KIM R. GIBSON, District Judge.
This matter comes before the Court on Defendants DePuy, DePuy Orthopedics, Inc., and Johnson & Johnson's "Motion to Dismiss" (Doc. No. 11). Defendants moved to dismiss the instant action under Federal Rule of Civil Procedure 12(b)(2) and (6). Pursuant to the agreement of the parties to dismiss all claims against DePuy and Johnson & Johnson, Defendant's Motion to Dismiss pursuant to Federal Rule of Civil Procedure 12(b)(2) is now moot. Defendant DePuy Othopedics Inc.'s Motion to Dismiss Pursuant to Federal Rule of Civil Procedure 12(b)(6), which Plaintiff opposes, remains before the Court. For the reasons that follow, the Motion is
The Court has jurisdiction pursuant to 28 U.S.C. §§ 1332 and 1441. Venue is proper pursuant to 28 U.S.C. § 1441(a).
This case stems from the implantation of medical devices,
Plaintiffs commenced the instant action in the Court of Common Pleas of Blair County, Pennsylvania to recover damages from DePuy, DePuy Orthopedics, Inc.. and Johnson & Johnson. (See Doc. No. 1.) Defendants removed the case to this Court on December 19, 2011. (Doc. No. 1.) On January 23, 2012, Defendants filed the instant Motion to Dismiss (Doc. No. 11), accompanied by a Brief in Support of Motion to Dismiss (Doc. No. 12), and a Verified Declaration of Lacey P. Elberg (Doc. No. 13). On February 15, 2012, Plaintiffs filed a response to Defendants' Motion to Dismiss (Doc. No. 15), accompanied by Plaintiffs Brief in Opposition to Defendants' Motion to Dismiss (hereinafter "Plaintiffs' Brief in Opposition") (Doc. No. 16). Defendants were granted leave to file a reply brief to Plaintiffs' Brief in Opposition, and Defendant DePuy Orthopedics, Inc. filed a Reply Brief in Support of Defendant's Motion to Dismiss (hereinafter "Sur-Reply Brief) (Doc. No. 29) on March 13, 2012.
Defendant moves to dismiss the pending claims pursuant to Federal Rule of Civil Procedure 12(b)(6) for failure to state a claim upon which relief may be granted. Rule 12(b)(6) must be balanced with the requirements of Rule 8, which governs general pleading matters and provides that "[a] pleading that states a claim for relief must contain ... a short and plain statement of the claim showing that the pleader is entitled to relief." Fed.R.Civ.P. 8.
While the decisions of the United States Supreme Court in Bell Atlantic Corp. v. Twombhj, 550 U.S. 544, 127 S.Ct. 1955, 167 L.Ed.2d 929 (2007), and Ashcroft v. Iqbal, 556 U.S. 662, 129 S.Ct. 1937, 173 L.Ed.2d 868 (2009), represented a significant change in federal pleading standards, the United States Court of Appeals for the Third Circuit has provided clear guidance to the district courts. To wit:
Defendant raises several arguments in support of its Motion to Dismiss. Specifically, Defendant contends that (1) Counts I, III, V and VI are preempted by federal law under the Medical Device Amendments to the Food, Drug and Cosmetic Act, 21 U.S.C. § 360c et seq., (2) Count I and Plaintiffs' claim for breach of implied warranties of merchantability and fitness for a particular purpose contained in Count V are barred by Pennsylvania law,
In Count I of their Complaint, Plaintiffs assert strict liability claims for manufacturing, design, and marketing (failure to warn) defects. (See Doc. No. 1-2 at 5-8.) In Count III, Plaintiffs assert a negligence claim against Defendant. (See Doc. No. 1-2 at 11-13.) Defendant alleges that both the strict liability and negligence claims are expressly preempted by the Medical Device Amendments (hereinafter "MDA") to the Food, Drug and Cosmetic Act. (Doc. No. 12 at 8-9; Doc. No. 29 at 1-3.)
The MDA established a regime of premarket approval for new devices classified by the Food and Drug Administration (hereinafter "FDA") as Class III devices.
