Documenti di Didattica
Documenti di Professioni
Documenti di Cultura
____________________
No. 94-1951
Plaintiffs, Appellants,
v.
Defendants, Appellees.
____________________
____________________
Before
Jeffrey S. Beeler
_________________
Newman,
_______
was on brief
for
whom Frank
_____
States Department of
Chief Counsel,
Administration,
on
brief for
the
United
Food and
States, amicus
curiae.
____________________
August 14, 1995
____________________
____________________
Drug
Section 360k(a) of
[N]o State or
political subdivision of a
respect to
device intended
(1)
which
or
in
is different
addition
requirement
to,
applicable
from,
any
under
which
relates
safety or effectiveness
to
the
of the
for
device or
to any
included
in
other matter
requirement
applicable to the
device under
this chapter.
21
U.S.C.
360k(a)
tort
law
claims
(1988).
This
appeal
presents two
asserted
against
to state
medical
device
the
are,
respectively,
district
yes and
no.
We
therefore
affirm the
I.
It
is
unnecessary
to
set
out
the
facts
and
the district
865 F. Supp. 37, 39-52 (D. Mass. 1994) (sections I and II.A).
-33
To orient
the reader
of this opinion,
following
brief summary.
On
December
we provide
28,
1988,
only the
Eunice
Beavers died
procedure
on the
when
operating table
heart catheter
during an
failed
to
angioplasty
deflate while
inserted in one
Talbott et al.,
for
wrongful death,
negligence,
breach
alleging
of
numerous
express
and
management
state tort
implied
claims:
warranties,
fraudulent
hiring,
misrepresentation
civil
conspiracy,
and
unfair
concealment,
trade
12(b)(6), finding
negligent
practices.
The
claims were
preempted by
II.
To
determine whether
federal
to displace
state law
preemption is
U.S. 218,
found.
Rice
____
and manifest"
in the
occupies the
language of
of
field or
before
passage
state
congressional intent
230 (1947).
explicitly,
through
must be "clear
law preempts
statutory
where the
expressed either
statute, or
scheme
that
extensively
-44
implicitly,
of
Here, Congress
360k(a).
between
Thus,
absent
state and
any "general,
federal law, we
inherent
need only
conflict"
ascertain the
Freightliner Corp. v.
__________________
Myrick,
______
reading of
factual
the
clause de
__
averments as
true
novo, taking
____
and
all of
indulging every
plaintiffs'
reasonable
inference
in
plaintiffs'
favor.
Garcia
Hotel Ltd.
____________________
1992).
A.
Plaintiffs insist
concluding that
that
term it
state tort
used
in
Congress
meant
positive
enactments
and not
law imposes
360k(a).
"requirement" to
such
decisions:
a "requirement"
Plaintiffs argue
include
only
as statutes and
of action.
This
that
the state's
regulations
issue, however,
as
in two
1130, 1135-36
Medtronic, Inc., 18
_______________
Cir. 1994).
to impose a
to
clause.
-55
Where the
In
both,
tort law
requirement is
"different from, or
by
the
MDA,
state tort
construction has
that has
should
decided.
will
been adopted by
considered the
overrule
law
King
____
However,
as
A like
Plaintiffs argue
and Mendes
______
in
be preempted.
every
issue.1
except
requirement imposed
having
certain
that we
been wrongly-
circumstances
not
be overruled only
B.
United States
_____________
We accordingly, we
360k(a).
360k(a)
comply
with
obtaining
the
provisions
approval
("FDA").
from the
Plaintiffs
Food
argue that,
impose
of
the
MDA
and
in
by
fraudulently
Drug Administration
enacting
360k(a),
sought to
____________________
1.
F.3d
809 (9th
Vision Corp., 42
_____________
denied,
______
Cir.
F.3d
1167, 1168
63 U.S.L.W. 3904
Corp., 22 F.3d
_____
429 (1994);
1995) (dicta);
(8th
Martello
________
Cir. 1994),
(1995); Gile v.
____
Iolab Corp., 12
___________
cert.
_____
Optical Radiation
_________________
Duncan v.
______
v. CIBA
____
F.3d 194,
115 S. Ct.
195 (11th
984 F.2d
-66
afford
with
the
provisions
of
conflict, in plaintiffs'
of
protecting individuals
to
the
MDA.
Here,
from
result
would
basic purpose
unreasonably dangerous
Where a manufacturer
MDA, state
plaintiffs argue,
provisions of the
tort liability
MDA.
Such
and
has failed
would merely
Bard
clearly
violated the
As
the district
the
865 F.
FDA
in
connection
with
applications
Bard
for
pre-market
States v.
______
1994).
There
is some
dispute
to
the
particular
angioplasty.
F. Supp. 287,
between the
As this
parties as
heart catheter
is a motion
used
to
respect
Mrs. Beavers's
to dismiss,
in
United
______
however, we
Watterson
_________
v. Page,
____
-77
heart
The
catheter by submitting
question is
whether
false information to
360k(a)
applies
the FDA.
despite
such
fraudulent activity.
The
this
circuit against
plaintiffs.
