Reading a case closely - FDA v. Brown & Williamson Tobacco Corp.,
529 U.S. 120 ( 2000)
Opinion
[26] The opinion of the court was delivered
by: Justice O'Connor
[27] Opinion of the Court
[28] FDA v. BROWN & WILLIAMSON TOBACCO
CORP.
[29] On Writ Of Certiorari To The United States
Court Of Appeals For The Fourth Circuit
What did the FDA assert authority over that
triggered this case?
When did it do it?
How did it classify cigarettes and smokeless
tobacco?
What group did it target to justify the
regulations?
Why did it target this group?
Think about the politics of the time - who
was president and who was FDA commissioner, and who appointed this
commissioner.
[30] This case involves one of the most
troubling public health problems facing our Nation today: the thousands of
premature deaths that occur each year because of tobacco use. In 1996, the Food
and Drug Administration (FDA), after having expressly disavowed any such
authority since its inception, asserted jurisdiction to regulate tobacco
products. See 61 Fed. Reg. 44619-45318. The FDA concluded that nicotine is a
"drug" within the meaning of the Food, Drug, and Cosmetic Act (FDCA
or Act), 52 Stat. 1040, as amended, 21 U. S. C. §301 et seq., and that
cigarettes and smokeless tobacco are "combination products" that
deliver nicotine to the body. 61 Fed. Reg. 44397 (1996). Pursuant to this
authority, it promulgated regulations intended to reduce tobacco consumption
among children and adolescents. Id., at 44615-44618. The agency believed that,
because most tobacco consumers begin their use before reaching the age of 18,
curbing tobacco use by minors could substantially reduce the prevalence of
addiction in future generations and thus the incidence of tobacco-related death
and disease. Id., at 44398-44399.
[31] Regardless of how serious the problem
an administrative agency seeks to address, however, it may not exercise its
authority "in a manner that is inconsistent with the administrative
structure that Congress enacted into law." ETSI Pipeline Project v.
Missouri, 484 U. S. 495, 517 (1988). And although agencies are generally
entitled to deference in the interpretation of statutes that they administer, a
reviewing "court, as well as the agency, must give effect to the
unambiguously expressed intent of Congress." Chevron U. S. A. Inc. v.
Natural Resources Defense Council, Inc., 467 U. S. 837, 842-843 (1984). In this
case, we believe that Congress has clearly precluded the FDA from asserting
jurisdiction to regulate tobacco products. Such authority is inconsistent with
the intent that Congress has expressed in the FDCA's overall regulatory scheme
and in the tobacco-specific legislation that it has enacted subsequent to the
FDCA. In light of this clear intent, the FDA's assertion of jurisdiction is
impermissible.
[32] I.
[33] The FDCA grants the FDA, as the
designee of the Secretary of Health and Human Services, the authority to
regulate, among other items, "drugs" and "devices." See 21
U. S. C. §§321(g)-(h), 393 (1994 ed. and Supp. III).
What is the statutory definition of a drug?
The Act defines "drug" to
include "articles (other than food) intended to affect the structure or
any function of the body." 21 U. S. C. §321(g)(1)(C).
What is the statutory definition of a
device?
It defines "device," in part, as
"an instrument, apparatus, implement, machine, contrivance, ... or
other similar or related article, including any component, part, or accessory,
which is ... intended to affect the structure or any function of the body."
§321(h).
What is a combination product?
The Act also grants the FDA the authority to
regulate so-called "combination products," which "constitute
a combination of a drug, device, or biologic product." §353(g)(1).
Is a combination product regulated as a drug
or a device?
Why such broad language?
The FDA has construed this provision as
giving it the discretion to regulate combination products as drugs, as devices,
or as both. See 61 Fed. Reg. 44400 (1996).
[34] On August 11, 1995, the FDA published a
proposed rule concerning the sale of cigarettes and smokeless tobacco to
children and adolescents. 60 Fed. Reg. 41314-41787.
What did the proposed regulation restrict?
The rule, which included several
restrictions on the sale, distribution, and advertisement of tobacco products,
was designed to reduce the availability and attractiveness of tobacco products
to young people. Id., at 41314.
Did the regulation attract a lot of
comments?
Why?
A public comment period followed, during
which the FDA received over 700,000 submissions, more than "at any other
time in its history on any other subject." 61 Fed. Reg. 44418 (1996).
[35] On August 28, 1996, the FDA issued a
final rule entitled "Regulations Restricting the Sale and Distribution of
Cigarettes and Smokeless Tobacco to Protect Children and Adolescents."
Id., at 44396. The FDA determined that nicotine is a "drug" and that
cigarettes and smokeless tobacco are "drug delivery devices," and
therefore it had jurisdiction under the FDCA to regulate tobacco products as
customarily marketed -- that is, without manufacturer claims of therapeutic
benefit. Id., at 44397, 44402.
What finding about the effect of nicotine
justified classifying tobacco as a drug?
Why are these specific findings the core of
justifying a regulation?
How do they relate back to the enabling
statute?
First, the FDA found that tobacco products
" `affect the structure or any function of the body' " because
nicotine "has significant pharmacological effects." Id., at 44631.
Specifically, nicotine "exerts psychoactive, or mood-altering, effects on
the brain" that cause and sustain addiction, have both tranquilizing and
stimulating effects, and control weight. Id., at 44631-44632.
Did the FDA find that tobacco manufactures
intend for tobacco to have these effects?
How was this intent finding justified?
Second, the FDA determined that these
effects were "intended" under the FDCA because they "are so
widely known and foreseeable that [they] may be deemed to have been intended by
the manufacturers," id., at 44687; consumers use tobacco products
"predominantly or nearly exclusively" to obtain these effects, id.,
at 44807; and the statements, research, and actions of manufacturers revealed
that they "have `designed' cigarettes to provide pharmacologically active
doses of nicotine to consumers," id., at 44849.
What was the basis for finding that
cigarettes are a combination product?
Finally, the agency concluded that
cigarettes and smokeless tobacco are "combination products" because,
in addition to containing nicotine, they include device components that deliver
a controlled amount of nicotine to the body, id., at 45208-45216.
How did the FDA justify the policy choice of
regulating tobacco?
[36] Having resolved the jurisdictional
question, the FDA next explained the policy justifications for its regulations,
detailing the deleterious health effects associated with tobacco use. It found
that tobacco consumption was "the single leading cause of preventable
death in the United States." Id., at 44398. According to the FDA,
"[m]ore than 400,000 people die each year from tobacco-related illnesses,
such as cancer, respiratory illnesses, and heart disease."
