DOT 49 CFR PART 89-2010 IMPLEMENTATION OF THE FEDERAL CLAIMS COLLECTION ACT.pdf

1、673 Office of the Secretary of Transportation Pt. 89 TIFIA assistance. Any required appli-cation initiation or credit processing fee must be paid by the project sponsor applying for TIFIA assistance and can-not be paid by another party on behalf of the project sponsor. The proceeds of any such fees

2、will equal a portion of the costs to the Federal Government of soliciting and evaluating applications, selecting projects to receive assistance, and negotiating credit agreements. For FY 2000, the DOT will require payment of a fee of $5,000 for each project apply-ing for credit assistance under the

3、TIFIA, to be submitted concurrently with the formal application. The DOT will not impose any credit processing fees for FY 2000. For each application and approval cycle in FY 2001 and be-yond, the DOT may adjust the amount of the application fee and will deter-mine the appropriate amount of the cred

4、it processing fee based on program implementation experience. The DOT will publish these amounts in each FEDERAL REGISTER solicitation for ap-plications. (b) Applicants shall not include ap-plication initiation or credit proc-essing fees or any other expenses asso-ciated with the application process

5、 (such as fees associated with obtaining the required preliminary rating opin-ion letter) among eligible project costs for the purpose of calculating the max-imum 33 percent credit amount ref-erenced in 80.5(a). (c) If, in any given year, there is in-sufficient budget authority to fund the credit in

6、strument for a qualified project that has been selected to re-ceive assistance under TIFIA, the DOT and the approved applicant may agree upon a supplemental fee to be paid by or on behalf of the approved applicant at the time of execution of the term sheet to reduce the subsidy cost of that project.

7、 No such fee may be included among eligible project costs for the purpose of calculating the maximum 33 percent credit amount referenced in 80.5(a). (d) The DOT will require borrowers to pay servicing fees for each credit in-strument approved for funding. Sepa-rate fees may apply for each type of cr

8、edit instrument (e.g., a loan guar-antee, a secured loan with a single dis-bursement, a secured loan with mul-tiple disbursements, or a line of cred-it), depending on the costs of servicing the credit instrument as determined by the Secretary. Such fees will be set at a level to enable the DOT to re

9、cover all or a portion of the costs to the Federal Government of TIFIA credit instru-ments. 65 FR 44940, July 19, 2000 80.19 Reporting requirements. At a minimum, any recipient of Fed-eral credit assistance under this part shall submit an annual project per-formance report and audited financial stat

10、ements to the DOT within no more than 180 days following the recipients fiscal year-end for each year during which the recipients obligation to the Federal Government remains in effect. The DOT may conduct periodic finan-cial and compliance audits of the re-cipient of credit assistance, as deter-min

11、ed necessary by the DOT. The spe-cific credit agreement between the re-cipient of credit assistance and the DOT may contain additional reporting requirements. 65 FR 44940, July 19, 2000 80.21 Use of administrative offset. The DOT will not apply an adminis-trative offset to recover any losses to the

12、Federal Government resulting from project risk the DOT has assumed under a TIFIA credit instrument. The DOT may, however, use an administra-tive offset in cases of fraud, misrepre-sentation, false claims, or similar criminal acts or acts of malfeasance or wrongdoing. 65 FR 44940, July 19, 2000 PART

13、89IMPLEMENTATION OF THE FEDERAL CLAIMS COLLECTION ACT Subpart AGeneral Sec. 89.1 Purpose. 89.3 Applicability. 89.5 Delegations of authority. 89.7 Exceptions to delegated authority. 89.9 Redelegation. 89.11 Standards for exercise of delegated au-thority. 89.13 Documentary evidence of compromise. 89.1

14、5 Regulations, reports, and supporting documentation. VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00683 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-674 49

15、CFR Subtitle A (10110 Edition) 89.1 Subpart BCollection of Claims 89.21 Administrative collection. 89.23 Interest, late payment penalties, and collection charges. 89.25 Collection by administrative offset. 89.27 Referral for litigation. 89.29 Disclosure to commercial credit bu-reaus and consumer rep

16、orting agencies. 89.31 Use of professional debt collection agencies. 89.33 Reserved 89.35 Administrative wage garnishment. Subpart CReferral of Debts to IRS for Tax Refund Offset 89.37 Applicability and scope. 89.39 Administrative charges. 89.41 Notice requirement before offset. 89.43 Review within

