GRASSO, J.
Does the "claimant" in a presentment that asserts a claim for wrongful death under the Massachusetts Tort Claims Act, G. L. c. 258, § 4, inserted by St. 1978, c. 512, § 4 (Act), permissibly include someone who is not a duly appointed executor or administrator? We conclude that it does not. This is an appeal from the dismissal of a wrongful death action against Tewksbury State Hospital and the Commonwealth under the Act. A judge of the Superior Court dismissed the complaint on
1. Background. Steven J. Gavin died on August 11, 2008, from a bacterial infection allegedly due to the improper reinsertion of a feeding tube and improper monitoring by physicians and staff at Tewksbury State Hospital. At the time of his death, Gavin left two teenage children as his heirs at law and next of kin. Gavin also left a will naming his father, James Thomas Gavin (Thomas), and his mother, Mary Gavin (Mary), as coexecutors of his estate.
On July 21, 2010, an attorney sent a presentment letter to the chief executive officer of the hospital, and to the Attorney General, demanding relief under the Act on behalf of "the Estate of Steven Gavin and his individual children." The presentment letter set forth in detail the basis of the claim of wrongful death. At the time of the presentment, no Probate and Family Court filings had occurred, and no executor or administrator of Gavin's estate had been appointed.
On August 30, 2010, Maureen McGee, general counsel of the Executive Office of Health and Human Services, replied to the presentment letter, confirming that the office had received it from the Attorney General
On May 4, 2011, the defendants moved to dismiss the complaint pursuant to Mass.R.Civ.P. 12(b)(6), 365 Mass. 754 (1974), asserting two grounds, each of which derived from the failure of appointment of a legal representative authorized to institute a wrongful death action. The defendants asserted that (1) there was no duly appointed personal representative of the estate empowered to bring suit, and (2) the presentment pursuant to
After hearing on July 19, 2011, the motion judge allowed the defendants' motion to dismiss and denied the plaintiff's motion to amend. The judge reasoned that the plaintiff's presentment was deficient because it was not that of a "claimant," an executor or administrator with the capacity to commence suit or settle the wrongful death claim. We agree. The failure of an authorized claimant to make a presentment within the two-year period prescribed by G. L. c. 258, § 4, was a fundamental obstacle to suit under the Act.
Even beyond that impediment, an independent justification existed for dismissal of the action as it stood before the Superior Court judge: the complaint for wrongful death was not brought by the duly authorized executor or administrator on behalf of the heirs at law and next of kin. See MacDonald v. Moore, 358 Mass. 801, 801 (1970) (no action may be brought under wrongful death statute, G. L. c. 229, § 2, "unless it is brought by the decedent's executor or administrator"). Only an executor appointed under G. L. c. 192, § 4, may bring a wrongful death action, not a temporary executor appointed pursuant to G. L. c. 192, § 14. See Marco v. Green, 415 Mass. 732, 736-737 (1993) (G. L. c. 192, § 14, limits ability of temporary executor to bring legal action and only executor appointed under G. L. c. 192, § 4, may bring wrongful death action). Thus, even had the presentment been proper, on the record before the motion judge,
2. Discussion. General Laws c. 258 establishes a special procedure for claimants to bring tort claims against governmental entities that previously were barred by sovereign immunity. See Audette v. Commonwealth, 63 Mass.App.Ct. 727, 734-735 (2005) (Act abolished general sovereign immunity while retaining Commonwealth's immunity for certain stated types of actions). As pertinent here, G. L. c. 258, § 4, inserted by St. 1978, c. 512, § 4, provides:
Although not jurisdictional, proper presentment is a condition precedent to bringing suit under the Act. See Vasys v. Metropolitan Dist. Commn., 387 Mass. 51, 52, 56 (1982). While it is tempting to view the presentment requirements as mere technicalities, presentment serves important public purposes, including ensuring that the responsible public official receives timely notice so that he can (1) investigate to determine whether a claim is valid, (2) settle valid claims expeditiously and preclude payment of inflated or nonmeritorious claims, and (3) take steps
The parties do not dispute that Gavin's death on August 11, 2008, triggered commencement of the two-year presentment period, and that proper presentment must have occurred by August 11, 2010. Nor do the parties dispute that the July 21, 2010, letter from the attorney was timely, see Weaver v. Commonwealth, supra at 45; was directed to the appropriate executive officer of the public employer, see Lodge v. District Attorney of the Suffolk Dist., supra at 279-281; and was sufficiently detailed to identify the legal basis of the claimed wrong. See Gilmore v. Commonwealth, 417 Mass. 718, 723 (1994); Martin v. Commonwealth, supra at 528-529. The sole disputed issue is whether the presentment was that of a "claimant" within the meaning of the Act. We agree with the motion judge that it was not.
