IWASAKI, J.
This case concerns congressional intent with respect to label information on sunscreen products: is it to be determined solely by the federal agency it charged with ensuring uniform labeling for those products, or, in addition, by each state through private civil suits? Appellants Kay Eckler and Steve Engel filed separate actions against respondent Neutrogena Corporation alleging that their sunscreen products were misleadingly labeled and marketed in violation of California consumer protection statutes. Appellants alleged that Neutrogena misleadingly labeled its products with the descriptions "sunblock," "waterproof," and "sweatproof" (Labeling Terms), terms that the federal Food and Drug Administration (FDA) prohibited in a regulation published on June 17, 2011, with a compliance date of December 17, 2012. Engel contends that Neutrogena is liable for marketing products that bore the Labeling Terms before the December 17, 2012 compliance date. The Eckler matter raises an additional product labeling issue with respect to sunscreen with a sun protection factor (SPF) value greater than 50 (SPF 50+). Although Eckler does not contend that the SPF values on Neutrogena's products were inaccurate, she believes that consumers will be misled about their benefits and seeks an order that Neutrogena modify its labels and alter its advertising. The superior court sustained Neutrogena's demurrer to Eckler's complaint without leave to amend, and granted its motion for judgment on the pleadings as to Engel's complaint. The court concluded that their claims were preempted by the Federal Food, Drug, and Cosmetic Act (FDCA) (21 U.S.C. § 379r) and implementing FDA regulations. We agree and affirm.
Appellant Engel filed suit against Johnson & Johnson and Neutrogena in December 2003, and an amended complaint in June 2003.
In June 2011 the FDA issued a final rule that among other things, prohibited sunscreen product labels from stating that they were "sunblock," "sweatproof," and "waterproof." (21 C.F.R. § 201.327(g) (2015); 76 Fed.Reg. 35620, 35661 (June 17, 2011) (Final Rule).) Ultimately the compliance date for the regulation was set for 18 months later, on December 17, 2012. Engel contends that this regulation codified a previous alleged ban on these descriptions; Neutrogena contends that it represented the first time the agency prohibited the Labeling Terms. Neutrogena moved for judgment on the pleadings, arguing, among other things, that Engel's claims were preempted by federal law. The superior court concluded that Engel's claims were entirely preempted, and that the 18 months between publication of the Final Rule and its effective date represented a "safe harbor" reflecting the FDA's cost-benefit analysis: a delay fashioned to "minimize transactions costs based on a global analysis of social welfare. That's what a cost-benefit analysis is." Engel's appeal challenges the trial court's dismissal of claims arising from purchase of products bearing the Labeling Terms with respect to three time periods: (1) before June 17, 2011, when the Final Rule was published, (2) after the Final Rule's publication but before the compliance date, and (3) after the December 17, 2012 compliance date.
Appellant Eckler also filed suit against Neutrogena under California's unfair competition law and Consumers Legal Remedies Act alleging that its sunscreen product labels were misleading. Eckler complained of the same Labeling Terms as Engel did; she also contended that the package labeling on SPF 50+ products was false and misleading. Eckler did not allege that the SPF values on Neutrogena's labels were inaccurate. Rather, she asserted that labels for SPF 50+ products omitted what she claims is a material fact, that they provide no added clinical benefit compared to products rated at SPF 50.
Neutrogena demurred to Eckler's complaint on several grounds, including express and implied preemption. The court concluded that Eckler's action was preempted by federal law, sustained the demurrer without leave to amend and dismissed the action. Eckler and Engel filed timely appeals.
We apply a de novo standard of review to a trial court's order of dismissal following an order sustaining a demurrer. (Los Altos El Granada Investors v. City of Capitola (2006) 139 Cal.App.4th 629, 650 [43 Cal.Rptr.3d 434].) In other words, we exercise our "`independent judgment about whether the complaint states a cause of action as a matter of law.'" (Ibid.) "In reviewing a judgment of dismissal after a demurrer is sustained without leave to amend, we must assume the truth of all facts properly pleaded by the plaintiffs, as well as those that are judicially noticeable." (Howard Jarvis Taxpayers Assn. v. City of La Habra (2001) 25 Cal.4th 809, 814 [107 Cal.Rptr.2d 369, 23 P.3d 601].)