What did the agency find was the only way to
reduce tobacco-related illness?
Ibid. The agency also determined that the
only way to reduce the amount of tobacco-related illness and mortality was to
reduce the level of addiction, a goal that could be accomplished only by
preventing children and adolescents from starting to use tobacco. Id., at
44398-44399.
When do most people start smoking?
Why is this important as to the issue of a
knowing choice to assume the risks of smoking?
The FDA found that 82% of adult smokers had
their first cigarette before the age of 18, and more than half had already
become regular smokers by that age. Id., at 44398. It also found that children
were beginning to smoke at a younger age, that the prevalence of youth smoking
had recently increased, and that similar problems existed with respect to
smokeless tobacco. Id., at 44398-44399. The FDA accordingly concluded that if
"the number of children and adolescents who begin tobacco use can be
substantially diminished, tobacco-related illness can be correspondingly
reduced because data suggest that anyone who does not begin smoking in
childhood or adolescence is unlikely ever to begin." Id., at 44399.
[37] Based on these findings, the FDA
promulgated regulations concerning tobacco products' promotion, labeling, and
accessibility to children and adolescents. See id., at 44615-44618.
What were the access restrictions?
Could this have been enacted by Congress?
The access regulations prohibit the sale of
cigarettes or smokeless tobacco to persons younger than 18; require retailers
to verify through photo identification the age of all purchasers younger than
27; prohibit the sale of cigarettes in quantities smaller than 20; prohibit the
distribution of free samples; and prohibit sales through self-service displays
and vending machines except in adult-only locations. Id., at 44616-44617.
What were the promotional restrictions?
Could this have been enacted by Congress?
The promotion regulations require that any
print advertising appear in a black-and-white, text-only format unless the
publication in which it appears is read almost exclusively by adults; prohibit
outdoor advertising within 1,000 feet of any public playground or school;
prohibit the distribution of any promotional items, such as T-shirts or hats,
bearing the manufacturer's brand name; and prohibit a manufacturer from
sponsoring any athletic, musical, artistic, or other social or cultural event
using its brand name. Id., at 44617-44618.
What was the labeling requirement?
Could this have been required by Congress?
The labeling regulation requires that the
statement, "A Nicotine-Delivery Device for Persons 18 or Older,"
appear on all tobacco product packages. Id., at 44617.
[38] The FDA promulgated these regulations
pursuant to its authority to regulate "restricted devices." See 21 U.
S. C. §360j(e). The FDA construed §353(g)(1) as giving it the discretion to
regulate "combination products" using the Act's drug authorities,
device authorities, or both, depending on "how the public health goals of
the act can be best accomplished." 61 Fed. Reg. 44403 (1996).
Were these restrictions based on the drug or
the device authority?
Given the greater flexibility in the FDCA
for the regulation of devices, the FDA determined that "the device
authorities provide the most appropriate basis for regulating cigarettes and
smokeless tobacco." Id., at 44404.
What does the device statute allow on access
restrictions?
What do you think Congress had in mind with
this provision?
Under 21 U. S. C. §360j(e), the agency may
"require that a device be restricted to sale, distribution, or use ...
upon such other conditions as [the FDA] may prescribe in such regulation, if,
because of its potentiality for harmful effect or the collateral measures
necessary to its use, [the FDA] determines that there cannot otherwise be
reasonable assurance of its safety and effectiveness." The FDA reasoned
that its regulations fell within the authority granted by §360j(e) because they
related to the sale or distribution of tobacco products and were necessary for
providing a reasonable assurance of safety. 61 Fed. Reg. 44405-44407 (1996).
Who challenged the statute?
Where did they file and why choose that
location?
[39] Respondents, a group of tobacco
manufacturers, retailers, and advertisers, filed suit in United States District
Court for the Middle District of North Carolina challenging the regulations.
See Coyne Beahm, Inc. v. FDA, 966 F. Supp. 1374 (1997).
What sort of challenge was this and what was
it based on?
Was there a Constitutional claim?
They moved for summary judgment on the
grounds that the FDA lacked jurisdiction to regulate tobacco products as
customarily marketed, the regulations exceeded the FDA's authority under
21 U. S. C. §360j(e), and the advertising restrictions violated the First
Amendment. Second Brief in Support of Plaintiffs' Motion for Summary
Judgment in No. 2:95CV00591 (MDNC), in 3 Rec. in No. 97-1604 (CA4), Tab No. 40;
Third Brief in Support of Plaintiffs' Motion for Summary Judgment in No.
2:95CV00591 (MDNC), in 3 Rec. in No. 97-1604 (CA4), Tab No. 42.
What did the District Court rule on the
access and labeling provisions of the regulation?
What did the court rule on the advertising and
promotion restrictions?
The District Court granted respondents'
motion in part and denied it in part. 966 F. Supp., at 1400. The court held
that the FDCA authorizes the FDA to regulate tobacco products as customarily
marketed and that the FDA's access and labeling regulations are permissible,
but it also found that the agency's advertising and promotion restrictions
exceed its authority under §360j(e). Id., at 1380-1400.
What did it rule on the implementation of
the regulations it found valid?
Why?
The court stayed implementation of the
regulations it found valid (except the prohibition on the sale of tobacco
products to minors) and certified its order for immediate interlocutory appeal.
Id., at 1400-1401.
What did the 4th Circuit rule?
What was the basis for its ruling?
[40] The Court of Appeals for the Fourth
Circuit reversed, holding that Congress has not granted the FDA jurisdiction to
regulate tobacco products. See 153 F. 3d 155 (1998).
Why did the 4th Cir read the law differently
than the District Court?
Examining the FDCA as a whole, the court concluded that the FDA's regulation of
tobacco products would create a number of internal inconsistencies. Id., at
162-167.
What provision of the FDCA did the court
find undermined the FDA's claim of authority over tobacco?
Various provisions of the Act require the
agency to determine that any regulated product is "safe" before it
can be sold or allowed to remain on the market, yet the FDA found in its
rulemaking proceeding that tobacco products are "dangerous" and
"unsafe." Id., at 164-167.
What did the Court believe would be only proper
regulatory response to this provision?
Putting aside politics, why would this be a
bad idea?
Thus, the FDA would apparently have to ban
tobacco products, a result the court found clearly contrary to congressional
intent. Ibid. This apparent anomaly, the Court of Appeals concluded,
demonstrates that Congress did not intend to give the FDA authority to regulate
tobacco. Id., at 167. The court also found that evidence external to the FDCA
confirms this conclusion.
