Richardson, Roy Dale v. United States

                  United States Court of Appeals

               FOR THE DISTRICT OF COLUMBIA CIRCUIT

       Argued October 5, 1999     Decided October 22, 1999 

                           No. 98-5176

                      Roy Dale Richardson, 
                            Appellant

                                v.

                United States of America, et al., 
                            Appellees

                        Consolidated with 
                             98-5236

          Appeals from the United States District Court 
                  for the District of Columbia 
                         (No. 97cv01962)

                            ---------

     Kimberlee Cleaveland, Student Counsel, argued the cause 
as amicus curiae for appellant.  On the briefs were Steven H. 
Goldblatt, appointed by the court, and Todd Coltman, Nikhil 
Singhvi and Olivier Sylvain, Student Counsel.

     Roy Dale Richardson, appearing pro se, was on the briefs 
for appellant.

     Somesha Ferdinand, Attorney, U.S. Department of Justice, 
argued the cause for appellees. With her on the brief were 
David W. Ogden, Acting Assistant Attorney General, Jeffrey 
Axelrad and Mary McElroy Leach, Attorneys, and Wilma A. 
Lewis, U.S. Attorney.

     Before:  Edwards, Chief Judge, Wald and Williams, 
Circuit Judges.

     Opinion for the Court filed by Chief Judge Edwards.

     Edwards, Chief Judge:  Roy Richardson brought this action 
under the Federal Tort Claims Act ("FTCA") and Swine Flu 
Act for injuries allegedly suffered as a result of his 1976 
swine flu vaccination while serving in the United States Air 
Force.  The District Court dismissed Mr. Richardson's pro se 
complaint for lack of subject matter jurisdiction, holding that 
his allegation fell within the discretionary function exception 
to the FTCA.  See 28 U.S.C. s 2680(a) (1994).  Subsequently, 
the court denied Mr. Richardson's motion for reconsideration 
and for leave to amend the complaint.

     On the record before us, we find that Mr. Richardson 
effectively amended his complaint when he filed a timely 
response to the Government's motion to dismiss.  The amend-
ed complaint easily satisfied liberal pleading requirements, 
for it made clear that Mr. Richardson was not seeking 
compensation for tortious acts or omissions of military per-
sonnel, but, rather, for the vaccine manufacturer's alleged 
tortious conduct in producing a defective vaccine.  Indeed, 
Mr. Richardson specifically cited Hunt v. United States, 636 
F.2d 580 (D.C. Cir. 1980), in asserting that his claim was 
based on the defective or negligent manufacturing of the 
vaccine.  Because Mr. Richardson effectively amended his 
complaint to state a legitimate claim over which the District 
Court had subject matter jurisdiction, we must reverse the 
trial court's judgment dismissing his complaint.  In light of 
this holding, we have no need to reach Mr. Richardson's 
argument that the District Court abused its discretion by 

failing to grant him leave to amend his complaint after it was 
dismissed.

                          I. Background

     On November 19, 1976, while Roy Dale Richardson was on 
active duty with the U.S. Air Force at Tinker Air Force Base, 
in Oklahoma City, Oklahoma, military personnel ordered him 
to be vaccinated with the swine flu vaccine.  Richardson 
alleges that he suffered a "near toxic allergic reaction" to the 
vaccine, causing him to be hospitalized for four days, and that 
hospital tests conducted at that time revealed a "mitral valve 
leak" and hypertension.  See Complaint pp 11, 17, reprinted 
in App. to Br. of Amicus Curiae ("App.") 6-7.  Mr. Richard-
son was honorably discharged on May 16, 1977.