When a demurrer "is sustained without leave to amend, we decide whether there is a reasonable possibility that the defect can be cured by amendment: if it can be, the trial court has abused its discretion and we reverse; if not, there has been no abuse of discretion and we affirm." (Blank v. Kirwan (1985) 39 Cal.3d 311, 318 [216 Cal.Rptr. 718, 703 P.2d 58].) Such a showing can be made for the first time before the reviewing court. (Smith v. State Farm Mutual Automobile Ins. Co. (2001) 93 Cal.App.4th 700, 711 [113 Cal.Rptr.2d 399].) "The burden of proving such reasonable possibility is squarely on the plaintiff." (Blank, supra, 39 Cal.3d at p. 318.)
"A motion for judgment on the pleadings serves the function of a demurrer, challenging only defects on the face of the complaint." (Richardson-Tunnell v. Schools Ins. Program for Employees (SIPE) (2007) 157 Cal.App.4th 1056, 1061 [69 Cal.Rptr.3d 176].) As with a demurrer, "[t]he grounds for a motion for judgment on the pleadings must appear on the face of the complaint or from a matter of which the court may take judicial notice." (Ibid., citing Code Civ. Proc., § 438, subd. (d).) We exercise our independent judgment in determining whether the challenged complaint states a cause of action. (Gerawan Farming, Inc. v. Lyons (2000) 24 Cal.4th 468, 515 [101 Cal.Rptr.2d 470, 12 P.3d 720].) "`In the case of either a demurrer or a motion for judgment on the pleadings, leave to amend should be granted if there is any reasonable possibility that the plaintiff can state a good cause of action.'" (Gami v. Mullikin Medical Center (1993) 18 Cal.App.4th 870, 876 [22 Cal.Rptr.2d 819].)
A savings clause excepts from preemption product liability suits (21 U.S.C. § 379r(e).)
21 United States Code section 379r reflects Congress's express intention generally to preempt state requirements on the labeling of nonprescription drugs such as the sunscreen products at issue. This intent is amply supported by the legislative history of the Modernization Act. The language in section 379r was added by amendment in the Senate Committee on Labor and Human Resources. (Sen.Rep. No. 105-43 1st Sess., at p. 13 (1997).) The Senate Report on the Modernization Act stated that "[a]n essential element of a nationwide marketplace is a national uniform system of regulation. It is intended that the FDA provide national leadership in assuring the safety, effectiveness, and proper labeling and packaging for nonprescription drugs and cosmetics marketed throughout the country...." (Sen.Rep. No. 105-43 at pp. 63-64.) The report also emphasized that states may not impose different or additional requirements relating to labeling and advertising: "No State or local government is permitted to impose different or additional requirements that relate to the subject matter covered by the three Federal laws as they apply to nonprescription drugs and cosmetics. These include requirements imposed on product manufacture or composition, labeling, advertising, or any other form of public notification or communication." (Id.
The 1997 legislation, as part of a major reform of all food, drug and cosmetic regulation, also singled out sunscreen products for future FDA regulatory action. Section 129 of the Modernization Act provided: "Not later than 18 months after the date of enactment of this Act, the Secretary of Health and Human Services shall issue regulations for over-the-counter sunscreen products for the prevention or treatment of sunburn."
Sunscreen products have been the subject of exhaustive federal regulatory action for many years. The FDA's regulations cover, among other topics, permissible active ingredients, highly technical standards for the testing and measurement of sun protection, and required and prohibited statements on product packaging. During over three decades of proposed rules, comments, new data, and reconsiderations, the agency's view has evolved with medical and chemical advances, and in response to the data and comments it has received in the rulemaking process.