The MDA contains an express preemption provision. See § 360k(a), Riegel, 552 U.S. at 321, 128 S.Ct. 999. The provision states:
21 U.S.C. § 360k(a). Thus, a state law claim is preempted by the MDA if (1) the Federal Government has established requirements applicable to the device at issue and (2) Plaintiffs'"common-law claims are based upon [state] ... requirements with respect to the device that are `different from or in addition to,' the federal ones, and that relate to safety and effectiveness." Riegel, 552 U.S. at 321-22, 128 S.Ct. 999. Premarket approval imposes "requirements" under the MDA. Riegel, 552 U.S. at 322-23,128 S.Ct. 999.
Plaintiffs aver in their Complaint that the device at issue in this case is classified as a medical device. (Doc. No. 1-2 at 3.) Plaintiffs further aver that the device was approved by the FDA through the premarket approval process (hereinafter "PMA"), and is subject to post-approval reporting requirements. (Doc. No. 1-2 at 3.) Accepting these factual allegations as true, the federal government established requirements applicable to the device at issue through the PMA process to which the device was subject. Therefore, the first prong of the test for express preemption is satisfied. Like in Riegel v. Medtronic, Inc., 552 U.S. 312, 128 S.Ct. 999, 169 L:Ed.2d 892 (2008), here, safety and effectiveness are the very subjects of Plaintiffs' strict liability and negligence claims. See Riegel, 552 U.S. at 323, 128 S.Ct. 999 (stating that "[s]afety and effectiveness are the very subjects of the Riegels'
In Riegel, the Supreme Court held that common-law duties are state "requirements." Riegel, 552 U.S. at 323-24, 128 S.Ct. 999. When success on state law claims would require Plaintiffs to show that the device "was unsafe or ineffective despite the PMA process," such claims "interfer[e] with the requirements already established by the MDA," and are therefore preempted. Williams v. Cyberonics, Inc., 388 Fed.Appx. 169, 171 (3d Cir.2010). See also Riegel, 552 U.S. at 325, 128 S.Ct. 999 (state law that requires a manufacturer's device "to be safer, but hence less effective, than the model the FDA has approved disrupts the federal scheme"). However, the preemption provision of the MDA bars claims premised on state common-law requirements only to the extent that the claims rely on common-law duties that differ from or add to FDA requirements. See § 360k(a); Riegel, 552 U.S. at 330, 128 S.Ct. 999. Section 360k "does not prevent a State from providing a damages remedy for claims premised on a violation of FDA regulations[.]" Id. In such a case, "the state duties ... `parallel,' rather than add to, federal requirements." Id. Therefore, Plaintiffs' claims can survive if Plaintiffs allege that Defendant violated federal law in a way that parallels a state duty. Gross v. Stryker Corp., 858 F.Supp.2d 466, 491 (W.D.Pa.2012). Here, such a claim would amount to an allegation that the medical device did not adhere to the FDAapproved standards or regulations. See Riegel, 552 U.S. at 330, 128 S.Ct. 999; Gross, 858 F.Supp.2d at 491-92; Cyberonics, 654 F.Supp.2d at 306-07.
In the instant case, Plaintiffs fail to assert such a parallel claim. To adequately plead a parallel claim, "Plaintiffs cannot simply incant the magic words `[Defendant] violated FDA regulations' in order to avoid preemption." Id. Gross, 858 F.Supp.2d at 493 (quoting In re Medtronic Inc., 592 F.Supp.2d 1147, 1158 (D.Minn. 2009)). "To properly allege parallel claims, the complaint must set forth facts showing `action or inaction in [defendants'] efforts to take part in the PMA process or implement its results.'" Id. at 492 (quoting Parker v. Stryker Corp., 584 F.Supp.2d 1298, 1301 (D.Colo.2008)). Plaintiffs' strict liability and negligence claims are premised on the assertion that Defendant placed the device in the stream of commerce in a defective and dangerous condition, without adequate warnings and instructions. (See Doc. No. 1-2 at 5-8, 11-13.) Generalized common law theories of liability, such as these, differ from or add to federal requirements, see Riegel, 552 U.S. at 325, 128 S.Ct. 999, and "are precisely the type of claims the MDA sought to preempt." Cyberonics, 388 Fed.Appx. at 171.