How does the FDA's own history undermine the
claim of regulatory authority?
How does this fit in the Barnhart
factors?
Is this binding?
What would it require the agency to do to
overcome the presumption it had created?
Importantly, the FDA consistently stated
before 1995 that it lacked jurisdiction over tobacco, and Congress has enacted
several tobacco-specific statutes fully cognizant of the FDA's position. See
id., at 168-176. In fact, the court reasoned, Congress has considered and
rejected many bills that would have given the agency such authority. See id.,
at 170-171. This, along with the absence of any intent by the enacting Congress
in 1938 to subject tobacco products to regulation under the FDCA, demonstrates
that Congress intended to withhold such authority from the FDA. Id., at 167-176.
Having resolved the jurisdictional question against the agency, the Court of
Appeals did not address whether the regulations exceed the FDA's authority
under 21 U. S. C. §360j(e) or violate the First Amendment. See 153 F. 3d, at
176, n. 29.
[41] We granted the Government's petition
for certiorari, 526 U. S. 1086 (1999), to determine whether the FDA has
authority under the FDCA to regulate tobacco products as customarily marketed.
At the Supreme Court
[42] II.
[43] The FDA's assertion of jurisdiction to
regulate tobacco products is founded on its conclusions that nicotine is a
"drug" and that cigarettes and smokeless tobacco are "drug
delivery devices." Again, the FDA found that tobacco products are
"intended" to deliver the pharmacological effects of satisfying
addiction, stimulation and tranquilization, and weight control because those
effects are foreseeable to any reasonable manufacturer, consumers use tobacco
products to obtain those effects, and tobacco manufacturers have designed their
products to produce those effects. 61 Fed. Reg. 44632-44633 (1996). As an
initial matter, respondents take issue with the FDA's reading of
"intended," arguing that it is a term of art that refers exclusively
to claims made by the manufacturer or vendor about the product. See Brief for
Respondent Brown & Williamson Tobacco Corp. 6.
What was the manufacturers' attack on the
intent finding by the FDA?
That is, a product is not a drug or device
under the FDCA unless the manufacturer or vendor makes some express claim
concerning the product's therapeutic benefits.
Can you think of products that are bought
for the medicinal benefits, but which are not promoted for them?
Should that remove them from FDA
jurisdiction?
See id., at 6-7. We need not resolve this
question, however, because assuming, arguendo, that a product can be
"intended to affect the structure or any function of the body" absent
claims of therapeutic or medical benefit, the FDA's claim to jurisdiction
contravenes the clear intent of Congress.
Look closely at [44] and how the court
states the Chevron test.
[44] A threshold issue is the appropriate
framework for analyzing the FDA's assertion of authority to regulate tobacco
products. Because this case involves an administrative agency's construction of
a statute that it administers, our analysis is governed by Chevron U. S. A.
Inc. v. Natural Resources Defense Council, Inc., 467 U. S. 837 (1984). Under
Chevron, a reviewing court must first ask "whether Congress has directly
spoken to the precise question at issue." Id., at 842. If Congress has
done so, the inquiry is at an end; the court "must give effect to the
unambiguously expressed intent of Congress." Id., at 843; see also
United States v. Haggar Apparel Co., 526 U. S. 380, 392 (1999); Holly Farms
Corp. v. NLRB, 517 U. S. 392, 398 (1996). But if Congress has not
specifically addressed the question, a reviewing court must respect the
agency's construction of the statute so long as it is permissible. See INS v. Aguirre-Aguirre, 526 U. S. 415,
424 (1999); Auer v. Robbins, 519 U. S. 452, 457 (1997).
How does the court justify deference to the
agency?
Such deference is justified because
"[t]he responsibilities for assessing the wisdom of such policy choices
and resolving the struggle between competing views of the public interest are
not judicial ones," Chevron, supra, at 866, and because of the agency's
greater familiarity with the ever-changing facts and circumstances surrounding
the subjects regulated, see Rust v. Sullivan, 500 U. S. 173, 187 (1991).
Does the court say that Step One is limited
to reading the statute itself?
What else can be considered?
[45] In determining whether Congress has
specifically addressed the question at issue, a reviewing court should not
confine itself to examining a particular statutory provision in isolation. The
meaning -- or ambiguity -- of certain words or phrases may only become evident
when placed in context. See Brown v. Gardner, 513 U. S. 115, 118 (1994) ("Ambiguity
is a creature not of definitional possibilities but of statutory context").
It is a "fundamental canon of statutory construction that the words of a
statute must be read in their context and with a view to their place in the
overall statutory scheme." Davis v. Michigan Dept. of Treasury, 489 U. S.
803, 809 (1989). A court must therefore interpret the statute "as a
symmetrical and coherent regulatory scheme," Gustafson v. Alloyd Co., 513
U. S. 561, 569 (1995), and "fit, if possible, all parts into an harmonious
whole," FTC v. Mandel Brothers, Inc., 359 U. S. 385, 389 (1959).
Similarly, the meaning of one statute may be affected by other Acts,
particularly where Congress has spoken subsequently and more specifically to
the topic at hand. See United States v. Estate of Romani, 523 U. S. 517,
530-531 (1998); United States v. Fausto, 484 U. S. 439, 453 (1988).
What about common sense?
In addition, we must be guided to a
degree by common sense as to the manner in which Congress is likely to delegate
a policy decision of such economic and political magnitude to an administrative
agency. Cf. MCI Telecommunications
Corp. v. American Telephone & Telegraph Co., 512 U. S. 218, 231 (1994).
[46] With these principles in mind, we find
that Congress has directly spoken to the issue here and precluded the FDA's
jurisdiction to regulate tobacco products.
[47] A.
What did the court decide was the FDAC's
core objective?
[48] Viewing the FDCA as a whole, it is
evident that one of the Act's core objectives is to ensure that any product
regulated by the FDA is "safe" and "effective" for its
intended use. See 21 U. S. C. §393(b)(2) (1994 ed., Supp. III) (defining
the FDA's mission); More Information for Better Patient Care: Hearing before
the Senate Committee on Labor and Human Resources, 104th Cong., 2d Sess., 83
(1996) (statement of FDA Deputy Commissioner Schultz) ("A fundamental
precept of drug and device regulation in this country is that these products
must be proven safe and effective before they can be sold"). This essential
purpose pervades the FDCA. For instance, 21 U. S. C. §393(b)(2) (1994 ed.,
Supp. III) defines the FDA's "mission" to include "protect[ing]
the public health by ensuring that ... drugs are safe and effective" and
that "there is reasonable assurance of the safety and effectiveness of
devices intended for human use." The FDCA requires premarket approval of
any new drug, with some limited exceptions, and states that the FDA "shall
issue an order refusing to approve the application" of a new drug if it is
not safe and effective for its intended purpose. §§355(d)(1)-(2), (4)-(5). If
the FDA discovers after approval that a drug is unsafe or ineffective, it
"shall, after due notice and opportunity for hearing to the applicant,
withdraw approval" of the drug. 21 U. S. C. §§355(e)(1)-(3). The Act also
requires the FDA to classify all devices into one of three categories.
