SUPREME COURT OF THE UNITED STATES
_________________
No. 12–142
_________________
MUTUAL PHARMACEUTICAL COMPANY, INC.,
PETITIONER v. KAREN L. BARTLETT
on writ of certiorari to the united states
court of appeals for the first circuit
[June 24, 2013]
Justice Sotomayor,
with whom Justice Ginsburg joins, dissenting.
In PLIVA, Inc. v.
Mensing, 564 U. S. ___ (2011), this Court expanded the scope
of impossibility pre-emption to immunize generic drug manufacturers
from state-law failure-to-warn claims. Today, the Court
unnecessarily and unwisely extends its holding in Mensing to
pre-empt New Hampshire’s law governing design-defects with
respect to generic drugs.
The Court takes this
step by concluding that petitioner Mutual Pharmaceutical was held
liable for a failure-to-warn claim in disguise, even though the
District Court clearly rejected such a claim and instead allowed
liability on a distinct theory. See infra, at 13–15. Of
greater consequence, the Court appears to justify its revision of
respondent Karen Bartlett’s state-law claim through an
im-plicit and undefended assumption that federal law gives
pharmaceutical companies a right to sell a federally approved drug
free from common-law liability. Remarkably, the Court derives this
proposition from a federal law that, in order to protect consumers,
prohibits manufacturers from distributing new drugs in commerce
without federal regulatory approval, and specifically disavows any
intent to displace state law absent a direct and positive
conflict.
Karen Bartlett was
grievously injured by a drug that a jury found was unreasonably
dangerous. The jury relied upon evidence that the drug posed a
higher than normal risk of causing the serious skin reaction that
produced her horrific injuries; carried other risks; and possessed
no apparent offsetting benefits compared to similar pain relievers,
like aspirin. See 760 F. Supp. 2d 220, 233–241,
243–244 (NH 2011). The Court laments her “tragic”
situation, ante, at 20, but responsibility for the fact that Karen
Bartlett has been deprived of a remedy for her injuries rests with
this Court. If our established pre-emption principles were properly
applied in this case, and if New Hampshire law were correctly
construed, then federal law would pose no barrier to Karen
Bartlett’s recovery. I re-spectfully dissent.
I
I begin with
“two cornerstones of our pre-emption jurisprudence,”
Wyeth v. Levine, 555 U. S. 555, 565 (2009) , that should
control this case but are conspicuously absent from the majority
opinion. First, “ ‘the purpose of Congress is the
ultimate touchstone’ in every pre-emption case.” Ibid.
(quoting Medtronic, Inc. v. Lohr, 518 U. S. 470, 485 (1996) ).
Second, we start from the “assumption that the historic
police powers of the States [are] not to be superseded by [a]
Federal Act unless that was the clear and manifest purpose of
Congress.” Rice v. Santa Fe Elevator Corp., 331 U. S.
218, 230 (1947) . “That assumption,” we have explained,
“applies with particular force when,” as is the case
here, “Congress has legislated in a field traditionally
occupied by the States.” Altria Group, Inc. v. Good, 555
U. S. 70, 77 (2008) . [
1
]
The Court applied both
of these principles to the Fed-eral Food, Drug, and Cosmetic Act
(FDCA), ch. 675, 52Stat. 1040, as amended, 21 U. S. C.
§301 et seq., in Levine, where we held that a state
failure-to-warn claim against a brand-name drug manufacturer was
not pre-empted by federal law. 555 U. S., at 581. Tracing the
history of federal drug regulation from the 1906 Federal Food and
Drugs Act, 34Stat. 768, up to the FDCA and its major amendments,
the Court explained that federal drug law and state common-law
liability have long been understood to operate in tandem to promote
consumer safety. See Levine, 555 U. S., at 566–568, 574.
That basic principle, which the majority opinion elides, is
essential to understanding this case.
The FDCA prohibits the
“introduction into interstate commerce [of ] any new
drug” without prior approval from the United States Food and
Drug Administration (FDA). 21 U. S. C. §355(a).
Brand-name and generic drug manufacturers are required to make
different showings to receive agency approval in this premarketing
review process. See ante, at 2–3. But in either case, the
FDA’s per- mission to market a drug has never been regarded
as a final stamp of approval of the drug’s safety. Under the
FDCA, manufacturers, who have greater “access to information
about their drugs” than the FDA, Levine, 555 U. S., at
578–579, retain the ultimate responsibility for the safety of
the products they sell. In addition to their ongoing obligations to
monitor a drug’s risks and to report adverse drug responses
to the FDA, see 21 CFR §§314.80, 314.81, 314.98 (2012),
manufacturers may not sell a drug that is “deemed to be
misbranded” because it is “dangerous to health”
when used in the dosage or manner called for in the drug’s
label. 21 U. S. C. §352(j); see §331(a); Brief
for United States as Amicus Curiae 30–31 (hereinafter
U. S. Brief) (indicating that the misbranding prohibition may
apply to a drug that was previously approved for sale when
significant new scientific evidence demonstrates that the drug is
unsafe).