     Mr. Richardson claims that he did not become aware of the 
full extent of his vaccine-caused injuries until April 1995, at 
which time he was awarded Veteran's Administration disabili-
ty compensation.  He alleges that his injuries are varied, 
including kidney stones, numerous cardiovascular diseases, 
and possible leukoplakia.  On August 27, 1997, after filing 
sundry administrative complaints, Mr. Richardson filed this 
complaint pro se in District Court seeking damages and 
equitable relief under the FTCA and the Swine Flu Act.  In 
his initial complaint, he alleged that the United States was 
"negligent in this action, because the swine flu vaccine which 
was administered to the Plaintiff was double the recom-
mended dose for civilians or other non-military personnel."  
Id. p 18, reprinted in App. 8.

     On November 12, 1997, the United States moved to dismiss 
the action for lack of subject matter jurisdiction, making 
three arguments.  First, the United States argued that the 
Feres doctrine bars the claims under the FTCA.  See Feres v. 
United States, 340 U.S. 135, 146 (1950) (precluding FTCA 
liability for the Government for claims based on injuries that 
"arise out of or are in the course of activity incident to 
[military] service").  Alternatively, the Government argued 
that the FTCA's statute of limitations bars Mr. Richardson's 
claims.  Finally, the United States contended that the claims 

fall within the discretionary function exception to the FTCA, 
see 28 U.S.C. s 2680(a), because Mr. Richardson challenged 
discretionary policy-based decisions by asserting that the 
military negligently administered a double-dose of the vac-
cine.

     On December 9, 1997, Mr. Richardson filed a response to 
the Government's motion to dismiss.  He asserted that he did 
not seek compensation for tortious acts or omissions of mili-
tary personnel, but for the "vaccine manufacture's [sic] tor-
tious conduct, conduct that, absent the [Swine Flu] Act, would 
give rise to a claim assertable directly against the manufac-
turer."  Resp. to Def.'s Mot. to Dismiss at 2, reprinted in 
App. 38.  Mr. Richardson claimed that the vaccine manufac-
turer would be liable under local law absent the Swine Flu 
Act, because it "produced a defective vaccine."  See id. at 3, 
reprinted in App. 39.  Mr. Richardson denied basing his 
claim on "any military order" and instead argued that his 
claim was based on the defective or negligent manufacturing 
of the vaccine.  See id. at 3-4, reprinted in App. 39-40 (citing 
Hunt, 636 F.2d at 599 (holding that the Feres doctrine does 
not apply to Swine Flu Act claims alleging injury from 
negligently or defectively manufactured vaccine)).  Mr. Rich-
ardson also disputed the Government's argument regarding 
his compliance with the statute of limitations.

     On March 13, 1998, the District Court granted the Govern-
ment's motion to dismiss on the ground that the discretionary 
function exception barred the claim alleged in the original 
complaint, but the court dismissed the complaint without 
prejudice because the "basis for liability [alleged in the 
original pro se complaint] may have been nothing more than a 
pleading error."  Mem. Op. at 5, reprinted in App. 62.  The 
District Court noted that, in response to the Government's 
motion to dismiss, Mr. Richardson "broadly declares that he 
was vaccinated with defective serum, but he does not allege 
how the serum was defective other than it was double the 
recommended dose."  Id. at 4, reprinted in App. 61.  The 
District Court held that Mr. Richardson could not establish 
liability based upon the military's decision to administer 

beyond the recommended dose.  See id. at 5, reprinted in 
App. 62.

     The District Court rejected the Government's argument 
regarding the Feres doctrine, noting that dismissal on this 
basis would directly conflict with Hunt.  See id. at 3, reprint-
ed in App. 60.  It also rejected the Government's statute of 
limitations argument, concluding that the complaint's allega-
tions must be read in Mr. Richardson's favor as to when he 
first discovered the cause of his alleged injuries.  See id.

