NUTRACEUTICAL CORPORATION; SOLARAY, INC., Plaintiffs-Appellees, v.
ANDREW VON ESCHENBACH, Acting Commissioner, U.S. Food and Drug Administration;
UNITED STATES FOOD AND DRUG ADMINISTRATION; MICHAEL O. LEAVITT, Secretary of the
Department of Health and Human Services; DEPARTMENT OF HEALTH AND HUMAN
SERVICES; UNITED STATES OF AMERICA, Defendants-Appellants.
No. 05-4151
UNITED STATES COURT OF APPEALS FOR THE TENTH CIRCUIT
2006 U.S. App. LEXIS 21066
August 17, 2006,
FiledPRIOR HISTORY: [*1] APPEAL FROM
THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF UTAH. (D.C. No.
2:04-CV-00409-TC). Nutraceutical Corp. v. Crawford, 364 F. Supp. 2d 1310, 2005
U.S. Dist. LEXIS 10259 (D. Utah, 2005)
DISPOSITION: REVERSED, REMANDED.
COUNSEL: Christine N. Kohl, Attorney (Peter D. Keisler,
Assistant Attorney General, Paul M. Warner, United States Attorney, Jeffrey
Bucholtz, Deputy Assistant Attorney General, and Douglas N. Letter, Attorney,
Department of Justice, Washington, D.C., and Paula M. Stannard, Acting General
Counsel, Sheldon T. Bradshaw, Associate General Counsel, Eric M. Blumberg,
Deputy Chief Counsel, and Claudia J. Zuckerman, Associate Chief Counsel, Office
of General Counsel, U.S. Department of Health & Human Services, Food and
Drug Division, Rockville, Maryland, with her on the briefs), for
Defendants-Appellants.
Jonathan W. Emord (Andrea
G. Ferrenz with him on the brief), Emord & Associates, P.C., Reston,
Virginia for Plaintiffs-Appellees.
JUDGES:
Before KELLY, TYMKOVICH, Circuit Judges and EAGAN, * District Judge.
* The Honorable Claire V. Eagan, District Judge, United
States District Court for the Northern District of Oklahoma, sitting by
designation.
OPINION BY: Claire V. Eagan
OPINION: EAGAN, District Judge.
Defendants-appellants, Andrew von Eschenbach, M.D., Acting
Commissioner [*2] of the U.S. Food and Drug Administration, the
United States Food and Drug Administration ("
FDA" or "the agency"),
Michael O. Leavitt, Secretary of the Department of Health and Human Services,
the Department of Health and Human Services, and the United States, appeal from
a judgment of the district court denying their motion for summary judgment and
granting the cross-motion of plaintiffs-appellees for summary judgment.
Nutraceutical Corp. v. Crawford, 364 F. Supp. 2d 1310 (D. Utah 2005).
Plaintiffs-appellees, Nutraceutical Corporation and its wholly-owned subsidiary,
Solaray Corporation (collectively, "Nutraceutical"), manufacture and sell
Ephedra, a product containing ephedrine-alkaloid dietary supplements ("EDS"). In
2004, the
FDA issued a regulation which banned all EDS sales in the
United States market. Nutraceutical brought this action challenging the
regulation as unlawful. The district court agreed with Nutraceutical. Id. at
1321. Our jurisdiction arises under 28 U.S.C. § 1291, and we reverse.
BackgroundIn its
published decision, the district court determined that the risk-benefit analysis
employed by the [*3]
FDA to support an EDS ban was contrary to
the intent of Congress and that the
FDA had failed to prove by a
preponderance of the evidence that EDS pose an unreasonable risk of illness or
injury at 10 milligrams ("mg") or less a day. Nutraceutical, 364 F. Supp. 2d
1310. It accordingly entered summary judgment in favor of Nutraceutical,
enjoined the
FDA from enforcing its proscription against Nutraceutical
for the sale of products with a recommended daily dosage of 10 mg or less of
EDS, n1 and remanded to the
FDA for new rule-making.
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n1 To the extent that we recognize
Nutraceutical's product as recommending less than 10 mg of ephedrine alkaloids
per day, Nutraceutical's Motion to Correct Oral Argument Record, filed on May
11, 2006, is granted.
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The
issues raised by this appeal are: (1) whether the
FDA correctly
interpreted the relevant statute to require a risk-benefit analysis in
determining if a dietary supplement presents an "unreasonable risk of illness or
injury"; and (2) whether the
FDA satisfied [*4] its burden of
proving that dietary supplements containing EDS present an unreasonable risk of
illness or injury when doses of 10 mg or less per day are suggested or
recommended in labeling.
