Martin v. Medtronic, Inc.
Martin v. Medtronic, Inc.
Opinion of the Court
ORDER
Motion to Dismiss
Defendants move to dismiss plaintiffs’ complaint.
Background
Plaintiffs are Debra and Patrick Martin. Defendants sire Medtronic, Inc. and Med-tronic Sofamor Danek USA, Inc.
Defendants are alleged to have “researched, developed, manufactured, marketed, promoted, advertised, sold and distributed” a medical device known as the Infuse® Bone Graft device.
The Infuse device is considered a Class III medical device
Although physicians may independently ' decide to use a device off-label, plaintiffs allege that “medical device companies are prohibited by federal law from promoting off-label uses for their medical devices or from paying doctors inducements or kickbacks to promote off-label uses[.]”
[i]n order to drive sales of Infuse®, ... engaged in a multifaceted campaign[11 ] to. promote off-label uses of Infuse® that consisted of the following techniques:
*1032 a. Utilizing its sales representatives to promote off-label uses of Infuse® by having the representatives be present in operating rooms during surgery to assist physicians, distribute the false and misleading medical literature that was written and/or edited by [defendants], make recommendations concerning dosing, and refer physicians to [defendants’] paid physicians;
b. Utilizing its distributors to purchase gifts for physicians and facilities with the aim of inducing those parties to use Infuse® off-label;
e. Utilizing “Opinion Leaders” and other paid physician consultants to promote off-label uses of Infuse® at conferences, in VIP meetings, hands-on demonstrations, and by having these paid physicians serve as resources for other physicians seeking more information on off-label uses of Infuse®; and
d. Playing an active role in the writing and editing of nearly all published medical literature on Infuse® from at least 2001 through 2006[.12 ]
Plaintiffs further allege that defendants engaged in this off-label promotion even though defendants knew that the off-label uses they were promoting were dangerous and likely to cause side effects, “such as severe uncontrolled or ectopic bone growth, severe inflammatory reaction, adverse back and leg pain events, radiculitis, retrograde ejaculation in men, urinary retention, bone resorption, and implant displacement.”
“On July 14, 2010,” plaintiff Debra Martin “underwent a posterolateral lumbar in-terbody fusion at L4-5 and L5-S1. To achieve fusion, [Debra’s] surgeon performed an off-label procedure by utilizing a posterolateral approach, as well as by failing to use the required LT-Cage-™.”
On February 27, 2014, plaintiffs commenced this action. Plaintiff Debra Martin asserts the following state law claims against defendants: 1) fraudulent misrepresentation/fraud in the inducement, 2)
Defendants now move to dismiss plaintiffs’ claims. »
Discussion
Defendants move to dismiss pursuant to Rules 9(b) and 12(b)(6), Federal Rules of Civil Procedure. “Rule 12(b)(6) authorizes courts to dismiss a complaint for ‘failure to state a claim upon which relief can be granted.’ ” In re Rigel Pharmaceuticals, Inc. Securities Litig., 697 F.3d 869, 875 (9th Cir. 2012) (quoting Fed.R.Civ.P. 12(b)(6)). “To avoid dismissal, the complaint must provide ‘more than labels and conclusions, and a formulaic recitation of the elements .of a cause of action will not do.’ ” Id. (quoting Bell Atl. Corp. v. Twombly, 550 U.S. 544, 555, 127 S.Ct. 1955, 167 L.Ed.2d 929 (2007)). “[A] plaintiff must ‘allege sufficient factual matter ... to state a claim to relief that is plausible on its face.’ ” OSU Student Alliance v. Ray, 699 F.3d 1053, 1061 (9th Cir. 2012) (quoting Pinnacle Armor, Inc. v. United States, 648 F.3d 708, 721 (9th Cir. 2011)). “In evaluating a Rule 12(b)(6) motion, the court accepts the complaint’s well-pleaded factual allegations as true and draws all reasonable inferences in the light most favorable to the plaintiff.” Adams v. U.S. Forest Srvc., 671 F.3d 1138, 1142-43 (9th Cir. 2012). “Rule 9(b) provides that ‘[i]n alleging fraud or mistake, a party must state with particularity the circumstances constituting fraud or mistake.’ ” United States ex rel. Cafasso v. General Dynamics C4 Systems, Inc., 637 F.3d 1047, 1054-55 (9th Cir. 2011) (quoting Fed.R.Civ.P. 9(b)). “To satisfy Rule 9(b), a pleading must identify ‘the who, what, when, where, and how of the misconduct charged,’” as well as “ ‘what is false or misleading about [the purportedly fraudulent] statement, and why it is false.’ ” Id. at 1055 (quoting Ebeid ex rel. United States v. Lungwitz, 616 F.3d 993, 998 (9th Cir. 2010)).