     On May 4, 1998, Mr. Richardson moved for an extension of 
time to move for leave to file an amended complaint.  The 
District Court denied the motion on May 6, 1998.  On May 7, 
1998, Mr. Richardson filed a motion for leave to file an 
amended complaint pursuant to Fed. R. Civ. P. 15(a), request-
ing leave to add new claims.  The proposed amended com-
plaint filed with this motion indicates that Mr. Richardson 
intended to replace his claim based on double-dosing with a 
claim based on products liability.  See Amended Complaint 
pp 20, 21, reprinted in App. 80-81.  The District Court denied 
the motion on May 13, 1998, stating that Mr. Richardson 
must first be granted a motion to alter or amend the judg-
ment pursuant to Fed. R. Civ. P. 59(e) before he could file a 
motion to amend the complaint.  Mr. Richardson filed sepa-
rate notices of appeal from the order dismissing his case and 
the order denying his motion for leave to amend.  On June 
19, 1998, this court consolidated both appeals, and, on Febru-
ary 16, 1999, we appointed amicus curiae to argue in support 
of Mr. Richardson.

                           II. Analysis

     No one doubts that Mr. Richardson's original complaint 
would properly be dismissed for lack of subject matter juris-
diction, because of the discretionary function exception.  See, 
e.g., Hunt, 636 F.2d at 597 n.44 (stating that the "decision of 
the military to administer a stronger-than-usual dose" can not 
be a basis for liability under the Swine Flu Act).  The 
question is whether Mr. Richardson fairly amended his com-

plaint to add a claim based on products liability and, if so, 
whether his claim was thereafter properly dismissed.

     The District Court's opinion is open to two reasonable 
interpretations.  First, the opinion can be read as dismissing 
Mr. Richardson's complaint based on his original filing only, 
disregarding the apparent change of course intended by Mr. 
Richardson in adding a claim based on defective manufactur-
ing.  Second, and less likely, the court's opinion can be read 
as accepting Mr. Richardson's claim that he was bringing an 
action based on products liability and dismissing the com-
plaint nevertheless.  In either case, we reverse the District 
Court.

A.   The District Court's Treatment of Mr. Richardson's Re-
     ply to the Motion to Dismiss

     On the record at hand, we hold that the District Court 
abused its discretion in failing to consider Mr. Richardson's 
complaint in light of his reply to the motion to dismiss.  See 
Anyanwutaku v. Moore, 151 F.3d 1053, 1059 (D.C. Cir. 1998).  
There are four factors that inform our holding that the 
District Court erred in refusing to consider Mr. Richardson's 
reply to constitute an amendment to his original complaint.

     First, Mr. Richardson proceeded pro se before the District 
Court.  Courts must construe pro se filings liberally.  See, 
e.g., Haines v. Kerner, 404 U.S. 519, 520-21 (1972) (per 
curiam) (holding allegations contained in a prisoner's pro se 
complaint to less stringent standards than pleadings written 
by counsel in reversing a dismissal for failure to state a 
claim).  This point was recently emphasized in Anyanwutaku, 
in which the District Court had dismissed a pro se complaint 
sua sponte.  See 151 F.3d at 1054.  The plaintiff had initially 
filed a "confusing" complaint that the District Court dis-
missed the same day it was filed.  See id.  After the dismiss-
al, the plaintiff filed a motion for reconsideration and, subse-
quently, an " 'addendum' " to the motion.  See id.  The 
District Court denied the motion for reconsideration.  See id. 
at 1055.  This court reversed, reading all of the plaintiff's 
filings together to conclude that the District Court abused its 
discretion by denying the motion for reconsideration of its 

dismissal of one of the plaintiff's claims.  See id. at 1058-59.  
While Anyanwutaku involved the construction of a complaint 
rather than amendment, here we similarly find that the 
District Court should have read all of Mr. Richardson's filings 
together before dismissing this case for lack of subject matter 
jurisdiction.  See id. at 1059 ("[W]e think the district court 
should have permitted his claim, drafted pro se and based on 
legitimate factual allegations, to proceed."); see also Pearson 
v. Gatto, 933 F.2d 521, 527 (7th Cir. 1991) (applying Haines to 
hold that the District Court should have construed a pro se 
plaintiff's letter to judge to be an amended complaint);  Coo-
per v. Sheriff, Lubbock County, Texas, 929 F.2d 1078, 1081 
(5th Cir. 1991) (finding, in an appeal of a Fed. R. Civ. P. 
12(b)(6) dismissal, that the magistrate judge should have 
considered a pro se litigant's reply to the defendant's answer 
as a motion to amend the complaint).