For example, in 1978 the FDA issued a proposed rule based on a panel recommendation concerning sunscreen products. (43 Fed.Reg. 38206 (Aug. 25, 1978).) Among other things, the proposal stated that sunscreen products that satisfy testing procedures may be labeled "waterproof," and those that satisfy sweat resistance testing procedures may be labeled "sweat resistant." (43 Fed.Reg. 38206, 38215.)
In 1999 the FDA published as a final rule a final monograph regarding sunscreen products. (64 Fed.Reg. 27666 (May 21, 1999).) This monograph provided that sunscreens with SPF values over 30 be labeled no higher than 30+. (64 Fed.Reg. 27666, 27675.) The agency found that data was lacking to "support or dismiss limiting the maximum SPF value in this final rule." (64 Fed.Reg. 27666, 27674.) Based upon the comments it received, the agency concluded that "OTC sunscreen products with SPF values above 30 should be available for those sun-sensitive consumers who require such products...." (64 Fed.Reg. 27666, 27675.) The 1999 final rule, however, was stayed and never went into effect. (See 69 Fed.Reg. 53801 (Sept. 3, 2004).)
In 2007, the FDA issued another proposed rule, described as a proposed amendment to the final monograph. (72 Fed.Reg. 49070 (Aug. 27, 2007).) That document proposed a new labeling system, as well as adding combinations of ingredients, and proposing new testing procedures. The FDA stated it "plans to grant an extended compliance period when this proposed rule is finalized" because "some manufacturers may not have sufficient time to incorporate labeling changes without disrupting their production schedules." (72 Fed.Reg. 49070, 49109.) In the 2007 publication, the FDA did not propose a prohibition on the Labeling Terms.
The 2007 proposed rule also explained its preemptive effect, both express and implied. The FDA explained that a final rule would preclude state requirements on labeling of sunscreen products that were not identical to it: "This proposed rule, if finalized as proposed, would amend the labeling and include new UVA testing for OTC sunscreen drug products. Any final rule would have a preemptive effect in that it would preclude States from issuing requirements related to the labeling and testing of OTC sunscreen drug
Simultaneously in 2011 the FDA issued a Final Rule on labeling and effectiveness testing for sunscreen products, and a proposed rule that invited comments concerning limiting the labeling of sunscreen products to SPF 50. The Final Rule addressed the labeling and effectiveness testing issues raised by nearly 2,900 submissions received in response to the August 27, 2007 proposed rule. It promulgated two new federal regulations: 21 Code of Federal Regulations, sections 201.327 and 310.545 (2015), which set labeling requirements, specified effectiveness testing, and identified false and misleading claims that render a product misbranded. (76 Fed.Reg. 35620 (June 17, 2011) (Labeling and Effectiveness Testing; Sunscreen Drug Products for Over-the-Counter Human Use).)
The labeling requirements in the Final Rule are detailed. Products that pass the broad spectrum test of 21 Code of Federal Regulations section 201.327(j) (2015) must state "Broad Spectrum SPF" with the numerical SPF value appearing as "continuous text with no intervening text or graphic" all in the "same font style, size, and color with the same background color." (21 C.F.R. § 201.327(a)(1)(B) (2015).) The rule specifies warnings about keeping the product out of the eyes, and not using it on damaged or broken skin. (21 C.F.R. § 201.327(d) (2015).) The rule also prohibits certain statements, such as any implication that use, alone, reduces the risk of skin cancer or early skin aging, and use of the terms "sweatproof," "waterproof," and "[s]unblock." (21 C.F.R. § 201.327(c)(3), (g) (2015).) The Final Rule does not include as being a false or misleading claim accurately labeling a product with an SPF value above 50. (See 21 C.F.R. § 201.327(c)(3), (g) (2015).)