Defendants argue that plaintiffs’ claims must be dismissed because they are preempted. The FDA regulates medical devices pursuant to the Medical Device Amendments of 1976(MDA). The MDA contains an express preemption clause that provides:
Except as provided in subsection (b) of this section, no 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). “A state law claim will be expressly preempted by Section 360k(a) when 1) there are federal requirements applicable to the medical device and 2) the state law claim seeks to impose requirements[
Plaintiffs’ claims may also be impliedly preempted. “Implied preemption under the MDA bars claims seeking to enforce an exclusively federal requirement not grounded in traditional state tort law.” Kashani-Matts v. Medtronic, Inc., Case No. SACV 13-01161-CJC(RNBx), 2014 WL 819392, at *2 (C.D.Cal. Feb. 14, 2014) (citing Buckman Co. v. Plaintiffs’ Legal Comm., 531 U.S. 341, 352-53, 121 S.Ct. 1012, 148 L.Ed.2d 854 (2001)).
“Together, express preemption and implied preemption leave only a ‘narrow gap’ through which the plaintiffs claims must fit in order to survive.” Kashani-Matts, 2014 WL 819392, at *2 (quoting Perez, 711 F.3d at 1120). A plaintiff can pass through this narrow gap by alleging “parallel” claims. As the Court explained in Riegel, “§ 360k does not prevent a State from providing a damages remedy for claims premised on a violation of FDA regulations; the state duties in such a case ‘parallel,’ rather than add to, federal requirements.” Riegel, 552 U.S. at 330, 128 S.Ct. 999 (quoting Lohr, 518 U.S. at 495, 116 S.Ct. 2240). “‘In order for a state requirement to be parallel to a federal requirement, and thus not expressly preempted under § 360k(a), the plaintiff must show that the requirements are ‘genuinely equivalent.’ State and federal requirements are not genuinely equivalent if a manufacturer could be held liable under the state law without having- violated the federal law.’ ” Wolicki-Gables v. Arrow Int’l, Inc., 634 F.3d 1296, 1300 (11th Cir. 2011) (quoting McMullen v. Medtronic, Inc., 421 F.3d 482, 489 (7th Cir. 2005)). “ ‘To properly plead parallel claims that survive preemption, a plaintiff must allege facts (1) showing an alleged violation of FDA regulations or requirements related to [the device], and (2) establishing a causal nexus between the alleged injury and the violation.’ ” Eidson v. Medtronic, Inc., - F.Supp.3d -, -, 2014 WL 1996024, at *7 (N.D.Cal. 2014) (Eidson II) (quoting Erickson v. Boston Scientific Corp., 846 F.Supp.2d 1085, 1092 (C.D.Cal. 2011)).
Defendants first argue that plaintiffs’ claims are expressly preempted. To determine if state law claims are expressly preempted under § 360k(a), the court employs a two-part test. First, “[s]ince the MDA expressly pre-empts only state requirements ‘different from, or in addition to, any requirement applicable ... to the device’ under federal law, [the court] must determine whether the Federal Government has established requirements appli
Defendants argue that the first prong of the express preemption test is met because Riegel establishes that the PMA process for a medical device imposes federal requirements that preempt state-law tort claims. The Court in Riegel found that the PMA process for a Class III catheter “impose[d] ‘requirements’ ”, in large part because the PMA process “is [the] federal safety review.” Id. at 322-23, 128 S.Ct. 999. Because the Infuse device obtained PMA, defendants argue that the federal government has established requirements applicable to the Infuse device.
Plaintiffs acknowledge that the Infuse device went through the PMA process, but they argue that the PMA process only applied to the Infuse device that contained all three components and that the FDA only reviewed the safety and effectiveness of the device for one specific use. Thus, plaintiffs argue that the federal requirements were imposed only for that use. Plaintiffs insist that the PMA does not establish federal requirements applicable to the unreviewed, unapproved uses of the bone protein component by itself. Plaintiffs rely primarily on Ramirez v. Medtronic Inc., 961 F.Supp.2d 977 (D.Ariz. 2013), to support their argument.
Plaintiffs argue that similarly here, the court should find that the first prong of Riegel has not been met because the basis for their claims is defendants’ “false and misleading promotion of misbranded uses of the Bone Protein....”
However, “Ramirez has been rejected— for good reason — by numerous courts.” Beavers-Gabriel v. Medtronic, Inc., 15 F.Supp.3d 1021, 1035, 2014 WL 1396582, at *10 (D.Hawai’i 2014). Courts have concluded
that Ramirez “is not consistent with the text of § 360(k), the scope of federal requirements imposed on Class III devices, or Ninth Circuit precedent.” Houston II, 2014 WL 1364455, at *5. Houston II explains that off-label promotion is in. fact regulated by the FDA— § 360(k) applies broadly to “devices” as opposed to particular “uses” of such devices, and the MDA prohibits off-label promotion through its statutes and regulations prohibiting misbranded devices. Id. In other words, contrary to Ramirez ’ suggestion that manufacturers coüld “escape[ ] federal requirements by promoting an off-label use, a device manufacturer’s off-label promotion [is] itself [] subject to specific MDA provisions.” Id.
