TITLE 28, CHAPTER 171 – THE FEDERAL TORT CLAIMS ACT
28 USCS § 2675 - Disposition by federal agency as
prerequisite; evidence.
©Jonathan A. Willens
Briefworks Litigation Network
National Institute for Trial Advocacy
Notre Dame Law School
No action may be brought under the Federal Tort Claims
Act unless the plaintiff has first presented her claim
to the appropriate federal agency and the agency has
either denied the claim or failed to act on it within
six months of its submission. McNeil v. United States,
508 U.S. 106, 124 L.Ed.2d 21, 113 S. Ct. 1980 (1993).
This jurisdictional requirement is set forth in section
2675 of the Act. The complementary provisions of
section 2672 direct each federal agency to establish a
mechanism for resolving tort claims, and authorize the
agencies and the Attorney General to settle and pay
them.
The administrative claims process
The administrative claim must be filed with two years of
accrual or it will be “forever barred” by 28 USCS §
2401(b). If the agency has not decided the claim within
six months, the plaintiff may file suit. Third-party
complaints, cross-claims, and counterclaims are exempted
from the administrative claim requirement by 28 USCS §
2675(a).
Class actions are not exempt, so an administrative claim
must be filed for each member of the class.
Alternatively, many courts will permit a large class
action to proceed if the class representative presented
a single administrative claim to the agency that
individually identified each class member by name and
clearly established that the representative was
authorized to present claims on behalf of each class
member.
As one court said, the goal of the administrative claim
requirement is to let the government know what it is up
against. Section 2675 is designed to provide a
procedure under which the government may investigate,
evaluate, and consider settlement of a claim. This
purpose requires that the claimant provide sufficient
information to permit the government agency both to
conduct a meaningful investigation of the incident and
to estimate the claim's worth. Although the courts
apply various standards, if the information provided by
the claimant is so inadequate that government officials
cannot evaluate the claim with a view to settlement,
then there is a significant risk that the claim will be
dismissed for failure to satisfy section 2675.
The first step is to identify the agency that employs
the person responsible for the injury, and to obtain
forms and instructions from the general counsel’s office
of that agency. The statute requires the claim to be
filed with the “appropriate agency.” In some cases,
plaintiff’s attorney may need to investigate to
determine which agency was responsible for the allegedly
negligent conduct. Filing a claim with the wrong agency
may result in dismissal of the FTCA action, but in some
cases the agency receiving a misdirected claim will be
required by regulation to forward the claim to the
appropriate agency. If more than one agency is
involved, the prudent course is to file claims with each
agency and encourage them to designate a single agency
to handle the claim.
Most agencies have issued regulations explaining their
requirements. The Justice Department’s regulations are
the most comprehensive and useful. See 28 C.F.R. part
14. They describe the information that should be
submitted, authorize the claims examiner to request
additional information, and permit the claimant to amend
his claim if he obtains new information while the claim
is pending. Other agencies may have specific
requirements that should be considered before filing a
claim. These regulations are not jurisdictional
requirements in themselves, but they provide important
guidance for meeting the jurisdictional requirement of
section 2675.
The administrative claim must do more than simply give
the agency notice that an injury has occurred. The
claim must clearly describe the circumstances of the
government employee’s negligent conduct and the injury
suffered by the claimant. It is not appropriate to use
the generic language often found in tort complaints,
merely identifying the time and place of the accident
and claiming “multiple bodily injuries.”
If the claims examiner requests additional information,
it is crucial that the plaintiff comply. Even if the
claim is inadequate when it is initially filed, the
claimant can satisfy the statutory requirement by
providing additional medical records and other
information to the agency when requested. On the other
hand, if the plaintiff files suit without satisfying all
reasonable requests for information, the district court
may dismiss the complaint for failure to satisfy section
2675.
Another critical requirement is that the administrative
claim must state the exact amount of damages that the
plaintiff is seeking. This is called the “sum certain”
rule. Claims that seek “amounts to be determined” or
“not less than $1 million” or other imprecise
descriptions of damages are generally not acceptable.