§360c(b)(1). Regardless of which category the FDA chooses, there must be a
"reasonable assurance of the safety and effectiveness of the device."
21 U. S. C. §§360c(a)(1)(A)(i), (B), (C) (1994 ed. and Supp. III); 61 Fed. Reg.
44412 (1996).
In this regard, what is the requirement of
the statutory language for regulating devices that the FDA used to justify
regulating tobacco?
Even the "restricted device"
provision pursuant to which the FDA promulgated the regulations at issue here
authorizes the agency to place conditions on the sale or distribution of a
device specifically when "there cannot otherwise be reasonable assurance
of its safety and effectiveness."
21 U. S. C. §360j(e). Thus, the Act generally requires the FDA to prevent the
marketing of any drug or device where the "potential for inflicting death
or physical injury is not offset by the possibility of therapeutic
benefit." United States v. Rutherford, 442 U. S. 544, 556 (1979).
Are there findings in the rulemaking that
address the risks of tobacco?
[49] In its rulemaking proceeding, the
FDA quite exhaustively documented that "tobacco products are unsafe,"
"dangerous," and "cause great pain and suffering from
illness." 61 Fed. Reg. 44412 (1996). It found that the consumption of
tobacco products "presents extraordinary health risks," and that
"tobacco use is the single leading cause of preventable death in the
United States." Id., at 44398. It stated that "[m]ore than 400,000
people die each year from tobacco-related illnesses, such as cancer,
respiratory illnesses, and heart disease, often suffering long and painful
deaths," and that "[t]obacco alone kills more people each year in the
United States than acquired immunodeficiency syndrome (AIDS), car accidents,
alcohol, homicides, illegal drugs, suicides, and fires, combined." Ibid.
How did the FDA characterize tobacco?
Indeed, the FDA characterized smoking as
"a pediatric disease," id., at 44421, because "one out of every
three young people who become regular smokers ... will die prematurely as a
result," id., at 44399.
[50] These findings logically imply that, if
tobacco products were "devices" under the FDCA, the FDA would be
required to remove them from the market.
How do the risks of tobacco make it
misbranded?
May a misbranded drug or device be sold?
Consider, first, the FDCA's provisions
concerning the misbranding of drugs or devices. The Act prohibits
"[t]he introduction or delivery for introduction into interstate commerce
of any food, drug, device, or cosmetic that is adultered or misbranded."
21 U. S. C. §331(a). In light of the FDA's findings, two distinct FDCA
provisions would render cigarettes and smokeless tobacco misbranded devices.
First, §352(j) deems a drug or device misbranded "[i]f it is dangerous to
health when used in the dosage or manner, or with the frequency or duration
prescribed, recommended, or suggested in the labeling thereof." The
FDA's findings make clear that tobacco products are "dangerous to
health" when used in the manner prescribed. Second, a drug or device is
misbranded under the Act "[u]nless its labeling bears ... adequate
directions for use ... in such manner and form, as are necessary for the
protection of users," except where such directions are "not
necessary for the protection of the public health." §352(f)(1).
What directions would be necessary on the
label to use tobacco safely?
Given the FDA's conclusions concerning
the health consequences of tobacco use, there are no directions that could
adequately protect consumers. That
is, there are no directions that could make tobacco products safe for obtaining
their intended effects. Thus, were tobacco products within the FDA's
jurisdiction, the Act would deem them misbranded devices that could not be
introduced into interstate commerce.
Does the act make provisions for selling a
misbranded product?
Contrary to the dissent's contention, the
Act admits no remedial discretion once it is evident that the device is
misbranded.
What is the risk classification scheme for
medical devices?
[51] Second, the FDCA requires the FDA to
place all devices that it regulates into one of three classifications. See
§360c(b)(1). The agency relies on a device's classification in determining
the degree of control and regulation necessary to ensure that there is "a
reasonable assurance of safety and effectiveness." 61 Fed. Reg. 44412
(1996). The FDA has yet to classify tobacco products.
Did the regs classify tobacco?
Instead, the regulations at issue here
represent so-called "general controls," which the Act entitles the
agency to impose in advance of classification. See id., at 44404-44405. Although the FDCA prescribes
no deadline for device classification, the FDA has stated that it will classify
tobacco products "in a future rulemaking" as required by the Act.
Id., at 44412.
What class did the court say tobacco would
have to fall in?
Given the FDA's findings regarding the
health consequences of tobacco use, the agency would have to place cigarettes
and smokeless tobacco in Class III because, even after the application of the
Act's available controls, they would "presen[t] a potential unreasonable
risk of illness or injury." 21
U. S. C. §360c(a)(1)(C). As Class III devices, tobacco products would be
subject to the FDCA's premarket approval process. See 21 U. S. C.
§360c(a)(1)(C) (1994 ed., Supp. III); 21 U. S. C. §360e; 61 Fed. Reg. 44412
(1996).
Once classified, what does the statute
require the FDA to show before the product can be marketed?
Under these provisions, the FDA would be
prohibited from approving an application for premarket approval without "a
showing of reasonable assurance that such device is safe under the conditions
of use prescribed, recommended, or suggested on the labeling thereof."
21 U. S. C. §360e(d)(2)(A). In view of the FDA's conclusions regarding the
health effects of tobacco use, the agency would have no basis for finding any
such reasonable assurance of safety.
Could the FDA do this?
What would that mean for tobacco marketing?
Thus, once the FDA fulfilled its
statutory obligation to classify tobacco products, it could not allow them to
be marketed.
[52] The FDCA's misbranding and device
classification provisions therefore make evident that were the FDA to regulate
cigarettes and smokeless tobacco, the Act would require the agency to ban them.
When asked about this in the past, what did
the FDA say?
