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APPENDIX A DAO 203-24

 

TITLE 28, CODE OF FEDERAL REGULATIONS

PART 14--ADMINISTRATIVE CLAIMS Sec.

14.1 Scope of regulations.

14.2 Administrative claim: when presented.

14.3 Administrative claim: who may file.

14.4 Administrative claims: evidence and in-

Formation to the submitted.

14.5 Review by legal officers.

14.6 Dispute resolution techniques and limi-

tations on agency authority.

14.7 (Reserved)

14.8 Investigation and examination

14.9 Final denial of claim.

14.10 Action on approved claims.

14.11 Supplementing regulations.

APPENDIX TO PART 14--DELEGATIONS

SETTLEMENT AUTHORITY.

AUTHORITY: 5 U.S.C. 301; 28 U.S.C. 509, 510, 2672; 38U.S.C. 224(a).

SOURCE: Order No. 372-66, 31 FR 16616, Dec. 29, 1968,unless otherwise noted.

14.1 Scope of regulations.

These regulations shall apply only to claims asserted under theFederal Tort Claims act. The terms Federal agency and agency,as used in this part, include the executive departments, themilitary departments, independent establishments of the UnitedStates, and corporations primarily acting as instrumentalities oragencies of the United States but do not include any contractorwith the United States.

[Order No. 960-81, 46 FR 52355, Oct. 27, 1981]

14.2 Administrative claim; when presented.

(a) For purposes of the provisions of 28 U.S.C. 2401(b), 2672,and 2675, a claim shall be deemed to have been presented with aFederal agency receives from a claimant, his duly authorizedagent or legal representative, an executed Standard Form 95 orother written notification of an incident, accompanied by a claimfor money damages in a sum certain for injury to or loss ofproperty, personal injury, or death alleged to have occurred byreason of the incident; and the title or legal capacity of the personsigning, and is accompanied by evidence of his authority topresent a claim on behalf of the claimant as agent, executor,administrator, parent, guardian, or other representative.

(b)(1) A claim shall be presented to the Federal agency whoseactivities gave raise to the claim. When a claim is presented toany other Federal agency, that agency shall transfer it forthwithto the appropriate agency, if the proper agency can be identifiedfrom the claim, and advise the claimant of the transfer. If transferis not feasible the claim shall be returned to the claimant or otherappropriate disposition of the claim. A claim shall be presentedas required by 28 U.S.C. 2491(b) as of the date it is received bythe appropriate agency.

 (2) When more than one Federal agency is or may be involved inthe events giving rise to the claim, an agency with which theclaim is filed shall contact all other affected agencies in order todesignate the single agency which will thereafter investigate anddecide the merits of the claim. In the event that an agreed upondesignation cannot be made by the affected agencies, theDepartment of Justice shall be consulted and will there-afterdesignate an agency to investigate and decide the merits of theclaim. Once a determination has been made, the designatedagency shall notify the claimant that all future correspondenceconcerning the claim shall be directed to that Federal agency. Allinvolved Federal agencies may agree either ti conduct their ownadministrative reviews and to coordinate the results or to have theinvestigations conducted by the designated Federal agency, but, ineither event, the designated Federal agency will be responsible forthe final determination of the claim.



(3) A claimant presenting a claim arising from an incident tomore than one agency should identify each agency to which theclaim is submitted at the time each claim is presented. Where aclaim arising from an incident is presented to more than oneFederal agency without any indication that more than one agencyis involved, and any one of the concerned Federal agencies takesfinal action on that claim, the final action thus taken is conclusiveon the claims presented to the other agencies in regard to the timerequired for filing suit set forth in 28 U.S.C. 2401(b). However, ifa second involved Federal agency subsequently desires to takefurther action with a view towards setting the claim the secondFederal agency may treat the matter as a request forreconsideration of the final denial under 28 CFR 14.9(b), unlesssuit has been filed in the interim, and so advise the claimant. (4) If, after an agency final denial the claimant files a claimarising out of the same incident with a different Federal agency,the new submission of the claim will not toll the requirement of28 U.S.C. 3401(b) that suit must be filed within six months of thefinal denial by the first agency, unless the second agencyspecifically and explicitly treats the second submission as arequest for reconsideration under 28 CFR 14.9(b) and so advisesthe claimant.

copyright A claim presented in compliance with paragraph (a) of thissection may be amended by the claimant at any time prior to finalagency action or prior to the exercise of the claimant's optionunder 28 U.S.C. 2675(a). Amendments shall be submitted inwriting and signed by the claimant or his duly authorized agent orlegal representative. Upon the timely filing of an amendment to apending claim, the agency shall have six months in which to makea final disposition of the claim as amended and the claimant'soption under 28 U.S.C. 2675(a) shall not accrue until six monthsafter the filing of an amendment.

[Order No. 870-79, 45 FR 2650, Jan. 14, 1980, as amended byOrder No. 960-81, 46 FR 52355, October 27, 1981; Order No.1179-87, 52 FR 7411, Mar. 11. 1967]

14.3 Administrative claim; who may file.

(a) A claim for injury to or loss of property may be presented bythe owner of the property, his duly authorized agent or legalrepresentative.

