Lead Opinion
Opinion by Judge FERGUSON; Concurrence by Judge REINHARDT.
In this appeal, Charlotte and Robert Kennedy challenge the district court’s grant of summary judgment in favor of defendant, Collagen Corporation (“Collagen”). The Kennedys contend that their state common law claims are not preempted by the Medical Device Amendments of 1976 (“the MDA”), 21 U.S.C. §§ 360c-3601 (Supp.1995), and that genuine issues of material fact remain in issue in their suit against Collagen. We reverse the district court and remand for trial.
I. BACKGROUND
This action arises out of Charlotte Kennedy’s treatment with Zyderm Collagen Implant (“Zyderm”), a prescription medical product manufactured by defendant Collagen. Zyderm is used by physicians to treat soft tissue defects of the skin caused by disease, trauma, congenital defects, or aging. Following Charlotte Kennedy’s treatment with Zyderm, she developed systemic lupus erythematosus (“SLE”), an autoimmune disease.
Upon contracting SLE, Charlotte and Robert Kennedy brought suit against Collagen alleging negligence, strict liability, breach of warranty, battery, conspiracy and loss of consortium. Based on the Kennedys’
The present appeal stems from Collagen’s motion for summary judgment filed on remand to the district court. In its second motion for summary judgment, Collagen asserts that all of the Kennedys’ claims are preempted by the MDA, 21 U.S.C. § 360k(a). The distinct court granted Collagen’s motion, finding that the Kennedys’ claims are preempted under § 360k(a). This appeal timely followed.
On appeal, the Kennedys make two arguments. First, they contend that § 360k(a) only preempts state law to the extent that state law establishes additional or divergent requirements for a particular medical device. Because neither the state common law nor the FDA has established any specific requirements unique to Zyderm, the Kennedys assert, their state common law claims are not preempted. In addition, the Kennedys assert that the state common law, pursuant to which they are suing, is a law of general applicability and therefore specifically not preempted by the MDA.
II. DISCUSSION
I. Standard of Review
This court reviews the district court’s grant of summary judgment on a pure question of law, in which there are no disputed facts, de novo. Turner v. Prod,
II. History of The MDA
The MDA was enacted largely in response to the public outcry following the injuries suffered in the 1960s and early 1970s by women using the Daikon Shield contraceptive device. See Ministry of Health v. Shiley,
Congress subsequently passed the MDA in order “to assure the reasonable safety and effectiveness of medical devices intended for human use.” H.Conf.Rep. No. 1090, 94th Cong., 2d Sess. reprinted in 1976 U.S.Code Cong. & Admin.News 1070,1103. The MDA gives the FDA broad powers to classify and regulate medical devices. Under the MDA, the FDA must assign a medical device to one of three statutorily delineated categories. Class I devices are those devices which pose little or no threat to public health. They are subject to only general requirements concerned with their manufacture. Tongue depressors are one example of a Class I medical device. See 21 U.S.C. § 360e(a)(l)(A); 21 C.F.R. § 860.3(c)(1). Class II devices include items such as tampons and oxygen masks. Use of Class II devices involves some risk of injury and, as a result, the FDA establishes performance standards, post-market surveillance programs and guidelines for their use. See 21 U.S.C. § 360e(a)(l)(B); 21 C.F.R. § 860.3(c)(2).
Class III devices are those devices which are implanted in the body or which pose a potentially unreasonable risk of injury. See 21 U.S.C. § 360c(a)(l)(C); 21 C.F.R. § 860.3(c)(3). They include Zyderm, as well as pacemakers, heart valves and replacement joints. Because of their inherent dangerousness, Class III devices are subject to the most stringent FDA regulation. All Class III devices are required to obtain premarket approval prior to being released for sale and use. 21 U.S.C. § 360e; 21 C.F.R. § 814.1(c).
In order to attain premarket approval, the manufacturer of a Class III device must submit all of its information on any investigations concerning the device’s safety or effectiveness, a statement of the intended use of the product, a description of the expected manufacturing process, and any other requested information to the FDA. 21 U.S.C. §§ 360e(c)(l)(A)-(G); 21 C.F.R.
III. General Preemption Principles
The principle of federal preemption of state law derives from Article VI of the Constitution, the Supremacy Clause. Article VI establishes the laws of the United States as “the supreme Law of the Land ... any Thing in the constitution or Laws of any state to the Contrary notwithstanding.” Art. VI, cl. 2.