Unlike other terms in G. L. c. 258, § 4, "claimant" is not defined in the Act. See G. L. c. 258, § 1. "When the words of a statute are clear, they are to be given their ordinary and natural meanings. If the meanings are unclear, the statute must be interpreted according to the intent of the Legislature ascertained from all its words construed by the ordinary and approved usage of the language, considered in connection with the cause of its enactment, the mischief or imperfection to be remedied and
With these principles in mind, we conclude that a "claimant" under the Act must be someone with the legal capacity to make the "claim." The power to negotiate, arbitrate, compromise, or settle the claim derives from the power to maintain it in the first instance. See Marco v. Green, 415 Mass. at 735 n.9. In most cases, the "claimant" will be the person injured, acting personally or through an attorney. Consequently, the public employer will know with whom it must deal to further the statutory purposes of presentment. The situation differs when the "claimant" is deceased.
Here, the claimant was not the duly appointed executor or administrator of Gavin's estate. In consequence, a condition precedent to suit under the Act was not met. See Vasys v. Metropolitan Dist. Commn., 387 Mass. at 52. The subsequent appointment of an executor or administrator did not, and could not, timely cure that failed presentment. "[T]he relation back principles of Mass.R.Civ.P. 15(c) ... have no application to the presentment requirement of the Act." Weaver v. Commonwealth, 387 Mass. at 48.
We reject any suggestion that the Commonwealth's response lulled the plaintiff into a false sense of security that its presentment
The judge did not err in concluding that the presentment was improper because the claimant lacked the legal capacity to make a presentment for wrongful death. Apart from the failure of presentment, the complaint for wrongful death also could not properly be maintained and was subject to dismissal because it had not been brought by the duly authorized executor or administrator on behalf of the heirs at law and next of kin as required by statute. The judgment dismissing the complaint is affirmed.
So ordered.
AGNES, J. (dissenting).
The outcome of this appeal turns principally on the proper interpretation of the word "claimant" as it appears in the first sentence of G. L. c. 258, § 4, inserted by St. 1978, c. 512, § 4, the Massachusetts Tort Claims Act (Act). That sentence reads in part as follows: "A civil action shall not be instituted against a public employer on a claim for damages under this chapter unless the claimant shall have first presented his claim in writing to the executive officer of such public employer within two years after the date upon which the cause of action arose...."
The reasoning of the majority, in my view, is contrary to the express direction by the Legislature to construe the provisions of the Act "liberally" to accomplish its dual purposes, namely, "to allow plaintiffs with valid causes of action to recover in negligence against governmental entities," and to provide government with the ability to pay "only those claims ... which are valid in amounts which are reasonable and not inflated." Vasys v. Metropolitan Dist. Commn., 387 Mass. 51, 57 (1982), citing St. 1978, c. 512, § 18. In the present case, the responsible public officer had timely notice of an alleged wrongful death due to the negligence of a public employee or employees and ample documentation of the theory of liability. The conclusion reached by the majority that the written presentment was nonetheless defective finds no support in the numerous cases which have applied and explained the purposes of G. L. c. 258, § 4, and collides with the overarching understanding that the Act "is not intended to afford an arbitrary or trick means of saving governmental entities from their just liabilities." Carifio v. Watertown, 27 Mass.App.Ct. 571, 576 (1989). Accordingly, I respectfully dissent.
In order to understand why the presentment letter filed by the plaintiff in this case complied fully with the requirements of G. L. c. 258, § 4, it is necessary to relate additional background about this case.
Additional background. On or about July 21, 2010, the plaintiff's counsel sent a letter, by certified mail, to the Attorney General and the chief executive officer of the Tewksbury
Shortly thereafter, and one week before the expiration of the two-year period within which a plaintiff who wishes to bring suit against a public employer, like the Tewksbury State Hospital, must file a written presentment of his claim, see G. L. c. 258, § 4, the plaintiff's counsel received a copy of a letter from the Attorney General's office. It was directed to the general counsel of the Executive Office of Health and Human Services, enclosing a copy of the July, 2010, presentment letter and requesting that the general counsel "investigate this claim and notice this Office of the results in accordance with the Attorney General's Presentment Procedures for Agencies of the Commonwealth (June 30, 2001)." About one month later, on August 30, 2010,
On or about March 22, 2011, having not received any further communication from the Attorney General or from the general counsel of the Executive Office of Health and Human Services, plaintiff's counsel followed the recommendation made in the letter from the general counsel and filed the lawsuit that is the subject of this appeal.
There was compliance with G. L. c. 258, § 4. I agree with the majority that written presentment in a timely manner to the proper public employer "is mandatory to permit the responsible executive officers to investigate, negotiate, and settle claims." Martin v. Commonwealth, 53 Mass.App.Ct. 526, 529 (2002). However, the majority overstates the significance of judicial language in Weaver v. Commonwealth, 387 Mass. 43, 49 (1982), that requires strict compliance with the law. In that case, the court held that a violation of G. L. c. 258, § 4, consisting of a presentment made to the wrong public employer will not be excused even in the absence of an affirmative showing by the Commonwealth that it was prejudiced. Also, in Bellanti v. Boston Pub. Health Commn., 70 Mass.App.Ct. 401, 406 (2007), cited as well by the majority, the presentment was similarly defective because it was sent to the wrong public employer.