Nutraceutical alleges that the
FDA lacked statutory authority to promulgate and enforce a ban of all
EDS. The
FDA argues that it acted pursuant to the broad authority
delegated to it by the Food, Drug and Cosmetic Act ("FDCA"), 21 U.S.C. §§ 301,
et seq., to regulate dietary supplements for safety. The FDCA provides the
FDA with broad authority to regulate food, drug, and dietary supplement
products in order to ensure public health and safety. Id. In 1994, Congress
amended the FDCA with the Dietary Supplement Heath and Education Act ("DSHEA"),
Pub. L. No. 103-417, 108 Stat. 4325 (1994). Under DSHEA, the
FDA
regulates vitamins, minerals, herbs, amino acids, and other dietary substances.
Dietary supplements are generally regulated in a manner similar to food and the
FDA is authorized to prevent adulterated products from entering the
market. See 21 U.S.C. § 331(a), (b), (c), (k) (adulteration and distribution of
adulterated food are prohibited [*5] acts). Congress declared that a
dietary supplement is "adulterated":
If it is a dietary supplement or contains a dietary ingredient
that--
(A) presents a significant or
unreasonable risk of illness or injury under--
(i) conditions of use recommended or suggested in labeling,
or
(ii) if no conditions of use are suggested
or recommended in the labeling, under ordinary conditions of use; . .
.
21 U.S.C. §
342(f)(1). The
FDA argues that EDS are adulterated and points to the
"unreasonable risk of illness or injury" provision of DSHEA as the primary
source of statutory authority for its EDS ban. 21 U.S.C. § 342(f)(1)(A).
Ephedrine alkaloids are a class of structurally-related
chemical stimulants that occur naturally in some botanicals. In the 1980s and
1990s, manufacturers promoted the sale of EDS for weight loss and athletic
performance enhancement. In the 1990s, the
FDA received numerous
Adverse Event Reports ("AERs") which documented harmful side
effects, including heart attacks, strokes, seizures, and death, associated with
EDS intake. n2 Based on the circumstantial evidence of the AERs, the
FDA
began [*6] to investigate the effects of EDS. The investigation
included a literature review of scientific studies and a Food Advisory Committee
on Dietary Supplements Containing Ephedrine Alkaloids Meeting held on August
26-27, 1996 ("1996 Food Advisory Committee"). In 1997, the agency proposed a
regulation which would have required specific warnings and established a dosage
regimen. 62 Fed. Reg. 30,678 (June 4, 1997).
- - - - -
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n2 The
FDA established the MedWatch program to
monitor AERs associated with nutritional products, including dietary
supplements. This program relies on voluntary reporting from public health
agencies, health professionals, and consumers. See
FDA MedWatch Home
Page, http://www.
fda.gov/medwatch/.
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The
FDA's 1997 proposed regulation of EDS faced
substantial opposition, including from the General Accounting Office ("GAO").
The GAO determined that the
FDA had not been thorough in its
investigation and requested further research. See GAO, Dietary Supplements:
Uncertainties in Analyses Underlying [*7]
FDA's Proposed Rule
on Ephedrine Alkaloids 11 (1999). Responding to the GAO's concerns, the
FDA withdrew the 1997 proposed regulation. 65 Fed. Reg. 17,474 (Apr. 3,
2000).
The
FDA continued to receive AERs and
compile scientific literature regarding EDS. Given the fact that dietary
supplement manufacturers are not required to submit scientific data on their
products, the body of scientific literature on EDS was limited. Among the
studies on which the
FDA relied was a report commissioned by the National
Institutes of Health. To further supplement the record, the agency hired Mario
A. Inchiosa, Jr., Ph.D., n3 to conduct further research on the health effects of
EDS in 1999. During the public notice and comment period, Nutraceutical
submitted to the
FDA several requests for an exemption of low-dosage EDS,
to no avail. The administrative record grew to over 130,000 pages, approximately
19,000 AERs were collected, n4 and extensive public notice and comment resulted
in over 48,000 comments.
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Footnotes - - - - - - - - - - - - - - -
n3
Professor of Pharmacology, New York Medical College.
n4 The AERs which were voluntarily submitted to the
FDA were supplemented with 16,000 complaints received by Metabolife, one
of the largest distributors of EDS. 364 F. Supp. 2d at 1315; see GAO, Dietary
Supplements: Review of Health-Related Call Records for Users of Metabolife 356
(GAO-03-494) (2003).