In fact, based on these provisions, the
FDA itself has previously taken the position that if tobacco products were
within its jurisdiction, "they would have to be removed from the market
because it would be impossible to prove they were safe for their intended
us[e]." Public Health Cigarette
Amendments of 1971: Hearings before the Commerce Subcommittee on S. 1454, 92d
Cong., 2d Sess., 239 (1972) (hereinafter 1972 Hearings) (statement of FDA
Commissioner Charles Edwards). See also Cigarette Labeling and Advertising:
Hearings before the House Committee on Interstate and Foreign Commerce, 88th
Cong., 2d Sess., 18 (1964) (hereinafter 1964 Hearings) (statement of Department
of Health, Education, and Welfare (HEW) Secretary Anthony Celebrezze that
proposed amendments to the FDCA that would have given the FDA jurisdiction over
"smoking product[s]" "might well completely outlaw at least
cigarettes").
Has Congress said anything about the removal
of tobacco from the market?
[53] Congress, however, has foreclosed the
removal of tobacco products from the market. A provision of the United
States Code currently in force states that "[t]he marketing of tobacco
constitutes one of the greatest basic industries of the United States with
ramifying activities which directly affect interstate and foreign commerce at
every point, and stable conditions therein are necessary to the general
welfare." 7 U. S. C. §1311(a).
Has Congress provided an alternative regulatory
system for tobacco, outside the FDA?
More importantly, Congress has directly
addressed the problem of tobacco and health through legislation on six
occasions since 1965. See Federal Cigarette Labeling and Advertising Act
(FCLAA), Pub. L. 89-92, 79 Stat. 282; Public Health Cigarette Smoking Act of
1969, Pub. L. 91-222, 84 Stat. 87; Alcohol and Drug Abuse Amendments of 1983,
Pub. L. 98-24, 97 Stat. 175; Comprehensive Smoking Education Act, Pub. L.
98-474, 98 Stat. 2200; Comprehensive Smokeless Tobacco Health Education Act of
1986, Pub. L. 99-252, 100 Stat. 30; Alcohol, Drug Abuse, and Mental Health
Administration Reorganization Act, Pub. L. 102-321, §202, 106 Stat. 394.
Do these Acts post-date the knowledge that
tobacco is dangerous?
When Congress enacted these statutes, the
adverse health consequences of tobacco use were well known, as were nicotine's
pharmacological effects. See, e.g.,
U. S. Dept. of Health, Education, and Welfare, U. S. Surgeon General's Advisory
Committee, Smoking and Health 25-40, 69-75 (1964) (hereinafter 1964 Surgeon
General's Report) (concluding that cigarette smoking causes lung cancer,
coronary artery disease, and chronic bronchitis and emphysema, and that
nicotine has various pharmacological effects, including stimulation, tranquilization,
and appetite suppression); U. S. Dept. of Health and Human Services, Public
Health Service, Health Consequences of Smoking for Women 7-12 (1980) (finding
that mortality rates for lung cancer, chronic lung disease, and coronary heart
disease are increased for both women and men smokers, and that smoking during
pregnancy is associated with significant adverse health effects on the unborn
fetus and newborn child); U. S. Dept. of Health and Human Services, Public
Health Service, Why People Smoke Cigarettes (1983), in Smoking Prevention
Education Act, Hearings on H. R. 1824 before the Subcommittee on Health and the
Environment of the House Committee on Energy and Commerce, 98th Cong., 1st
Sess., 32-37 (1983) (hereinafter 1983 House Hearings) (stating that smoking is
"the most widespread example of drug dependence in our country," and
that cigarettes "affect the chemistry of the brain and nervous
system"); U. S. Dept. of Health and Human Services, Public Health Service,
The Health Consequences of Smoking: Nicotine Addiction 6-9, 145-239 (1988)
(hereinafter 1988 Surgeon General's Report) (concluding that tobacco products
are addicting in much the same way as heroin and cocaine, and that nicotine is
the drug that causes addiction). Nonetheless, Congress stopped well short of
ordering a ban.
What is the Congressional tobacco regulation
policy?
Why does this contradict what we know about
addiction and the use of tobacco by children?
Instead, it has generally regulated the
labeling and advertisement of tobacco products, expressly providing that it is
the policy of Congress that "commerce and the national economy may be ...
protected to the maximum extent consistent with" consumers "be[ing]
adequately informed about any adverse health effects." 15 U. S. C. §1331. Congress' decisions to regulate
labeling and advertising and to adopt the express policy of protecting
"commerce and the national economy ... to the maximum extent" reveal
its intent that tobacco products remain on the market. Indeed, the collective
premise of these statutes is that cigarettes and smokeless tobacco will
continue to be sold in the United States. A ban of tobacco products by the FDA
would therefore plainly contradict congressional policy.
How did the FDA try to dodge the trap that
it cannot allow the sale of dangerous products?
[54] The FDA apparently recognized this
dilemma and concluded, somewhat ironically, that tobacco products are actually
"safe" within the meaning of the FDCA. In promulgating its
regulations, the agency conceded that "tobacco products are unsafe, as
that term is conventionally understood." 61 Fed. Reg. 44412 (1996). Nonetheless,
the FDA reasoned that, in determining whether a device is safe under the Act,
it must consider "not only the risks presented by a product but also any
of the countervailing effects of use of that product, including the
consequences of not permitting the product to be marketed."
What was the risk of prohibiting tobacco
that the FDA used to offset the risk of continuing to sell tobacco?
Id., at 44412-44413. Applying this standard,
the FDA found that, because of the high level of addiction among tobacco users,
a ban would likely be "dangerous." Id., at 44413. In particular,
current tobacco users could suffer from extreme withdrawal, the health care
system and available pharmaceuticals might not be able to meet the treatment
demands of those suffering from withdrawal, and a black market offering
cigarettes even more dangerous than those currently sold legally would likely
develop. Ibid. The FDA therefore concluded that, "while taking
cigarettes and smokeless tobacco off the market could prevent some people from
becoming addicted and reduce death and disease for others, the record does not
establish that such a ban is the appropriate public health response under the
act." Id., at 44398.
[55] It may well be, as the FDA asserts,
that "these factors must be considered when developing a regulatory scheme
that achieves the best public health result for these products." Id., at
44413. But the FDA's judgment that leaving tobacco products on the market
"is more effective in achieving public health goals than a ban,"
ibid., is no substitute for the specific safety determinations required by the
FDCA's various operative provisions.
Does the FDCA allow the FDA to balance the
risk of dangerous product against the risks posed by the withdrawal from and
demand for that product?