Houston II further explains that Ramirez is contrary to Perez, which “implicitly held that the MDA imposes requirements on devices that are used in off-label manners, even when the off-label uses are promoted by the device manufacturer.” Id. (citing Perez, 711 F.3d at 1112-13, 1118-19). Houston II reasons that Perez, in addressing claims for off-label use and promotion, held that “the [medical device at issue] was subject to device-specific requirements” as a result of the MDA’s premarket approval regulations. Id. (citing Perez, 711 F.3d at 1118).
Id. This court joins the majority of other courts which have rejected Ramirez to the extent that it holds that the preemption analysis does not apply to claims based on off-label promotion. The preemption analysis does apply to plaintiffs’ claims which are based on defendants’ off-label promotion of the Infuse device. It is possible that some or all of plaintiffs’ claims are preempted.
Defendants argue, however, that the Second Circuit recently rejected a similar argument in United States v. Caronia, 703 F.3d 149 (2d Cir. 2012). There, Caronia “was found guilty of conspiracy to introduce a misbranded drug into interstate commerce, a misdemeanor violation of 21 U.S.C. §§ 331(a) and 333(a)(1).” Id. at 152. “Specifically, Caronia, a pharmaceutical sales representative, promoted the drug Xyrem for ‘off-label use,’ that is, for a purpose not approved by the U.S. Food and Drug Administration....” Id. “On appeal, Caronia principally argue[d] that the misbranding provisions of the FDCA prohibit off-label promotion, and therefore, unconstitutionally restrict speech.” Id. at 160. In its discussion, the Second Circuit observed that “promoting off-label drug use concerns lawful activity (off-label drug use), and the promotion of off-label drug use is not in and of itself false or misleading.” Id. at 165. The court thus “construe[d] the misbranding provisions of the FDCA as not prohibiting and criminalizing the truthful off-label promotion of FDA-approved prescription drugs.” Id. at 168. The court’s “conclusion [was] limited to FDA-approved drugs for which off-label use is not prohibited!.]” Id. at 168-69. District courts have relied on Caronia to hold that claims based on off-label promotion are preempted and are not parallel claims because “federal law does not bar off-label promotion!.]” Schuler v. Medtronic, Inc., Case No. CV 14-00241-R, 2014 WL 988516, at *1 (C.D.Cal. Mar. 12, 2014).
Defendants’ reliance on Caronia is misplaced because Caronia held that the misbranding provisions of the FDCA did not prohibit “truthful off-label promotion of FDA-approved prescription drugs.” Caronia, 703 F.3d at 168 (emphasis added). Plaintiffs’ claims are premised on allegations that defendants’ off-label promotion of the Infuse device was not truthful, but rather was misleading and false. The FDCA does prohibit untruthful off-label promotion. See Eidson II, — F.Supp.3d at-, 2014 WL 1996024, at *15 (N.D.Cal. 2014) (internal citations omitted) (“[e]ven assuming off-label promotion per se does not constitute a violation of federal law as Defendants argue, Defendants have advanced no authority suggesting that federal law permits false and mis
Defendants next make a general argument that plaintiffs have not alleged parallel state law claims because there is no state law duty to abstain from off-label promotion. See Hawkins, 2014 WL 346622, at *19 (“Off-label promotion itself exists only as a creation of the FDCA scheme. A state law cause of action cannot rest solely on the off-label promotion of INFUSE®”); Caplinger v. Medtronic, Inc., 921 F.Supp.2d 1206, 1219-20 (W.D.Okla. 2013) (“even the concept of ‘off-label use’ is a creature of the FDCA, is defined by the FDCA, and is not a part of Oklahoma substantive law”). Defendants also argue that this lack of a traditional state-law duty to refrain from off-label promotion means that plaintiffs’ claims are impliedly preempted.
“[T]o avoid being impliedly preempted under Buckman, a claim must rely[ ] on traditional state tort law which had predated the federal enactments in question[]. In other words, the conduct on which the claim is premised must be the type of conduct that would traditionally give rise to liability under state law— and that would give rise to liability under state law even if the FDCA had never been enacted. If the defendant’s conduct is not of this type, then the plaintiff is effectively suing for a violation of the FDCA (no matter how the plaintiff labels the claim), and the plaintiffs claim is thus impliedly preempted under Buckman.”
Id. at 1214-15 (quoting Riley v. Cordis Corp., 625 F.Supp.2d 769, 776-77 (D.Minn. 2009)).
This general argument fails because there is a state law duty to refrain from making misrepresentations, and this duty or requirement predates the FDCA. See Jennings v. Lee, 105 Ariz. 167, 461 P.2d 161, 164 (1969) (setting out the “well-settled” elements of a claim for fraudulent misrepresentation).
Because defendants’ general preemption arguments fail, it is possible that all or some -of plaintiffs’ claims are parallel claims. In order to determine whether plaintiffs have stated any parallel claims that would survive defendants’ motion to dismiss, the court must apply the preemption analysis to each of plaintiffs’ claims.
