For purposes of paragraph (a) of this section, a group of claims sub-mitted simultaneously as part of a sin-gle transaction shall be considered a single claim. (6)

27、 If the Government has made any payment, transferred property, or pro-vided services on a claim, then the Government may assess a person found VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00291 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSN

28、ot for ResaleNo reproduction or networking permitted without license from IHS-,-,-282 24 CFR Subtitle A (4111 Edition) 28.15 liable up to twice the amount of the claim or portion of the claim that is determined to be in violation of para-graph (a)(1) of this section. (b) Statements. (1) A civil pena

29、lty of up to $7,500 may be imposed upon any person who makes, presents, or sub-mits, or causes to be made, presented, or submitted, a written statement that: (i) The person knows or has reason to know: (A) Asserts a material fact which is false, fictitious, or fraudulent; or (B)(1) Omits a material

30、fact; and (2) Is false, fictitious, or fraudulent as a result of such omission; (ii) In the case of a statement de-scribed in (b)(1)(A)(ii) of this section, is a statement in which the person mak-ing, presenting, or submitting such statement has a duty to include such material fact; and (iii) Contai

31、ns or is accompanied by an express certification or affirmation of the truthfulness and accuracy of the contents of the statement. (2) Each written representation, cer-tification, or affirmation constitutes a separate statement. (3) A statement shall be considered made to HUD when the statement is a

32、ctually made to an agent, fiscal inter-mediary, or other entity, including any State or political subdivision of a State, acting for or on behalf of HUD. (c) Limit on liability. If the claim or statement relates to low-income hous-ing benefits or housing benefits for the elderly or handicapped, then

33、 a person may be held liable only if he or she has made the claim or statement in the course of applying for such benefits, with respect to his or her eligibility, or familys eligibility, to receive such benefits. For purposes of paragraph (c) of this section, housing benefits means any instance whe

34、rein funds ad-ministered by the Secretary directly or indirectly permit low-income families or elderly or handicapped persons to re-side in housing that otherwise would not be available to them. (d) Specific intent. No proof of specific intent to defraud is required to estab-lish liability under thi

35、s section. (e) Joint and several liability. A civil penalty or assessment may be imposed jointly and severally if more than one person is determined to be liable. 61 FR 50213, Sept. 24, 1996, as amended at 68 FR 12787, Mar. 17, 2003; 72 FR 5588, Feb. 6, 2007; 73 FR 76831, Dec. 17, 2008 28.15 Investi

36、gation. (a) General. HUD may initiate a Pro-gram Fraud Civil Remedies Act (31 U.S.C. 3801) case against a respondent only upon an investigation by the In-spector General or his or her designee. (b) Subpoena. Pursuant to 31 U.S.C. 3804(a), the Inspector General or des-ignee may require by subpoena th

37、e pro-duction of records and other docu-ments. The subpoena shall state the authority under which it is issued, identify the records sought, and name the person designated to receive the records. The recipient of the subpoena shall provide a certification that the documents sought have been produced

38、, that the documents are not available and the reasons they are not available, or that the documents, suitably identi-fied, have been withheld based upon the assertion of an identified privilege. (c) Investigation report. If the Inspec-tor General or designee concludes that an action under the Progr

39、am Fraud Civil Remedies Act may be warranted, her or she shall submit a report con-taining the findings and conclusions of the investigation to the General Coun-sel or his or her designee. (d) The Inspector General may refer allegations directly to the Department of Justice for suit under the False

40、Claims Act (31 U.S.C. 3730) or for other civil relief, or may postpone submit-ting a report to the General Counsel to avoid interference with a criminal in-vestigation or prosecution. The Inspec-tor General shall report violations of criminal law to the Attorney General. 28.20 Request for approval b

41、y the De-partment of Justice. (a) If the General Counsel or designee determines that the Report of Inves-tigation supports an action under this part, he or she must submit a written request to the Department of Justice for approval to issue a complaint under 28.25. (b) The request shall include a de

42、-scription of the claims or statements at issue; the evidence supporting the VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00292 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without licen

43、se from IHS-,-,-283 Office of the Secretary, HUD 28.40 allegations; an estimate of the amount of money or the value of property, services, or other benefits requested or demanded in violation of 28.10; any ex-culpatory or mitigating circumstances that may relate to the claims or state-ments; and a s

44、tatement that there is a reasonable prospect of collecting an ap-propriate amount of penalties and as-sessments. 73 FR 76831, Dec. 17, 2008 28.25 Complaint. (a) General. Upon obtaining approval from the Department of Justice, the General Counsel or designee may issue a complaint to the respondent. T

45、he complaint shall be mailed, by reg-istered or certified mail, or shall be de-livered through such other means by which delivery may be confirmed. The complaint shall also be filed simulta-neously with the Office of Administra-tive Law Judges in accordance with 26.30(a) of this chapter. (b) Complai

46、nt. The complaint shall in-clude: (1) The allegations of liability against the respondent, including the statutory basis for liability, the claims or statements at issue, and the reasons why liability arises from those claims or statements; (2) A statement that the required ap-proval to issue the co

47、mplaint was re-ceived from the Department of Justice as required by 24 CFR 28.20; (3) The amount of penalties and as-sessments for which the respondent may be held liable; (4) A statement that the respondent may request a hearing by submitting a written response to the complaint; (5) The addresses t

48、o which a response must be sent in accordance with 26.38 of this title; and (6) A statement that failure to sub-mit an answer within 30 days of receipt of the complaint may result in the im-position of the maximum amount of penalties and assessments sought with-out right of appeal. (c) Parts 26 and

49、28. A copy of this part 28 and part 26, subpart B of this chap-ter, shall be included with the com-plaint. (d) Obligation to preserve documents. Upon receipt of the complaint, the re-spondent is required to preserve and maintain all documents and data, in-cluding electronically stored data, within their possession or control that may relate to the allegations in the complaint. The Department shall also preserve such documents or data upon the