Collins v. United States

996 F.3d 102

Michael COLLINS, Plaintiff-Appellant,

v.UNITED STATES of America, Defendant-Appellee,Michael R. Scholl, Defendant.

No. 20-2021-cv

August Term 2020

United States Court of Appeals, Second Circuit.

Argued: January 7, 2021

Decided: April 30, 2021

Michael V. DeSantis (Adam Nicolazzo, on the brief), Kaufman, Dolowich & Voluck, LLP, Woodbury, New York, for Plaintiff-Appellant.

Megan Freismuth, Assistant United States Attorney (Varuni Nelson, Rachel G. Balaban, Assistant United States Attorneys, on the brief), for Mark J. Lesko, Acting United States Attorney for the Eastern District of New York, Brooklyn, New York, for Defendant-Appellee.

Before: Calabresi, Raggi, and Chin, Circuit Judges.

Reena Raggi, Circuit Judge:

Early on the morning of October 25, 2017, a United States Postal Service ("USPS") truck traveling on Jericho Turnpike in Huntington, Long Island, struck a pedestrian, plaintiff Michael Collins, fracturing his left knee and six ribs. Pursuant to the Federal Torts Claims Act ("FTCA"), see 28 U.S.C. §§ 1346(b)(1), 2671 et seq. , Collins sought compensation for his injuries, first administratively, and then by filing this action in the United States District Court for the Eastern District of New York (Sandra J. Feuerstein, J. ). He now appeals from a judgment entered in that court on May 26, 2020, dismissing his action for lack of subject matter jurisdiction. See Fed. R. Civ. P. 12(b)(1), (h)(3). Specifically, Collins challenges the district court's finding that he failed to satisfy the FTCA's administrative exhaustion requirement because, in presenting his claim for USPS review, he did not "provide enough information to permit the agency to conduct an investigation and to estimate the claim's worth," as required by this court's precedent. Collins v. U.S. Postal Serv. , 462 F. Supp. 3d 231, 237, 241 (E.D.N.Y. 2020) (quoting Romulus v. United States , 160 F.3d 131, 132 (2d Cir. 1998) ).

We agree that the district court erred in finding Collins's presentment inadequate. The FTCA's jurisdictional presentment prerequisite is one of notice, not proof. While this requirement demands more than a conclusory assertion of claims, it does not necessarily require that a claimant provide an agency with supporting evidence. Rather, the presentment requirement mandates that the claimant present the agency with sufficient information—whether through narrative, evidence, or other means—to alert the agency to the basis for his claim, the nature of his injuries, and the amount of damages sought so that the agency can proceed to investigate its liability and value the claim in order to assess the advisability of settlement. Because Collins here presented information sufficient to provide such notice, we reverse the dismissal of his FTCA action and remand with directions to reinstate his complaint.

BACKGROUND¹

I. A USPS Truck Hits Collins

At approximately 5 a.m. on October 25, 2017, USPS employee Michael Scholl was driving a USPS truck—specifically, a Mack tractor-trailer—on Jericho Turnpike in Huntington, Long Island, when he hit pedestrian Michael Collins.

Suffolk County police officers and a USPS investigator responded to the accident scene. The USPS investigator reported that the accident happened when Scholl, after stopping for a traffic light at Melville Avenue, proceeded east about 30 yards on Jericho Turnpike and hit a pedestrian who was "just standing ... on Jericho [Turnpike] ... in the dark." App'x at 63. The police reported Scholl stating that he had not seen Collins standing in the road when he hit him. See id. at 55. The police further reported Collins stating that he had been at a friend's home smoking "weed" and doing "shots of [J]ameson" prior to the accident. Id.

Collins was transported to Huntington Hospital where a battery of tests identified various injuries, among them six rib fractures and a fracture of the medial femoral condyle in his left knee.² On October 26, 2017, doctors operated on Collins's knee, inserting three screws into the broken bone. When Collins was discharged on October 30, 2017, hospital notes document his need for personal assistance with various life activities, a number of prescription medications, and acute rehabilitation therapy.

Apparently, Collins's recovery did not go smoothly, and he developed infections requiring further hospitalization from November 12, 2017, to December 26, 2017, and then again in June 2018.