Fraud claims
In the first cause of action in plaintiffs’ complaint, Debra alleges that defendants fraudulently concealed and misrepresented 1) the health and safety problems associated with the off-label use of the Infuse device, 2) their practice of promoting the off-label use of the Infuse device, and 3) the “known comparative risks and benefits of the use of’ the Infuse device.
To the extent that Debra’s fraud claims are based on allegations that defendants made misrepresentations and omissions in the labeling of the Infuse device, “the court joins the majority of courts finding that such claims are expressly preempted.” Beavers-Gabriel, 15 F.Supp.3d at 1036, 2014 WL 1396582, at *10. “As Caplinger ... explains: ‘allowing [such a] claim to proceed would permit a finding that defendants were required to alter the Infuse Device’s warning and label and to provide additional warnings above and beyond those on the Infuse Device’s label and accompanying the device — a label and warnings that were specifically approved by the FDA as part of the PMA process.” Id. (quoting Caplinger, 921 F.Supp.2d at 1219). “Such [a] claim is expressly preempted because it seeks to impose different and/or additional written warnings and labeling beyond those approved by the FDA through the PMA process.” Id.
To the extent that Debra’s fraud claims are based on allegations “that [defendants made misrepresentations and omissions in promoting off-label use of the Infuse Device — the court joins those courts determining that such claim is neither expressly preempted nor impliedly preempted.” Id. at 1037, 2014 WL 1396582 at *11. As the Houston I court explained:
“Leaving aside Rule 9(b) for the moment, the Court concludes that Plaintiffs fraud-based claims could escape both express and implied preemption. As an initial matter, Plaintiffs fraudulent advertising claims are not impliedly preempted under Buckman because they are moored in traditional state common law that exists independently from the FDCA. With respect to express preemption, Plaintiffs claim that Defendants made fraudulent statements to promote off-label uses of the Infuse Device lies ‘parallel’ to federal requirements. First, although federal law permits Defendants to engage in advertising beyond the subject device’s label, it requires that such representations not be false or misleading. Second, federal regulations prohibit device manufacturers from promoting off-label uses of medical devices. Against this backdrop, Plaintiffs fraud claims are parallel or ‘genuinely equivalent’ to federal law[.]”
Id. (quoting Houston I, 957 F.Supp.2d at 1179-80); see also, Alton v. Medtronic, Inc., 970 F.Supp.2d 1069, 1098-99 (D.Or. 2013) (finding fraud claims based on off-label promotion not preempted); Eidson I, 981 F.Supp.2d at 883 (finding that to the extent the fraudulent misrepresentation/fraud in the inducement “claim is based on alleged misrepresentations and omissions Defendants made while promoting the off-label use of the Infuse Device”, the claim was neither expressly or impliedly preempted); Scovil v. Medtronic, Inc., 995 F.Supp.2d 1082, 1096, 2014 WL 502923, at *10 (D.Ariz. 2014) (finding claims based on allegations “that Defendants knowingly made false statements to doctors while they were promoting the off-label use of the Infuse device ... not preempted because they parallel the feder
But Debra’s fraud claims based on the off-label promotion allegations must still be dismissed as these claims have not been pled with the requisite particularity. Debra has certainly alleged who made misrepresentations about the Infuse device and when and where those misrepresentations were made. But, she has not alleged which misrepresentations were relied on by her and her surgeon. Instead she generally alleges that “[defendants through their sales representatives and paid Key Opinion Leaders, directly and indirectly promoted, trained, and encouraged [Debra’s] surgeon to engage in the off-label procedure of utilizing a posterolateral approach without the required LT-Cag-esTM.”
[t]he Complaint certainly details (in voluminous fashion) the numerous alleged omissions and misrepresentations madé by Defendants, including, for example, that they (1) funded studies which failed to accurately describe the adverse side effects of off-label uses, (2) ensured that adverse side effects were under-reported by writing and editing the published medical literature, and (3) used “opinion leaders” and other paid physician consultants to promote off-label uses of the Infuse Device at conferences, VIP meetings, demonstrations, and to serve as resources for other physicians seeking information on off-label uses. The Complaint identifies the dates of many of these alleged bad acts, and describes as much as possible the individuals responsible for these actions.
Missing from the Complaint, however, is the connection between Defendants’ alleged misdeeds and Plaintiff and Plaintiffs physicians — i.e., that Plaintiff and Plaintiff’s physicians relied on these misrepresentations. Although the Complaint generally asserts that “Plaintiff and Plaintiffs physicians ... [relied] on MEDTRONIC’S concealment of information and misrepresentations about the safety risks related to Infuse® in deciding to use Infuse® in an off-label manner,” the Complaint fails to identify what particular misrepresentations and/or concealments were made to Plaintiff and Plaintiffs physicians (as opposed to the medical field generally), who made those particular representations and/or omissions, and when those events occurred.
Beavers-Gabriel, 15 F.Supp.3d at 1038, 2014 WL 1396582, at *12 (internal citations omitted).