Beyond federal
requirements, state common law plays an important
“complementary” role to federal drug regulation.
Levine, 555 U. S., at 578. Federal law in this area was
initially intended to “supplemen[t] the protection for
consumers already provided by state regulation and common-law
liability.” Id., at 566. And as Congress “enlarged the
FDA’s powers,” it “took care to preserve state
law.” Id., at 567. In the 1962 amendments to the FDCA, which
established the FDA’s premarketing review in its modern form,
Congress adopted a saving clause providing that the amendments
should not be construed to invalidate any provision of state law
absent “a direct and positive conflict.” §202,
76Stat. 793. And in the years since, with “state common-law
suits ‘continu[ing] unabated de-spite . . . FDA
regulation,’ ” Levine, 555 U. S., at 567
(quoting Riegel v. Medtronic, Inc., 552 U. S. 312, 340 (2008)
(Ginsburg, J., dissenting)), Congress has not enacted a pre-emption
provision for prescription drugs (whether brand-name or generic)
even as it enacted such provisions with respect to other products
regulated by the FDA. [
2 ]
Congress’
preservation of a role for state law generally, and common-law
remedies specifically, reflects a realistic understanding of the
limitations of ex ante federal regu-latory review in this context.
On its own, even rig- orous preapproval clinical testing of drugs
is “generally . . . incapable of detecting adverse
effects that oc- cur infrequently, have long latency periods, or
affect subpopulations not included or adequately represented in the
studies.” Kessler & Vladeck, A Critical Examina- tion of
the FDA’s Efforts to Preempt Failure-to-Warn Claims, 96 Geo.
L. J. 461, 471 (2008); see National Academies, Institute of
Medicine, The Future of Drug Safety: Promoting and Protecting the
Health of the Public 37–38 (2007) (hereinafter Future of Drug
Safety) (discussing limitations “inherent” to a system
of premarket clinical trials). Moreover, the FDA, which is tasked
with monitoring thousands of drugs on the market and considering
new drug applications, faces significant resource constraints that
limit its ability to protect the public from dangerous drugs. See
Levine, 555 U. S., at 578–579, and n. 11; Brief for
Former FDA Commissioner Donald Kennedy et al. as Amici Curiae
6–7, 12–20. Tort suits can help fill the gaps in
federal regulation by “serv[ing] as a catalyst” to
identify previously unknown drug dangers. Bates v. Dow Agrosciences
LLC, 544 U. S. 431, 451 (2005) .
Perhaps most
significant, state common law provides injured consumers like Karen
Bartlett with an opportu-nity to seek redress that is not available
under federal law. “[U]nlike most administrative and
legislative regulations,” common-law claims
“necessarily perform an important re-medial role in
compensating accident victims.” Sprietsma v. Mercury Marine,
537 U. S. 51, 64 (2002) . While the Court has not always been
consistent on this issue, it has repeatedly cautioned against
reading federal statutes to “remove all means of judicial
recourse for those injured” when Congress did not provide a
federal remedy. Silkwood v. Kerr-McGee Corp., 464 U. S. 238,
251 (1984) ; see e.g., Bates, 544 U. S., at 449; Lohr, 518
U. S., at 487 (plurality opinion). And in fact, the
legislative history of the FDCA suggests that Congress chose not to
create a federal cause of action for damages precisely because it
believed that state tort law would allow injured consumers to
obtain compensation. See Levine, 555 U. S., at 574–575,
and n. 7.
II
In light of this
background, Mutual should face an uphill climb to show that federal
law pre-empts a New Hampshire strict-liability claim against a
generic drug manufacturer for defective design. The majority
nevertheless accepts Mutual’s argument that “compliance
with both federal and state [law was] a physical
impossibility.” Florida Lime & Avocado Growers, Inc. v.
Paul, 373 U. S. 132 –143 (1963); see ante, at 7. But if
state and fed-eral law are properly understood, it is clear that
New Hampshire’s design-defect claim did not impose a legal
obligation that Mutual had to violate federal law to satisfy.
A
Impossibility
pre-emption “is a demanding defense,” Le-vine, 555
U. S., at 573, that requires the defendant to show an
“irreconcilable conflict” between federal and state
legal obligations, Silkwood, 464 U. S., at 256. The logic
underlying true impossibility pre-emption is that when state and
federal law impose irreconcilable affirmative requirements, no
detailed “inquiry into congressional de-sign” is
necessary because the inference that Congress would have intended
federal law to displace the conflicting state requirement “is
inescapable.” Florida Lime, 373 U. S., at 142–143.
