[Title 28 CFR 14]
[Code of Federal Regulations (annual edition) - July 1, 2002 Edition]
[Title 28 - JUDICIAL ADMINISTRATION]
[Chapter I - DEPARTMENT OF JUSTICE]
[Part 14 - ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT]
[From the U.S. Government Printing Office]


28JUDICIAL ADMINISTRATION12002-07-012002-07-01false14PART 14JUDICIAL ADMINISTRATIONDEPARTMENT OF JUSTICE
PART 14--ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT--Table of Contents




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 information to be submitted.
14.5  Review by legal officers.
14.6  Dispute resolution techniques and limitations 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 of Settlement Authority

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

    Source: Order No. 371-66, 31 FR 16616, Dec. 29, 1966, unless 
otherwise noted.



Sec. 14.1  Scope of regulations.

    These regulations shall apply only to claims asserted under the 
Federal Tort Claims Act. The terms Federal agency and agency, as used in 
this part, include the executive departments, the military departments, 
independent establishments of the United States, and corporations 
primarily acting as instrumentalities or agencies of the United States 
but do not include any contractor with the United States.

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



Sec. 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 when a Federal 
agency receives from a claimant, his duly authorized agent or legal 
representative, an executed Standard Form 95 or other written 
notification of an incident, accompanied by a claim for money damages in 
a sum certain for injury to or loss of property, personal injury, or 
death alleged to have occurred by reason of the incident; and the title 
or legal capacity of the person signing, and is accompanied by evidence 
of his authority to present 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 whose 
activities gave rise to the claim. When a claim is presented to any 
other Federal agency, that agency shall transfer it forthwith to the 
appropriate agency, if the proper agency can be identified from the 
claim, and advise the claimant of the transfer. If transfer is not 
feasible the claim shall be returned to the claimant. The fact of 
transfer shall not, in itself, preclude further transfer, return of the 
claim to the claimant or other appropriate disposition of the claim. A 
claim shall be presented as required by 28 U.S.C. 2401(b) as of the date 
it is received by the appropriate agency.
    (2) When more than one Federal agency is or may be involved in the 
events giving rise to the claim, an agency with which the claim is filed 
shall contact all other affected agencies in order to designate the 
single agency which will thereafter investigate and decide the merits of 
the claim. In the event that an agreed upon designation cannot be made 
by the affected agencies, the Department of Justice shall be consulted 
and will thereafter designate an agency to investigate and decide the 
merits of the claim. Once a determination has been made, the designated 
agency shall notify the claimant that all future correspondence 
concerning the claim shall be directed to that Federal agency. All 
involved Federal agencies may agree either to conduct their own 
administrative reviews and to coordinate the results or to have the 
investigations conducted by the designated Federal agency, but, in 
either event, the designated Federal agency will be responsible for the 
final determination of the claim.
    (3) A claimant presenting a claim arising from an incident to more 
than one agency should identify each agency to which the claim is 
submitted at the time each claim is presented. Where a claim arising 
from an incident is presented to more than one Federal agency without 
any indication that more than one agency is involved, and any

[[Page 254]]

one of the concerned Federal agencies takes final action on that claim, 
the final action thus taken is conclusive on the claims presented to the 
other agencies in regard to the time required for filing suit set forth 
in 28 U.S.C. 2401(b). However, if a second involved Federal agency 
subsequently desires to take further action with a view towards settling 
the claim the second Federal agency may treat the matter as a request 
for reconsideration of the final denial under 28 CFR 14.9(b), unless 
suit has been filed in the interim, and so advise the claimant.
    (4) If, after an agency final denial, the claimant files a claim 
arising out of the same incident with a different Federal agency, the 
new submission of the claim will not toll the requirement of 28 U.S.C. 
2401(b) that suit must be filed within six months of the final denial by 
the first agency, unless the second agency specifically and explicitly 
treats the second submission as a request for reconsideration under 28 
CFR 14.9(b) and so advises the claimant.
    (c) A claim presented in compliance with paragraph (a) of this 
section may be amended by the claimant at any time prior to final agency 
action or prior to the exercise of the claimant's option under 28 U.S.C. 
2675(a). Amendments shall be submitted in writing and signed by the 
claimant or his duly authorized agent or legal representative. Upon the 
timely filing of an amendment to a pending claim, the agency shall have 
six months in which to make a final disposition of the claim as amended 
and the claimant's option under 28 U.S.C. 2675(a) shall not accrue until 
six months after the filing of an amendment.