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After seven years of investigating EDS, the
FDA adopted a
regulation which banned EDS at all dosage levels from the national market. Final
Rule Declaring Dietary Supplements Containing Ephedrine Alkaloids Adulterated
Because They Present an Unreasonable Risk, 69 Fed. Reg. 6788 (Feb. 11, 2004)
("Final Rule"). In the Final Rule, the
FDA concluded that "[t]he best
clinical evidence for a benefit . . . supports only a modest short-term weight
loss, insufficient to positively affect cardiovascular risk factors or health
conditions associated with being overweight or obese." Id. at 6789. Based on
this risk-benefit analysis, the
FDA determined that all EDS present an
"unreasonable risk of illness or injury" under all ordinary or recommended
conditions of use. Id. at 6788. As such, the Final Rule classified EDS
adulterated within the meaning of DSHEA.
The district
court held that "the
FDA's requirement that EDS demonstrate a benefit is
contrary to the clear intent of Congress" and found the agency's definition of
"unreasonable" as entailing a risk-benefit analysis to be improper. 364 F. Supp.
2d 1310, 1319. The district court [*9] also found that the
FDA
failed "to prove by a preponderance of the evidence that a dosage of 10 mg or
less of ephedrine alkaloids presents a significant or unreasonable risk of
illness or injury." Id. at 1321. Based on these findings, the district court
granted summary judgment for plaintiffs and denied summary judgment for
defendants.
Discussion Standard of ReviewThe district court's conclusions as to whether the
FDA had acted
pursuant to congressionally delegated authority in promulgating a rule is
reviewed de novo. However, the parties dispute the appropriate standard of
review of the administrative decision. DSHEA provides that: "The court shall
decide any issue under this paragraph on a de novo basis." 21 U.S.C. § 342(f).
The district court did "not reach the question of whether the
FDA's
statutory construction should be reviewed de novo." 364 F. Supp. 2d at 1317. In
the interest of clarity and consistency, we now reach this question.
Courts are to review agency actions under DSHEA using the
"traditional tools of statutory construction." Pharmanex v. Shalala, 221 F.3d
1151, 1154 (10th Cir. 2000). [*10] The de novo standard, under
section 342(f), applies to enforcement actions by the United States against
manufacturers of dietary supplements. Such enforcement actions may result in
imprisonment or monetary fines. 21 U.S.C. § 333; see United States v. Park, 421
U.S. 658, 95 S. Ct. 1903, 44 L. Ed. 2d 489 (1975). Reading the statute as a
whole, it is clear that the de novo standard applies when courts "decide"
matters rather than when they "review" administrative decisions. As such, it is
appropriate to limit the de novo standard of review, which affords the
FDA no deference, to enforcement proceedings. Challenges by private
parties to
FDA rules promulgated under DSHEA are reviewed pursuant to the
Administrative Procedure Act ("APA"), 5 U.S.C. § 706, and "the normal rules for
judicial deference regarding agency action apply." NVE, Inc. v. HHS, 436 F.3d
182, 196 (3rd Cir. 2006). "Had Congress intended to supplant the
well-established procedures for APA challenges, it would have been clearer about
its objective." Id. at 194.
Chevron
AnalysisA court reviewing the
FDA's
construction [*11] of the FDCA must determine: whether Congress has
directly spoken to precise question at issue; and if not, then whether agency's
construction of statute is permissible one. Chevron U.S.A., Inc. v. Natural Res.
Def. Council, Inc., 467 U.S. 837, 842-43, 81 L. Ed. 2d 694, 104 S. Ct. 2778
(1984). In reviewing the
FDA's interpretation of DSHEA under Chevron, we
ask two questions:
First, always, is the question
whether Congress has directly spoken to the precise question at issue. If the
intent of Congress is clear, that is the end of the matter; for the court, as
well as the agency, must give effect to the unambiguously expressed intent of
Congress [Chevron step 1]. But if the statute is silent or ambiguous with
respect to the specific issue, the question for the court is whether the
agency's answer is based on a permissible construction of the statute. If
Congress has explicitly or implicitly delegated authority to an agency,
legislative regulations are given controlling weight unless they are
arbitrary, capricious, or manifestly contrary to the statute [Chevron step
2].
Seneca-Cayuga Tribe
of Oklahoma v. National Indian Gaming Com'n, 327 F.3d 1019, 1037 (10th Cir.
2003) [*12] (citations omitted).