In sum, Debra’s fraud claims (the first, fourth and seven causes of action) are dismissed. But, Debra is given leave to amend as to her fraud claims which are based on allegations that defendants made misrepresentations while promoting the off-label use of the Infuse device.
Strict liability-failure to warn
In the second cause of action in plaintiffs’ complaint, Debra alleges that defendants had a duty to warn her and her physicians about the dangers of using the
First, Debra argues that this claim runs parallel to the federal prohibition on off-label promotion. She cites to Riley v. Cordis Corporation, 625 F.Supp.2d 769 (D.Minn. 2009), to support this argument. There, the court stated that
[i]t seems possible ... that Riley could plead a narrow failure-to-warn claim that would escape preemption. Specifically, if Riley pleaded that (1) Cordis affirmatively promoted the off-label use of the Cypher stent in a manner that violated federal law, and (2) that, while promoting the device in violation of federal law, Cordis failed to include adequate warnings and directions about the off-label use that it was promoting, then Riley’s claim might survive.
Id. at 783. Debra contends that she has alleged such a claim. She argues that when the FDA approved the Infuse device, that approval pertained only to the device if it contained all three parts and that defendants unilaterally changed the intended use of that device by actively promoting the use of the bone protein alone. Or in other words, Debra argues that defendants were manufacturing, marketing, selling, and promoting an unregulated application of the bone protein, which violates both federal law and state law. See 21 U.S.C. § 352(a) (prohibition on mis-branding); A.R.S. §§ 12-681-12-689 (product liability statutes).
This court joins the majority of other courts which have held that failure-to-warn claims “based on off-label promotion of Infuse are expressly preempted.” Eidson II, — F.Supp.3d at -, 2014 WL 1996024, at *19; Beavers-Gabriel, 15 F.Supp.3d at 1039, 2014 WL 1396582, at *13 (failure to warn claim based on off-label promotion preempted because it “seeks to impose on Defendants a duty to provide warnings beyond those already outlined by the FDA, which Riegel prohibits”); Houston II, 2014 WL 1364455, at *6 (“Houston’s claim that Medtronic failed to warn Houston or her physician is expressly preempted”); Hawkins, 2014 WL 346622, at *14-15 (holding that claim based on failure to warn during off-label promotion was expressly preempted); Kashani-Matts, 2013 WL 6147032, at *4 (holding that failure to warn claim based on allegations “that Medtronic failed to warn Plaintiff and her physicians of the risks and dangers involved in the off-label use of the Infuse Device and that the warnings accompanying the Device did not adequately warn of the dangers of using the Device in cervical fusion surgery” is expressly preempted by the MDA). Thus, Debra’s failure to warn claim premised on defendants’ off-label promotion is dismissed.
Debra also contends that her failure to warn claim is cognizable under Stengel v. Medtronic Inc., 704 F.3d 1224 (9th Cir. 2013). There, “Richard Stengel had a SynchroMed EL Pump and Catheter surgically implanted in his abdomen to deliver pain relief medication directly into his spine.” Id. at 1227. This device led to Stengel being paralyzed. Id. “When it received FDA approval of its SynchroMed EL Pump and Catheter, Medtronic was not aware of certain risks associated with the device. Before Stengel was paralyzed, however, Medtronic had become well aware of those risks but had failed to inform the FDA, even though the MDA required Medtronic to do so.” Id. The Stengels sued and Medtronic moved to dismiss their complaint. Id. at 1226.
[t]he new claim in the Stengels’ proposed amended complaint alleges that, under federal law, Medtronic had a “continuing duty to monitor the product after pre-market approval and to discover and report to the FDA any complaints about the product’s performance and any adverse health consequences of which it became aware and that are or may be attributable to the product.” It further alleges that Medtronic failed to perform its duty under federal law to warn the FDA. Finally, the complaint alleges that, because Medtronic failed to comply with its duty under federal law, it breached its “duty to use reasonable care” under Arizona negligence law.
Id. at 1232. The Ninth Circuit held that “[t]he Stengels’ proposed new claim under Arizona law, insofar as the state-law duty parallels a federal-law duty under the MDA, is not preempted.” Id. at 1233. The court explained:
Plaintiffs’ claim is brought under settled Arizona law that protects the safety and health of Arizona citizens by imposing a general duty of reasonable care on product manufacturers. The whole modern law of negligence, with its many developments, enforces the duty of fellow-citizens to observe in varying circumstances an appropriate measure of prudence to avoid causing harm to one another. Arizona tort law includes a cause of action for failure to warn. Under Arizona law, negligence standards impose a duty to produce products with appropriate warning instructions. A product may be unreasonably dangerous in the absence of adequate warnings. The manufacturer of a product must warn of dangers which he knows or should know are inherent in its use. This duty may be a continuing one applying to dangers the manufacturer discovers after sale.