(b) A claim for personal injury may be presented by the injuredperson, his duly authorized agent, or legal representative.

copyright A claim based on death may be presented by the executor oradministrator of the decendent's estate, or by any other personlegally entitled to assert such a claim in accordance withapplicable State law.

(d) A claim for loss wholly compensated by an insurer with therights of a subrogee may be presented by the insurer. A claim forloss partially compensated by an insurer with the rights of asubrogee may be presented by the parties individually as theirrespective interests appear, or jointly.

[Order No. 371-66, 31 FR 16616, Dec. 29, 1966, as amended byOrder No. 1179-87, 52 FR 7412, Mar. 11, 1987]

14.4 Administrative claims; evidence and information to besubmitted.

(a) Death. In support of a claim based on death, the claimant maybe required to submit the following evidence or information:

(1) An authenticated death certificate or other competent

 (6) Itemized bills for medical and burial expenses incurred byreason of the incident causing death, or itemized receipts ofpayment for such expenses.



(7) If damages for pain and suffering prior to death are claimed,a physician's detailed statement specifying the injuries suffered,duration of pain and suffering, any drugs administered for pain,and the decedent's physical condition in the interval betweeninjury an death.



(8) Any other evidence or information which may have a bearingon either the responsibility of the United States for the death orthe damages claimed.



(b) Personal injury. In support of a claim for personal injury,including pain and suffering, the claimant may be required tosubmit the following evidence or information:



(1) A written report by his attending physician or dentist settingforth the nature and extent of the injury, nature and extent oftreatment, any degree of temporary or permanent disability, theprognosis, period of hospitalization, and any diminished earningcapacity. In addition, the claimant may be required to submit to aphysical or mental examination by a physician employed by theagency or another Federal agency. A copy of the report of theexamining physician shall be made available to the claimant uponthe claimant's written request provided that he has, upon request,furnished the report referred to in the first sentence of thisparagraph and has made or agrees to make available to theagency any other physician's reports previously or thereaftermade of the physical or mental condition which is the subjectmatter of his claim. (2) Itemized bills for medical, dental, and hospital expensesincurred, or itemized receipts of payment for such expenses.

(3) If the prognosis reveals the necessity for future treatment, astatement of expected expenses for such treatment.

(4) If a claim is made for loss of time from employment, awritten statement from his employer showing actual time lostfrom employment, whether he is a full or part-time employee,and wages or salary actually lost.

(5) If a claim is made for lost of income and the claimant isself-employed, documentary evidence showing the amounts ofearnings actually lost.

(6) Any other evidence or information which may have a bearingon either the responsibility of the United States for the personalinjury or the damages claimed.

(c) Property damage. In support of a claim for injury to or loss ofproperty, real or personal, the claimant may be required to submitthe following evidence or information:

(1) Proof of ownership.

(2) A detailed statement of the amount claimed with respect toeach item of property.

(3) An itemized receipt of payment for necessary repairs oritemized written estimate of the cost of such repairs.

(4) A statement listing date of purchase, purchase price andsalvage value, where repair is not economical.

(5) Any other evidence or information which may have a bearingon either the responsibility of the United States for the injury toor loss of property or the damages claimed.

14.5 Review by legal officers.

The authority to adjust, determine, compromise, and settle aclaim under the provisions of section 2672 of title 28, UnitedStates Code, shall, if the amount of a proposed compromise,settlement, or award exceeds $5,000, be exercised by the head ofan agency or his designee only after review by a legal officer of the agency.

[Order No. 371-66, 31 FR 16616, Dec. 29, 1966, as amended byOrder No. 757-77, 42 FR 62001, Dec. 8, 1977; Order No. 960-81,

 

14.6 Dispute resolution techniques and limitations on agencyauthority. (a) Guidance regarding dispute resolution. The administrativeprocess established pursuant to 28 U.S.C. 2672 and this part 14 isintended to serve as an efficient effective forum for rapidlyresolving tort claims with low costs to all participants. Thisguidance is provided to agencies to improve their use of thisadministrative process and to maximize the benefit achievedthrough application of prompt, fair, and efficient techniques that

achieve an informal resolution of administrative tort claimswithout burdening claimants or the agency. This section providesguidance to agencies only and does not create or establish anyright to enforce any provision of this part on behalf of anyclaimant against the United States, its agencies, its officers, orany other person. This section also does not required any agencyto use any dispute resolution techniques or process.

(1) Whenever feasible, administrative claims should be resolvedthrough informal discussions, negotiations, and settlements ratherthan through the use of any formal or structured process. At thesame time, agency personnel processing administrative tortclaims should be trained in dispute resolution techniques andskills that can contribute to the prompt, fair, and efficientresolution of administrative claims.

(2) An agency may resolve disputed factual questions regardingclaims against the United States under the FTCA, including 28U.S.C. 2671-2680, through the use of any alternative disputeresolution technique or process if the agency specifically agreesto employ the technique or process, and reserves to itself thediscretion to accept or reject the determinations made through theuse of such technique or process.