The APA
reflects the principles of Chevron and "provides that agency action must be set
aside if the action was 'arbitrary, capricious, an abuse of discretion, or
otherwise not in accordance with law' or if the action failed to meet statutory,
procedural, or constitutional requirements." Valley Cmty. Pres. Comm'n v.
Mineta, 373 F.3d 1078, 1084 (10th Cir. 2004) (internal quotation omitted)
(citing 5 U.S.C. § 706). "When we review an agency's decision under the
arbitrary, capricious or abuse of discretion standard [of the APA], our review
is narrow and deferential; we must uphold the agency's action if it has
articulated a rational basis for the decision and has considered relevant
factors." Slingluff v. Occupational Safety & Health Review Comm'n, 425 F.3d
861, 866 (10th Cir. 2005) (citing Mountain Side Mobile Estates P'ship v. Sec'y
of HUD, 56 F.3d 1243, 1250 (10th Cir. 1995)). Under the APA, regulations are
presumed to be valid, and review is deferential to the government agency.
"Unreasonable Risk"In this case, we must determine whether Congress unambiguously
manifested [*13] its intent to restrict the
FDA from weighing
benefits when determining the risk posed by a dietary supplement. The district
court was correct to proceed under Chevron step one in deciding the question of
whether the
FDA properly used a risk-benefit analysis in determining
whether EDS pose an "unreasonable risk." Chevron, 467 U.S. at 843. We
nevertheless reverse the district court after finding that Congress
unambiguously required the
FDA to conduct a risk-benefit analysis under
DSHEA.
In 1994, Congress enacted DSHEA to clarify that
dietary supplements, absent declarations promoting the supplements as drugs,
would be regulated in a manner similar to food products. Accordingly, in the
interest of public health, Congress imposed a duty on the
FDA to keep
adulterated dietary supplements off the market. 108 Stat. at 4326 (instructing
the
FDA to "take swift action against [dietary supplements] that are
unsafe or adulterated."). DSHEA classifies a dietary supplement as adulterated
if it "presents a significant or unreasonable risk of illness or injury." 21
U.S.C. § 342(f)(1). The
FDA understood "[t]he plain meaning of
'unreasonable' . . . [to] [*14] connote[] comparison of the risks
and benefits of the product." 69 Fed. Reg. 6788, 6823 (2004). We agree. The
plain language of the statute directs the
FDA to restrict distribution of
dietary supplements which pose any risk that is unreasonable in light of its
potential benefits. See Merck KGaA v. Integra Lifesciences I, Ltd., 545 U.S.
193, 125 S. Ct. 2372, 162 L. Ed. 2d 160 (2005) (unanimously finding that
"unreasonable risk," as used in another FDCA provision, 21 U.S.C. §
355(i)(3)(B)(I), "involves a comparison of the risks and the benefits . . .
.").
Congress enacted DSHEA in an effort to improve
public access to dietary supplements based on the belief that there may be a
positive relationship between dietary supplement use, reduced health-care
expenses, and disease prevention. See Pharmanex, 221 F.3d at 1158-59 ("It is
true that DSHEA was enacted to alleviate the regulatory burdens on the dietary
supplement industry, allowing consumers greater access to safe dietary
supplements in order to promote greater wellness among the American
population.") (citation omitted). The FDCA should not be read too restrictively
but in manner [*15] consistent with the statute's overriding purpose
to protect public health. See 21 U.S.C.A. § 301 et seq.; United States v. Rx
Depot, Inc., 438 F.3d 1052, 1061 (10th Cir. 2006) ("The FDCA's primary purpose
is to protect the public health.") (citing United States v. An Article of Drug .
. . Bacto-Unidisk, 394 U.S. 784, 798, 89 S. Ct. 1410, 22 L. Ed. 2d 726 (1969)).
Accordingly, DSHEA should receive a liberal construction where the
FDA
has taken remedial steps in response to a perceived public health problem.
According to the district court, by injecting a
risk-benefit analysis, the
FDA required Nutraceutical to make a showing
of the benefits of its product. However, at no time has the
FDA required
manufacturers of EDS to provide data on the benefits of their products. Rather,
the
FDA has assumed its responsibility of gathering data, soliciting
comments, and conducting the risk-benefit analysis. n5 Congress expressly placed
the burden of proof on the government to determine whether a dietary supplement
is adulterated. Accordingly, EDS were allowed to enter the market without
findings of safety or effectiveness. The
FDA did not
impose [*16] a pre-market requirement for the sale of EDS. For
example, Nutraceutical has been selling EDS since 1988. As dictated by the
statutory scheme, the
FDA assumed the duty of post-market surveillance
and imposed the EDS ban following numerous AERs, public notice and comment, and
significant scientific review. See 69 Fed. Reg. 6788. Based on the record, we
disagree with the district court and find that the
FDA did not shift the
burden of proof to manufacturers. The risk-benefit analysis is conducted by, and
at the expense of, the agency. Id. at 6798 ("the agency performs a risk/benefit
analysis to ascertain whether the risks of the product outweigh its benefits.").