[Order No. 870-79, 45 FR 2650, Jan. 14, 1980, as amended by Order No. 
960-81, 46 FR 52355, Oct. 27, 1981; Order No. 1179-87, 52 FR 7411, Mar. 
11, 1987]



Sec. 14.3  Administrative claim; who may file.

    (a) A claim for injury to or loss of property may be presented by 
the owner of the property, his duly authorized agent or legal 
representative.
    (b) A claim for personal injury may be presented by the injured 
person, his duly authorized agent, or legal representative.
    (c) A claim based on death may be presented by the executor or 
administrator of the decendent's estate, or by any other person legally 
entitled to assert such a claim in accordance with applicable State law.
    (d) A claim for loss wholly compensated by an insurer with the 
rights of a subrogee may be presented by the insurer. A claim for loss 
partially compensated by an insurer with the rights of a subrogee may be 
presented by the parties individually as their respective interests 
appear, or jointly.

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



Sec. 14.4  Administrative claims; evidence and information to be submitted.

    (a) Death. In support of a claim based on death, the claimant may be 
required to submit the following evidence or information:
    (1) An authenticated death certificate or other competent evidence 
showing cause of death, date of death, and age of the decedent.
    (2) Decedent's employment or occupation at time of death, including 
his monthly or yearly salary or earnings (if any), and the duration of 
his last employment or occupation.
    (3) Full names, addresses, birth dates, kinship, and marital status 
of the decedent's survivors, including identification of those survivors 
who were dependent for support upon the decedent at the time of his 
death.
    (4) Degree of support afforded by the decedent to each survivor 
dependent upon him for support at the time of his death.
    (5) Decedent's general physical and mental condition before death.
    (6) Itemized bills for medical and burial expenses incurred by 
reason of the incident causing death, or itemized receipts of payment 
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 between injury and death.
    (8) Any other evidence or information which may have a bearing on 
either the

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responsibility of the United States for the death or the damages 
claimed.
    (b) Personal injury. In support of a claim for personal injury, 
including pain and suffering, the claimant may be required to submit the 
following evidence or information:
    (1) A written report by his attending physician or dentist setting 
forth the nature and extent of the injury, nature and extent of 
treatment, any degree of temporary or permanent disability, the 
prognosis, period of hospitalization, and any diminished earning 
capacity. In addition, the claimant may be required to submit to a 
physical or mental examination by a physician employed by the agency or 
another Federal agency. A copy of the report of the examining physician 
shall be made available to the claimant upon the claimant's written 
request provided that he has, upon request, furnished the report 
referred to in the first sentence of this paragraph and has made or 
agrees to make available to the agency any other physician's reports 
previously or thereafter made of the physical or mental condition which 
is the subject matter of his claim.
    (2) Itemized bills for medical, dental, and hospital expenses 
incurred, or itemized receipts of payment for such expenses.
    (3) If the prognosis reveals the necessity for future treatment, a 
statement of expected expenses for such treatment.
    (4) If a claim is made for loss of time from employment, a written 
statement from his employer showing actual time lost from employment, 
whether he is a full or part-time employee, and wages or salary actually 
lost.
    (5) If a claim is made for loss of income and the claimant is self-
employed, documentary evidence showing the amounts of earnings actually 
lost.
    (6) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the personal injury 
or the damages claimed.
    (c) Property damage. In support of a claim for injury to or loss of 
property, real or personal, the claimant may be required to submit the 
following evidence or information:
    (1) Proof of ownership.
    (2) A detailed statement of the amount claimed with respect to each 
item of property.
    (3) An itemized receipt of payment for necessary repairs or itemized 
written estimates of the cost of such repairs.
    (4) A statement listing date of purchase, purchase price and salvage 
value, where repair is not economical.
    (5) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the injury to or loss 
of property or the damages claimed.



