Sowell v. Bausch & Lomb, Inc.

230 A.D.2d 77, 656 N.Y.S.2d 16
CourtAppellate Division of the Supreme Court of the State of New York
DecidedApril 10, 1997
StatusPublished
Cited by20 cases

This text of 230 A.D.2d 77 (Sowell v. Bausch & Lomb, Inc.) is published on Counsel Stack Legal Research, covering Appellate Division of the Supreme Court of the State of New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Sowell v. Bausch & Lomb, Inc., 230 A.D.2d 77, 656 N.Y.S.2d 16 (N.Y. Ct. App. 1997).

Opinion

OPINION OF THE COURT

Ellerin, J.

The issue before us on this appeal is whether plaintiffs State law tort claims are preempted by Federal law.

The plaintiff, Cynthia Sowell, alleges that she sustained serious physical injury to her eyes due to the use of extended wear contact lenses which were manufactured by defendant-appellant Bausch & Lomb and were prescribed and sold to her by defendant Cohen Fashion Optical. Plaintiff has asserted four causes of action against Bausch & Lomb: i.e., negligence in the design, manufacture, production, testing, examination, inspection, distribution and delivery of the device; breach of express warranties; breach of implied warranties; and a strict products liability claim alleging that the product was defective and unreasonably dangerous. Bausch & Lomb moved for summary judgment dismissing the complaint on the ground that all of plaintiff’s causes of action were barred by Federal preemption. The IAS Court denied this motion, and Bausch & Lomb now appeals.

The sale and distribution of medical devices such as the contact lenses here in issue are governed by that portion of the Federal Food, Drug, and Cosmetic Act of 1938 known as the Medical Device Amendments of 1976 ([MDA] 21 USC § 360c et seq.). The statutory scheme separates medical devices into three categories. Class I medical devices are those which pose little or no threat to public health and are subject only to "general controls” related to their manufacture (21 USC § 360c [a] [1] [A]; 21 CFR 860.3 [c] [1]). They include devices such as tongue depressors. Class II medical devices, such as tampons and oxygen masks, are those which pose some risk of injury. In ad[79]*79dition to the above-mentioned general controls, they are also subject to "special controls”, including performance standards, use guidelines and postmarket surveillance programs (21 USC § 360c [a] [1] [B]; 21 CFR 860.3 [c] [2]).

It is undisputed that the device involved herein, extended wear contact lenses, constitutes a Class III medical device, i.e., one which presents a "potentially] unreasonable risk of illness or injury” or which is "purported or represented to be for a use in supporting or sustaining human life or for a use which is of substantial importance in preventing impairment of human health” (21 USC § 360c [a] [1] [C] [iij; 21 CFR 860.3 [c] [3]). The general rule applicable to distributors of Class III medical devices requires them to obtain premarket approval (PMA) of the device before marketing it (21 USC § 360e; 21 CFR 814.1 [c]; 860.3 [c] [3]). Before a PMA will be granted, the Federal Food and Drug Administration (FDA) conducts a "rigorous” review of the product, involving the submission by manufacturers of "detailed information regarding the safety and efficacy of their devices, which the FDA then reviews, spending an average of 1,200 hours on each submission” (Medtronic, Inc. v Lohr, 518 US —, —, 116 S Ct 2240, 2247, citing Hearings before Sub-comm on Health and Envt of House Comm on Energy and Commerce, 100th Cong, 1st Sess [Ser No. 100-34], at 384 [1987]).1 In addition, significant postmarket regulation may be imposed upon Class III devices going far beyond the relatively unintrusive postmarket surveillance required of Class II de[80]*80vices, and the FDA retains the right to withdraw the PMA if it subsequently determines that a device previously approved is unsafe or ineffective (21 USC § 360e [e]).

Notwithstanding this rigorous and detailed statutory scheme, the large majority of Class III devices currently on the market have never received premarket approval from the FDA because of two exceptions to the requirements of the Act. First, devices that were already on the market at the time of the passage of the MDA were "grandfathered” in without the necessity of a PMA review until such time as the FDA chooses to initiate and complete a PMA (see, 21 USC § 360e [b] [1] [A]; 21 CFR 814.1 [c] [1]). Moreover, an exception from the PMA process also exists for products which are found by the FDA to be "substantially equivalent” to devices already on the market prior to the effective date of the MDA (21 USC § 360e [b] [1] [B]). In such cases, a much less extensive premarket notification process (also known as a "510 [k] review”, after the number of the section in the original Act), which generally requires no more than 20 hours to complete, is permitted to establish such substantial equivalence (Medtronic, Inc. v Lohr, 518 US, supra, at —, 116 S Ct, supra, at 2247). Once it is established, the marketer is only required to comply with the aforementioned general controls, which are applicable to all three classes of medical devices, and which include FDA regulations setting forth "good manufacturing practices”, i.e., general requirements for most of the steps involved in every device’s manufacture (21 CFR 820.20 et seq.) and FDA labeling regulations, which require various types of warnings to be affixed to devices (21 CFR 801.109).2

In this case, since the device sought to be marketed by Bausch & Lomb, i.e., extended wear contact lenses, was not substantially equivalent to a device already on the market and therefore not eligible for the less rigorous premarket notification process, Bausch & Lomb was required, under 21 USC § 360e, to submit a full PMA application.

There is no dispute that Bausch & Lomb’s PMA application underwent a comprehensive review requiring the submission [81]*81by Bausch & Lomb of extensive, detailed information regarding the contact lenses and their manufacture. In response to that application, Bausch & Lomb was advised, on July 25,1983, that the application had been granted. In addition, Bausch & Lomb was advised of various conditions to the approval of the marketing of the lenses, including that the sale and distribution of the lenses were to be restricted to prescription use, that Bausch & Lomb was to continue clinical studies on patients and submit the data to the Food and Drug Administration and that Bausch & Lomb could not make any changes in the design, manufacturing, labeling, packaging, quality control methods, suppliers or distributors, unless it submitted a supplemental PMA application to the FDA for approval. Bausch & Lomb was also required to submit to the FDA reports on any adverse reactions or defects involving the lenses, in addition to periodic reports indicating new information about the lenses, such as scientific literature.

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Bluebook (online)
230 A.D.2d 77, 656 N.Y.S.2d 16, Counsel Stack Legal Research, https://law.counselstack.com/opinion/sowell-v-bausch-lomb-inc-nyappdiv-1997.