Several provisions in the Act require the
FDA to determine that the product itself is safe as used by consumers. That is,
the product's probable therapeutic benefits must outweigh its risk of harm. See United States v. Rutherford, 442 U. S., at 555
("[T]he Commissioner generally considers a drug safe when the expected therapeutic
gain justifies the risk entailed by its use"). In contrast, the FDA's
conception of safety would allow the agency, with respect to each provision of
the FDCA that requires the agency to determine a product's "safety"
or "dangerousness," to compare the aggregate health effects of
alternative administrative actions. This is a qualitatively different inquiry.
Thus, although the FDA has concluded that a ban would be "dangerous,"
it has not concluded that tobacco products are "safe" as that term is
used throughout the Act.
[56] Consider 21 U. S. C. §360c(a)(2), which
specifies those factors that the FDA may consider in determining the safety and
effectiveness of a device for purposes of classification, performance
standards, and premarket approval. For all devices regulated by the FDA, there
must at least be a "reasonable assurance of the safety and effectiveness
of the device." See 21 U. S. C. §§360c(a)(1)(A)(i), (B), (C) (1994 ed. and
Supp. III); 61 Fed. Reg. 44412 (1996). Title 21 U. S. C. §360c(a)(2) provides
that
What factors may the FDA consider in
determining the safety and effectiveness of a product?
[57] "the safety and effectiveness of a
device are to be determined --
[58] "(A) with respect to the persons
for whose use the device is represented or intended,
[59] "(B) with respect to the
conditions of use prescribed, recommended, or suggested in the labeling of the
device, and
[60] "(C) weighing any probable benefit
to health from the use of the device against any probable risk of injury or
illness from such use."
[61] A straightforward reading of this
provision dictates that the FDA must weigh the probable therapeutic benefits of
the device to the consumer against the probable risk of injury.
Under these factors, what does the court say
are the potential benefits of tobacco?
Applied to tobacco products, the inquiry
is whether their purported benefits -- satisfying addiction, stimulation and
sedation, and weight control -- outweigh the risks to health from their use. To accommodate the FDA's conception of safety,
however, one must read "any probable benefit to health" to include
the benefit to public health stemming from adult consumers' continued use of
tobacco products, even though the reduction of tobacco use is the raison d'ę
;tre of the regulations.
What would the FDA have to assert about
these benefits to justify leaving tobacco on the market?
In other words, the FDA is forced to
contend that the very evil it seeks to combat is a "benefit to
health." This is implausible.
[62] The FDA's conception of safety is also
incompatible with the FDCA's misbranding provision. Again, §352(j) provides
that a product is "misbranded" if "it is dangerous to health
when used in the dosage or manner, or with the frequency or duration
prescribed, recommended, or suggested in the labeling thereof." According
to the FDA's understanding, a product would be "dangerous to health,"
and therefore misbranded under §352(j), when, in comparison to leaving the
product on the market, a ban would not produce "adverse health consequences"
in aggregate. Quite simply, these are different inquiries. Although banning a
particular product might be detrimental to public health in aggregate, the
product could still be "dangerous to health" when used as directed.
Section 352(j) focuses on dangers to the consumer from use of the product, not
those stemming from the agency's remedial measures.
How does the dissent and the FDA analogize
the problem of regulating tobacco to the regulation of dangerous drugs used to
treat cancer?
Are these drugs dangerous?
What is their benefit?
How does this compare to the benefits of
tobacco?
Are the benefits of tobacco really the just
treating the side-effects of tobacco addiction?
How is tobacco different from the cancer
drugs?
[63] Consequently, the analogy made by
the FDA and the dissent to highly toxic drugs used in the treatment of various
cancers is unpersuasive. See 61 Fed. Reg. 44413 (1996); post, at 17
(opinion of Breyer, J.). Although "dangerous" in some sense, these
drugs are safe within the meaning of the Act because, for certain patients, the
therapeutic benefits outweigh the risk of harm. Accordingly, such drugs
cannot properly be described as "dangerous to health" under 21 U. S.
C. §352(j). The same is not true for tobacco products. As the FDA has
documented in great detail, cigarettes and smokeless tobacco are an unsafe
means to obtaining any pharmacological effect.
[64] The dissent contends that our
conclusion means that "the FDCA requires the FDA to ban outright
`dangerous' drugs or devices," post, at 14, and that this is a
"perverse" reading of the statute, id., at 14, 21. This
misunderstands our holding.
Has the FDA identified a therapeutic use for
tobacco?
The FDA, consistent with the FDCA, may
clearly regulate many "dangerous" products without banning them.
Indeed, virtually every drug or device poses dangers under certain conditions.
What the FDA may not do is conclude that a drug or device cannot be used safely
for any therapeutic purpose and yet, at the same time, allow that product to
remain on the market. Such regulation
is incompatible with the FDCA's core objective of ensuring that every drug or
device is safe and effective.
[65] Considering the FDCA as a whole, it is
clear that Congress intended to exclude tobacco products from the FDA's
jurisdiction. A fundamental precept of the FDCA is that any product regulated
by the FDA -- but not banned -- must be safe for its intended use. Various
provisions of the Act make clear that this refers to the safety of using the
product to obtain its intended effects, not the public health ramifications of
alternative administrative actions by the FDA. That is, the FDA must
determine that there is a reasonable assurance that the product's therapeutic
benefits outweigh the risk of harm to the consumer. According to this
standard, the FDA has concluded that, although tobacco products might be
effective in delivering certain pharmacological effects, they are
"unsafe" and "dangerous" when used for these purposes.
Consequently, if tobacco products were within the FDA's jurisdiction, the Act
would require the FDA to remove them from the market entirely. But a ban would
contradict Congress' clear intent as expressed in its more recent,
tobacco-specific legislation. The inescapable conclusion is that there is no
room for tobacco products within the FDCA's regulatory scheme.
Why does it matter to the Chevron analysis
that tobacco does not fit into the FDA statutory scheme?
If they cannot be used safely for any
therapeutic purpose, and yet they cannot be banned, they simply do not fit.
[66] B.
[67] In determining whether Congress has spoken
directly to the FDA's authority to regulate tobacco, we must also consider in
greater detail the tobacco-specific legislation that Congress has enacted over
the past 35 years. At the time a statute is enacted, it may have a range of
plausible meanings. Over time, however, subsequent acts can shape or focus
those meanings. The "classic judicial task of reconciling many laws
enacted over time, and getting them to `make sense' in combination, necessarily
assumes that the implications of a statute may be altered by the implications
of a later statute." United States v. Fausto, 484 U. S., at 453. This
is particularly so where the scope of the earlier statute is broad but the
subsequent statutes more specifically address the topic at hand.