So, for example, if federal law requires a particular product label
to include a complete list of ingredients while state law
specifically forbids that labeling practice, there is little
question that state law “must yield.” Felder v. Casey,
487 U. S. 131, 138 (1988) .
The key inquiry for
impossibility pre-emption, then, is to identify whether state and
federal law impose directly conflicting affirmative legal
obligations such that state law “require[s] the doing of an
act which is unlawful under” federal law. California Fed.
Sav. & Loan Assn. v. Guerra, 479 U. S. 272, 292 (1987) .
Impossibility does not exist where the laws of one sovereign permit
an activity that the laws of the other sovereign restricts or even
prohibits. See Barnett Bank of Marion Cty., N. A. v. Nelson,
517 U. S. 25, 31 (1996) ; Michigan Canners & Freezers
Assn., Inc. v. Agricultural Marketing and Bargaining Bd., 467
U. S. 461, 478, n. 21 (1984) . So, to modify the previous
example, if federal law permitted (but did not require) a labeling
practice that state law prohibited, there would be no
irreconcilable conflict; a manufacturer could com- ply with the
more stringent regulation. And by the same logic, impossibility
does not exist where one sovereign’s laws merely create an
incentive to take an action that the other sovereign has not
authorized because it is possible to comply with both laws.
Of course, there are
other types of pre-emption. Courts may find that state laws that
incentivize what federal law discourages or forbid what federal law
authorizes are pre-empted for reasons apart from impossibility: The
state laws may fall within the scope of an express pre-emption
provision, pose an obstacle to federal purposes and objectives, or
intrude upon a field that Congress intended for federal law to
occupy exclusively. See Crosby v. National Foreign Trade Council,
530 U. S. 363 –373 (2000). But absent a direct conflict
between two mutually incompatible legal requirements, there is no
impossibility and courts may not automatically assume that Congress
intended for state law to give way. Instead, a more careful inquiry
into congressional intent is called for, and that inquiry should be
informed by the presumption against pre-emption.
In keeping with the
strict standard for impossibility, cases that actually find
pre-emption on that basis are rare. See Abrams, Plenary Power
Preemption, 99 Va. L. Rev. 601, 608 (2013). Mensing is an
outlier, as the Court found impossibility because a generic drug
manufacturer could not strengthen its product label to come into
line with a state-law duty to warn without the exercise of judgment
by the FDA. See 564 U. S., at ___–___ (slip op., at
13–14). But nothing in Mensing, nor any other precedent,
dictates finding impossibility pre-emption here.
B
To assess whether it
is physically impossible for Mutual to comply with both federal and
state law, it is necessary to identify with precision the relevant
legal obligations imposed under New Hampshire’s design-defect
cause of action.
The majority insists
that Mutual was required by New Hampshire’s design-defect law
to strengthen its warning label. In taking this position, the
majority effectively re-characterizes Bartlett’s
design-defect claim as a de facto failure-to-warn claim. The
majority then relies on that re-characterization to hold that the
jury found Mutual liable for failing to fulfill its duty to label
sulindac adequately, which Mensing forbids because a generic drug
manufacturer cannot independently alter its safety label. Ante, at
13; see Mensing, 564 U. S., at ___ (slip op., at 10). But the
majority’s assertion that Mutual was held liable in this case
for violating a legal obligation to change its label is
inconsistent with both New Hampshire state law and the record.
For its part, Mutual,
in addition to making the argument now embraced by the majority,
contends that New Hampshire’s design-defect law effectively
required it to change the chemical composition of sulindac. Mutual
claims that it was physically impossible to comply with that duty
consistent with federal law because drug manufacturers may not
change the chemical composition of their products so as to create
new drugs without submitting a new drug application for FDA
approval. See 21 CFR §§310.3(h), 314.70(b)(2)(i). But
just as New Hampshire’s design-defect law did not impose a
legal obligation for Mutual to change its label, it also did not
mandate that Mutual change the drug’s design.
1
a
Following blackletter
products liability law under §402A of the Restatement (Second)
of Torts (1963–1964) (hereinafter Second Restatement), New
Hampshire recognizes strict liability for three different types of
product defects: manufacturing defects, design defects, and warning
defects. See Cheshire Medical Center v. W. R. Grace & Co.,
49 F. 3d 26, 29 (CA1 1995). Because the District Court granted
Mutual summary judgment on Bartlett’s failure-to-warn claim,
only New Hampshire’s design-defect cause of action remains at
issue in this case.