Despite Nutraceutical's characterization of the process, the agency did not
"require[] proof of a substantial benefit to counterbalance risk as a condition
precedent to lawful sale of EDS." Appellee's Brief, at 5. The burden remains on
the agency to show that risks associated with a dietary supplement outweigh
benefits and are, therefore, unreasonable. Thus, a risk-benefit analysis does
not undermine congressional intent by improperly shifting the burden of proof
onto manufacturers of dietary [*17] supplements.
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n5 The district court compared the language
of DSHEA to the statutory language governing medical devices and drugs and
concluded that, unlike manufacturers of medical devices and drugs, manufacturers
of dietary supplements do not need to prove effectiveness prior to taking their
product to market. 364 F. Supp. 2d at 1318 ("A brief look at the legislative
history of the DSHEA indicates that Congress generally intended to harmonize the
treatment of dietary supplements with that of foods when it added the dietary
supplement subsection to the food adulteration provision."). The district court
is correct. However, the district court confused effectiveness with safety. The
FDA did not ban EDS for failing to deliver promised health gains or for
ineffectiveness; the
FDA banned EDS because they were determined to be
unsafe.
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Footnotes- - - - - - - - - - - - - -
Under the rules of
statutory construction, courts consider the whole act and evaluate terms in
context. Pharmanex, 221 F.3d at 1154 ("we examine the statutory [*18]
provision in context."). The rule against surplusage encourages courts to give
meaning to every word used in a statute to realize congressional intent. In
effect, this rule embodies the belief that Congress would not have included
superfluous language. Thus, in DSHEA, an "unreasonable risk" has a meaning
independent from a "significant risk." The plain meaning of a "significant risk"
is a great danger. "Unreasonable risk" is a distinct term and requires more than
evaluation of the significance of risk. "A risk could be significant but
reasonable if the benefits were great enough to outweigh the risks." 69 Fed.
Reg. at 6823. In other words, an "unreasonable risk" is relative to the
circumstances; the potential risk is more "unreasonable" if the potential
benefit is smaller. See Castrignano v. E.R. Squibb & Sons, Inc., 900 F.2d
455, 459 (1st Cir. 1990) (upholding jury instructions which define
"unreasonable" as the "balance between the expected beneficial effects of the
[product] as opposed to its harmful effects, if any."). The district court erred
by conflating the terms "significant" and "unreasonable," thereby rendering
"unreasonable" superfluous. [*19] In contrast to "significant risk,"
"unreasonable risk" accounts for whether the benefits justify the risks. The use
of "unreasonable" to qualify risk in addition to "significant" makes it clear
that Congress intended to integrate a risk-benefit analysis in the former. Thus,
because we find the statute is clear, we now review the
FDA's absolute
prohibition of EDS under the APA.
"Conditions
of Use"Under DSHEA, the government bears the
burden of proof to show that, "under conditions of use recommended or suggested
in labeling," a dietary supplement is adulterated. 21 U.S.C. § 342(f)(1)(A)(i).
It is undisputed that the
FDA must consider the dosage recommended in a
dietary supplement's labeling when making an adulteration determination under
section 342(f)(1)(A). The district court held that the
FDA failed "to
prove by a preponderance of the evidence that a dosage of 10 mg or less of
ephedrine alkaloids presents a significant or unreasonable risk of illness or
injury, [and] has failed to give effect to the dose-specific language of [] §
342(f)(1)(A)(I)." 364 F. Supp. 2d at 1321.
In
determining that EDS pose an "unreasonable risk of illness [*20] or
injury," the
FDA found that the weight loss and other health benefits
possible from the use of EDS were dwarfed by the potential long-term harm to the
user's cardiovascular system. The agency went on to enact a complete ban on the
product after making a finding that any amount of EDS had negative ramifications
on the cardiovascular system and, based on the
FDA's analysis, EDS
provided no benefits so great as to justify such risk.