What does the Romani case tell us
about how and when later federal laws modify earlier ones?
As we recognized recently in United States
v. Estate of Romani, "a specific policy embodied in a later federal
statute should control our construction of the [earlier] statute, even though
it ha[s] not been expressly amended." 523 U. S., at 530-531.
[68] Congress has enacted six separate
pieces of legislation since 1965 addressing the problem of tobacco use and
human health. See supra, at 14.
Congress enacted at least six laws on tobacco
since the FDCA. Do any of those address the same issues as the FDA regulations.
Those statutes, among other things, require
that health warnings appear on all packaging and in all print and outdoor
advertisements, see 15 U. S. C. §§1331, 1333, 4402;
prohibit the advertisement of tobacco
products through "any medium of electronic communication" subject to
regulation by the Federal Communications Commission (FCC), see §§1335, 4402(f);
require the Secretary of Health and Human
Services (HHS) to report every three years to Congress on research findings
concerning "the addictive property of tobacco," 42 U. S. C.
§290aa-2(b)(2);
and make States' receipt of certain federal
block grants contingent on their making it unlawful "for any manufacturer,
retailer, or distributor of tobacco products to sell or distribute any such
product to any individual under the age of 18," §300x-26(a)(1).
[69] In adopting each statute, Congress has
acted against the backdrop of the FDA's consistent and repeated statements that
it lacked authority under the FDCA to regulate tobacco absent claims of
therapeutic benefit by the manufacturer.
Did Congress specifically consider and
reject proposals to give the FDA jurisdiction over tobacco?
How do we regard such reconsiderations by the
legislature when we are construing a statute?
In fact, on several occasions over this
period, and after the health consequences of tobacco use and nicotine's
pharmacological effects had become well known, Congress considered and rejected
bills that would have granted the FDA such jurisdiction. Under these circumstances, it is evident that
Congress' tobacco-specific statutes have effectively ratified the FDA's
long-held position that it lacks jurisdiction under the FDCA to regulate
tobacco products. Congress has created a distinct regulatory scheme to address
the problem of tobacco and health, and that scheme, as presently constructed,
precludes any role for the FDA.
When did the Surgeon General release the
report on Smoking and Health?
What did the report tell us officially, for
the first time?
Has the FDA raised any issues about the
effects of tobacco that were not discussed as part of that report?
Why did is this important in deciding
whether Congress fully considered the issues when they declined to extend the
FDA's authority to include tobacco?
[70] On January 11, 1964, the Surgeon
General released the report of the Advisory Committee on Smoking and Health.
That report documented the deleterious health effects of smoking in great
detail, concluding, in relevant part, "that cigarette smoking contributes
substantially to mortality from certain specific diseases and to the overall
death rate." 1964 Surgeon General's Report 31. It also identified the
pharmacological effects of nicotine, including "stimulation,"
"tranquilization," and "suppression of appetite." Id., at
74-75.
What agency did take regulatory action based
on this report?
Did Congress support this rule?
Seven days after the report's release, the
Federal Trade Commission (FTC) issued a notice of proposed rulemaking, see 29
Fed. Reg. 530-532 (1964), and in June 1964, the FTC promulgated a final rule
requiring cigarette manufacturers "to disclose, clearly and prominently, in
all advertising and on every pack, box, carton or other container ... that cigarette
smoking is dangerous to health and may cause death from cancer and other
diseases," id., at 8325. The rule was to become effective January 1, 1965,
but, on a request from Congress, the FTC postponed enforcement for six months.
See Cipollone v. Liggett Group, Inc., 505 U. S. 504, 513-514 (1992).
What was the FDA's position in the
subsequent Congressional hearings?
[71] In response to the Surgeon General's
report and the FTC's proposed rule, Congress convened hearings to consider
legislation addressing "the tobacco problem." 1964 Hearings 1. During
those deliberations, FDA representatives testified before Congress that the
agency lacked jurisdiction under the FDCA to regulate tobacco products. Surgeon
General Terry was asked during hearings in 1964 whether HEW had the
"authority to brand or label the packages of cigarettes or to control the
advertising there." Id., at 56. The Surgeon General stated that "we
do not have such authority in existing laws governing the ... Food and Drug
Administration." Ibid. Similarly, FDA Deputy Commissioner Rankin testified
in 1965 that "[t]he Food and Drug Administration has no jurisdiction under
the Food, Drug, and Cosmetic Act over tobacco, unless it bears drug
claims." Cigarette Labeling and Advertising -- 1965: Hearings on H. R.
2248 before the House Committee on Interstate and Foreign Commerce, 89th Cong.,
1st Sess., 193 (hereinafter 1965 Hearings). See also Letter to Directors of
Bureaus, Divisions and Directors of Districts from FDA Bureau of Enforcement
(May 24, 1963), in 1972 Hearings 240 ("[T]obacco marketed for chewing or
smoking without accompanying therapeutic claims, does not meet the definitions
in the Food, Drug, and Cosmetic Act for food, drug, device or cosmetic").
In fact, HEW Secretary Celebrezze urged Congress not to amend the FDCA to cover
"smoking products" because, in light of the findings in the Surgeon
General's report, such a "provision might well completely outlaw at least
cigarettes. This would be contrary to what, we understand, is intended or what,
in the light of our experience with the 18th amendment, would be acceptable to
the American people." 1964 Hearings 18.
[72] The FDA's disavowal of jurisdiction was
consistent with the position that it had taken since the agency's inception. As
the FDA concedes, it never asserted authority to regulate tobacco products as
customarily marketed until it promulgated the regulations at issue here. See
Brief for Petitioners 37; see also Brief for Appellee (FDA) in Action on
Smoking and Health v. Harris, 655 F. 2d 236 (CADC 1980), in 9 Rec. in No.
97-1604 (CA4), Tab No. 4, pp. 14-15 ("In the 73 years since the
enactment of the original Food and Drug Act, and in the 41 years since the
promulgation of the modern Food, Drug, and Cosmetic Act, the FDA has repeatedly
informed Congress that cigarettes are beyond the scope of the statute absent
health claims establishing a therapeutic intent on behalf of the manufacturer
or vendor").
The original FDCA was passed in 1938. Had
Congress considered allowing the FDA's predecessor (Department of Chemistry) to
regulate tobacco?
Was there any mention of tobacco when the
1938 bill was passed?