A product has a
defective design under New Hampshire law if it “poses
unreasonable dangers to consumers.” Thibault v. Sears,
Roebuck & Co., 118 N. H. 802, 807, 395 A. 2d 843, 846
(1978). To determine whether a product is unreasonably dangerous, a
jury is asked to make a risk-benefit assessment by considering a
nonexhaustive list of factors. See ante, at 9–10. In
addition, New Hamp-shire has specifically rejected the doctrine,
advocated by the Restatement (Third) of Torts: Products Liability
§2(b) (1997) (hereinafter Third Restatement), that a plaintiff
must present evidence of a reasonable alternative design to show
that a product’s design is defective. Instead, “while
proof of an alternative design is relevant in a design defect
case,” it is “neither a controlling factor nor an
essential element.” Vautour v. Body Masters Sports
Industries, Inc., 147 N. H. 150, 156, 784 A. 2d 1178,
1183 (2001).
While some
jurisdictions have declined to apply design-defect liability to
prescription drugs, New Hampshire, in common with many other
jurisdictions, does subject prescriptions drugs to this distinct
form of strict products liability. See 678 F. 3d 30, 35 (CA1
2012) (citing Brochu v. Ortho Pharmaceutical Corp., 642 F. 2d
652, 655 (CA1 1981)); see also Third Restatement §6, Comment f
(collecting cases from other jurisdictions). Drug manufacturers in
New Hampshire have an affirmative defense under comment k to
§402A of the Second Restatement, which exempts
“[u]navoidably unsafe products” from strict liability
if the product is properly manufactured and labeled. As explained
by the lower courts in this case, see 678 F. 3d, at 36; 731
F. Supp. 2d 135, 150–151 (NH 2010), New Hampshire takes
a case-by-case approach to comment k under which a defendant
seeking to invoke the defense must first show that the product is
highly useful and that the dan-ger imposed by the product could not
have been avoided through a feasible alternative design. See
Brochu, 642 F. 2d, at 657. Comment k did not factor into the
jury’s assessment of liability in this case because Mutual
abandoned a comment k defense before trial. Ante, at 12, n. 2.
[
3 ]
b
The design-defect
claim that was applied to Mutual subjects the manufacturer of an
unreasonably dangerous product to liability, but it does not
require that manufacturer to take any specific action that is
forbidden by federal law. Specifically, and contrary to the
majority, see ante, at 11, New Hampshire’s design-defect law
did not require Mutual to change its warning label. A drug’s
warning label is just one factor in a nonexclusive list for
evaluating whether a drug is unreasonably dangerous, see Vautour,
147 N. H., at 156, 784 A. 2d, at 1183, and an adequate
label is therefore neither a necessary nor a sufficient con-dition
for avoiding design-defect liability. Likewise, New Hampshire law
imposed no duty on Mutual to change sulindac’s chemical
composition. The New Hampshire Supreme Court has held that proof of
an alternative fea-sible design is not an element of a
design-defect claim, see Kelleher v. Marvin Lumber & Cedar Co.,
152 N. H. 813, 831, 891 A. 2d 477, 492 (2006), and as the
majority recognizes, ante, at 11, sulindac was not realistically
capable of being redesigned anyway because it is a single-molecule
drug. [
4 ]
To be sure, New
Hampshire’s design-defect claim creates an incentive for drug
manufacturers to make changes to its product, including to the
drug’s label, to try to avoid liability. And respondent
overstates her case somewhat when she suggests that New
Hampshire’s strict-liability law is purely compensatory. See
Brief for Respondent 19. As is typically true of strict-liability
regimes, New Hampshire’s law, which mandates compensation
only for “defective” products, serves both compensatory
and regulatory purposes. See Heath v. Sears, Roebuck & Co., 123
N. H. 512, 521–522, 464 A. 2d 288, 293 (1983). But
exposure to liability, and the “incidental regulatory
effects” that flow from that exposure, Goodyear Atomic Corp.
v. Miller, 486 U. S. 174 –186 (1988), is not equivalent
to a legal mandate for a regulated party to take (or refrain from
taking) a specific action. This difference is a significant one: A
mandate leaves no choice for a party that wishes to comply with the
law, whereas an incentive may only influence a choice.