Federal law can preempt state law in one of two ways. Congress may either explicitly state its intent to preempt state law in the language of a statute or Congress may imply its intent to preempt through the structure and purpose of a statute. Jones v. Rath Packing Co.,
Where Congress has made its intent to preempt explicit in a statute, the Supreme Court has held that:
‘there is no need to infer congressional intent to preempt state laws from the substantive provisions’ of the legislation ... Congress’ enactment of a provision defining the pre-emptive reach of a statute implies that matters beyond that reach are not preempted.
Cipollone v. Liggett Group, Inc.,
Regardless of the form preemption takes, the Supreme Court has consistently imposed a strong presumption against preemption.
Consideration of issues arising under the Supremacy Clause ‘start with the assumption that the historic police powers of the States [are] not to be superseded by ... Federal Act unless that [is] the clear and manifest purpose of Congress.’
Cipollone,
Similarly, in Silkwood v. Kerr-McGee Corp.,
Congress explicitly provided for the preemption of state law under the MDA. Section 360k(a) establishes that:
[N]o State or political subdivision of a State may establish or continue in effect with respect to a device intended for human use any requirement—
(1) which is different from, or in addition to, any requirement applicable under this chapter to the device, and
(2) which relates to the safety or effectiveness of the device or to any other matter included in a requirement applicable to the device under this chapter.
21 U.S.C. § 360k(a). Some courts have read the language as creating an expansive federal preemption of state law. The Eighth Circuit, for example, has read the language of § 360k(a) to preempt any state tort claims dealing with safety, effectiveness or any other aspect governed by the FDA’s premarket approval process.
However, the statutory language of § 360k(a) does not create the broad, sweeping preemption found by the Eighth Circuit. Reading § 360k(a)(l) broadly requires recognizing that any state law is, by definition, a law “in addition to” federal law. A broad reading of § 360k(a) thus renders the “different from” language meaningless and forces a strained reading of the statute. Similarly, in N.Y. Conference, the Supreme Court held that the term “relate[s] to” is potentially unbounded if interpreted broadly. If it “were taken to extend to the furthest stretch of its indeterminacy, then for all practical purposes pre-emption would never run its course, for ‘[r]eally, universally, relations stop nowhere.’” N.Y. Conference, — U.S. at -,
We must address two threshold questions: (1) what constitutes a “State ... requirement” and (2) what constitutes a “requirement” under the MDA. Lohr v. Medtronic,
The FDA interprets § 360k(a) in 21 C.F.R. § 808.1(d). Section 808.1(d) provides:
State or local requirements are preempted only when the Food and Drug Administration has established specific counterpart regulations or there are other specific requirements applicable to a particular device under the act, thereby making any existing divergent State or local requirements applicable to the device different from or in addition to, the specific Food and Drug Administration requirements
21 C.F.R. § 808.1(d) (emphasis added). Section 808.1(d) goes on to delineate other state and local requirements which affect medical devices, but which are not preempted by § 360k(a):
(1) Section 521(a) does not preempt State or local requirements of general applicability where the purpose of the requirement relates either to other products in addition to devices ... or to unfair trade*1458 practices in which the requirements are not limited to devices ...
(6)(ii) Generally, section 521(a) does not preempt a State or local requirement prohibiting the manufacture of adulterated or misbranded devices ...
21 C.F.R. § 808.1(d)(1) — (9) (emphasis added). Section 808.1(d) explicitly requires that state or local requirements only be preempted where there exist specific counterpart requirements or regulations applicable to a particular device.
Defendants contend and the district court agreed that the premarket approval process required by the FDA for Class III devices constitutes a specific federal requirement which preempts state common law claims. Other courts addressing the question of the preemptive scope of the MDA have devoted considerable analysis to the issue of whether the premarket approval process is specific enough to satisfy the FDA’s narrow preemption rule. See e.g., Martello,
While most courts have found that at least some, if not all, state common law claims are preempted by the MDA, these courts have failed to devote any attention to the meaning of “general applicability” within the context of the MDA and its accompanying regulations. They have also failed to consider the question of whether Class III devices as a group can constitute a “particular device” within the FDA’s understanding of that term. See e.g., King,
The reasoning of courts which have found that the premarket approval process preempts state law claims stands in sharp contrast to the analysis of Class II devices. In Class II cases courts have consistently focussed both on the specificity of the federal requirement and the particularity of the device. For example, in Moore v. Kimberly-Clark Corp.,
Such distinctions between Class II and Class III devices make little sense.