As we noted in Martin v. Commonwealth, supra at 528-529,
First, the presentment letter filed by plaintiff's counsel in this case states that he represents the "Estate of Steven Gavin" as well as "his individual children, Stephanie and Jessica." Under Massachusetts law, the children are the persons entitled to recover damages for the wrongful death of their father. See G. L. c. 229, §§ 1 & 2.
Second, I believe the majority's reasoning is at odds with the Massachusetts tradition, now embodied in Mass.R.Civ.P. 15(c), 365 Mass. 761 (1974); Mass.R.Civ.P. 17(a), as amended, 454 Mass. 1401 (2009); and G. L. c. 231, § 51, that actions that are not commenced in the name of the party in interest or who is required to bring the action shall not be dismissed until a reasonable amount of time is allowed after objection for the deficiency to be corrected. It is true that this liberal policy allowing the relation back of amendments to the pleadings and the substitution of parties has been described as not applicable to the requirement of a written presentment. See Weaver v. Commonwealth, 387 Mass. at 48. However, there is no indication in that case, where the presentment was not filed with the correct public employer, that in declining to apply the relation back doctrine, the Supreme Judicial Court was referring to anything other than the requirement that the claimant must give timely notice of the claim to the correct public employer. It
Third, the predominant view of Federal courts which have considered how to apply the administrative claim provision set forth in 28 U.S.C. § 2675(a) (2006)
Recommended disposition. For the foregoing reasons, the presentment letter filed by plaintiff's counsel on July 21, 2010, was timely, substantively detailed, directed to the proper public employer, and, I believe, otherwise adequate in identifying the claimant to the extent required by G. L. c. 258, § 4. For this reason, I believe the judge erred in allowing the defendant's motion to dismiss. I would order the judgment vacated and remand the matter to permit the plaintiff to file another motion to amend the complaint under Mass.R.Civ.P. 15(c), and 17(a), and G. L. c. 231, § 51.
If, as I have suggested, the judge was in error in allowing the motion to dismiss on grounds that the presentment letter was defective, the question arises whether we should vacate the judgment because, as the majority points out, the record before the judge at the time the motion to dismiss was allowed did not reflect that a duly appointed executor of the estate capable of prosecuting a wrongful death action had been appointed. Ante at 141. The majority reasons that the decision below should be affirmed because the trial judge could have dismissed the case on alternative grounds (lack of duly appointed executor or administrator at the time of the hearing). Ante at 141-142. I do not believe an appellate court is duty bound to affirm a judgment for reasons other than those given by the judge in these circumstances. Compare Hawthorne's, Inc. v. Warrenton Realty, Inc., 414 Mass. 200, 210 n.6 (1993).
The material facts in this case may have changed between the motion hearing held on July 19, 2011, and the decisions made by the judge on November 21 and November 25, 2011. The reply brief filed by the plaintiff includes a copy of a decree of the Middlesex Division of the Probate and Family Court Department which indicates that James and Mary were appointed coexecutors of the estate of Gavin on July 27, 2011, after the date of the hearing on the defendant's motion to dismiss but prior to the judge's ruling dismissing the plaintiff's motion to amend on grounds of futility. The reply brief also contains what purports to be a copy of a letter from counsel for the plaintiff to the judge dated July 27, 2011, enclosing a copy of the appointment of James and Mary as coexecutors. The reply brief states that the appointment of the parents as coexecutors occurred on July 27, 2012, but I take that to be a typographical error.
Even if James and Mary were appointed as coexecutors on July 27, 2011, as the plaintiff maintains, I do not know if that fact was ever brought to the attention of the judge prior to November, 2011. There is no indication that after the judge's two decisions there was a motion for reconsideration filed by the plaintiff. Nevertheless, if, as the plaintiff maintains, James and Mary were duly appointed as coexecutors as early as July 27, 2011, a factual basis for a motion to amend the complaint existed prior to the running of the statute of limitations and prior to the judge's order dismissing the complaint for noncompliance with G. L. c. 258, § 4. Therefore, if, as I have suggested, the judge was in error in allowing the motion to dismiss on grounds that the presentment letter was defective and the case is remanded, the plaintiff could file another motion to amend and appeal to the judge's discretionary authority to act "in the interests of justice." See G. L. c. 231, § 51; Mass.R.Civ.P. 15(c), 17(a). See Henderson v. D'Annolfo, 15 Mass.App.Ct. 413, 428 (1983) ("Where there are no allegations of unfair surprise or prejudice, we are not inclined to dismiss an action because of a possible technical defect in pleading ..., particularly where ... there is ample reason to view the named plaintiff as the real party in interest [and even if the plaintiff were not,] we would permit amendment of the complaint"). I do not believe this court should deprive the plaintiff of an exercise of the judge's discretion in these circumstances.