     The second consideration guiding our decision is that, at 
the time Mr. Richardson tendered his reply to the defendant's 
motion to dismiss, he could have amended his claim as of 
right because the defendant had filed no responsive pleading 
and Mr. Richardson had never before sought amendment.  
See Fed. R. Civ. P. 15(a) (granting leave to amend once as "a 
matter of course" at any time before a responsive pleading is 
served);  Harris v. Secretary, United States Dep't of Veterans 
Affairs, 126 F.3d 339, 344-45 (D.C. Cir. 1997) (recognizing 
that amendments prior to a responsive pleading shall be 
freely given under Rule 15(a)).  Moreover, courts freely grant 
pro se litigants leave to amend.  See Moore v. Agency for 
Int'l Dev., 994 F.2d 874, 877 (D.C. Cir. 1993).  Leave to 
amend a complaint should be freely given in the absence of 
undue delay, bad faith, undue prejudice to the opposing party, 
repeated failure to cure deficiencies, or futility.  See Foman 
v. Davis, 371 U.S. 178, 182 (1962).

     The third factor that informs our decision is that the 
District Court clearly understood that Mr. Richardson both 
recognized the need for and attempted to make a change to 
his original complaint.  In response to the motion to dismiss, 
Mr. Richardson denied basing his claim on "any military 
order" and instead clearly reframed his claim as one sounding 

in products liability, arguing that his injuries were caused by 
the defective or negligent manufacturing of the vaccine.  See 
Resp. to Def.'s Mot. to Dismiss at 3-4, reprinted in App. 39-
40.  The District Court recognized this, noting that Mr. 
Richardson's response to the motion to dismiss "broadly 
declares that he was vaccinated with defective serum, but he 
does not allege how the serum was defective other than it was 
double the recommended dose."  Mem. Op. at 4, reprinted in 
App. 61.  Furthermore, the District Court itself acknowl-
edged that the jurisdictional defect may simply be a matter of 
a "pleading error."  Id. at 5, reprinted in App. 62.

     Our last consideration is the lack of any evidence of preju-
dice to the Government if Mr. Richardson were allowed to 
amend the complaint.  See Moore, 994 F.2d at 877-78 (noting 
that a pro se litigant should be permitted to amend his 
complaint to meet pleading requirements prior to dismissal so 
long as the defendant is not prejudiced).  The Government 
has made no argument here that it would have been preju-
diced if the District Court had granted an amendment to Mr. 
Richardson's complaint.

     These factors, taken together, convince this court that Mr. 
Richardson should be permitted to proceed with his claim.  
We do not suggest that a District Court must cull through 
every filing of a pro se litigant to preserve a defective 
complaint.  In this case, however, where, in addition to 
proceeding pro se, the plaintiff retained the right to amend 
his complaint prior to the dismissal, the plaintiff clearly 
intended to add a new claim in his lawsuit, the District Court 
apparently understood that the plaintiff both needed to and 
wanted to do so, and the defendant would not have been 
prejudiced by such amendment, we hold that the District 
Court should have considered Mr. Richardson's reply to the 
defendant's motion to dismiss to be an amendment to his 
complaint.

B.   The Adequacy of Mr. Richardson's Amended Complaint

     As noted above, the District Court's opinion can be read as 
accepting Mr. Richardson's reply to the defendant's motion to 
dismiss as a de facto amendment to his original complaint, but 
then dismissing the case because it found that Mr. Richard-

son made no factual allegation to support his claim except 
that the serum was defective for being double the recom-
mended dose.  See Mem. Op. at 4, reprinted in App. 61.  
Even on this reading, however, we find that the District 
Court erred.