17、the Department. 89.45 Department determination. 89.47 Stay of offset. AUTHORITY: Pub. L. 89508; Pub. L. 89365, secs. 3, 10, 11, 13(b), 31 U.S.C. 37013720A; Pub. L. 98167; Pub. L. 98369; Pub. L. 99578; Pub. L. 101552, 31 U.S.C. 3711(a)(2). SOURCE: 53 FR 51238, Dec. 21, 1988, unless otherwise noted. S

18、ubpart AGeneral 89.1 Purpose. This part implements the Federal Claims Collection Act of 1966, 31 U.S.C. 37013720 A, as amended primarily by the Debt Collection Act of 1982 (Pub. L. 97365, 96 Stat. 1749) and the Debt Col-lection Amendments of 1986 (Pub. L. 99578, 100 Stat. 3305). It supplements the F

19、ederal Claims Collection Stand-ards (FCCS), 4 CFR parts 101105, issued jointly by the Comptroller General of the United States and the Attorney General of the United States under 31 U.S.C. 3711(e)(2). Pursuant to the Fed-eral Claims Collection Act, as amend-ed, and the FCCS, this part sets forth pro

20、cedures by which the Department of Transportation (DOT) and its operating elements (see 49 CFR 1.3) through des-ignated officials: (a) Collect claims owed to the United States arising from activities under its jurisdiction; (b) Determine and collect interest and other charges on those claims; (c) Co

21、mpromise claims; and (d) Refer unpaid claims for litigation. 89.3 Applicability. (a) The part applies to collection of all claims due the United States under the Federal Claims Collection Act of 1966 as amended by the Debt Collection Act of 1982 and the Debt Collection Amendments of 1986 (Pub. L. 99

22、578), arising from activities under the juris-diction of DOT including amounts due the United States from fees, overpay-ments, fines, civil penalties, loans, damages, interest, and other sources. (b) This part does not apply to collec-tion, settlement or compromise of debts owed the United States pu

23、rsuant to authority other than Title 31, Chap-ter 37, Subchapter II: for example, ap-plication of this part to the enforce-ment of contracts under 46 U.S.C. 1117, delegated to the DOT Maritime Admin-istration, is not required. (c) Section 89.23 (interest, late pay-ment penalties, and collection char

24、ges) and 89.25 (collection by administrative offset) of this part do not apply to debts which other United States gov-ernment agencies or state governments or units of general local government owe the Department (see 31 U.S.C. 3701(c); however, other statutory or common law may provide legal author-

25、ity. Neither does the proposed rule apply to recovery of debts owed by cur-rent or former employees of the United States governed by 5 U.S.C. 5514. (d) Claims arising out of contracts that contain specific provisions relat-ing to claims are governed by those specific provisions to the extent that th

26、ose provisions comply with existing law and with 4 CFR chapter II. (e) As used in this part, the terms debt and claims are interchangeable and have the meaning defined in 4 CFR 101.2(a). A debtors liability arising out of a particular incident or adjudication exclusive of interest, administrative co

27、sts, and late payment penalties, is a single claim. (f) Except as provided in paragraphs (b), (c) and (d) of this section the provi-sions of this part shall apply to the col-lection of all debts and claims owed to any DOT operating element. A claim arising from the assessment of civil penalty or fin

28、e is not subject to the procedures of this subpart until the claim has been reduced to a liquidated debt by a signed settlement agreement, VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00684 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot f

29、or ResaleNo reproduction or networking permitted without license from IHS-,-,-675 Office of the Secretary of Transportation 89.15 a court order or judgment, or a final administrative determination. 89.5 Delegations of authority. The functions, powers, and duties of the Secretary of Transportation to

30、 at-tempt collection of claims, to com-promise claims of the United States not exceeding $100,000 (excluding inter-est) and to suspend and terminate ac-tion to collect such claims are dele-gated to: (a) The Assistant Secretary for Ad-ministration with respect to collection, compromise, suspension an

31、d termi-nation of claims arising out of the ac-tivities of, or referred to, the Working Capital Fund; (b) The Assistant Secretary for Budg-et and Programs with respect to collec-tion, compromise, suspension and ter-mination of collection of claims under 31 U.S.C. 3711 arising out of the activi-ties

32、of, or referred to, the Office of the Secretary (excluding claims pertaining to the Working Capital Fund); and (c) The heads of other DOT operating elements with respect to claims arising out of the activities of, or referred to, their organizations. 53 FR 51238, Dec. 21, 1988, as amended at 58 FR 6