The preponderance of the evidence standard n6 requires the party with
the burden of proof to support its position with the greater weight of the
evidence. See Metropolitan Stevedore Co. v. Rambo, 521 U.S. 121, 137-38 n.9, 117
S. Ct. 1953, 138 L. Ed. 2d 327 (1997) (explaining that the preponderance of the
evidence standard "simply requires the trier of fact to believe that the
existence of a fact is more probable than its nonexistence . . . .") (citation
omitted); Vesper Const. Co., Inc. v. Rain for Rent, Inc., 602 F.2d 238, 242
(10th Cir. 1979) ("by the greater weight of the evidence or, as it is sometimes
called, the preponderance of the evidence."). The evidence relied on by the
FDA to enact its ban of EDS covers over seven years of [*21]
agency review, public notice and comment, peer-reviewed literature, and
scientific data. It is the purview of the
FDA to weigh the evidence,
including the evidence submitted by Nutraceutical and other manufacturers during
public notice and comment.
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Footnotes - - - - - - - - - - - - - - -
n6
Congress did not prescribe the quantum of proof required under DSHEA.
Accordingly, the standard traditionally applied in administrative cases, the
preponderance of the evidence standard, governs. See Steadman v. SEC, 450 U.S.
91, 95, 102, 101 S. Ct. 999, 67 L. Ed. 2d 69 (1981).
- - - - - - - - - - - - End Footnotes- - - - - - - - - - -
- - -
It is noteworthy that Nutraceutical relies on the
1999 GAO report to support its contention that the Final Rule lacks support.
However, the GAO has since updated its findings and arrived at conclusions in
support of the Final Rule. See GAO, Dietary Supplements: Review of
Health-Related Call Records for Users of Metabolife 356 (GAO-03-494) (2003).
Based on scientific data and AERs, the GAO concluded that EDS pose a significant
risk of cardiovascular and nervous system effects among [*22]
consumers who are young to middle-aged. See GAO, Dietary Supplements Containing
Ephedra, Testimony before the Subcommittee on Oversight and Investigations,
Committee on Energy and Commerce, House of Representatives (July 23, 2003); 69
Fed. Reg. at 6818 (GAO found that AERs "were consistent with . . . the
scientifically documented pharmacological and physiological effects of ephedrine
alkoids.").
The
FDA hired Dr. Inchiosa to study
the effects of EDS on human health in 1999. Dr. Inchiosa used principles of
pharmacokinetics n7 to examine the effects of ingestion of EDS on the human
cardiovascular system. Dr. Inchiosa found that ephedrine would be expected to
produce the same adverse cardiovascular effects (increased heart rate and blood
pressure) as a comparable dose of the pharmacologically-related drug,
epinephrine, n8 and that, consequently, no dose of ephedrine can be considered
safe. Nutraceutical raises objections to Dr. Inchiosa's study and methodology
which it did not raise during the rulemaking. n9 Nutraceutical argues that Dr.
Inchiosa's work is irrelevant to the effect of its low-level dosage EDS product
because his study examined the impact of continuous [*23] injection
of epinephrine into the bloodstream rather than ingestion of pills containing 10
mg or less of EDS. n10 The district court rejected the "mathematical model used
[by Dr. Inchiosa] to compare doses of epinephrine to ephedrine." 364 F. Supp. 2d
at 1315. To account for the different potency levels of ephinephrine and
ephedrine, Dr. Inchiosa factored the greater potency of ephinephrine into his
calculations. Dr. Inchiosa's work indicates that he exaggerated margins of error
in order to come to a conservative conclusion that the cardiovascular effects
produced by a dose of 9 mg of EDS daily may be dangerous.
- - - - - - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n7 A pharmacokinetic analysis is one which
examines the bodily absorption, distribution, metabolism, and excretion of
drugs. Merriam Webster's Collegiate Dictionary 871 (10th ed. 1994).
n8 To reach his conclusions, Dr. Inchiosa
relied on a peer-reviewed study of the effect of epinephrine in humans. William
E. Clutter, et al., Epinephrine Plasma Metabolic Clearance Rates and Physiologic
Thresholds for Metabolic and Hemodynamic Actions in Man, 66 J. Clin. Invest. 94
(July 1980). The Clutter study revealed significant increases in heart rate and
blood pressure from epinephrine infusion at the rate of
0.5ug/minute. [*24]
n9 Although Nutraceutical did not specifically object to Dr. Inchiosa's
study and methodology during rulemaking, it did not thereby waive its objection.