Our cases reflect this
distinction. In Bates, for exam-ple, we rejected an argument that
design-defect claims brought against a pesticide manufacturer were
pre-empted because they would likely “induce” the
manufacturer to change its product label and thus run afoul of an
express pre-emption provision forbidding state labeling
“requirements” that were different or in addition to
federal requirements. 544 U. S., at 444–446. A
requirement, we explained, “is a rule of law that must be
obeyed.” Id., at 445. “[A]n event, such as a jury
verdict, that merely motivates an optional decision,” does
not rise to that level. Ibid. [
5 ]
So too here. The fact
that imposing strict liability for injuries caused by a defective
drug design might make a drug manufacturer want to change its label
or design (or both) does not mean the manufacturer was actually
required by state law to take either action. And absent such a
legal obligation, the majority’s impossibility argument does
not get off the ground, because there was no state requirement that
it was physically impossible for Mutual to comply with while also
following federal law. The case is therefore unlike Mensing, where
it was “undisputed” that applicable state tort law
“require[d] a drug manufacturer that is or should be aware of
its product’s danger” to strengthen its label—a
requirement that conflicted with federal law preventing the
manufacturer from doing so uni-laterally, 564 U. S., at ___,
___ (slip op., at 4, 11–12). New Hampshire’s
design-defect law did not require Mu-tual to do anything other than
to compensate consumers who were injured by an unreasonably
dangerous drug.
2
Moreover, the trial
record in this case confirms that, con-trary to the
majority’s insistence, Mutual was not held liable for
“breach[ing] [its] duty” “to label sulindac
adequately.” Ante, at 13.
When Bartlett filed
suit against Mutual, she raised distinct claims based on design
defect and failure to warn. App. 102–108; see 659
F. Supp. 2d 279, 282 (NH 2009). Pursuing both claims was
consistent with New Hampshire law’s recognition that
“design defect and failure to warn claims are
separate.” LeBlanc v. American Honda Motor Co., 141
N. H. 579, 586, 688 A. 2d 556, 562 (1997). After the
District Court granted summary judgment to Mutual on the
failure-to-warn claim, the court repeatedly explained that an
alleged failure to warn by Mutual could not and did not provide the
basis for Bartlett’s recovery. See 760 F. Supp. 2d, at
248–249. [
6 ]
The majority notes that
the District Court admitted evidence regarding sulindac’s
label. Ante, at 11–12. But the court did so because the label
remained relevant for the more limited purpose of assessing, in
combination with other factors, whether sulindac’s design was
defective because the product was unreasonably dangerous. See 678
F. 3d, at 41. The District Court’s instructions to the
jury adhered to this limited purpose. The court first told the jury
to determine whether sulindac was unreasonably dangerous by
weighing its danger against its utility. App. 513. The court
further instructed the jury that if it determined that sulindac was
unreasonably dangerous without reference to the warning label, it
could then consider the presence and efficacy of the label to
evaluate whether the product was unreasonably dangerous “even
with its warning.” Id., 513–514. In other words, to
hold Mutual liable, the jury was required to find that sulindac
“was unreasonably dangerous despite its warning, not because
of it.” Id., at 341. The District Court also explained to the
jury that because Bartlett’s claim addressed only whether
sulindac’s design was defective, Mutual’s conduct,
“which included any failure to change its warning, was
‘not relevant to this case.’ ” 760
F. Supp. 2d, at 248.
The distinction drawn
by the District Court between permissible and impermissible uses of
evidence regarding sulindac’s label is faithful to New
Hampshire law. That law recognizes that the effectiveness of a
warning label is just one relevant factor in determining whether a
product’s design is unreasonably dangerous, and that
design-defect and failure-to-warn claims are
“separate.” LeBlanc, 141 N. H., at 586, 688
A. 2d, at 562. [
7 ] In
short, as the District Court made clear, Mutual was not held liable
for “failing to change” its warning. 760 F. Supp.,
at 248–249.
C
Given the distinction
that New Hampshire draws between failure-to-warn claims and
design-defect claims, as well as the clear and repeated statements
by the trial judge that Mutual’s liability was not predicated
on breaching a duty to label sulindac adequately, on what basis
does the majority reach a contrary conclusion? Though the majority
insists otherwise, ante, at 17, it appears to rely principally on
an implicit assumption about rights conferred by federal premarket
approval under the FDCA. After correctly observing that changing
sulindac’s chemical composition would create a new drug that
would have to go through its own approval process, the majority
reasons that Mutual must have been under a state-law duty to change
its label because it had no other option to avoid liability while
continuing to sell its product. Ante, at 10–11. But that
conclusion is based on a false premise.
A manufacturer of a
drug that is unreasonably dangerous under New Hampshire law has
multiple options: It can change the drug’s design or label in
an effort to alter its risk-benefit profile, remove the drug from
the market, or pay compensation as a cost of doing business. If
federal law or the drug’s chemical properties take the
redesign option off the table, then that does not mean the
manufacturer suddenly has a legal obligation under state law to
improve the drug’s label. Indeed, such a view of state law
makes very little sense here because even if Mutual had
strengthened its label to fully account for sulindac’s risks,
the company might still have faced liability for having a defective
design. See Thibault, 118 N. H., at 808, 395 A. 2d, at
847 (explaining that strict liability “may attach even though
. . . there was an adequate warning”). When a
manufacturer cannot change the label or when doing so would not
make the drug safe, the manufacturer may still choose between
exiting the market or continuing to sell while knowing it may have
to pay compensation to consumers injured by its product. [
8 ]
From a
manufacturer’s perspective, that may be an un-welcome choice.
