Opinion ID: 779235
Heading Depth: 2
Heading Rank: 4

Heading: Claim for Lost Wages

Text: 18 Blair submitted his claim on a Form 95 as suggested in the regulations. In completing item number 10, which pertains to a claim for personal injuries, he referenced an attachment that provided the requisite description of the nature and extent of his injuries. In item number 11, he also referred to the attachment as providing the names of witnesses. Item number 12 is for the amount of the claim and provides four separate blocks, 12a for property damage, 12b for personal injury, 12c for wrongful death, and 12d for the total. Blair filled in only 12b for personal injury, referring again to his attachment. There was no need to fill in blocks for property damage or wrongful death since no claim was being made for them, and there was no need to fill in the total in 12d since the amount in 12b was obviously the total. 19 In the attachment Blair provided a sum certain for loss of wages, past and future, in the amount of $17,499,436, along with the details of how the amount was calculated. He also stated that medical expenses were still being incurred and did not specify a sum certain for his claim for past and future medical expenses. 20 It was conceded at oral argument that had Blair simply filled in block 12b with $17,499,436, without any further explanation, this would have fulfilled the jurisdictional requirement of providing a sum certain for his claim. The fact that the sum was stated in an attachment does not violate any statutory requirement, nor is it contrary to the regulation. Title 28 C.F.R. § 14.2 provides that the notification can be on a Form 95 or other written notification. 21 Thus, the sole basis for contending that jurisdiction is lacking is because of the added material concerning his claim for medical expenses. We held in Warren that one of the two requirements of § 2675(a) was a prior submission to the federal agency of a sum certain damage claim. Blair did submit to the IRS a sum certain damage claim for wage loss due to his injury. Having made a valid claim with a sum certain for wage loss, did the inclusion of material concerning medical expenses for which no sum certain was provided deprive the district court of jurisdiction to consider Blair's wage loss claim? We hold it did not. 22 Looking first at § 2675, it provides that a claim may not be instituted unless the claimant shall have first presented the claim to the appropriate federal agency and that an [a]ction under this section shall not be instituted for any sum in excess of the amount of the claim presented to the federal agency. § 2675(a)-(b). Thus, from the language of the statute, it is apparent that the requirements are that the claim be first presented to the federal agency and that the amount sought in court cannot exceed the amount of that claim. The objective of the statute is met by the claim for wage loss of $17,499,436. This would be the limit of the amount that could be sought in the federal action. In the action brought by Blair, he seeks compensatory damage according to proof. He would, of course, be limited in his proof to the $17 million figure for wage loss. 3 23 In this case, Blair has stated a definite amount for wage loss, which does qualify as a sum certain for the wage loss, but has also included a statement about medical expenses that does not qualify as a claim for a sum certain. We conclude that the purpose of the statute is best met by considering the latter as surplusage. This is the most in line with the spirit of the statute. We have previously noted that in enacting the claim presentation rule, Congress wanted to provide for more fair and equitable treatment of private individuals and claimants when they deal with the Government or are involved in litigation with their Government. Shipek v. United States, 752 F.2d 1352, 1354 (9th Cir.1985) (internal quotation marks omitted). It is fair and equitable to permit Blair to proceed with his claim for a sum certain in wage loss rather than mandating outright dismissal of a potentially meritorious claim because of an attachment that discusses medical expenses that do not qualify. This is best placed in focus when we consider that the claim would have qualified had Blair simply put the $17 million figure in box 12(b) with no explanation at all. 24 The Government contends that the requirement to state a sum certain in filing a claim with a federal agency has several important purposes. It notes that one of the purposes in enacting § 2675(a) was to ease court congestion and avoid unnecessary litigation, while making it possible for the Government to expedite the fair settlement of tort claims asserted against the United