In Re ORTHOPEDIC BONE SCREW PRODUCTS LIABILITY LITIGATION, Plaintiffs Legal Committee, Appellant

159 F.3d 817, 1998 U.S. App. LEXIS 28791, 1998 WL 793200
CourtCourt of Appeals for the Third Circuit
DecidedNovember 17, 1998
Docket97-1783
StatusPublished
Cited by41 cases

This text of 159 F.3d 817 (In Re ORTHOPEDIC BONE SCREW PRODUCTS LIABILITY LITIGATION, Plaintiffs Legal Committee, Appellant) is published on Counsel Stack Legal Research, covering Court of Appeals for the Third Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In Re ORTHOPEDIC BONE SCREW PRODUCTS LIABILITY LITIGATION, Plaintiffs Legal Committee, Appellant, 159 F.3d 817, 1998 U.S. App. LEXIS 28791, 1998 WL 793200 (3d Cir. 1998).

Opinions

OPINION OF THE COURT

STAPLETON, Circuit Judge:

This case involves thousands of individual plaintiffs-appellants who claim that they suffered injuries resulting from the implantation of orthopedic bone screws into the pedicles of their spines. Over 2,000 individual actions were consolidated for pre-trial proceedings pursuant to the multi-district litigation statute, 28 U.S.C. § 1407. This appeal involves plaintiffs’ allegations that one defendant, Buckman Company, Inc. (“Buckman”), made misrepresentations to the Food and Drug Administration (“FDA”) serious enough to play a substantial role in the events which resulted in their injuries. The district court granted Buckman’s motion to dismiss this state-law “fráü3Nm~the FDA” claim, determining that: (1) the claim was “precluded by virtue of the fact that the MDA[i.e., the Medical Device Amendments of 1976, 21 U.S.C. §§ 360e-360k, to the Federal Food, Drug, and Cosmetic Act of 1938 (“FDCA”), 21 U.S.C. § 301 et seq.] does not provide for a private right of action,” App. at 157; and [819]*819(2) plaintiffs could not, as a matter of law, demonstrate proximate causation between the misrepresentations to the FDA and any injuries suffered. App. at 158-59. We will reverse.

I.

A.

The orthopedic bone screw devices that are the subject of this suit are regulated by the FDA pursuant to the MDA. Congress enacted the MDA to address concerns regarding the safety and effectiveness of the wide variety of medical devices introduced into the market. See Medtronic, Inc. v. Lohr, 518 U.S. 470, 476, 116 S.Ct. 2240, 135 L.Ed.2d 700 (1996). The MDA requires classification of medical devices into three categories based upon the risk that they pose to the public. Class I devices present no unreasonable risk of illness or injury and are subject only to general manufacturing controls. See 21 U.S.C. § 360c(a)(1)(A). Class II devices are potentially more harmful and are subject to federal performance regulations. See id. § 360c(a)(1)(B). Finally, Class III devices “present[ ] a potential unreasonable risk of illness or injury” and are subject to the strictest regulation. Id. § 360c(a)(1)(C).

Class III devices may not be introduced into the market until the manufacturer provides the FDA with “reasonable assurance” that the device is both safe and effective. See id. § 360e(d)(2). This “premarket approval” process requires a manufacturer to submit, and the FDA to review, “all information, published or known ... or which should reasonably be known ... concerning investigations which have been made to show whether or not such device is safe and effective.” Id. § 360e(c)(1)(A). In addition, the manufacturer must provide the FDA with a full statement of design and manufacturing plans, as well as any additional information requested by the agency. See id. § 360e(c)(1). Securing premarket approval is an arduous and time-consuming process; each submission requires an average of 1,200 hours of FDA review. See Lohr, 518 U.S. at 477, 116 S.Ct. 2240.

There are three important exceptions to the requirement that Class III medical devices receive premarket approval before being placed on the market. First, a manufacturer can obtain an Investigational Device Exemption (“IDE”), which allows limited use of an experimental medical device to gather the type of data necessary to support a pre-market approval application. See 21 U.S.C. § 360j(g). Though an IDE allows use of a Class III device in clinical trials, it does not permit introduction to the general public.

Second, the MDA allows Class III devices that were in commerce prior to its enactment to remain on the market until the FDA initiates and completes a premarket approval analysis for those “predicate” devices. See id. § 360e(b)(l)(A). This “grandfathering” provision reflects Congress’ recognition “that existing medical devices could not be withdrawn from the market while the FDA completed its PMA analysis for those devices.” Lohr, 518 U.S. at 477-78, 116 S.Ct. 2240.

Third, to prevent manufacturers of grandfathered devices from monopolizing the market while new devices wait for FDA approval, and to ensure that improvements to existing devices are introduced quickly, the MDA allows devices that are “substantially equivalent” to an existing predicate device to avoid the premarket approval process. See Lohr, 518 U.S. at 478, 116 S.Ct. 2240; 21 U.S.C. § 360e(b)(1)(B). The procedure a manufacturer follows to take advantage of this exception is known colloquially as the “§ 510(k) process,” after the number of the relevant section in the original Act. A § 510(k) application must contain information supporting the device’s substantial equivalence to a predicate device, proposed labeling for the device, and any additional information requested by the FDA. See 21 C.F.R. § 807.87. For a device to be approved under the § 510(k) process, the FDA must determine that the new device has the same intended use as the predicate device and that it possesses the same technological characteristics or is as safe and effective as the predicate device. See 21 U.S.C. § SeOcfiXlXA).1 The [820]*820advantage of the § 510(k) process is significant to manufacturers: review of a § 510(k) application by the FDA requires an average of only twenty hours of agency time, compared to the 1,200 hours required for full premarket approval. See Lohr, 518 U.S. at 478-79, 116 S.Ct. 2240.

B.

Buckman is a regulatory consultant to medical device manufacturers, and was retained by the AcroMed Corporation to act as its liaison to the FDA in its attempt to secure marketing clearance for its product. AcroMed initiated the § 510(k) process to secure marketing clearance for its orthopedic bone screw device, known as the Variable Screw Placement (‘VSP”) Spinal Plate Fixation System, in September 1984.2 In this application, AcroMed indicated that it intended to market the device for use in spinal surgery. The FDA rejected the request, determining that the VSP device was a Class III device and was not substantially equivalent to any predicate device.

In September 1985, AcroMed, through Buckman, filed a second application for marketing clearance through the § 510(k) process. The application provided additional information about the VSP device and again indicated its intended use in spinal surgery. The FDA again rejected the application, determining that the device was not substantially equivalent to a predicate device and that it posed potential risks not exhibited by other spinal-fixation systems.

In December 1985, AcroMed and Buckman filed two final § 510(k) applications seeking market approval for its product.

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Bluebook (online)
159 F.3d 817, 1998 U.S. App. LEXIS 28791, 1998 WL 793200, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-orthopedic-bone-screw-products-liability-litigation-plaintiffs-legal-ca3-1998.