In
King, the
____
plaintiff
not apply.
therefore did
fraud
did not
question, construing
the
by the MDA.
two other
judges on
there was
no exception
cases in
MDA.
reach the
the
panel expressed
to the
MDA's preemption
As two
judges of
the
the opinion
failed to
panel took
that
clause for
comply with
this view,
the
it is
If
overlooked the
the
so,
however,
fact.
The
panel
exception-for-noncompliance
separate
argument
made
in
Mendes
______
not make
by
the
panel wrote:
claims are
preempted only
if
allegations
noncompliance with
Medtronic's
FDA regulations,
-88
and
plaintiff
has offered
Medtronic violated
Our holding is
no evidence
any FDA
that
requirement.
and
Mendes, 18 F.3d
______
Mendes can be
______
indicate
The dicta in
be read) to
that
the issue
Alternatively, it
is
still
open
in this
circuit.
in Mendes
______
that
issue
was
not
before
it.
Given
the
uncertainty
an
exception
to
the
MDA's
preemption
clause
where
by fraudulently
FDA.
In
obtaining approval
of its
the MDA
device from
the
have expressly
addressed this
exact issue.
Acromed Corp.,
_____________
44
307 (5th
exception
to
F.3d
300,
preemption where
Cir.)
See
___
Reeves v.
______
(finding
no
manufacturer fraudulently
63 U.S.L.W.
3874 (U.S.
June 2,
1995).
-99
law.
whether or not
federal
standard.
We
find
nothing
to
indicate
that
preemption is
the
federal
standard.
compliance at all.
is
simply
federal
the
As
whether,
requirement
Section
in the
requirement.
penalties as
abstract,
from,
not mention
or
the
in
state
tort law
addition
to"
the
requirements,
set forth
does
is "different
federal
360k(a)
compliance with
it will
in the MDA.
be
subject
Nothing
to federal
in
360k(a)
revived by
Plaintiffs argue
impose
"requirement"
addition to"
instructs the
that
is
"different
would not
from,
or
in
jury that a
manufacturer's obligations
under
state tort
law were
Given such
an instruction,
would
provisions of
plaintiffs say,
the MDA.
state tort
law
only compensate
MDA
defined by the
the victim ex
standards.
This
theory
of
cooperative
meet the
preemption,
One
way
to
ensure
factfinder applies a
that
[state]
-1010
to or
that
radical,
regulations is
Congress intended
unwieldy
form
of
nothing to
to create a
such
preemption,
Congress did
private right of
Cosmetic Act.
Mendes, 18 F.3d at
______
number
of other
Medtronic Inc.,
______________
19 n.4.
circuit
It
courts
of appeal.
See Lohr
___ ____
by a
v.
lawsuit
alleging a violation
of the
statutory standards");
Michael,
_______
46
authority
F.3d at
to
police
1329
(holding
that "states
compliance
with
have
the
no
FDA's
procedures").2
Allowing
disturb
the balance
goals of
exception
for
Congress struck
and
manufacturers
standards.
noncompliance
between the
medical devices
device
an
subject
to
Cong., 2d Sess. 5, 12
competing
unreasonably dangerous
spurring innovation
are
would
by
ensuring
uniform,
that
nationwide
____________________
2.
But cf.
_______
v.
Kimberly-Clark
______________
Corp., 38 F.3d 988, 992 (8th Cir. 1994) (holding that "when a
_____
statute only
from
addition
or
in
plaintiffs
may still
defendants fail to
Slater, 961 F.2d
______
under
to
those
recover
imposed
under
comply with
by
state
the federal
at 1334 (stating
law
law,
when
requirements");
in dicta that
preemption
to efforts by states
to impose
-1111
1070, 1074,
1081).
To see
how this
is so,
we need
only
If
would initially
had
complied
plaintiff
have to determine
with the
claimed that
MDA.
had in
fact been
whether the
If,
as
manufacturer
in this
the manufacturer
a state court
had
case,
the
defrauded the
the FDA
Under
would have
this scheme, a
inconsistent interpretations
and
applications
to numerous
of
the
uniformity.
Moreover,
if
application
of the MDA,
requirements
"different
state
courts
erred
from,
or
in
addition
MDA
goal of
in
their
be imposing
to"
those
imposed
by federal
law.
See
___
King, 983
____
F.2d at
1139-40;
To avoid the
Congress
has the
that
inadequate, 21
against
the
device
U.S.C.
is
to
initiate
manufacturers, as it did
unsafe
360e(e); to order
360h(e); and
287.
treatment,
in the FDA.
determines
device,
possibility of disuniform
The FDA
of a device if it
or
its
labelling
a recall
of the
criminal prosecutions
-1212
the
requisite expertise,
the
FDA is
in
the best
position
to
manner.
See Michael,
___ _______
46 F.3d
at
1329.
Given the
uniform
FDA's
360k(a)
As
applied
preemption
in
this case,
provided
by
the
21
express
U.S.C.