The Court finds only three clauses in Plaintiffs' Complaint that could possibly be read to assert a parallel claim. In their strict liability claim, Plaintiffs' assert that the damages sustained by Plaintiff-wife are a result of "misrepresentations by defendants of material facts concerning the character or quality of the subject product." (Doc. No. 1-2 at 6.) In their negligence claim, Plaintiffs' assert that Defendant suppressed "the dissemination of medical and scientific information relating to the harmful effects of the device/product" and failed to follow and violated "laws, safety codes and regulations, governmental
"[I]f a complaint is subject to a Rule 12(b)(6) dismissal, a district court must permit a curative amendment unless such an amendment would be inequitable or futile." Phillips v. County of Allegheny, 515 F.3d 224, 245 (3d Cir.2008). Although Plaintiffs' claims, as presently pled, are preempted, should Plaintiffs plead their claims with sufficient specificity in a manner that parallels federal law, Plaintiffs could theoretically assert viable claims for relief.
Comment k to Section 402A, titled "Unavoidably unsafe products" states as follows:
As Plaintiffs point out, the Supreme Court of Pennsylvania has interpreted Comment k of Section 402A to bar strict liability claims against prescription drug manufacturers. Hahn v. Richter, 543 Pa. 558, 673 A.2d 888, 891 (1996) ("[W]here the adequacy of warnings associated with prescription drugs is at issue, the failure of the manufacturer to exercise reasonable care to warn of dangers, i.e., the manufacturer's negligence, is the only recognized basis of liability,").
Plaintiffs' second argument, that the actual language of Comment k, specifically the phrase "properly prepared, and accompanied by proper directions and warning"
Id. at *2, 2012 U.S. Dist. LEXIS 15650 at *5-6 (internal citations omitted). This Court agrees with the Horsmon Court and concludes that such a caveat does not exist under Pennsylvania law. Therefore, Plaintiffs strict liability claim is not viable under Pennsylvania law.
Because the Court finds that Plaintiffs' strict liability claim is not viable under Pennsylvania law, even assuming that Plaintiffs were able to allege a parallel claim under a strict liability theory, permitting Plaintiffs' to amend their Complaint with respect to the strict liability claim would be futile. Plaintiffs' strict liability claim (Count I) is therefore dismissed without leave to amend. Plaintiffs' negligence claim (Count III) is dismissed as preempted by federal law. As stated in the following Order, Plaintiffs are granted 21 days in which to amend their Complaint with respect to Count III.
Defendant asserts in its Motion to Dismiss that Plaintiffs' warranty claims are preempted by federal law under the MDA,
The law of the Third Circuit permits a limitations defense to be raised by motion under Federal Rule of Civil Procedure 12(b)(6) (the so-called "Third Circuit Rule"). Robinson v. Johnson, 313 F.3d 128, 135 (3d Cir.2002). See also Riggs v. AHP Settlement Trust, No. 10-2824, 2010 WL 3749476, 2010 U.S. Dist. LEXIS 102780 (E.D.Pa. Sept. 24, 2010) (applying the Third Circuit Rule in a diversity case). Under Pennsylvania law, the time period for bringing an action for breach of a contract for sale is governed by Article 2 of the Uniform Commercial Code, as adopted in 13 Pa. Cons.Stat. § 2725. The statute states as follows:
Whether an implied warranty can be "explicitly" extended forward has not been squarely decided by the Supreme Court of Pennsylvania. Compare Cucchi v. Rollins Protective Servs. Co., 524 Pa. 514, 574 A.2d 565, 572-74 (1990), (explaining that although "the term `explicit' might seem to eliminate the possibility of implied prospective warranties, the better view is that warranties explicitly extending to future performance may be both express and implied by content and circumstances sufficiently specific as to unequivocally refer to future performance") (plurality opinion) with Nationwide Ins. Co. v. General Motors Corp., 533 Pa. 423, 625 A.2d 1172, 1178 (1993) (holding that warranty language did not explicitly extend the terms of any implied warranties and adding that "the great weight of authority takes the position that an implied warranty, by nature, cannot `explicitly' extend to future performance"). The Supreme Court of Pennsylvania's most recent expositions on this issue suggest that implied warranties cannot be so extended. See Nationwide, 625 A.2d at 1178; Keblish v. Thomas Equip., Ltd., 541 Pa. 20, 660 A.2d 38, 40 n. 1 (1995) (explaining that the precedential authority of Cucchi is limited to the facts of that case because there was no majority
Under this view, which this Court predicts would be explicitly adopted as law by the Supreme Court of Pennsylvania if the Court had occasion to rule on the issue, Plaintiffs' implied warranty claims are not timely because the statute of limitations expired in 2003 — four years after the cause of action accrued in 1999, when the device was implanted in Plaintiff-wife. See 13 Pa. Cons.State. § 2725; Horsmon v. Zimmer Holdings, No. 11-1050, 2012 WL 423434, at *2-3, 2012 U.S. Dist. LEIS 15650, at *6 (W.D.Pa. Feb. 8, 2012) (in suit for breach of warranty related to hip implant, stating that tender of delivery, for purposes of calculating the running of the statute of limitations under 13 Pa. Cons. State. § 2725, occurred on the date on which Plaintiff had hip replacement surgery). Therefore, Plaintiffs' breach of implied warranties claim is barred by the statute of limitations.
Even assuming, however, that an implied warranty can be explicitly extended forward and that the implied warranties were so extended here, Plaintiffs' implied warranty claims are preempted by federal law. Plaintiffs allege that Defendant breached implied warranties of merchantability and fitness for a particular purpose, arising under Pennsylvania law. (See Doc. No. 1-2 at 16-18.) As explained above, the Federal Government has established requirements applicable to the device at issue because the device is a medical device that obtained premarket approval by the FDA pursuant to the MDA. Because the MDA expressly preempts any requirement that is "different from, or in addition to any requirement applicable ... to the device," 21 U.S.C. § 360k(a); see Riegel v. Medtronic, Inc., 552 U.S. 312, 321, 128 S.Ct. 999, 169 L.Ed.2d 892 (2008), to properly state a claim for a breach of an implied warranty, Plaintiffs' must premise their claims on a violation of FDA regulations such that the state duties parallel, rather than add to, federal requirements. See Riegel, 552 U.S. at 330, 128 S.Ct. 999. Absent an allegation of such a violation, Plaintiffs' claims merely assert that the device was unsafe or ineffective despite the PMA process, which premises liability on a requirement different from or in addition to the FDA requirements applicable to the device. See id. at 325, 128 S.Ct. 999; Williams v. Cyberonics, Inc., 388 Fed. Appx. 169, 171 (3d Cir.2010).
This Court finds no allegation of a violation of federal regulations in Plaintiffs' breach of implied warranties claim (Count V). Unlike in Plaintiffs' strict liability and negligence claims, neither does the Court find any language relating to Plaintiffs' breach of implied warranties claim that can reasonably be construed as a parallel claim. Rather, Plaintiffs' implied warranty claims are all premised on state law requirements other than those imposed by the FDA through the PMA process. See Davenport v. Medtronic, Inc., 302 F.Supp.2d 419, 434 (E.D.Pa.2004) (citing Michael v. Shiley, 46 F.3d 1316, 1324-25 (3d Cir.1995), abrogated on other grounds) ("An implied warranty claim is centered around the accepted standards of design and manufacture of products in the state of Pennsylvania."). Therefore, Plaintiffs implied warranty claims are preempted by federal law.