But it is a choice that a sovereign State may impose to protect its
citizens from dangerous drugs or at least ensure that seriously
injured consumers receive compensation. That is, a State may impose
such a choice unless the FDCA gives manufacturers an absolute right
to sell their products free from common-law liability, or state law
otherwise “stands as an obstacle to the accomplishment”
of federal objectives. Crosby, 530 U. S., at 373 (internal
quotation marks omitted). Because the majority does not rely on
obstacle pre-emption, it must believe that a manufacturer that
received FDA premarket approval has a right not only to keep its
drug on the market unless and until the FDA revokes approval, but
also to be free from state-law liability that makes doing so more
expensive. That proposition is fundamentally inconsistent with the
FDCA’s text, structure, saving clause, and his-tory. See
supra, at 3–6; Levine, 555 U. S., at 583 (Thomas, J.,
concurring in judgment).
It is simply incorrect
to say that federal law presupposes that drug manufacturers have a
right to continue to sell a drug free from liability once it has
been approved. Nothing in the language of the FDCA, which is framed
as a prohibition on distribution without FDA approval, see 21
U. S. C. §355(a), suggests such a right. Federal law
itself bars the sale of previously approved drugs if new
information comes to light demonstrating that the drug is
“dangerous to health” and thus
“misbranded.” See §§331(a), 352(j); see
supra, at 3–4. [
9 ] Even
outside that sce- nario, manufacturers regularly take drugs off the
market when evidence emerges about a drug’s risks, particu-
larly when safer drugs that provide the same therapeutic benefits
are available. [
10 ]
According to the FDA, while it has formal authority to withdraw
approval for a drug based on new adverse information, see
§355(e), it is far more common for a manufacturer to stop
selling its product voluntarily after the FDA advises the
manufacturer that the drug is unsafe and that its risk-benefit
profile cannot be adequately addressed through labeling changes or
other measures. See U. S. Brief 5.
New Hampshire’s
design-defect cause of action thus does no more than provide an
impetus for an action that is permitted and sometimes encouraged or
even required by federal law.
D
The majority derides
any suggestion that Mutual’s ability to “stop
selling” sulindac is relevant to the validity of its
impossibility pre-emption defense. Ante, at 2, 14–16. But the
majority’s argument is built on the mistaken premise that
Mutual is legally obligated by New Hampshire’s design-defect
law to modify its label in a way that federal law forbids. It is
not. See supra, at 11–13. For that reason, rejecting
impossibility pre-emption here would not render the doctrine
“a dead letter” or “ ‘all but
meaningless.’ ” Ante, at 2, 15 (quoting Mensing,
564 U. S., at ___ (slip op., at 14)). On the other hand, it is
the major- ity that “work[s] a revolution in this
Court’s [impossibility] pre-emption case law,” ante, at
2, by inferring a state-law requirement from the steps a
manufacturer might wish to take to avoid or mitigate its exposure
to liability.
Not all products can be
made safe for sale with an improved warning or a tweak in design.
New Hampshire, through its design-defect law, has made a judgment
that some drugs that were initially approved for distribution turn
out to be inherently and unreasonably dangerous and should
therefore not be sold unless the manufacturer is willing to
compensate injured consumers. Congressional intent to pre-empt such
a cause of action cannot be gleaned from the existence of federal
specifications that apply to the product if it is sold. Instead,
whether New Hampshire’s design-defect cause-of-action is
pre-empted depends on assessing whether it poses an obstacle to a
federal policy to approve sulindac for use. Yet the major-ity skips
that analysis and instead finds impossibility where it does not
exist by relying on a question-begging assumption that Congress
intended for Mutual to have a way to continue selling sulindac
without incurring common-law liability. See ante, at
9–11.
The distinction between
impossibility and obstacle pre-emption is an important one. While
obstacle pre-emption can be abused when courts apply an overly
broad conception of the relevant federal purpose to find
pre-emption, see Levine, 555 U. S., at 601–602 (Thomas,
J., concurring in judgment), it is a useful framework for a case
like this one because it would at least lead the Court to ask the
right questions.