States. Shipek, 752 F.2d at 1354(internal quotation marks omitted). The Government contends that the requirement of a sum certain contributes to a realistic assessment of settlement possibilities. Frankly, it is difficult to see how placing a figure in block 12(b), which can be any figure, can contribute much to settlement without knowing the basis for the figure (as Blair sought to provide in his attachment). However, even assuming that is true, Blair did provide a sum certain for lost wages, which would be the limit of his claim in federal court. The Government also notes that the dollar amount offered pursuant to the sum certain requirement dictates (1) whether the claim may be settled by the agency without involving the Attorney General, see 28 U.S.C. § 2672 (providing that any award, compromise, or settlement in excess of $25,000 shall be effected only with the prior written approval of the Attorney General or his designee); (2) whether any payment on the claim will come from the agency's budget, see id. (stating that amounts of $2,500 or less shall be paid out of the agency's budget, while amounts in excess of $2,500 are satisfied out of separate funds); and (3) the total amount that a plaintiff may sue for if the claim is denied by the agency, see 28 U.S.C. § 2675(b). 25 All of these objectives are met by our ruling in this case. The claim for wage loss exceeds the $25,000 requirement for Attorney General involvement and the $2,500 cap on awards from agency budgets. Blair is limited in his federal suit to the sum certain specified for his wage loss. 26 The Government also contends that to allow jurisdiction in this case would conflict with our Ninth Circuit precedent. On four previous occasions we have held that a plaintiff did not satisfy the sum certain requirement when he did not state a specific dollar amount for his claim. See Bailey v. United States, 642 F.2d 344 (9th Cir.1981); Caidin v. United States, 564 F.2d 284 (9th Cir.1977); Caton v. United States, 495 F.2d 635 (9th Cir.1974); Avril v. United States, 461 F.2d 1090 (9th Cir.1972). However, none of these cases involved a claimant who stated a sum certain for a claim that was applicable to that claimant. In Caton and Avril, the claimants did not provide any dollar amount for their claims. See Caton, 495 F.2d at 636; Avril, 461 F.2d at 1091. In Caidin, the claimant stated a specific dollar amount, but the dollar amount applied to a class of claimants, not the claimant himself. See Caidin, 564 F.2d at 286. Thus, the claimant in Caidin essentially omitted any statement of his own damages. See id. at 287. Finally, in Bailey the claimant submitted bills and wage statements in lieu of a sum certain. See Bailey, 642 F.2d at 345-47. Avril, Caton, Caidin, and Bailey are readily distinguishable from this case in which Blair did present a sum certain for his claim for wage loss. 27 The Government also argues that waivers of immunity are to be strictly construed in favor of the government. See United States v. Williams, 514 U.S. 527, 531, 115 S.Ct. 1611, 131 L.Ed.2d 608 (1995). However, it is also well established that when the federal government waives its immunity, the scope of the waiver is construed to achieve its remedial purpose. In re Town & Country Home Nursing Servs., Inc., 963 F.2d 1146, 1151 (9th Cir.1991). As the Supreme Court has previously noted, [t]he exemption of the sovereign from suit involves hardship enough where consent has been withheld. We are not to add to its rigor by refinement of construction where consent has been announced. Block v. Neal, 460 U.S. 289, 298, 103 S.Ct. 1089, 75 L.Ed.2d 67 (1983) (internal quotation marks omitted). 4 28 The recognized purpose of the FTCA is to provide compensation to those injured by the government's torts. See Richards v. United States, 369 U.S. 1, 6, 82 S.Ct. 585, 7 L.Ed.2d 492 (1962). The claim presentation requirement of the FTCA is designed to ensure that compensation is provided in a fair and equitable manner, not to provide a basis for a regulatory checklist which, when not fully observed, permits the termination of claims regardless of their merits. Erxleben v. United States, 668 F.2d 268, 273 (7th Cir.1981) (quoting Koziol v. United States, 507 F.Supp. 87, 91 (N.D.Ill.1981)) (internal quotation marks omitted). In light of these statutory purposes and our duty to construe waivers of immunity in a way that meets their remedial goals, the Government cannot carry the day by invoking general maxims of judicial policy. Town & Country, 963 F.2d at 1152. Thus, we reject the Government's argument that the principles of sovereign immunity require district courts to dismiss suits in which an agency was presented with a specific amount for a specific claim.