Section 808.1(d)(1) provides that the MDA does not preempt laws of general applicability. State common law is a law of general applicability.' Although specific state common laws may have come into existence in response to a harm created by a particular device, state common law does not relate solely to or regulate any 'particular device or product to the exclusion of other devices or products. Courts which have found state common law actions to be preempted have generally relied on the Supreme Court plurality’s conclusion in Cipollone that state common law can exert a regulatory effect on business. Cipollone,
However, the fact that state common law may have an indirect regulatory effect is not dispositive as to whether it qualifies as a specific requirement applicable to a particular device. Unlike positive state enactments, common law imposes only an indirect effect on manufacturers. Defendants in common law damages actions retain the freedom to choose their own response to the legal challenges they face. For example, manufacturers facing common law challenges retain the discretion whether to alter their product or whether to bear the cost of any lawsuits that might result from their decision, whereas, manufacturers bound by positive state enactments are required to conform their product to the law. See Cipollone,
In addition, it makes little sense to hold that the FDA’s premarket approval process qualifies as a “specific requirement applicable to a particular device.” 21 C.F.R. § 808.1(d) (emphasis added). All Class III devices are required to obtain premarket approval before being sold in interstate commerce. 21 U.S.C. § 360e; 21 C.F.R. § 814.1. The fact that the premarket approval process involves specific requirements, see 21 C.F.R. § 814, 820, must not be confused with the premarket approval requirement itself acting as a specific requirement. The result of holding that the premarket approval process is a “specific requirement applicable to a particular device” is the preemption of claims which, if barred, leave injured plaintiffs without any remedy in state or federal law. See Michael,
As the Supreme Court held in Silkwood, it is incredible to believe that Congress would, without comment, void all means of relief for those injured by illegal conduct. Silkwood,
The federal law requiring the premarket approval of Class III devices was not enacted in order to free manufacturers from the everyday burdens of the marketplace after they
REVERSED AND REMANDED.
Notes
. In Anguiano v. E.I. Du Pont De Nemours & Co., Inc.,
. Other courts have suggested that preemption is more applicable to Class III devices because the level of regulatory control is greater for Class III devices than for Class II devices. See, e.g., Martello
Concurrence Opinion
concurring:
I join fully in Judge Ferguson’s opinion for the court. I write separately to clarify further the meaning of the word “requirement” as it is used in 21 U.S.C. § 360k(a). The Medical Device Amendments of 1976 (the “MDA”) preemption provision states:
[N]o State or political subdivision of a State may establish or continue in effect with respect to a device intended for human use any requirement—
(1) which is different from, or in addition to, any requirement applicable under this chapter to the device, and (2) which relates to the safety or effectiveness of the device or to any other matter included in a requirement applicable to the device under this chapter.
21 U.S.C. § 360k(a).
The first reference to “requirement” is to requirements imposed by states or local entities, while the second and third references are to federal requirements imposed under the MDA. It is the meaning of the first “requirement” — state or local requirements applicable to medical devices — that is at issue here.
Some courts have concluded that the term “requirement” as it relates to state or local regulation includes state common law of general applicability. These courts have either accepted that view without explanation, relied on a plurality holding endorsing the proposition in a different context in Cipollone v. Liggett Group, Inc.,
The term “requirement” is not self-defining, and Congress did not provide any definition of the term as it is used in relation to the actions of a state (the first reference) or in
A few courts have pointed to the inclusion of the term “court decisions” in 21 C.F.R. § 808.1(b) as evidence that state tort law claims are generally preempted. See, e.g., Gile v. Optical Radiation Corp.,
Section 808.1(b) sets forth the “general rule” that states may not establish or maintain “requirements” with respect to medical devices that differ from the federal rules governing these devices. As noted supra, the term “requirement” is defined as including “court decisions.” We can assume for purposes of this decision that were we to read § 808.1(b) in isolation, there might be some ambiguity with respect to the latter term, and that it could be read to refer either to all court decisions or only to those court decisions that adopt special rules applicable to medical devices. However, when read together with § 808.1(d)(1), any ambiguity disappears.
In § 808.1(d)(1), which, of course, appears after § 808.1(b), the scope of the earlier section is expressly clarified and limited. Section 808.1(d)(1) specifically provides that “requirements” involving laws of general applicability, are not preempted. Since, under § 808.1(b), “requirements” includes “court decisions,” “court decisions” must be read as
To summarize, if a state common law requirement is not specifically directed at medical devices, but affects such devices in the same manner as it affects all other products, a claim based upon that state law requirement is not preempted. Accordingly, generally applicable state common law, including tort law, is not preempted by § 360k(a).
. The Eleventh Circuit erroneously suggests that this court understands the first reference to “requirement” to include general state tort law. Lohr v. Medtronic, Inc.,
. See, e.g., Gile v. Optical Radiation Corp.,
. Appellate courts have generally ignored 21 C.F.R. § 808.1(d)(1). Only a few circuit courts even bother to mention the subsection. See Michael v. Shiley, Inc.,