In a review of the decision of an administrative agency, a party waives its
right to appeal an issue if it fails to object through comments or documents in
the record. New Mexico Environmental Imp. Div. v. Thomas, 789 F.2d 825, 835
(10th Cir. 1986) (when agency solicited comments on the very issue being
challenged, party "was obligated to make its record before the agency.");
American Frozen Food Institute v. Train, 176 U.S. App. D.C. 105, 539 F.2d 107,
134 (D.C. Cir. 1976) ("What the industry failed to present to the Administrator
during rulemaking procedures when specifically asked to comment cannot now be
urged [as] a basis for invalidation [of the rule]."); see also Fuel Safe
Washington v. F.E.R.C., 389 F.3d 1313 (10th Cir. 2004); Kennecott Copper Corp.
V. E.P.A., 612 F.2d 1232, 1245 (10th Cir. 1979) ("it is well settled that
industry must first utilize the opportunity for comment [on an agency
regulation] before it may raise issues on appeal."). While Nutraceutical did not
object to Dr. Inchiosa's study on the record, it did advance dissatisfaction
with the scientific evidence relied on by the
FDA during the rulemaking.
Appellee's App., at 159-60 ("Nutraceutical submits these comments to show that
there is absolutely no basis for concluding that [] whole-herb ephedra
supplement products present a significant or unreasonable risk . . . ."). The
FDA solicited comments on "new scientific evidence . . . concerning
health risks associated with the use of dietary supplements containing ephedrine
alkaloids." 68 Fed. Reg. 10417 (March 5, 2003). Dr. Inchiosa's study was not
among the evidence referenced in the
FDA's March notice. Id. Given that
the
FDA did not specifically ask for comments on Dr. Inchiosa's study and
Nutraceutical did object to the new scientific evidence generally, it is
appropriate for us to consider Nutraceutical's objections to Dr. Inchiosa's
study in particular. [*25]
n10 Nutraceutical's conclusory allegation that there is
insufficient science to support the
FDA's conclusion that increased heart
rate and blood pressure correlate to increased risk of cardiovascular disease is
contrary to the vast scientific evidence in the administrative record.
- - - - - - - - - - - - End Footnotes-
- - - - - - - - - - - - -
Further, the
FDA did
not rely on Dr. Inchiosa's work alone. n11 The
FDA's investigation also
considered the findings of the National Institutes of Health, the GAO, and the
1996 Food Advisory Committee, among others. See also 364 F. Supp. 2d at 1320-21
("Dr. Inchiosa . . . states that he cannot determine a safe level of EDS intake.
This sentiment is echoed throughout the transcript of the [1996 Food Advisory
Committee]. Several of the meeting's attendees made comments that a safe level
could not be determined. There was, apparently, not enough evidence to support
the conclusion that there is a safe level of intake for EDS."). The review of
scientific literature is properly in the province of the
FDA, to which
this Court grants deference based on its expertise. See Weinberger v. Bentex
Pharms., Inc., 412 U.S. 645, 653-54, 93 S. Ct. 2488, 37 L. Ed. 2d 235
(1973) [*26] (The
FDA is "peculiarly suited" to evaluate
conflicting scientific reports, a matter "not . . . well left to a court without
chemical or medical background," because it "necessarily implicates complex
chemical and pharmacological considerations.").
- - - -
- - - - - - - - - - Footnotes - - - - - - - - - - - - - - -
n11 The
FDA relied on multiple studies which
demonstrated that EDS raise blood pressure and increase heart rate. The agency
considered evidence from the well-known, scientifically established pharmacology
of ephedrine alkaloids; peer-reviewed scientific literature on the effects of
ephedrine alkaloids; and AERs of occurrences following consumption of EDS. 69
Fed. Reg. 6788. In its call for comments, the
FDA specifically cited to
the following peer-reviewed studies: Stephen Bent, et al., The Relative Safety
of Ephedra Compared with Other Herbal Products, 138 Ann. Intern. Med. 468-72
(March 2003) (finding that EDS accounted for 64% of all adverse reactions to
herbs in the United States, despite representing only 0.82% of herbal product
sales); Paul G. Shekelle, et al., U.S. Dep't of Health & Human Servs.,
Agency for Healthcare Research & Quality, Assessment No. 76, Ephedra and
Ephedrine for Weight Loss and Athletic Performance Enhancement: Clinical
Efficacy and Side Effects (Feb. 2003) (concluding that the use of ephedrine
and/or the use of ephedra or ephedrine plus caffeine is associated with two to
three times the risk of nausea, vomiting, psychiatric symptoms such as anxiety
and change in mood, autonomic hyperactivity, and palpitations); Lewis B.