Defendant's final argument with respect to Plaintiffs' breach of implied warranties claim is that Plaintiffs' implied warranty claims
With respect to the running of the statute of limitations for Plaintiffs' express warranty claims, the Court finds that it is impossible to determine from the face of the Complaint whether the express warranties allegedly made by Defendant were explicitly extended forward. Although the Third Circuit Rule permits a defendant to raise a statute of limitations defense in a 12(b)(6) motion, Robinson, 313 F.3d at 135, to obtain relief on this ground "the time alleged in the statement of a claim [must show] ... that the cause of action has not been brought within the statute of limitations." Hanna v. United States Veterans' Admin. Hosp., 514 F.2d 1092, 1094 (3d Cir.1975). "If the bar is not apparent on the face of the complaint, then it may not afford the basis for a dismissal of the complaint under Rule 12(b)(b)." Bethel v. Jendoco Constr. Corp., 570 F.2d 1168., 1174 (3d Cir.1978).
Plaintiffs allege that Defendant expressly warranted that the device was safe, effective, durable, free from defects, merchantable, and fit and proper for its intended use. (See Doc. No. 1-2 at 1(3-18.) However, nowhere in the Complaint does Plaintiff identify any of the representations made by Defendant that give rise to these express warranties. Under Pennsylvania law, the date on which a cause of action accrues depends in part on whether the warranty was explicitly extended forward. See 13 Pa. Cons.State. § 2725(b). An analysis of whether a "warranty `explicitly' extends to future performance must focus on the express language of the language of the warranty." Nationwide, 625 A.2d at 1175. Without an opportunity to review the statements that Plaintiff alleges gives rise to the express warranties, the
Defendant's argument that Plaintiffs' breach of express warranties claim is preempted by federal law is similarly unavailing. Defendant cites caselaw from outside this Circuit to support its assertion that proving a breach of an express warranty that warrants the safety or effectiveness of a device approved pursuant to the PMA process contradicts the FDA's premarket approval determination in the same manner as implied warranty and tort claims, and that courts have therefore routinely held that such express warranty claims are also preempted. (See Doc. No. 29 at 3 n. 2.) Indeed, since Riegel v. Medtronic, Inc., 552 U.S. 312, 128 S.Ct. 999, 169 L.Ed.2d 892 (2008), which did not specifically address preemption with regard to a claim for breach of an express warranty,
In Shiley, the Court found that "[express warranties arise from the representations of parties which are made the basis of the bargain and do not result from the independent operation of state law." Id. The Third Circuit reasoned that when a party gives an express warranty, the party, not the state, defines the substantive obligations of the contract. Id. Therefore, although state law provides for the enforcement of the parties' bargain, express warranties arise from a contractual commitment and not state law. Id. Although Shiley pre-dates Riegel, as discussed in Huber v. Howntedica Osteonics Corp., No. 07-2400(JLL), 2008 WL 5451072, at *3-4, 2008 U.S. Dist. LEXIS 106479, at *11 (D.N.J. Dec. 31, 2008), "[n]othing in Riegel explicitly undermines [the Third Circuit's] rationale for not preempting breach of express warranty claims." See also Delaney v. Stryker Orthopaedics, No. 08-03210(DMC), 2009 WL 564243, at *5, 2009 U.S. Dist. LEXIS 16865, at *14 (D.N.J. Mar. 5, 2009). Absent guidance from the Supreme Court, the Shiley opinion controls. Delaney, 2009 WL 564243, at *5, 2009 U.S. Dist. LEXIS 16865, at *14. See
Defendant alternatively argues that Plaintiffs have failed to state a plausible claim for breach of express warranties under Pennsylvania law. (Doc. No. 11 at 2.) The Court agrees that Plaintiffs fail to sufficiently plead their breach of express warranties claim. Under Pennsylvania law, "[a]ny affirmation of fact or promise made by the seller to the buyer which relates to the goods and becomes part of the basis of the bargain creates an express warranty that the goods shall conform to the affirmation or promise." 13 Pa. Cons. Stat. § 2313(a)(1). Likewise, "[a]ny description of the goods which is made a part of the bargain creates an express warranty that the goods shall conform to the description," 13 Pa. Cons.Stat. § 2313(a)(2), and "[a]ny sample or model which is made part of the basis of the bargain creates an express warranty that the whole of the goods shall conform to the sample or model," 13 Pa. Cons.Stat. § 2313(a)(3).