Sec. 14.5  Review by legal officers.

    The authority to adjust, determine, compromise, and settle a claim 
under the provisions of section 2672 of title 28, United States Code, 
shall, if the amount of a proposed compromise, settlement, or award 
exceeds $5,000, be exercised by the head of an 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 by Order No. 
757-77, 42 FR 62001, Dec. 8, 1977; Order No. 960-81, 46 FR 52355, Oct. 
27, 1981]



Sec. 14.6  Dispute resolution techniques and limitations on agency authority.

    (a) Guidance regarding dispute resolution. The administrative 
process established pursuant to 28 U.S.C. 2672 and this part 14 is 
intended to serve as an efficient effective forum for rapidly resolving 
tort claims with low costs to all participants. This guidance is 
provided to agencies to improve their use of this administrative process 
and to maximize the benefit achieved through application of prompt, 
fair, and efficient techniques that achieve an informal resolution of 
administrative tort claims without burdening claimants or the agency. 
This section provides guidance to agencies only and does not create or 
establish any right to enforce any provision of this part on behalf of 
any claimant against the United States, its agencies, its officers, or 
any other person. This section also does not require any agency to use 
any dispute resolution technique or process.

[[Page 256]]

    (1) Whenever feasible, administrative claims should be resolved 
through informal discussions, negotiations, and settlements rather than 
through the use of any formal or structured process. At the same time, 
agency personnel processing administrative tort claims should be trained 
in dispute resolution techniques and skills that can contribute to the 
prompt, fair, and efficient resolution of administrative claims.
    (2) An agency may resolve disputed factual questions regarding 
claims against the United States under the FTCA, including 28 U.S.C. 
2671-2680, through the use of any alternative dispute resolution 
technique or process if the agency specifically agrees to employ the 
technique or process, and reserves to itself the discretion to accept or 
reject the determinations made through the use of such technique or 
process.
    (3) Alternative dispute resolution techniques or processes should 
not be adopted arbitrarily but rather should be based upon a 
determination that use of a particular technique is warranted in the 
context of a particular claim or claims, and that such use will 
materially contribute to the prompt, fair, and efficient resolution of 
the claims. If alternative dispute resolution techniques will not 
materially contribute to the prompt, fair, and efficient resolution of 
claims, the dispute resolution processes otherwise used pursuant to 
these regulations shall be the preferred means of seeking resolution of 
such claims.
    (b) Alternative dispute resolution--(1) Case-by-case. In order to 
use, and before using, any alternative dispute resolution technique or 
process to facilitate the prompt resolution of disputes that are in 
excess of the agency's delegated authority, an agency may use the 
following procedure to obtain written approval from the Attorney 
General, or his or her designee, to compromise a claim or series of 
related claims.
    (i) A request for settlement authority under paragraph (b)(1) of 
this section shall be directed to the Director, Torts Branch, Civil 
Division, Department of Justice, (``Director'') and shall contain 
information justifying the request, including:
    (A) The basis for concluding that liability exists under the FTCA;
    (B) A description of the proposed alternative dispute resolution 
technique or process and a statement regarding why this proposed form of 
alternative dispute resolution is suitable for the claim or claims;
    (C) A statement reflecting the claimant's or claimants' consent to 
use of the proposed form of alternative dispute resolution, indicating 
the proportion of any additional cost to the United States from use of 
the proposed alternative dispute resolution technique or process that 
shall be borne by the claimant or claimants, and specifying the manner 
and timing of payment of that proportion to be borne by the claimant or 
claimants;
    (D) A statement of how the requested action would facilitate use of 
an alternative dispute resolution technique or process;
    (E) An explanation of the extent to which the decision rendered in 
the alternative dispute resolution proceeding would be made binding upon 
claimants; and,
    (F) An estimate of the potential range of possible settlements 
resulting from use of the proposed alternative dispute resolution 
technique.
    (ii) The Director shall forward a request for expedited settlement 
action under paragraph (b)(1)(i) of this section, along with the 
Director's recommendation as to what action should be taken, to the 
Department of Justice official who has authority to authorize settlement 
of the claim or related claims. If that official approves the request, a 
written authorization shall be promptly forwarded to the requesting 
agency.
    (2) Delegation of authority. Pursuant to, and within the limits of, 
28 U.S.C. 2672, the head of an agency or his or her designee may request 
delegations of authority to make any award, compromise, or settlement 
without the prior written approval of the Attorney General or his or her 
designee in excess of the agency's authority. In considering whether to 
delegate authority pursuant to 28 U.S.C. 2672 in excess of previous 
authority conferred upon the agency, consideration shall be given to:

[[Page 257]]

    (i) The extent to which the agency has established an office whose 
responsibilities expressly include the administrative resolution of 
claims presented pursuant to the Federal Tort Claims Act;
    (ii) The agency's experience with the resolution of administrative 
claims presented pursuant to 28 U.S.C. 2672;
    (iii) The Department of Justice's experiences with regard to 
administrative resolution of tort claims arising out of the agency's 
activities.
    (c) Monetary authority. An award, compromise, or settlement of a 
claim by an agency under 28 U.S.C. 2672, in excess of $25,000 or in 
excess of the authority delegated to the agency by the Attorney General 
pursuant to 28 U.S.C. 2672, whichever is greater, shall be effected only 
with the prior written approval of the Attorney General or his or her 
designee. For purposes of this paragraph, a principal claim and any 
derivative or subrogated claim shall be treated as a single claim.
    (d) Limitations on settlement authority--(1) Policy. An 
administrative claim may be adjusted, determined, compromised, or 
settled by an agency under 28 U.S.C. 2672 only after consultation with 
the Department of Justice when, in the opinion of the agency:
    (i) A new precedent or a new point of law is involved; or
    (ii) A question of policy is or may be involved; or
    (iii) The United States is or may be entitled to indemnity or 
contribution from a third party and the agency is unable to adjust the 
third party claim; or
    (iv) The compromise of a particular claim, as a practical matter, 
will or may control the disposition of a related claim in which the 
amount to be paid may exceed $25,000 or may exceed the authority 
delegated to the agency by the Attorney General pursuant to 28 U.S.C. 
2672, whichever is greater.
    (2) Litigation arising from the same incident. An administrative 
claim may be adjusted, determined, compromised, or settled by an agency 
under 28 U.S.C. 2672 only after consultation with the Department of 
Justice when the agency is informed or is otherwise aware that the 
United States or an employee, agent, or cost-plus contractor of the 
United States is involved in litigation based on a claim arising out of 
the same incident or transaction.
    (e) Procedure. When Department of Justice approval or consultation 
is required, or the advice of the Department of Justice is otherwise to 
be requested, under this section, the written referral or request of the 
Federal agency shall be directed to the Director at any time after 
presentment of a claim to the Federal agency, and shall contain:
    (1) A short and concise statement of the facts and of the reasons 
for the referral or request;
    (2) Copies of relevant portions of the agency's claim file; and
    (3) A statement of the recommendations or views of the agency.

[Order No. 1591-92, 57 FR 21738, May 22, 1992]



Sec. 14.7  [Reserved]



Sec. 14.8  Investigation and examination.