If a more precise parallel were necessary, the Stengels have alleged it and Arizona law provides it. The Stengels’ new claim specifically alleges, as a violation of Arizona law, a failure to warn the FDA. Arizona law contemplates a warning to a third party such as the FDA. Under Arizona law, a warning to a third party satisfies a manufacturer’s duty if, given the nature of the warning and the relationship of the third party, there is reasonable assurance that the information will reach those whose safety depends on their having it.
Id. (internal citations and quotation marks omitted).
Debra argues that similarly here she has alleged a state-law failure to warn claim that runs parallel to defendants’ violations of the FDCA’s requirements to submit reports of adverse events and include those events in their labeling. Debra contends that her failure-to-warn allegations are similar to those in Stengel because after the 2002 PNIA approval of the Infuse device, defendants failed to report certain adverse events to the FDA.
Courts have held that failure-to-warn claims “based on failure to report adverse events to the FDA escape[ ] both express and implied preemption.” Eidson II, —
Strict products liability — design defect
In the third cause of action in plaintiffs’ complaint, Debra alleges that the Infuse device’s design was defective because “the design was unsafe when used in the manner promoted by [defendants ....”
fact that Medtronic is alleged to have actively promoted the use of Infuse outside of the prescribed federal approval process has opened up state law claims premised on the new, unapproved use of Infuse. Infuse may indeed be defectively designed for the off-label uses that Medtronic may have actively promoted. Certainly the FDA has not made a finding one way or the other. Because there are no applicable federal regulations that govern the product for this new use, there is no conflict for preemption purposes.
Ramirez, 961 F.Supp.2d at 999. Similarly, Debra argues her design defect claim is not preempted because defendants were marketing a device that had never been considered or approved by the FDA.
The weight of authority is, however, to the contrary. See Dunbar v. Medtronic, Inc., Case No. CV 14-01529-RGK (AJWx), 2014 WL 3056026, at *4 (C.D.Cal. June 25, 2014) (holding that design defect claim is
Negligence
In the fifth cause of action in plaintiffs’ complaint, Debra alleges that defendants had a duty to fully and adequately warn others about the health and safety risks related to the off-label use of the Infuse device and to disclose their practice of improperly promoting off-label uses of the Infuse device.
To the extent that Debra’s negligence claim “is based on a failure to provide warnings on the labeling of the Infuse Device, or based on any negligence in the design and manufacture of the Infuse Device,” the claim is expressly preempted “because such claim would seek to impose labeling and design requirements different, or in addition to, the FDA requirements.” Beavers-Gabriel, 15 F.Supp.3d at 1041, 2014 WL 1396582, at *15; see also Caplinger, 921 F.Supp.2d at 1223 (dismissing negligence claim based on a failure to warn because it was expressly preempted); Hawkins, 2014 WL 346622, at *19 (same); Eidson I, 981 F.Supp.2d at 890-91 (same); Ledet v. Medtronic, Inc., Case No. 1:13CV200-LG-JMR, 2013 WL 6858858, at *5 (S.D.Miss. Dec. 30, 2013) (same); Dawson v. Medtronic, Inc., Case No. 3:13-cv-663-JFA, 2013 WL 4048850, at *7 (D.S.C. Aug. 9, 2013) (same).
“To the extent” that Debra’s negligence claim “is based on the theory that
To the extent that Debra’s negligence claim is based on a failure to comply with federal law, she has failed to state a plausible claim because she did “not specify what federal laws were violated” so the court cannot “determine whether [she] is asserting a parallel state law claim.” Beavers-Gabriel, 15 F.Supp.3d at 1041, 2014 WL 1396582, at *15.
In sum, Debra’s negligence claims are dismissed. Although Debra does not raise this argument, it is possible that she could amend her negligence claim to state a' plausible parallel state law claim. Courts have held that “a negligence allegation predicated on Medtronic’s failure to submit adverse-event reports to the FDA after the FDA granted the Infuse device pre-market approval” survive preemption. Schouest, 13 F.Supp.3d at 706, 2014 WL 1213243, at *10. Thus, Debra will be given leave to amend her negligence claim, but only to the extent that such a claim is based on allegations regarding defendants’ failure to report adverse events to the FDA.
Breach of express warranty
In the sixth cause of action in plaintiffs’ complaint, Debra alleges that defendants made express warranties regarding the safety and efficacy of off-label uses of the Infuse device.
However, in Beavers-Gabriel, 15 F.Supp.3d at 1042, 2014 WL 1396582, at *17, the court found that a similar breach of warranty claim “survives both express preemption and implied preemption.” The court explained that express preemption does not apply because
“[F]ederal law already prohibits false or misleading off-label promotion. Therefore, to the extent that Plaintiff seeks to impose liability on Defendants for voluntarily making misleading warranties outside the label, Plaintiff is not imposing any requirement different from or additional to what federal law already requires. In other words, to avoid state law liability on this claim, Defendants need only to refrain from making misleading warranties, which adds no bur*1046 den beyond what federal law already imposes.”