33、898, Feb. 3, 1993; 73 FR 57269, Oct. 2, 2008 89.7 Exceptions to delegated author-ity. The authority delegated under 89.5 does not apply to any claim: (a) As to which there is an indication of (1) fraud; (2) the presentation of a false claim; or (3) misrepresentation on the part of the debtor or any

34、other party having an interest in the claim; (b) Based on tax statutes; or (c) Arising from an exception made by the General Accounting Office in the account of an accountable officer. 89.9 Redelegation. Each officer to whom authority is delegated under 89.5 may redelegate and authorize successive r

35、edelegations of the authority within the organiza-tion under his or her jurisdiction. 89.11 Standards for exercise of dele-gated authority. The authority delegated under 89.5 shall be exercised in accordance with the standards for the collection and compromise of claims and for the sus-pension and t

36、ermination of action to collect claims promulgated by the United States General Accounting Of-fice and the United States Department of Justice, and published at 4 CFR chapter II, as those standards may be amended. 89.13 Documentary evidence of com-promise. A compromise of any claim is not final or b

37、inding on the United States unless it is in writing, signed by an of-ficer or employee authorized to com-promise that claim. 89.15 Regulations and supporting documentation. (a) Each officer to whom authority is delegated under 89.5 may promulgate regulations for the exercise of that au-thority withi

38、n his or her organization. These regulations shall be revised, as necessary, to conform to any amend-ments to this part. (b) Each officer to whom authority is delegated under 89.5 shall furnish the following information to the Assistant Secretary for Administration and the Assistant Secretary for Bu

39、dget and Programs: (1) A copy of each redelegation of that authority. (2) A copy of any implementing regu-lations governing the exercise of the authority delegated under 89.5, and any amendments to those regulations. (c) Each officer or employee to whom the Secretarys authority has been del-egated o

40、r redelegated, before exercising such authority, shall acquire sufficient documentation to demonstrate that the action taken is in the best inter-ests of the United States. This docu-mentation will be retained with and treated as part of the file concerning the debt. (d) The failure of any officer o

41、r em-ployee to comply with this section does not limit or impair his or her exercise of authority. 53 FR 51238, Dec. 21, 1988, as amended at 73 FR 57269, Oct. 2, 2008 Subpart BCollection of Claims AUTHORITY: Public Law 89508; Public Law 89365, secs. 3, 10, 11, 13(b), 31 U.S.C. 3701 VerDate Mar2010 1

42、0:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00685 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-676 49 CFR Subtitle A (10110 Edition) 89.21 3720A; Public Law 98167; Public La

43、w 98369; Public Law 99578; Public Law 101552, 31 U.S.C. 3711(a)(2); 31 CFR 3711, 37163720E. 89.21 Administrative collection. Except as provided differently by the DOT operating elements pursuant to 89.3: (a) DOT shall send a debtor a total of three progressively stronger written demands at not more

44、than 30-day inter-vals, unless a response to the first or second demand indicates that a further demand would be futile or the debtors response does not require rebuttal, or other pertinent information indicates that additional written demands would be unnecessary. (b) The initial written demand for

45、 payment (and the notice of offset under 89.25) shall inform the debtor of: (1) The basis for the indebtedness and the debtors right to obtain review (see 89.21(f) for details on review). (2) The amount of the claim; (3) That domestic and overseas pay-ment in excess of ten thousand dollars or more s

46、hall be made by wire transfer through the Federal Reserve commu-nications, commonly known as Fedwire, to the account of the U.S. Treasury in accordance with the in-structions provided in the demand let-ter; payments originating in foreign countries shall be made by wire trans-fer to the extent pract

47、icable. (4) The delinquency date, or the date by which payment is to be made (30 days from the date of mailing or hand delivery of the initial demand letter); (5) The standard for interest, pen-alties, and administrative charges in accordance with 31 U.S.C. 3717, if pay-ment is not received by the d

48、ue date (see 89.23 for details regarding inter-est, collection charges, and late pay-ment penalty charges); (6) Where a notice of offset is con-cerned, the right to make voluntary payment before collection by offset be-gins (see 89.25). (7) The possible reporting of the claim to commercial credit bu

49、reaus and consumer reporting agencies; how-ever a notice of offset should not in-clude this warning. (8) The possibility that DOT will for-ward the claim to a collection agency, the General Accounting Office, the De-partment of Justice, or private counsel contracting with the Department of Justice for collection; however a notice of offset should not include this warn-ing. (c) If the debtor fails to respond to the