In order to establish that there has been a breach of an express warranty, a plaintiff must demonstrate that some form of promise of affirmative statement was made. Delaney, 2009 WL 564243, at *5, 2009 U.S. Dist. LEXIS 16865, at *13 (summarizing Pennsylvania law, citing 13 Pa. Cons.Stat. § 2313). A "mere recitation of the elements of a cause of action, absent any factual support, specification of a particular promise that became the basis of the bargain, or a showing that the promise was directed at the consumer, is iti sufficient to withstand dismissal." Gross v. Stryker Corp., 858 F.Supp.2d 466, 502 (W.D.Pa.2012) (citing Kester v. Zimmer Holdings, Inc., No. 2:10-cv-00523, 2010 WL 2696467, at *9-ll, 2010 U.S. Dist. Lexis 59869, at *27-31 (W.D.Pa. Jure 16, 2010)). As stated above, Plaintiffs have alleged that Defendant expressly wairanted that the device was safe, effective, durable, free from defects, merchantable, and fit and proper for its intended use. (See Doc. No. 1-2 at 16-18.) Plaintiffs assert that these warranties were made through various sources which Plaintiffs generally and without specificity describe to include Defendant, its authorized agents or sales representatives, publications, package inserts, the internet and other communications intended for physicians, medical patients, and the general public, and certain documentation provided to patients including Plaintiff-wife "either directly [by Defendant] or through others." (See Doc 1-2 at 16-17.) While Plaintiffs' Complaint repeatedly alleges that Defendant made such warranties, Plaintiffs fail to identify any affirmation of fact or promise giving rise to these alleged warranties. Moreover, Plaintiffs have not pled any details regarding the content of the express warranties. Because Plaintiff cannot allege that any particular affirmation of fact or promise became "part of the basis of the bargain" without alleging an affirmation of fact or promise, Horsmon v. Zimmer Holdings, Inc., No. 11-1050, 2011 WL 5509420, at *4, 2011 U.S. Dist. LEXIS 130415, at *12 (W.D.Pa. Nov. 10, 2011), Plaintiffs' Complaint fails to allege facts sufficient to demonstrate a plausible claim for breaoh of express warranties under Pennsylvania law.
The Horsmon Court, discussed above,
In Plaintiffs' Brief in Opposition, Plaintiffs request an opportunity to amend their Complaint if the Court agrees with the Defendant that the express warranty claim, as presently pled, fails to state a claim. (See Doc. No. 16 at 13.) Providing Plaintiffs with an opportunity to amend their breach of express warranties claim would not be futile because Plaintiffs could, in a properly pled complaint, assert a claim for breach of an express warranty. The Court notes that even assuming that Plaintiffs amended Complaint sufficiently states a claim for which relief can be granted, Plaintiffs' claim may still be barred under the statute of limitations. Whether the statute of limitations for Plaintiffs' breach of express warranties claim has run, however, depends on precisely what was warranted.
Plaintiffs also assert a loss of consortium claim (Count VI) that is derivative of Plaintiffs' other claims. As more fully stated in the following Order, Plaintiffs' loss of consortium claim is limited according to the claims on which it derives.
For the foregoing reasons, all remaining Counts of Plaintiffs' Complaint — Counts I, III, V and VI — do not survive Rule 12(b)(6) scrutiny. However, the Court finds that amendment would be futile only with respect to Count I and Plaintiffs' breach of implied warranties claim in Count V. Accordingly, the Court dismisses Count I and Plaintiffs' breach of implied warranties claim in Count V without leave to amend. Count III and Plaintiffs' breach of express warranties claim in Count V are dismissed with leave to amend. Count VI is dismissed without leave to amend to the extent that it derives from Count I and Plaintiffs' breach of implied warranties claim in Count V. Count VI is dismissed with leave to amend to the extent it derives from Count III and Plaintiffs' breach of express warranties claim in Count V. An appropriate order follows.
AND NOW, this 28th day of September 2012, this matter coming before the Court on Defendant's "Motion to Dismiss" (Doc. No. 11) and Plaintiffs' opposition thereto (Doc. No. 15), and in accordance with the Memorandum,