    A Federal agency may request any other Federal agency to investigate 
a claim filed under section 2672, title 28, U.S. Code, or to conduct a 
physical examination of a claimant and provide a report of the physical 
examination. Compliance with such requests may be conditioned by a 
Federal agency upon reimbursement by the requesting agency of the 
expense of investigation or examination where reimbursement is 
authorized, as well as where it is required, by statute or regulation.



Sec. 14.9  Final denial of claim.

    (a) Final denial of an administrative claim shall be in writing and 
sent to the claimant, his attorney, or legal representative by certified 
or registered mail. The notification of final denial may include a 
statement of the reasons for the denial and shall include a statement 
that, if the claimant is dissatisfied with the agency action, he may 
file suit in an appropriate U.S. District Court not later than 6 months 
after the date of mailing of the notification.
    (b) Prior to the commencement of suit and prior to the expiration of 
the 6-month period provided in 28 U.S.C. 2401(b), a claimant, his duly 
authorized agent, or legal representative, may file a written request 
with the agency for reconsideration of a final denial of a

[[Page 258]]

claim under paragraph (a) of this section. Upon the timely filing of a 
request for reconsideration the agency shall have 6 months from the date 
of filing in which to make a final disposition of the claim and the 
claimant's option under 28 U.S.C. 2675(a) shall not accrue until 6 
months after the filing of a request for reconsideration. Final agency 
action on a request for reconsideration shall be effected in accordance 
with the provisions of paragraph (a) of this section.

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



Sec. 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 by the head of the 
Federal agency concerned out of the appropriations available to that 
agency. Payment of an award, compromise, or settlement in excess of 
$2,500 shall be obtained by the agency by forwarding Standard Form 1145 
to the Claims Division, General Accounting Office. When an award is in 
excess of $25,000, or in excess of the authority delegated to the agency 
by the Attorney General pursuant to 28 U.S.C. 2672, whichever is 
greater, Standard Form 1145 must be accompanied by evidence that the 
award, compromise, or settlement has been approved by the Attorney 
General or his designee. When the use of Standard Form 1145 is required, 
it shall be executed by the claimant, or it shall be accompanied by 
either a claims settlement agreement or a Standard Form 95 executed by 
the claimant. When a claimant is represented by an attorney, the voucher 
for payment shall designate both the claimant and his attorney as 
payees; the check shall be delivered to the attorney, whose address 
shall appear on the voucher.
    (b) Acceptance by the claimant, his agent, or legal representative, 
of any award, compromise or settlement made pursuant 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 whose behalf or for whose benefit the claim has been 
presented, and shall constitute a complete release of any claim against 
the United States and against any employee of the Government whose act 
or omission gave rise to the claim, by reason of the same subject 
matter.

[Order No. 371-66, 31 FR 16616, Dec. 29, 1966, as amended by Order No. 
834-79, 44 FR 33399, June 11, 1979; Order No. 1591-92, 57 FR 21740, May 
22, 1992]



Sec. 14.11  Supplementing regulations.

    Each agency is authorized to issue regulations and establish 
procedures consistent with the regulations in this part.

        Appendix to Part 14--Delegations of Settlement Authority

      Delegation of Authority to the Secretary of Veterans Affairs

             Section 1. Authority to compromise tort claims.

    (a) The Secretary of Veterans Affairs shall have the authority to 
adjust, determine, compromise and settle a claim involving the United 
States Department of Veterans Affairs under section 2672 of title 28, 
United States Code, relating to the administrative settlement of federal 
tort claims, if the amount of the proposed adjustment, compromise, or 
award does not exceed $200,000. When the Secretary of Veterans Affairs 
believes a claim pending before him presents a novel question of law or 
of policy, he shall obtain the advice of the Assistant Attorney General 
in charge of the Civil Division.
    (b) The Secretary of Veterans Affairs may redelegate in writing the 
settlement authority delegated to him under this section.

                         Section 2. Memorandum.