Noting that often additional product label information can cause more confusion than clarity, the Final Rule repeatedly reflected a balancing of concerns. For instance, the Final Rule eliminated a statement proposed in 2007 that "`higher SPF products give more sun protection, but are not intended to extend the time spent in the sun.'" (72 Fed.Reg. 49070, 49075 (Aug. 27, 2007.).) The FDA "concluded that [this] statement, although truthful, is not necessary." (76 Fed.Reg. 35620, 35642 (June 17, 2011).) (See 76 Fed.Reg. 35620, 35626 (June 17, 2011) ["... UVA star rating would likely be confusing in conjunction with the numerical SPF rating."]; 76 Fed.Reg. 35620, 35627 ["the `No UVA Protection' statement is not necessary and could be misleading"]; 76 Fed.Reg. 35620, 35628 [proposed label
In discussions pertinent to this appeal, the FDA Final Rule confirmed its expressly preemptive impact except as to claims based on state product liability law. The FDA noted that it addressed the preemption issue in its 2007 proposed rule. That rule noted that 21 United States Code section 379r "is an express preemption provision." (72 Fed.Reg. 49070, 49109 (Aug. 27, 2007).) While clarifying that by its terms the Modernization Act did not preempt product liability claims, whether based on statutes or common law, the FDA emphasized: "However, it is important to note that [section 379r] exempts only those common law claims that are based on State product liability law." (76 Fed.Reg. 35620, 35624 (June 17, 2011).) The agency also noted that "although implied preemption may arise, such scenarios are necessarily case-specific." (Ibid.) Thus, in the Final Rule the FDA made clear that section 379r requires preemption of suits based on state law (other than product liability actions) that would seek to impose any labeling or advertising requirements not identical to those contained in the Final Rule.
The Final Rule was initially to have a compliance date (for products with annual sales of $25,000 or more) of June 18, 2012. This date was extended to December 17, 2012. Engel contends that during the 18-month period from publication of the Final Rule on June 17, 2011, to the compliance date of December 17, 2012, Neutrogena should face liability for non-compliant products. In extending the compliance date, the FDA stated that "granting manufacturers additional time to complete testing and relabeling is in the public interest." (77 Fed.Reg. 27591, 27592 (May 11, 2012).) This was consistent with what the FDA had announced four years earlier. "FDA plans to grant an extended compliance period when this proposed rule is finalized." (72 Fed.Reg. 49070, 49109 (Aug. 27, 2007).) Moreover, it had always been the FDA's intention that products already on the market remain and not be recalled. Recognizing that non-compliant products were in the stream of commerce, the FDA reiterated that those products could remain on the market: "In the 2007 proposed rule, we indicated that sunscreen products which are already distributed by the effective date of the final rule would not be expected to be relabeled or retested in conformity with the final rule conditions unless these products were subsequently relabeled or repackaged after the effective date (72 FR 49070 at 49109). Consistent with this statement, we do not expect non-compliant products introduced or delivered for introduction into interstate commerce prior to the compliance dates specified for this final rule to be removed from the market." (76 Fed.Reg. 35620, 35624 (June 17, 2011).)
On the same day it published the Final Rule, the FDA published a proposed rule titled "Revised Effectiveness Determination; Sunscreen Drug Products for Over-the-Counter Human Use." (76 Fed.Reg. 35672 (June 17, 2011), boldface omitted (Proposed Rule).) The Proposed Rule would further modify 21 Code of Federal Regulations section 201.327 (2015) to limit the maximum labeled SPF value for OTC sunscreen drug products to "50+." The agency stated that "this proposal is part of FDA's ongoing review of these products to ensure their safety and effectiveness." (76 Fed.Reg. 35672 (June 17, 2011)) In its discussion of the Proposed Rule, the FDA noted that in 1999 it had proposed a maximum SPF of 30+, and in 2007 proposed a maximum of 50+, in part because of a concern that "products with SPF test values above 50 could not be tested with acceptable accuracy and reproducibility...." (76 Fed.Reg. 35672 (June 17, 2011).) The Proposed Rule noted that submissions in response to the 2007 proposal demonstrated the accuracy and reproducibility of test values as high as SPF 80. The FDA stated that "because the record continues to lack data demonstrating that sunscreen products with SPF values above 50 provide additional clinical benefit compared to SPF 50 products," it was again proposing "a maximum labeled SPF value of `50+.'" (Ibid.)