For example, properly
evaluating the asserted conflict here through the lens of obstacle
pre-emption would allow the Court to consider evidence about
whether Congress intended the FDA to make an optimal safety
determination and set a maximum safety standard (in which case
state tort law would undermine the purpose) rather than a minimal
safety threshold (in which case state tort law could supplement
it). See, e.g., Williamson v. Mazda Motor of America, Inc., 562
U. S. ___, ___ (2011) (slip op., at 11). By contrast, the
majority’s overbroad impossibility framework takes no account
of how federal drug safety review actually works. Though the
majority gestures to the rigorous nature of the FDA’s review
of new drug ap-plications, ante, at 2–3, nothing in the
majority’s reasoning turns on how the FDA’s
premarketing review operates or on the agency’s capacity to
engage in postmarketing review.
In taking the approach
it does, the majority replaces careful assessment of regulatory
structure with an ipse dixit that pharmaceutical companies must
have a way to “escape liability,” ante, at 11, while
continuing to sell a drug that received FDA approval. As a result,
the major-ity effectively makes a highly contested policy judgment
about the relationship between FDA review and state tort
law—treating the FDA as the sole guardian of drug
safety—without defending its judgment and without
con-sidering whether that is the policy judgment that Congress
made. [
11 ]
III
While the majority
never addresses obstacle pre-emption, Mutual did argue in the
alternative that Bartlett’s design-defect cause of action is
pre-empted because it conflicts with the purposes and objectives of
the FDCA, as supplemented by the Hatch-Waxman Act, 98Stat. 1585.
Though it presents a closer question than the impossibility
argument on which the majority relies, I would reject
Mutual’s obstacle pre-emption defense as well.
Mutual’s most
substantial contention is that New Hamp-shire’s design-defect
claim frustrates the policy under-lying the FDCA’s broader
scheme of vesting authority in the FDA as an expert agency to
determine which drug designs should enter and remain in interstate
commerce. The FDA, through an amicus brief filed by the United
States, generally supports this argument. The FDA states that the
question whether a design-defect claim [
12 ] is pre-empted is “difficult and
close,” and it recognizes that “[s]everal factors do
weigh in favor of finding no preemption,” including the
absence of textual support in the FDCA for the idea that an
approved drug must be made available in any particular State. See
U. S. Brief 12, 21–22. But the FDA ultimately contends
that design-defect claims are pre-empted unless they parallel the
FDCA’s misbranding prohibition because the agency be-lieves
that permitting juries to balance the health risks and benefits of
an FDA-approved drug would undermine the FDA’s drug-safety
determinations and could reduce access to drugs that the FDA has
determined are safe and effective.
Our cases have
“given ‘some weight’ to an agency’s views
about the impact of tort law on federal objectives when ‘the
subject matter is technica[l] and the relevant history and
background are complex and extensive.’ ” Levine,
555 U. S., at 576 (quoting Geier v. American Honda Motor Co.,
529 U. S. 861, 883 (2000) ). But courts do not “defe[r]
to an agency’s conclusion that state law is
pre-empted,” 555 U. S., at 576, and the tension that the
FDA identifies in an effort to justify complete pre-emption of
design-defect claims for prescription drugs does not satisfy the
“ high threshold [that] must be met if a state law is to
be pre-empted for conflicting with the purposes of a federal
Act,” Chamber of Commerce of United States of America, v.
Whiting, 563 U. S. ___, ___ (2011) (slip op., at 22) (internal
quotation marks omitted); see Silkwood, 464 U. S., at 256.
Given the FDCA’s core purpose of protecting consumers, our
recognition in Levine that state tort law generally complements the
statute’s safety goals, the practical limits on the
FDA’s ability to monitor and promptly address concerns about
drug safety once a drug is in the market, see supra, at 5,
20–21, n. 11, and the absence of any federal remedy for
injured consumers, I would reject this broad obstacle pre-emption
argument as well. [
13 ]
IV
The most troubling
aspect of the majority’s decision to once again expand the
scope of this Court’s traditionally narrow impossibility
pre-emption doctrine is what it implies about the relationship
between federal premarket review and state common-law remedies more
generally. Central to the majority’s holding is an assumption
that manufacturers must have a way to avoid state-law lia-bility
while keeping particular products in commerce. See ante, at
9–11, 14–15. This assumption, it seems, will always
create an automatic conflict between a federal premarket review
requirement and state-law design-defect liability because premarket
review, by definition, prevents manufacturers from unilaterally
changing their products’ designs. [
14 ] That is true, for example, of the designs (i.e.,
the chemical composition) of brand-name drugs under the FDCA no
less than it is for generic drugs. See ante, at 3–4.