    Whenever the Secretary of Veterans Affairs settles any 
administrative claim pursuant to the authority granted by section 1 for 
an amount in excess of $100,000 and within the amount delegated to him 
under section 1, a memorandum fully explaining the basis for the action 
taken shall be executed. A copy of this memorandum shall be sent to the 
Director, FTC Staff, Torts Branch of the Civil Division.

            Delegation of Authority to the Postmaster General

             Section 1. Authority to compromise tort claims.

    (a) The Postmaster General shall have the authority to adjust, 
determine, compromise and settle a claim involving the Postal Service 
under section 2672 of title 28, United

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States Code, relating to the administrative settlement of federal tort 
claims, if the amount of the proposed adjustment, compromise, or award 
does not exceed $200,000. When the Postmaster General believes a claim 
pending before him presents a novel question of law or of policy, he 
shall obtain the advice of the Assistant Attorney General in charge of 
the Civil Division.
    (b) The Postmaster General may redelegate in writing the settlement 
authority delegated to him under this section.

                         Section 2. Memorandum.

    Whenever the Postmaster General settles any administrative claim 
pursuant to the authority granted by section 1 for an amount in excess 
of $100,000 and within the amount delegated to him under section 1, a 
memorandum fully explaining the basis for the action taken shall be 
executed. A copy of this memorandum shall be sent to the Director, FTCA 
Staff, Torts Branch of the Civil Division.

           Delegation of Authority to the Secretary of Defense

             Section 1. Authority to compromise tort claims.

    (a) The Secretary of Defense shall have the authority to adjust, 
determine, compromise and settle a claim involving the United States 
Department of Defense under section 2672 of title 28, United States 
Code, relating to the administrative settlement of federal tort claims, 
if the amount of the proposed adjustment, compromise, or award does not 
exceed $200,000. When the Secretary of Defense believes a claim pending 
before him presents a novel question of law or of policy, he shall 
obtain the advice of the Assistant Attorney General in charge of the 
Civil Division.
    (b) The Secretary of Defense may redelegate in writing the 
settlement authority delegated to him under this section.

                         Section 2. Memorandum.

    Whenever the Secretary of Defense settles any administrative claim 
pursuant to the authority granted by section 1 for an amount in excess 
of $100,000 and within the amount delegated to him under section 1, a 
memorandum fully explaining the basis for the action taken shall be 
executed. A copy of this memorandum shall be sent to the Director, FTCA 
Staff, Torts Branch of the Civil Division.

       Delegation of Authority to the Secretary of Transportation

             Section 1. Authority to compromise tort claims.

    (a) The Secretary of Transportation shall have the authority to 
adjust, determine, compromise and settle a claim involving the United 
States Department of Transportation under section 2672 of title 28, 
United States Code, relating to the administrative settlement of federal 
tort claims, if the amount of the proposed adjustment, compromise, or 
award does not exceed $100,000. When the Secretary of Transportation 
believes a claim pending before him presents a novel question of law or 
of policy, he shall obtain the advice of the Assistant Attorney General 
in charge of the Civil Division.
    (b) The Secretary of Transportation may redelegate in writing the 
settlement authority delegated to him under this section.

                         Section 2. Memorandum.

    Whenever the Secretary of Transportation settles any administrative 
claim pursuant to the authority granted by section 1 for an amount in 
excess of $50,000 and within the amount delegated to him under section 
1, a memorandum fully explaining the basis for the action taken shall be 
executed. A copy of this memorandum shall be sent to the Director, FTCA 
Staff, Torts Branch of the Civil Division.

[Order No. 1302-88, 53 FR 37753, Sept. 28, 1988, as amended by Order No. 
1471-91, 56 FR 4943, Feb. 7, 1991; Order No. 1482-91, 56 FR 12846, Mar. 
28, 1991; Order No. 1583-92, 57 FR 13320, Apr. 16, 1992; 58 FR 36867, 
July 9, 1993; 61 FR 66220, Dec. 17, 1996]

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