The Proposed Rule noted that "[c]onsumers have learned to associate higher SPF values with greater sun protection. Consumers would likely assume that a product with an SPF value higher than 50 provides greater protection than a product with an SPF value of 50 (e.g., assume that an SPF 80 sunscreen provides greater protection than an SPF 50 sunscreen). However, we lack evidence that a product with an SPF value higher than 50 provides additional clinical benefit compared to a product with an SPF value of 50. In the absence of data demonstrating additional clinical benefit, we are concerned that labeling a product with a specific SPF value higher than 50 would be misleading to the consumer." (76 Fed.Reg. 35672, 35674 (June 17, 2011).) In the Proposed Rule, the agency stated that it needed further data and invited comments. "[W]e are requiring data sufficient to support a general conclusion that sunscreen products with specific SPF values above 50 provide additional protection over SPF 50 sunscreen products. If we receive such data, and sufficient accompanying data regarding accuracy and reproducibility of testing, we may be able to allow those specific SPF values to be included in labeling." (76 Fed.Reg. 35672, 35675 (June 17, 2011).)
The Proposed Rule acknowledged the potential value of sunscreen products with SPF values over 50: "We recognize that sunscreen products with SPF values above 50 could have utility for consumers in certain settings, such as skiing at high altitudes, or with certain conditions that predispose them to
In summary, the Proposed Rule declared no final FDA position on the safety and effectiveness of products with SPF values over 50. While the agency expressed concerns about the efficacy of such products, it lacked scientific evidence to issue a rule. Accordingly, the Proposed Rule invited relevant data.
The party who asserts that state law is preempted bears the burden of so demonstrating. (Viva! Internat. Voice for Animals v. Adidas Promotional Retail Operations, Inc. (2007) 41 Cal.4th 929, 936 [63 Cal.Rptr.3d 50, 162 P.3d 569].) Moreover, consideration of issues under the supremacy clause starts with the presumption that state laws are not to be preempted by a federal statute unless it is the clear and manifest purpose of Congress to do so. (Cipollone v. Liggett Group, Inc., supra, 505 U.S. at p. 516.)
By its terms, 21 United States Code section 379r expressly preempts state requirements not identical with the federal requirements. The FDA maintains that pursuant to section 379r, its sunscreen labeling regulations preempt state law requirements not identical to the Final Rule. (76 Fed.Reg. 35620, 35624.)
Two published California appellate cases have considered the preemptive effect of 21 United States Code section 379r on lawsuits aimed at enforcing state statutory requirements. Both found that the suits were preempted, although under different theories. In Dowhal, supra, 32 Cal.4th 910, our Supreme Court held that a suit to require a Proposition 65 warning on nicotine replacement therapy products was preempted despite a savings clause in section 379r that exempted Proposition 65. The court found that section 379r did not expressly preempt the claim that the state law warning was required because of the savings clause. However, because the state and federal requirements directly conflicted, the Proposition 65 requirement was impliedly preempted.
Proposition 65, enacted through ballot initiative in 1986, prohibits businesses from knowingly exposing anyone to a chemical known to cause reproductive toxicity without a warning. Regulations to implement the initiative required that products containing nicotine warn users that it contained a chemical known to the state "to cause reproductive harm." In contrast to this state requirement, the FDA label for nicotine replacement therapy products warned a pregnant or breast-feeding mother that smoking can seriously harm her child, and urged cessation of smoking without using nicotine replacement medicine, but also stated that "the risks to your child from this medicine are not fully known." (Dowhal, supra, 32 Cal.4th at pp. 918-919.) Plaintiff Dowhal, acting on behalf of the public, sued to bar sale of defendant's nicotine replacement products without the Proposition 65 warning.
Dowhal is our Supreme Court's only interpretation of the statute at issue here, but it is significant because it concluded that the doctrine of implied preemption foreclosed enforcement of a state ballot initiative even when the federal statute contained a savings clause crafted specifically to exempt that initiative. (See Dowhal, supra, 32 Cal.4th at p. 926, fn. 6.) And, relevant to this case concerning sunscreen rules, Dowhal indicates that without the unique savings clause in that case, that is, with the express preemption provisions of 21 United States Code section 379r in force, the federal statute preempts state requirements that depart from "national uniform labeling." (32 Cal.4th at p. 926.) Finally the Dowhal decision reflects a cautious deference to the policy tradeoffs considered by the federal agency.