     Mr. Richardson's amended complaint clearly stated a claim 
sufficient to meet the Federal Rule of Civil Procedure's 
liberal pleading requirements.  Indeed, at oral argument, the 
Government's counsel was hard-pressed to contend otherwise.  
To survive a motion to dismiss for lack of subject matter 
jurisdiction, a plaintiff is not required to plead facts sufficient 
to prove his allegations;  rather, a court should only dismiss a 
complaint for lack of subject matter jurisdiction if "it appears 
beyond doubt that the plaintiff can prove no set of facts in 
support of his claim which would entitle him to relief."  
Caribbean Broad. Sys., Ltd. v. Cable & Wireless PLC, 148 
F.3d 1080, 1086 (D.C. Cir. 1998) (citations and internal quota-
tion marks omitted).  Here, there is no indication that Mr. 
Richardson can prove no set of facts entitling him to relief.  
In fact, the forms appended to the Federal Rules of Civil 
Procedure clearly indicate that Mr. Richardson's complaint 
meets liberal pleading requirements.  See Fed. R. Civ. P. app. 
Form 2(c) (demonstrating requirements for statement of jur-
isdiction founded upon a particular statute);  id. Form 9 
(demonstrating requirements for a complaint for negligence).

     Moreover, as amicus points out, the complaint in Anyan-
wutaku was hardly less conclusory than the claim here.  See 
Reply Br. of Amicus Curiae at 13.  In Anyanwutaku, the 
claims found by the court to withstand dismissal alleged that 
the plaintiff was "arbitrarily and capriciously denied access to 
the said [prison] programs through invidious discrimination" 
and that the defendants "invidiously discriminated against the 
plaintiff based on race or ethnic origin."  Anyanwutaku, 151 
F.3d at 1058 (alteration in original) (internal quotation marks 
omitted).  These claims allege no more facts than does Mr. 
Richardson's claim that he was injured by his exposure to a 
defectively produced vaccine.  See Resp. to Def.'s Mot. to 
Dismiss at 3-4, reprinted in App. 39-40.

     We note, furthermore, that the discretionary function ex-
ception to the FTCA does not bar Swine Flu Act claims based 
on the acts or omissions of the vaccine's provider.  See 42 
U.S.C. s 247b(k)(2)(A)(ii) (1976) (revised and deleted 1978) 
(making the exceptions in 28 U.S.C. s 2680(a) inapplicable to 
actions based upon a program participant's act or omission).  
In addition, this circuit has held by implication that claims 
against the Government that rely on products liability asser-
tions against vaccine providers are permitted by the Swine 
Flu Act.  See Hunt, 636 F.2d at 596 n.44, 599 (stating that 
the Feres doctrine does not bar claims that would render a 
vaccine manufacturer liable under local law on a theory of 
strict products liability).  Therefore, the District Court's basis 
for dismissing Mr. Richardson's original complaint based on 
the United States military's negligence does not apply to his 
amended claim based upon the vaccine manufacturer's defec-
tive production of the vaccine.

     We need not consider the propriety of the District Court's 
denial of Mr. Richardson's post-dismissal motion for leave to 
amend his complaint.  Such a motion is typically only granted 
where the litigant has first moved to amend or alter the 
judgment under Fed. R. Civ. P. 59(e) or 60(b).  Mr. Richard-
son did not explicitly invoke either of these rules.  Because 
we reverse the District Court's decision on other grounds, it 
is not necessary to address Rule 59(e) or Rule 60(b).

                         III. Conclusion

     For the reasons stated above, we reverse the District 
Court's decision dismissing Mr. Richardson's complaint for 
lack of subject matter jurisdiction and remand for proceed-
ings consistent with this opinion.

                                                      So ordered.