Id. (quoting Houston I, 957 F.Supp.2d at 1180-81). The court also determined that implied preemption does not apply because a “breach of warranty claim is well-recognized under Hawaii law and requires a plaintiff to establish ‘that (1) Defendants made' an affirmation of fact or promise regarding the product, (2) that statement became part of the basis of the bargain, and (3) the product failed to perform according to the statement.’” Id. (quoting Stoebner Motors, Inc. v. Automobili Lamborghini S.P.A., 459 F.Supp.2d 1028, 1035 (D.Haw. 2006)). “This liability for a breach of warranty exists independently of the FDCA — Plaintiffs breach of warranty claim would exist even absent federal law.” Id.
But even if Debra’s breach of express warranty claim is not preempted, it must still be dismissed because she has not
allege[d] sufficient facts to assert a plausible breach of warranty claim. Although the Complaint details Medtronic’s alleged representations regarding off-label use of the Infuse Device, it fails to include any facts suggesting that those representations became the ‘basis of the bargain’ for [Debra] and her physicians. Indeed, the Complaint fails to describe what specific warranties Med-tronic made to [Debra] and/or her physicians.
Id.; see also, Houston I, 957 F.Supp.2d at 1181 (“Plaintiff has alleged no facts demonstrating that Defendants made any affirmations specifically to Plaintiff or her physician so as to form the basis of the bargain”); Schouest, 13 F.Supp.3d at 707, 2014 WL 1213243, at *11 (“While conceptually an express warranty claim could avoid express preemption, what is missing from Schouest’s complaint, in its current form, is a description of what specific warranties Medtronic made to Schouest or her physicians”); Ramirez, 961 F.Supp.2d at 1001 (dismissing breach of express warranty claim because “any affirmation that forms the basis of an express warranty must be between the seller and the buyer” and Ramirez “does not allege (in anything other than the most conclusory manner) that Medtronic targeted her with its guarantees of safety in off-label use of Infuse”). Thus, Debra’s express warranty claim is dismissed, not because it is preempted, but because she has not alleged what specific warranties were made to her or to her physicians. However, Debra is given leave to amend as to this claim.
Loss of consortium claim
The parties do not expressly address Patrick Martin’s loss of consortium claim which is asserted in the eighth cause of action in plaintiffs’ complaint. “Loss of consortium is a derivative claim, so it cannot exist unless ‘all elements of the underlying cause [are] proven.’ ” Tavilla v. City of Phoenix, Case No. 1 CA-CV 10-0429, 2011 WL 4794940, at *9 (Ariz.Ct.App. Oct. 11, 2011) (quoting Barnes v. Outlaw, 192 Ariz. 283, 964 P.2d 484, 486-87 (1998)). Thus, this claim would survive a motion to dismiss to the extent that Debra’s claims survive. Because all of Debra’s claims are being dismissed, Patrick’s loss of consortium claim must also be dismissed. However, because Debra has been given leave to amend as to some of her claims, Patrick is also given leave to amend his claim.
Conclusion
Defendants’ Motion for Leave to File Supplemental Briefing
. Docket No. 13.
. Docket No. 15.
. Complaint for Damages at 3, ¶ 1 & 6, ¶ 22, Docket No. 1.
. Plaintiffs refer to this component as the "bone protein” in their response to the instant motion.
. Complaint for Damages at 13, II 57, Docket No. 1.
. "In general, a device is assigned to Class III if it cannot be established that a less stringent classification would provide reasonable assurance of safety and effectiveness, and the device 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,’ or 'presents a potential unreasonable risk of illness or injury.’ ” Riegel v. Medtronic, Inc., 552 U.S. 312, 317, 128 S.Ct. 999, 169 L.Ed.2d 892 (2008) (quoting 21 U.S.C. § 360c(a)(l)(C)(ii)). Examples of Class III devices are "replacement heart valves, implanted cerebella stimulators, and pacemaker pulse generators!!]” Id.
.Complaint for Damages at 16, ¶ 68, Docket No. 1.
. Id. at 17, ¶ 74. The initial PMA has been supplemented and the FDA has approved the use of the Infuse device at the L4-S1 to L2-S1 level, has approved alternative cage components, and has approved the use of the bone protein alone (without the cage component) for certain oral maxillofacial surgeries and to repair tibial fractures. Id. at 17, n. 1; Exhibits B, D, E & F, Request for Judicial Notice, Docket No. 14. (Defendants have requested that the court take judicial notice of numerous PMA documents. Plaintiffs do not oppose this request and because these documents are publically available and/or official FDA documents, the court may take judicial notice of these documents without converting this Rule 12(b)(6) motion into a motion for summary judgment. Lee v. City of Los Angeles, 250 F.3d 668, 689 (9th Cir. 2001). “Once a device has received premarket approval,” the manufacturer cannot “make, without FDA permission, changes in design specifications, manufacturing processes, labeling, or any other attribute, that would affect safety or effectiveness.” Riegel, 552 U.S. at 319, 128 S.Ct. 999.