(3) Alternative dispute resolution techniques ro processes shouldnot be adopted arbitrarily but rather should be based upon adetermination that use of a particular technique is warranted inthe context of a particular claim or claims, and that such use willmaterially contribute to the prompt, fair, and efficient resolutionof claims, the dispute resolution processes otherwise usedpursuant to these regulations shall be the preferred means ofseeking resolution of such claims.

(b) Alternative dispute resolution--(1) Case-by-case. In order touse, and before using, any alternative dispute resolutiontechnique or process to facilitate the prompt resolution ofdisputes that are in excess of the agency's delegated authority, anagency may use the following procedure to obtain writtenapproval from the Attorney General, or his or her designee, tocompromise a claim or series of related claims.

(I) A request for settlement authority under paragraph (b)(1) ofthis section shall be directed to the Director, Torts Branch, CivilDivision, Department of Justice, ("Director") and shall containinformation justifying the request, including:

(A) The basis for concluding that liability exists under theFTCA;

(B) A description of the proposed alternative dispute resolutiontechnique or process and a statement regarding why this proposedform of alternative dispute resolution is suitable for the claim orclaims;

copyright A statement reflecting the claimant's or claimants' consent touse of the proposed form of alternative dispute resolution,indicating the proportion of any additional cost to the UnitedStates from use of the proposed alternative dispute resolutiontechnique or process that shall be borne by the claimant orclaimants, and specifying the manner and timing of payment ofthat proportion to be borne by the claimant or claimants;

(D) A statement of how the requested action would facilitate useof an alternative dispute resolution technique or process;

(E) An explanation of the extent to which the decision renderedin the alternative dispute resolution proceeding would be made

 14.8 Investigation and examination. A Federal agency may request any other Federal agency toinvestigate a claim field under section 2672, title 28, U.S. Code,or to conduct a physical examination of a claimant and provide areport of the physical examination. Compliance with suchrequests may be conditioned by a Federal agency uponreimbursement by the requesting agency of the expense ofinvestigation or examination where reimbursement is authorized,as well as where it is required, by statute or regulation.

14-9 Final denial of claim.

(a) Final denial of an administrative claim shall be in writing andsent to the claimant, his attorney, or legal representative bycertified or registered mail. The notification of final denial mayinclude a statement of the reasons for the denial and shall includea statement that, if the claimant is dissatisfied with the agencyaction, he may file suit in an appropriate U.S. District Court notlater than 6 months after the date of mailing of the notification.

(b) Prior to the commencement of suit and prior to the expirationof the 6-month period provided in 28 U.S.C. 2401(b), a claimant,his duly authorized agent, or legal representative, may file awritten request with the agency for reconsideration of a finaldenial of a claim under paragraph (a) of this section. Upon thetimely filing of a request for reconsideration the agency shall have6 months from the date of filing in which to make finaldisposition of the claim and the claimant's option under 28 U.S.C.2672(a) shall not accrue until 6 months after the filing of a requestfor reconsideration. Final agency action on a request forreconsideration shall be effected in accordance with theprovisions of paragraph (a) of this section.

[Order No. 371-66, 31 FR 16616, Dec. 29, 1966, as amended byOrder No. 422-69, 35 FR 315, Jan. 8, 1970]

14.10 Action on approved claims.

(a) Any award, compromise, or settlement in an amount of$2,500 or less made pursuant to 28 U.S.C. 2672 shall be paid bythe head of the Federal agency concerned out of theappropriations available to that agency. Payment of an award,compromise, or settlement in excess of $2,500 shall be obtainedby the agency by forwarding Standard Form 1145 to the ClaimsDivision, General Accounting Office. When an award is in excessof $25,000, or in excess of the authority delegated to the agencyby the Attorney General pursuant to 28 U.S.C. 2672, whichever isgreater, Standard Form 1145 must be accompanied by evidencethat the award, compromise, or settlement has been approved bythe Attorney General or his designee. When the use of StandardForm 1145 is required, it shall be executed by the claimant, or itshall be accompanied by either a claims settlement agreement or aStandard Form 95 executed by the claimant. When a claimant isrepresented by an attorney, the voucher for payment shalldesignate both the claimant and his attorney as payees; the checkshall be delivered to the attorney, whose address shall appear onthe voucher.

procedures consistent with the regulations in this part.

 (b) Acceptance by the claimant, his agent, or legalrepresentative, of any award, compromise or settlement madepursuant to the provisions of section 2672 or 2677 of title 28,United States Code, shall be final and conclusive on the claimant,his agent or legal representative and any other person on whosebehalf or for whose benefit the claim has been presented, andshall constitute a complete release of any claim against theUnited States and against any employee of the Governmentwhose act or omission gave rise to the claim, by reason of thesame subject matter. [Order No. 371-66, 31 FR 16616, Dec. 29, 1966, as amended byOrder No. 834-79, 44 FR 33399, June 11, 1979; Order No.1591-92, 57 FR 21740, May 22, 1992]

14.11 Supplementing regulations.

Each agency is authorized to issue regulations and establish