In the second California decision on the preemptive effect of 21 United States Code section 379r, the First District Court of Appeal affirmed summary judgment in favor of defendant manufacturers of OTC drugs for the treatment of head lice. (Kanter, supra, 99 Cal.App.4th 780.) Plaintiffs alleged that the products were falsely labeled. The trial court found that the claims were preempted by section 379r, and the Court of Appeal agreed. (99 Cal.App.4th at pp. 795-797.) The FDA had approved labeling for the product, but plaintiffs
Most of the cases on preemption under the FDCA have arisen in federal court. Two recent district court decisions in California considered the issue raised by Eckler, that the California consumer protection statutes were violated by the merchandising of sunscreen products with SPF values over 50.
In Corra v. Energizer Holdings, Inc. (E.D. Cal. 2013) 962 F.Supp.2d 1207 (Corra), a consumer sued a sunscreen distributor alleging violations of Business and Professions Code section 17200, Civil Code section 1750, and breach of express warranty. The plaintiff alleged that defendant distributed sunscreen products which had SPF values over 85, but that, while defendant charged a premium for them, such products do not provide superior protection compared to lower SPF products. The district court denied defendant's motion to dismiss based on preemption.
A contrary result was reached by a different federal district court in Gisvold v. Merck & Co., Inc. (S.D.Cal., Nov. 25, 2014, No. 14cv1371 DMS (JLB)) 2014 WL 6765718, 2014 U.S.Dist. Lexis 168955 (Gisvold). As in Corra, the plaintiff in Gisvold alleged that sunscreen products with an SPF over 50 do not provide any increase in clinical benefit over SPF 50 products, and thus contended that labels stating SPF values over 50 are false and misleading under Business and Professions Code section 17200, Civil Code section 1750, and express warranty. Gisvold sought an order that defendants charge the same price for the SPF 50+ products as SPF 50 products "and/or that they include `a disclaimer on the label or packaging that a SPF value above 50 does not provide proportional clinical benefits.'" (2014 U.S.Dist. Lexis 168955 at p. *3.) Just as Eckler requests here, Gisvold sought an order that the company "engage in a corrective advertising campaign." (Ibid.)
In Gisvold, the district court concluded that the plaintiff's claims were preempted. In contrast to the Corra decision, the Gisvold court reviewed the express preemption language in the federal statute: "The FDCA, which includes an express pre-emption statute, is unambiguous and broad in scope ..." and quoted 21 United States Code section 379r. (Gisvold, supra, 2014 U.S.Dist. Lexis 168955 at p. *5.) The court also reviewed the FDA's final rule regarding labeling and effectiveness of sunscreen products, noting that they mandate the SPF value. The court found that the plaintiff's argument was broader than her pleading: "[t]he essence of Plaintiff's claim is that `Merck's SPF 55, 70+, 80 or 100+ representations ... on its Coppertone SPF 55-100+ collection are false, misleading, and reasonably likely to deceive the public.'" (Gisvold, supra, at pp. *6-*7, original italics.) The
The Gisvold court was unpersuaded by the Corra decision, pointing out that Corra did not consider whether a disclaimer regarding clinical benefits would "add to or be identical with FDA's labeling requirements." (Gisvold, supra, 2014 U.S.Dist. Lexis 168955 at p. 8.)
Neither federal decision is binding on us, but Gisvold is the more persuasive because that case, like this one, involved a plaintiff seeking a change in product labeling and advertising. In Corra the court assumed that a change in labeling was not involved.