As explained below, the amount of damages demanded in
the administrative claim usually caps the amount that
can be demanded in court.
Timing of the complaint
If the claimant and the agency fail to reach an
agreement settling the claim, then the claimant may file
suit in the district court under the FTCA. The
complaint must be filed within six months of the final
denial of the claim. If the agency fails to act within
six months after receiving the administrative claim,
then the claimant may sue in the district court without
waiting for the final agency action. In any case, the
complaint should clearly state that the plaintiff
complied with section 2675 and exhausted his
administrative remedies before filing suit.
If the complaint is filed before the administrative
claim process is complete, the action will normally be
dismissed without prejudice. Once the agency has denied
the claim or the six-month period has passed without a
decision by the agency, then the complaint may be filed
again. However, if the new action is commenced more
than six years after the claim accrued, then it will be
barred as untimely under 28 USCS § 2401. If the
plaintiff failed to comply with section 2675 because she
did not know that the defendant was a government
employee, then section 2679(d)(5) controls the timing of
the administrative claim. [This issue is addressed in a
separate commentary.]
Limitations on the scope and amount of the suit
Section 2675 limits the scope of the action in two
respects. First, the claimant may only assert the same
claim presented to the agency. Second, the complaint
cannot demand more money than the administrative claim
unless the additional sum is justified by evidence
discovered after the administrative claim was filed.
The first limitation means that the district court may
not hear claims asserted by different plaintiffs or
based on different incidents than the claim presented to
the agency. For example, most courts will not hear a
loss-of-consortium claim brought by the spouse of the
claimant unless the spouse presented that claim to the
agency pursuant to section 2675. Similarly, the
plaintiff will generally not be permitted to expand his
claim to include additional negligent acts by government
employees that were not included in his administrative
claim.
In wrongful death cases, the claimant must be careful to
state whether he is seeking damages individually or as a
representative of the decedent. If an executor or
administrator of the decedent’s estate is bringing the
claim, agency regulations will normally require the
claimant to be authorized under state law to prosecute
claims on the decedent’s behalf.
The second limitation is stated in section 2675(b): the
amount of damages sought in the complaint may not exceed
the amount sought in the administrative claim, unless
the increased amount is based upon newly discovered
evidence or intervening facts. The “sum certain” rule
requires that the claimant state the exact amount of
damages in the administrative claim. Any attempt to
seek more than this amount in the subsequent court
action will be governed by section 2675(b).
Section 2675(b) strictly limits the plaintiff’s right to
amend his complaint to increase the amount of damages he
is seeking. The plaintiff must show that he calculated
the amount of the original claim based on the facts that
were known when he presented the claim to the agency,
and that thereafter some new and previously unforeseen
information came to light. This strict rule replaces
the liberal standard of Rule 15 of the Federal Rules of
Civil Procedure, which normally allows amendments unless
the opposing party can show clear prejudice.
The most common situation arises when a plaintiff seeks
to increase the amount of damages sought in the
complaint on the basis of a changed medical diagnosis of
his injuries, or a more pessimistic prognosis of his
recovery. Under section 2675(b), plaintiff must
demonstrate that the new diagnosis justifies the
proposed increase in the amount of his claim, and that
the diagnosis could not have been discovered with
reasonable diligence before the claim was presented. As
a practical matter, plaintiffs with potentially severe
injuries are well advised to assume the worst-case
prognosis for their injuries when filing their
administrative claims, even though the higher claim will
make a prompt settlement more difficult.
The statutory release
It is important to note that the last paragraph of
section 2672 of the FTCA contains a “complete release”
in favor of the United States and its employees, which
takes effect as soon as the claimant accepts any award,
compromise, or settlement of the claim. This language
supplements whatever specific settlement agreement the
parties might execute at the time of settlement. The
statute also provides that the settlement is “final and
conclusive,” language that is likely to bar any effort
by the plaintiff to revoke a settlement of the
administrative claim.
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