II. Collins's Standard Form 95 Claim for Compensation

On December 15, 2017—i.e. , while Collins was hospitalized for a second time—his attorney filed an administrative FTCA claim for compensation using the government's prescribed Standard Form 95 ("Form 95"). See 39 C.F.R. § 912.5. In response to inquiries on the form, counsel stated, as relevant here, that the "Date" and "Time" of the injury at issue were "10/25/17" at "5:04 a.m.," and that the "Basis of Claim" was as follows:

Claimant, a pedestrian, was struck and seriously injured as a result of a vehicle/tractor trail[e]r driven by a U.S. Post Office employee (named Michael Scholl) that came into contact with claimant. Incident occurred on E. Jericho Turnpike approximately 100 feet east of Melville Road, Town of Huntington, County of Suffolk, NY.

App'x at 78.

Counsel further stated that Collins sought "$10,000,000" compensation for "personal injury," detailed as follows: "fractured left knee; 6 rib fractures (3 front, 3 back); left elbow, exposed bone and/or fracture; head; chest, including chest infection; equilibrium issues; blood infection." Id. In both the Form 95 and an accompanying transmittal letter, counsel reported that Collins was then in the hospital—specifically in the intensive care unit—receiving treatment related to the claimed injuries. Collins's counsel also submitted bills showing his client's $42,785.92 indebtedness to Huntington Hospital for specified and unspecified services rendered from October 25 to October 30, 2017. Among these were a $3,795.50 bill for "critical care," "hospital care," and "initial inpatient consult[s]," and a $4,238.00 bill for "anesthesia services" provided by Dr. Cory Schneider. Id. at 474–75.

III. Ensuing Correspondence

By response letter dated January 8, 2018, a USPS claims examiner confirmed the agency's December 29, 2017 receipt of Collins's Form 95 and advised that she was "reviewing" his claim to determine "any legal liability" on the part of USPS. Id. at 84.³ The examiner stated that Collins's claim would be "adjudicated as soon as possible," noting that USPS "ha[d] six months from December 29, 2017," to do so. Id. ; see 28 U.S.C. § 2675(a). The examiner did not then indicate that Collins's Form 95 claim was deficient in any way. Nor did she request any further information. Rather, she advised that "any additional information you wish to submit that would be helpful in the review of this matter" should be directed to her attention. App'x at 84 (emphasis added).

Subsequently, in support of USPS's motion to dismiss this action, the examiner professed to having had "several discussions with and sent letters to plaintiff's attorneys regarding the need for medical documentation needed in order to fully evaluate plaintiff's claim." Id. at 75. The next documented communication from USPS, however, is not until June 2018. Well before that, on February 23, 2018, Collins's attorney sent USPS "a HIPAA authorization for Huntington Hospital" to release to USPS all Collins's medical records from "10/25/17" to the "present."⁴

Id. at 443–44. Counsel also sent a February 2, 2018 bill from Huntington Hospital, itemizing $65,015.76 in services for Collins's October hospitalization.⁵ Counsel advised that "once this firm receives more items/information that can assist you in your evaluation (such as further medical records), then we will forward them to you as well." Id. at 443.

The next documented communication between the parties is an April 3, 2018 letter from Collins's counsel to USPS transmitting his client's complete Huntington Hospital medical records—totaling over 300 pages—covering October 25–30, 2017. Counsel advised that he was still awaiting other hospital records, which he would forward to USPS upon receipt.

It was not until June 12, 2018—approximately two weeks before the expiration of the six-month period for decision referenced in USPS's January 8, 2018 letter and mandated by 28 U.S.C. § 2675(a) —that the examiner sent Collins's counsel a letter stating that she needed more information "to properly evaluate his claim." Id. at 69. She requested "the ambulance report, complete records from the hospitalization, and records for treatment Mr. Collins received after 10/30/2017 along with all medical billings, no fault payment log, and documentation regarding any outstanding liens." Id. ; see 39 C.F.R. § 912.7(b).

Collins's counsel responded promptly by letter dated June 19, 2018. He advised that he had already sent USPS some of the requested materials, specifically, the ambulance report, Collins's full medical records from his October 25–30, 2017 hospitalization, and the $65,015.76 bill from that hospitalization. Counsel reported that Collins was not receiving any no-fault benefits. Further, he identified by name and address those treating persons and entities from whom he was still awaiting records and bills.⁶ Counsel also supplemented Collins's Form 95 with a more particular description of his injuries.⁷ Finally, counsel advised that Collins was again hospitalized to treat an infection stemming from his October surgery, and "reserve[d] the right to further supplement [Collins's] claim" upon anticipated receipt of "an abundance of medical records." Id. at 71–72.

The record reveals no further communication by USPS before August 22, 2018, when Collins commenced this FTCA action in the district court. Three weeks later, by letter dated September 12, 2018, USPS formally denied Collins's administrative claim. The stated reason was as follows:

Despite our discussions regarding additional

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