Other federal cases have considered the preemptive effect of 21 United States Code section 379r with respect to different nonprescription drug products. OTC cold medications were the target in Carter v. Novartis Consumer Health, Inc. (C.D.Cal. 2008) 582 F.Supp.2d 1271 (Carter). In that case the plaintiffs claimed that the medications were unsafe and ineffective for children under age six, although they alleged no injury from use of the
The court in Carter found that the claims were expressly preempted under 21 United States Code section 379r and dismissed them. The court found that the relief sought by suits under state law constitute "requirements" that may be subject to preemption, citing Supreme Court cases that gave an "expansive reading" to that term. (Carter, supra, 582 F.Supp.2d at p. 1281.) And, turning to section 379r itself, the district court reasoned that subdivision (c)(2) "expands the universe of potentially preempted state law claims to include that those require additional warnings in the advertising for nonprescription drugs, and not only on the labeling." (582 F.Supp.2d at p. 1282.)
Other federal cases applying 21 United States Code section 379r follow Carter. In Crozier v. Johnson & Johnson Companies, Inc. (D.N.J. 2012) 901 F.Supp.2d 494, the plaintiffs sued under New Jersey consumer statutes claiming that a first aid antiseptic spray, which accurately identified on its label the antiseptic ingredients, did not contain antibiotics. The plaintiffs contended that the defendant's manner of marketing and advertising the product confused and misled consumers to assume that an antibiotic was an ingredient. The district court held that claims pertaining to the product's label were expressly preempted under section 379r, although it declined to do so with respect to marketing claims. (901 F.Supp.2d at pp. 503-505.)
In Bowling v. Johnson & Johnson (S.D.N.Y. 2014) 65 F.Supp.3d 371 (Bowling), the plaintiffs filed suit under state and federal consumer and warranty statutes claiming that the defendant's mouthwash bore a label falsely representing that it "restored enamel." The court held that these claims were preempted by 21 United Stated Code section 379r: "the FDA has issued a monograph directly on point but declined ... to indicate ... that `Restores Enamel' is misleading. If successful, this litigation would do exactly what Congress, in passing section 379r of the FDCA, sought to forbid: using state law causes of action to bootstrap labeling requirements that are `not identical with' federal regulation." (65 F.Supp.3d at p. ___.) The district court explained that "the whole point of section 379r is that it is not up to private litigants — or judges — to decide what is `false or misleading.' It is up to the FDA." (Id. at p. ___.) Concluding that the suit sought to "supercede the FDA's regulatory authority," the court held that the plaintiff's claim was foreclosed. (Ibid.)
Cases that have declined to find preemption have done so under statutory exceptions, or because label uniformity was not at issue. For example, the district court found no preemption in Delarosa v. Boiron, Inc. (C.D.Cal. 2011) 818 F.Supp.2d 1177. In that case the plaintiffs used the defendant's "natural" or "homeopathic" cold medicine but stayed sick. Unlike non-homeopathic
With respect to Engel's action, the question is whether Neutrogena is liable for marketing products bearing the Labeling Terms before the FDA required it to stop doing so.
Placing into commerce a package of sunscreen bearing the terms "waterproof," "sweatproof," and "sunblock" became non-compliant with a federal regulation for the first time on December 17, 2012. Engel, however, insists that the FDA "banned" these Labeling Terms 18 year before the Final Rule. He is mistaken.
Contrary to Engel's contention, the FDA did not ban the Labeling Terms in 1993, 18 years before the Final Rule. As recounted above, for a time the FDA proposed permitting the terms "waterproof" and "sunblock," provided certain ingredient or testing conditions were met. In the August 27, 2007 Proposed Rule that preceded the Final Rule, the FDA did not propose that the Labeling
Engel seeks to declare that product descriptions on sunscreen labels that were, until the FDA's Final Rule, in compliance with federal law, nevertheless violated California law. He therefore seeks enforcement of a state requirement "that is different from or in addition to, or that is otherwise not identical with" a requirement under the FDCA, and thus, his suit is subject to 21 United States Code section 379r's express preemption provision. (See Kanter, supra, 99 Cal.App.4th at p. 796 [assertion that approved label is inadequate and should be changed results in "establishment of a state requirement regarding labeling that would be `different from' and `otherwise not identical with' the federally required label ... is therefore preempted" (citation omitted)]; Bowling, supra, 65 F.Supp.3d at p. ___. ["the whole point of section 379r is that it is not up to private litigants — or judges — to decide what is `false or misleading.' It is up to the FDA."].)
