prod.liab.rep. (Cch) P 14,260 Lora Lohr, Michael Lohr, Her Husband v. Medtronic, Inc., a Foreign Corporation

56 F.3d 1335
CourtCourt of Appeals for the Eleventh Circuit
DecidedAugust 15, 1995
Docket94-2516
StatusPublished
Cited by44 cases

This text of 56 F.3d 1335 (prod.liab.rep. (Cch) P 14,260 Lora Lohr, Michael Lohr, Her Husband v. Medtronic, Inc., a Foreign Corporation) is published on Counsel Stack Legal Research, covering Court of Appeals for the Eleventh Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
prod.liab.rep. (Cch) P 14,260 Lora Lohr, Michael Lohr, Her Husband v. Medtronic, Inc., a Foreign Corporation, 56 F.3d 1335 (11th Cir. 1995).

Opinion

BLACK, Circuit Judge:

In this case we must decide whether the Medical Device Amendments of 1976 (MDA or Act), 21 U.S.C.A. §§ 360c-360¿ (West Supp.1994) preempt Appellants’ state law negligent design, negligent manufacture, failure to warn, and strict liability claims against the manufacturer of an allegedly defective pacemaker. The district court found that they did and dismissed the entire action. We hold that Appellants’ negligent manufacture and failure to warn claims are preempted and affirm their dismissal. We also hold that Appellants’ negligent design and strict liabili *1339 ty claims are not preempted and therefore reverse their dismissal.

I. BACKGROUND

Because an understanding of the MDA’s regulatory scheme is necessary to resolve the question of preemption, we begin with a brief outline of the Act.

A. The Regulatory Scheme

The market for medical devices was largely unregulated at the national level until the MDA’s passage in 1976. With the MDA, Congress gave the federal Food and Drug Administration (FDA) comprehensive jurisdiction over all “devices intended for human use.” 21 U.S.CJL § 360c(a)(l). The text of the MDA reveals two competing congressional purposes relevant to this case: 1 (1) the MDA protects the public from unnecessary illness or injury by subjecting medical devices to a regulatory scheme designed to ensure that the devices are safe and effective, see, e.g., 21 U.S.C.A. §§ 360c(a)(l)(A)(i); 360c(a)(l)(B); 360e(d)(2); and (2) the MDA protects the public by encouraging the development and marketing of medical devices by crafting a nationally uniform regulatory scheme that prevents overregulation and thus ensures that development can be economically feasible, see, e.g., 21 U.S.C.A. §§ 360j(g)(l); 360k(a).

These twin purposes are confirmed by the legislative history of the Act. For example, the House Report on the Act states:

Those involved in the development, promotion, and application of medical devices generally agree that the public deserves more protection against unsafe, unproven, ineffective, and experimental medical devices. But this belief is counterbalanced by an equally strong conviction that excessive or ill-conceived Federal device regulation would stifle progress in this field.

H.R.Rep. No. 853, 94th Cong., 2d Sess. 10 (1976). Legislative history from the Senate reflects the same balancing of interests. See S.Rep. No. 33, 94th Cong., 1st Sess. 5, 12 (1975). The need to balance public safety with continued development was reiterated when Congress amended the MDA in 1990.

Simply put, the [MDA] sought to avoid overregulation, thus eliminating unnecessary resource costs to industry and the government, foster incentives to encourage innovation in a relatively youthful industry and, most importantly, provide the public reasonable assurances of safe and effective devices.

S.Rep. No. 513, 101st Cong., 2d Sess. 13 (1990). The MDA thus reflects the intent of Congress to scrutinize the medical device industry to a greater extent without stifling innovation and development.

All medical devices regulated by the MDA fall into three statutory categories. Class I devices are those which pose little threat to the safety of the consuming public. These devices, including everything from tongue depressors to acoustic chambers, are subject only to the Act’s generally applicable regulations. See 21 U.S.C.A. § 360c(a)(l)(A). Class II devices are those which pose enough of a safety hazard to require regulation beyond the general controls applicable to Class I devices. Class II devices, like tampons and oxygen masks, are consequently subject to device-specific special controls. See 21 U.S.C.A. § 360c(a)(l)(B).

Class III devices are those that the FDA determines are too unproven to be rendered safe by general controls or present a potential for unreasonable risk of illness or injury. Almost all life-sustaining medical devices, like pacemakers, are classified as Class III devices. In addition to the Act’s general regulations and, in some instances, device-specific controls, Class III devices must generally undergo premarket approval (PMA) before the FDA will allow them into the marketplace. See 21 U.S.C.A. § 360c(a)(l)(C). The premarket approval *1340 process is a vigorous one, requiring the applicant to present the FDA with “all information” known or reasonably knowable about the device, including detailed information about the design, manufacture, uses, and labeling of the device. 21 U.S.C.A. § 360e(c)(l).

While the MDA contemplates that most Class III devices will reach the market through the PMA process, there are important exceptions. First, the MDA grandfathered into the market all devices introduced before May 28, 1976 — the effective date of the Act. 21 U.S.C.A. § 360e(b)(l)(A); 21 C.F.R. § 814.1(c)(1) (1994). Second, the MDA contains an investigational device exemption (IDE) for new devices under clinical investigation to determine their safety or effectiveness. 21 C.F.R. § 812.3(g). See 21 U.S.C.A. § 360j(g). In order to foster the development of useful devices, IDE procedures allow manufacturers to begin limited marketing of new devices without undergoing the rigorous PMA process. 21 U.S.C.A. § 3600(g)(1).

Finally, a Class III device may reach the market without undergoing the PMA procedures if the device is found to be the “substantial equivalent” of an already-marketed device, including a device grandfathered into the market. 21 U.S.C.A. § 360e(b)(l)(B). For a device to qualify as the substantial equivalent of one which is already being marketed, the FDA must determine that the new device has the same intended use as the predicate device and either the same technological characteristics or the same safety and effectiveness as the predicate device. 21 U.S.C.A. § 360c(i)(l)(A). Every device entering the market as a substantial equivalent is subject to a premarket notification process (510(k) process) which allows the FDA to classify the device and make its substantial equivalence finding. 21 U.S.C.A. §§ 360(k); 360c(f)(l).

B. Facts 2

This ease arises from the failure of a pacemaker manufactured by Appellee Medtronic, Inc. The pacemaker in question, the Model 8403 Activitrax (Activitrax), is a Class III device under the MDA. 21 C.F.R. § 870.3610. The Activitrax has never been subject to the PMA process. See 21 C.F.R. § 870.3610(c).

Appellant Lora Lohr was implanted with an Activitrax pacemaker in 1987. The pacemaker failed in 1990, forcing Ms. Lohr to endure emergency surgery to replace the Activitrax. According to Ms.

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