360k(a) manifests a
decision by Congress
to replace completely
of action
usually available
law with
civil and
under state
criminal enforcement
devices such
catheter,
are
at issue.
represents
permissible
Congress
that the
as Bard's
This
heart
judgment
decision
public interest
by
will
FDA
between
to
strike the
reasonably
assuring
promoting innovation
devices that
proper
on
balance
safety and
with regard
to new
both to
The
such
United States, as
reasoning, while
applicable
in
this
amicus curiae,
perhaps applicable
case,
because
the
in
FDA
argues that
King, is
____
has
not
already
the requirements
case.
States' scheme,
then, a
Thus,
in this
plaintiff
-1313
to comply with the MDA, but that the FDA had determined
that
Although this
still
does
not get
language of
hint
of
that
actions
around
360k(a) nor
congressional
exception to
be
may
workable arrangement,
the
problem that
the
intent
to
create
injured plaintiffs
FDA has
determined
violated the
MDA would
standpoint.
remedy,
neither
allowing
when
be a
be a desirable
to
such
it
the
give any
unique
recover
that
in state
a manufacturer
rule, from
a policy
such a
(no
federal
private
right
of
action
curiam) (same).
under the
Congress
could
when the
was defrauded,
to recover
decide
that
established it
private rights
damages on behalf
individuals are
here, it
reasonably
of action
of injured
appropriate.
Where, as
is well-established
that there
is generally
no private right
to enforce
the MDA, if
to create
an exception
of action
Congress intends
for fraud
which
In view of the
not
inferring
have
that
a
such
intended.
proper
an
MDA);
basis
for
exception
was
-1414
The absence of a
without
compensation.
In a
manufacturer, a
court may,
restitution to
those harmed.
Bard,
____
848 F.
Supp. at
criminal
as part
292-93.
judgment
of any
See 18
___
While
U.S.C.
against a
sentence, award
3663(a)(1);
the district
court
restitution
provision,
erroneously
believed
appropriate
compensation.
Bard,
____
848
F. Supp.
it
did
that civil
at
so,
part,
proceedings
Talbott,
_______
293.
in
because
could provide
865 F. Supp.
Courts in
it
future
at 47-48;
criminal
Like
to
360k(a)
C.
Having
applies to
that
has complied
determine
held
with the
the
MDA's
whether or not
provisions of the
whether the
requirements
preemption
clause
the manufacturer
MDA, we
imposed by
must next
plaintiffs'
by the MDA.
district
court
did
In its
thorough job
-1515
of
analyzing
each of
plaintiffs'
claims,
finding
agree with
reason
the district
to repeat
district court's
(section II.C);
that
each
of
them
it here,
we adopt
opinion.
Talbott,
_______
imposed
As we
as we
see no
those portions
of the
865 F.
Supp. at
49-52
Litig., 989 F.2d 36, 38 (1st Cir. 1993) (where district judge
______
produces
a well-reasoned
to
put matters
in its
opinion that
reaches the
own
words).
We hold
360k(a).
correct
length merely
that
all of
We
note,
briefly,
that
the
Third
Circuit
in
with our analysis, has held that claims for breach of express
warranty
360k(a).
plaintiffs' fraudulent
statements made to
agreed
is
position
position as
the
present in
appears
district
misrepresentation claim
preempted.
however, is
to
Id.
___
at
1329.
this case,
court's
finding
that
case, as
is based
on
The
and the
be inconsistent
by
with
former
claim,
Third Circuit's
this
circuit's
at 1135.
We affirm
plaintiffs'
express
warranty
claim
reflects the
is
preempted,
law in this
as
circuit.
that
result
accurately
Accord Martello
______ ________
v. CIBA
____
-1616
Vision Corp.,
____________
Cir. 1994).
As we
be overruled only
en banc, absent
exceptional
Newman, 49 F.3d
______
at 11.3
D.
Remaining Claims
________________
Plaintiffs
arguments
advance
number
of
constitutional
360k(a) and
III.
Because
360k(a)
of
the
MDA,
we
affirm
We end with
the
district
This is
court's
a particularly poignant
case in
which
the heirs
of
woman
who
died
right to seek
compensation for
____________________
3.
Lohr, 56
____
held
F.3d at
that
1335, in which
plaintiff's
an Eleventh
negligent
design
the device
Circuit panel
and
360k(a).
The
the
in question had
by
negligent
not gone
through the
"substantially equivalent" to
an existing device.
device was
process,
as
subject to
the Lohr
____
court
the
premarket approval
itself
noted.
Id.
___
("PMA")
at
1347
King . . . is misplaced
____
-1717
the
damages
suffered.
The
enforced
cause
enacted
the
have
applicable
is
means
of
competing
innovation
criminal
Nevertheless
some,
law,
to
the most
and
this decision
including
those
question
complete preemption of
action
undoubtedly
the
civil laws.
may
they
who
whether
private rights of
fair
and effective
balancing
the
legitimate,
interests
of
promoting
and
reasonably
assuring the
It is
of
Congress
expressed by
in
this
when
they
are
statute, as they
case.
Defendants'
clearly
have been
motion
Affirmed.
_________
to
-1818