Morgenstern, et al., Use of Ephedra-Containing Products and Risk for Hemorrhagic
Stroke, 60 J. Neurology 132-35 (2003) (concluding that ephedra is not associated
with increased risk for hemorrhagic stroke, expect possibly at higher doses);
David Samenuk, et al., Adverse Cardiovascular Events Temporally Associated With
ma huang, an Herbal Source of Ephedrine, 77 Mayo Clinic Proceedings 12 (2002)
(concluding that ephedra use is temporally related to stroke, myocardial
infarction, and sudden death; underlying heart or vascular disease is not a
prerequisite for ephedra-related
adverse events; and the
cardiovascular toxic effects associated with ephedra were not limited to massive
doses); Christine Haller, et al., Pharmacology of Ephedra Alkaloids and Caffeine
After Single-dose Dietary Supplement Use, 71 Clinical Pharmacology and
Therapeutics 421-32 (June 2002) (after assessing the pharmokinetic effects of a
single dose of EDS plus caffeine in eight healthy adults and finding that the
mean heart rate response reached a maximum change of 15 beats/minute above the
baseline, the authors concluded that dietary supplements that contain ephedra
and caffeine can produce significant cardiovascular responses after a single
dose); C. Boozer, et. al. Herbal Ephedra/Caffeine for Weight Loss: a 6-month
Randomized Safety and Efficacy Trial, 26 Int'l J. Obesity Related and Metabolic
Disorders 593-604 (2002) (concluding that dietary supplements that contain
ephedra and caffeine promote weight and fat loss without the expected decrease
in blood pressure); C. Boozer, et al., An Herbal Supplement Containing Ma
Huang-Guarana for Weight Loss: A Randomized, Double-blind Trial, 25 Int'l J.
Obesity and Related Metabolic Disorders, 316-24 (2001) (concluding that dietary
supplements that contain ephedra and caffeine promote short-term weight and fat
loss, but that safety with long-term use requires further investigation). The
FDA also relied on an investigation by the GAO which withdrew its earlier
criticism of the
FDA's 1997 proposed regulation of EDS after linking EDS
use with heart attacks, strokes, seizures, death, and cardiac arrest. In
addition, Dr. Inchiosa's study discussed the relationship between EDS and
epinephrine in a transparent manner. Ephedrine alkaloids are members of a family
of pharmacological compounds called sympathomimetics, which mimic the effects of
epinephrine in the human body. 69 Fed. Reg. at 6789. Dr. Inchiosa extrapolated
data on epinephrine to draw conclusions about EDS, but he did so using
peer-reviewed data and generally accepted principles of pharmacology.
- - - - - - - - - - - - End Footnotes-
- - - - - - - - - - - - - [*27]
The majority
of data in the administrative record suggests that EDS pose an unreasonable
threat to the public's health. The
FDA:
looked at the seriousness of the
risks and the quality and persuasiveness of the totality of the evidence to
support the presence of those risks. [It] then weighed the risks against the
importance of the benefits and the quality and persuasiveness of the totality
of the evidence to support the existence of those benefits . . . giv[ing] more
weight to benefits that improve health outcomes, especially in the long term,
than to benefits that are temporary or rely on subjective measures such as
feeling or looking better.
69 Fed. Reg. at 6799. The agency expressed that it would not deem EDS
adulterated based on "risks that are insignificant and reasonable in light of
the benefits from the supplement . . . ." Id. at 6825. The evidence in the
administrative record was sufficiently probative to demonstrate by a
preponderance of the evidence that EDS at any dose level pose an unreasonable
risk. The greater weight of the evidence supports the
FDA's ban on EDS,
thus satisfying the agency's burden.
The
FDA's
extensive [*28] research identified the dose level at which ephedrine
alkaloids present unreasonable risk of illness or injury to be so minuscule that
no amount of EDS is reasonably safe. The
FDA reasonably concluded that
there is no recommended dose of EDS that does not present an unreasonable risk.
Id. at 6829 ("dose limitations cannot change the unfavorable risk-benefit ratio
of [EDS]"). The
FDA was not arbitrary or capricious in its Final Rule;
the
FDA met its statutory burden of justifying a total ban of EDS by a
preponderance of the evidence.
We find that the
FDA correctly followed the congressional directive to analyze the risks
and benefits of EDS in determining that there is no dosage level of EDS
acceptable for the market. Summary judgment for plaintiffs was therefore
improper, and summary judgment for defendants should have been entered.
Accordingly, the district court's decision is reversed, and we remand for entry
of judgment in favor of defendants. As noted above, Nutraceutical's Motion to
Correct Oral Argument Record is granted.
REVERSED
AND REMANDED.