Engel's claims are also impliedly preempted because they pose an obstacle to the accomplishment and execution of the full purposes and objectives of Congress and its delegated agency. (See Dowhal, supra, 32 Cal.4th at p. 923.) Engel seeks imposition of a labeling regime before the agency required manufacturers like Neutrogena to comply with it. This is contrary to Congress's intention of enacting uniform national labeling for nonprescription drugs, which the FDA is charged with implementing. As the recitation above of the history of the FDA's regulatory process demonstrates, before it issued the Final Rule, the agency sifted through thousands of comments, reviewed scientific studies, changed its position on the very terms in question — "waterproof" and "sunblock" — and determined what label information was necessary, truthful but unnecessary, and misleading. Appellant seeks to disrupt the careful weighing of conflicting considerations that Congress entrusted the agency to undertake. As our Supreme Court explained in Dowhal, enforcement of the Proposition 65 notice requirements — even with an express savings clause — were impliedly preempted by federal disclosure rules that reflected a nuanced balance of the need to provide accurate product information while not discouraging use of a product that could help pregnant women stop smoking. The state-required warning label in that case — even though truthful — could be prohibited because it conflicted with the federal purpose. (Dowhal, supra, 32 Cal.4th at pp. 928-931.) In this case, Engel seeks to usurp the federal agency's careful consideration of appropriate label requirements and restrictions, and its determination of the most reasonable phase-in of labeling requirements.
The judgment of the superior court is affirmed. Respondents are awarded their costs on appeal.
Perluss, P. J., and Zelon, J., concurred.
"(a) In general
"Except as provided in subsection (b), (c)(1), (d), (e), or (f) of this section, no State or political subdivision of a State may establish or continue in effect any requirement —
"(1) that relates to the regulation of a drug that is not subject to the requirements of section 353(b)(1) or 353(f)(1)(A) of this title; and
"(2) that is different from or in addition to, or that is otherwise not identical with, a requirement under this chapter, the Poison Prevention Packaging Act of 1970 (15 U.S.C. 1471 et seq.), or the Fair Packaging and Labeling Act (15 U.S.C. 1451 et seq.). [¶] ... [¶]
"(c) Scope [¶] ... [¶]
"(2) Safety or effectiveness
"For purposes of subsection (a) of this section, a requirement that relates to the regulation of a drug shall be deemed to include any requirement relating to public information or any other form of public communication relating to a warning of any kind for a drug." (Boldface omitted.)
The FDA explained the scope and purpose of the Final Rule as follows: "This final rule establishes the labeling and testing requirements for OTC sunscreen products containing specific ingredients or combinations of ingredients.... The requirements in this final rule will help ensure that these currently marketed sunscreen products are appropriately labeled and tested for both UVA and UVB protection. In addition, the requirements in this final rule will help ensure the proper use of these sunscreens and greater consumer protection from the damaging effects of UV radiation. This final rule also identifies claims that render a product that is subject to this rule misbranded or not allowed on any OTC sunscreen drug product marketed without an approved application." (76 Fed.Reg. 35620, 35621 (June 17, 2011).)
Summarizing the regulatory impact of the rule, the FDA explained: "The purpose of this rule is to finalize labeling and testing conditions under which OTC sunscreen drug products marketed without approved applications are not misbranded. This rule addresses labeling and testing requirements for both UVB and UVA radiation protection. The rule modifies the existing SPF test, specifies a test for broad spectrum protection, and requires changes to the product label that affect both the front of the package (the principal display panel or PDP) and the Drug Facts section.... All manufacturers of sunscreens will incur some labeling costs due to revisions to both the PDP and the Drug Facts section of the product label...." (76 Fed.Reg. 35620, 35654 (June 17, 2011).)