If the creation of such
an automatic conflict is the ultimate end-point of the
majority’s continued expansion of impossibility pre-emption,
then the result is frankly astonishing. Congress adopted the
FDCA’s premarketing approval requirement in 1938 and then
strengthened it in 1962 in response to serious public-health
episodes involving unsafe drugs. See Future of Drug Safety 152. Yet
by the majority’s lights, the very act of creating that
requirement in order to “safeguard the consumer,”
United States v. Sullivan, 332 U. S. 689, 696 (1948) , also
created by operation of law a shield for drug manufacturers to
avoid paying common-law damages under state laws that are also
designed to protect consumers. That is so notwithstanding
Congress’ effort to disclaim any intent to pre-empt all state
law. See supra, at 4. The majority’s reasoning thus
“has the ‘perverse effect’ of granting broad
immunity ‘to an entire industry that, in the judgment of
Congress, needed more stringent regulation.’ ”
Riegel, 552 U. S., at 338 (Ginsburg, J., dissenting) (quoting
Lohr, 518 U. S., at 487 (plurality opinion)).
This expanded notion of
impossibility pre-emption threatens to disturb a considerable
amount of state law. The FDCA’s premarket approval process
for prescription drugs has provided a model for the regulation of
many other products. [
15 ]
In some statutes, Congress has paired premarket regulatory review
with express pre-emption provisions that limit the application of
state common-law remedies, including, in some instances, claims for
defective product design. See, e.g., Riegel, 552 U. S., at
323–325; see supra, at 4, and n. 2. In other instances,
such as with prescription drugs, it has not. Under the
majority’s approach, it appears that design-defect claims are
categorically displaced either way, and Congress’ efforts to
set the boundaries of pre-emption more precisely were largely
academic. This could have serious consequences for product safety.
State design-defect laws play an important role not only in
discovering risks, but also in providing in-centives for
manufacturers to remove dangerous products from the market
promptly. See Levine, 555 U. S., at 578–579; Bates, 544
U. S., at 451; see also Conk, Is There a Design Defect in the
Restatement (Third) of Torts: Products Liability? 109 Yale
L. J. 1087, 1130 (2000) (“The tort system can encourage
FDA regulatory vigor and competence”). If manufacturers of
products that require preapproval are given de facto immunity
from design-defect liability, then the public will have to rely
exclusively on imperfect federal agencies with limited resources
and sometimes limited legal authority to recall approved products.
And consumers injured by those products will have no recourse.
The manner in which
Congress has addressed pre-emption with respect to vaccines is
particularly instructive. “[V]accines have been subject to
the same federal premarket approval process as prescription
drugs,” and prior to Congress’ intervention,
“compensation for vaccine-related injuries ha[d] been left
largely to the States.” Bruesewitz v. Wyeth LLC, 562
U. S. ___, ___ (2011) (slip op., at 1). In 1986, in response
to a rise in tort suits that produced instability in the vaccine
market, Congress enacted the National Childhood Vaccine Injury Act
(Vaccine Act), 42 U. S. C. §300aa–22(b)(1).
The Act established a no-fault compensation program funded through
an excise tax on vaccines to compensate individuals injured or
killed by vaccine side effects. “The quid pro quo for
this” system, the Court stated in Bruesewitz, “was the
provision of significant tort-liability protections for vaccine
manufacturers.” 562 U. S., at ___ (slip op., at 4).
While Members of this
Court disagreed on the scope of the tort protections the Vaccine
Act was intended to offer, the Act’s history demonstrates
that Congress is perfectly capable of responding when it believes
state tort law may compromise significant federal objectives under
a scheme of premarket regulatory review for products it wants to
make available. And it illustrates that “an important reason
to require that preemption decisions be made by Congress,”
rather than by courts on the basis of an expanded implied
pre-emption doctrine, is Congress’ ability to tie its
pre-emption decisions “to some alternative means for securing
compensation.” Metzger, Federalism and Fed-eral Agency
Reform, 111 Colum. L. Rev. 1, 33 (2011). By instead reaching
out to find pre-emption in a context where Congress never intended
it, the majority leaves consumers like Karen Bartlett to bear
enormous losses on their own.
* * *
The Court recognizes
that “[t]his case arises out of tragic circumstances.”
Ante, at 20. And I do not doubt that Members of the majority
personally feel sympathy for Karen Bartlett. But the Court’s
solemn affirmation that it merely discharges its duty to
“follo[w] the law,” ante, at 17, and gives effect to
Congress’ policy judgment, rather than its own, is hard to
accept. By once again expanding the scope of impossibility
pre-emption, the Court turns Congress’ intent on its head and
arrives at a holding that is irreconcilable with our precedents. As
a result, the Court has left a seriously injured consumer without
any remedy despite Congress’ explicit efforts to preserve
state common-law liability.
I respectfully
dissent.