. Complaint for Damages at 18, ¶ 78, Docket No. 1. Defendants contend that the FDA does not approve "uses” of a medical device through the PMA process but rather that the FDA approves the device itself and the labeling for the device. See Nightingale Home Healthcare, Inc. v. Anodyne Therapy, LLC, Case No. 1:06-cv-1435-SEB-JMS, 2008 WL 4367554, at *6 (S.D.Ind. Sept. 18, 2008) (quoting 21 U.S.C. § 396) (“The Food, Drug, and Cosmetic Act is clear that it does not ‘limit or interfere with the authority of a health care practitioner to prescribe or administer any legally marketed device to a patient for any condition or disease within a legitimate health care practitioner-patient relationship.’ Thus, the FDA does not approve or disapprove the use of medical devices for specific treatments.”). But, plaintiffs contend that "the FDA’s detailed safety and effectiveness evaluation is strictly tied to the manufacturer's intended use of the device.” Ramirez v. Medtronic Inc., 961 F.Supp.2d 977, 985 (D.Ariz. 2013). "The FDA looks only at the 'safety and effectiveness of a device ... with respect to the persons for whose use the device is represented or intended, with respect to the conditions of use prescribed, recommended, or suggested in the labeling of the device, and weighing any probable benefit to health from the use of the device against any probable risk of injury or illness from such use.’ ” Id. (quoting 21 U.S.C. § 360c(a)(2)).
. Complaint for Damages at 19, ¶ 79, Docket No. 1. It has been estimated that by 2011, "at least 85% of InFuse use [was] off-label.” Staff Report on Medtronic's Influence on Infuse Clinical Studies at 3, Exhibit B, Memorandum in Opposition to Defendants' Motion to Dismiss, Docket No. 15.
. The editor-in-chief of The Spine Journal referred to this as a “carnival-like promotion” in that "[m]arket boosters adverted that the BMP-2 product went beyond all other medical innovations.” Response to Long-Awaited YODA Report on Controversial Spinal Fusion Product, Exhibit A at 1, Memorandum in Opposition to Defendants' Motion to Dismiss, Docket No. 15.
. Complaint for Damages at 39-40, ¶ 158, Docket No. 1.
. Id. at 28-32, ¶¶ 112-123.
. Id. at 35-36, ¶¶ 136-140 (alleging, for example, that defendants sold $4 billion worth of Infuse devices between 2002 and 2011).
. Id. at 80, ¶ 299.
. Plaintiffs allege that Key Opinion Leaders “were paid physician promoters[.]” Id. at 4, ¶ 6.
. Id. at 80, ¶ 300.
. This allegation is inconsistent with plaintiffs’ allegation that Debra's surgeon did not use the LT-CageTM.
. Complaint for Damages at ¶ 301, Docket No. 1.
. Plaintiffs' Response at 3, Docket No. 15 (emphasis omitted).
. "State 'requirements’ include the state’s common law legal duties.” Eidson v. Med
. Plaintiffs suggest that Buckman only applies to fraud-on-the-FDA claims because that was the claim at issue in that case, but Buck-man cannot be read that narrowly. See e.g., Perez v. Nidek Co., 711 F.3d 1109, 1119-20 (9th Cir. 2013) (applying Buckman to fraud by omission claim based on a failure to disclose information to patients).
. Section 337(a) states in relevant part that "all such proceedings for the enforcement, or to restrain violations, of this chapter shall be by and in the name of the United States.” 21 U.S.C. § 337(a).
. In their opposition, plaintiffs cite to numerous state court decisions that they contend have also rejected defendants’ preemption arguments. Plaintiffs' citation to these decisions was unhelpful because in large part the courts’ reasoning was not clear as the decisions were made on the record or in conclusory written orders.
. Memorandum in Opposition to Defendants' Motion to Dismiss at 6, Docket No. 15.
. Complaint for Damages at 37, ¶ 144, Docket No. 1.
. Id. at ¶¶ 143, 145.
. Complaint for Damages at 82, ¶ 308, Docket No. 1.
. Id. at 88, ¶ 353.
. Id. at 93, ¶ 391.
. Id. at 94, ¶ 397.
. Complaint for Damages at 80, ¶ 300, Docket No. 1.
. Complaint for Damages at 84-85, ¶¶ 320-327, Docket No. 1.
. Complaint for Damages at 38, ¶ 148, Docket No. 1 (alleging that defendants violated the FDCA "by failing to account for adverse events and update its labeling, directions for use, and advertising to address the adverse events resulting from ... off-label uses”).
. Complaint for Damages at 86, ¶ 339, Docket No. 1.
. Complaint for Damages at 90, ¶ 368, Docket No. 1.
. Id. at 90-91, ¶ 371.
. Complaint for Damages at 92, ¶ 381, Docket No. 1.
. Docket No. 24.
. Docket No. 13.
Reference
- Full Case Name
- Debra and Patrick MARTIN v. MEDTRONIC, INC., and Medtronic Sofamor Danek USA, Inc.
- Cited By
- 18 cases
- Status
- Published