[73] The FDA's position was also consistent
with Congress' specific intent when it enacted the FDCA. Before the Act's
adoption in 1938, the FDA's predecessor agency, the Bureau of Chemistry,
announced that it lacked authority to regulate tobacco products under the Pure
Food and Drug Act of 1906, ch. 3915, 34 Stat. 768, unless they were marketed
with therapeutic claims. See U. S. Dept. of Agriculture, Bureau of Chemistry,
13 Service and Regulatory Announcements 24 (Apr. 1914) (Feb. 1914 Announcements
¶ ;13, Opinion of Chief of Bureau C. L. Alsberg). In 1929, Congress considered
and rejected a bill "[t]o amend the Food and Drugs Act of June 30, 1906,
by extending its provisions to tobacco and tobacco products." S. 1468,
71st Cong., 1st Sess., 1. See also 71 Cong. Rec. 2589 (1929) (remarks of Sen.
Smoot). And, as the FDA admits, there is no evidence in the text of the FDCA or
its legislative history that Congress in 1938 even considered the applicability
of the Act to tobacco products. See Brief for Petitioners 22, n. 4. Given the
economic and political significance of the tobacco industry at the time, it is
extremely unlikely that Congress could have intended to place tobacco within
the ambit of the FDCA absent any discussion of the matter. Of course,
whether the Congress that enacted the FDCA specifically intended the Act to
cover tobacco products is not determinative; "it is ultimately the provisions
of our laws rather than the principal concerns of our legislators by which we
are governed." Oncale v. Sundowner Offshore Services, Inc., 523 U. S.
75, 79 (1998); see also TVA v. Hill, 437 U. S. 153, 185 (1978) ("It is not
for us to speculate, much less act, on whether Congress would have altered its
stance had the specific events of this case been anticipated").
Nonetheless, this intent is certainly relevant to understanding the basis for
the FDA's representations to Congress and the background against which Congress
enacted subsequent tobacco-specific legislation.
[74] Moreover, before enacting the FCLAA
in 1965, Congress considered and rejected several proposals to give the FDA the
authority to regulate tobacco. In April 1963, Representative Udall
introduced a bill "[t]o amend the Federal Food, Drug, and Cosmetic Act so
as to make that Act applicable to smoking products." H. R. 5973, 88th
Cong., 1st Sess., 1. Two months later, Senator Moss introduced an identical
bill in the Senate. S. 1682, 88th Cong., 1st Sess. (1963). In discussing his
proposal on the Senate floor, Senator Moss explained that "this amendment
simply places smoking products under FDA jurisdiction, along with foods, drugs,
and cosmetics." 109 Cong. Rec. 10322 (1963). In December 1963,
Representative Rhodes introduced another bill that would have amended the FDCA
"by striking out `food, drug, device, or cosmetic, each place where it
appears therein and inserting in lieu thereof `food, drug, device, cosmetic, or
smoking product.' " H. R. 9512, 88th Cong., 1st Sess., §3 (1963). And in
January 1965, five months before passage of the FCLAA, Representative Udall
again introduced a bill to amend the FDCA "to make that Act applicable to
smoking products." H. R. 2248, 89th Cong., 1st Sess., 1. None of these
proposals became law.
Did the FCLAA contemplate restrictions on
the sale of tobacco?
[75] Congress ultimately decided in 1965 to
subject tobacco products to the less extensive regulatory scheme of the FCLAA,
which created a "comprehensive Federal program to deal with cigarette
labeling and advertising with respect to any relationship between smoking and
health." Pub. L. 89-92, §2, 79 Stat. 282. The FCLAA rejected any
regulation of advertising, but it required the warning, "Caution:
Cigarette Smoking May Be Hazardous to Your Health," to appear on all
cigarette packages. Id., §4, 79 Stat. 283. In the Act's "Declaration of
Policy," Congress stated that its objective was to balance the goals of
ensuring that "the public may be adequately informed that cigarette
smoking may be hazardous to health" and protecting "commerce and the
national economy ... to the maximum extent." Id., §2, 79 Stat. 282
(codified at 15 U. S. C. §1331).
What is the basis for the claim that the FCLAA
specifically preempts some of the FDA tobacco regulations?
What laws was Congress really targeting with
this preemption? (Hint - Cipollone v Liggett Group, Inc. 505 U.S. 504 (US
1992))
Who was the FCLAA really protecting?
What is the warning label on liquor bottles?
Who does that protect?
[76] Not only did Congress reject the
proposals to grant the FDA jurisdiction, but it explicitly preempted any other
regulation of cigarette labeling: "No statement relating to smoking and
health, other than the statement required by ... this Act, shall be required on
any cigarette package." Id., §5(a), 79 Stat. 283. The regulation of
product labeling, however, is an integral aspect of the FDCA, both as it
existed in 1965 and today. The labeling requirements currently imposed by
the FDCA, which are essentially identical to those in force in 1965, require
the FDA to regulate the labeling of drugs and devices to protect the safety of
consumers. See 21 U. S. C. §352; 21 U. S. C. §352 (1964 ed. and Supp. IV).
As discussed earlier, the Act requires that all products bear "adequate
directions for use ... as are necessary for the protection of users," 21
U. S. C. §352(f)(1); 21 U. S. C. §352(f)(1) (1964 ed.); requires that all products
provide "adequate warnings against use in those pathological conditions or
by children where its use may be dangerous to health," 21 U. S. C.
§352(f)(2); 21 U. S. C. §352(f)(2) (1964 ed.); and deems a product
misbranded "[i]f it is dangerous to health when used in the dosage or
manner, or with the frequency or duration prescribed, recommended, or suggested
in the labeling thereof," 21 U. S. C. §352(j); 21 U. S. C. §352(j)
(1964 ed.). In this sense, the FCLAA was -- and remains -- incompatible with
FDA regulation of tobacco products. This is not to say that the FCLAA's
preemption provision by itself necessarily foreclosed FDA jurisdiction. See
Cipollone v. Liggett Group, Inc., 505 U. S., at 518-519. But it is an important
factor in assessing whether Congress ratified the agency's position -- that is,
whether Congress adopted a regulatory approach to the problem of tobacco and
health that contemplated no role for the FDA.
[77] Further, the FCLAA evidences
Congress' intent to preclude any administrative agency from exercising
significant policymaking authority on the subject of smoking and health. In
addition to prohibiting any additional requirements for cigarette labeling, the
FCLAA provided that "[n]o statement relating to smoking and health shall
be required in the advertising of any cigarettes the packages of which are
labeled in conformity with the provisions of this Act." Pub. L. 89-92,
§5(b), 79 Stat. 283. Thus, in reaction to the FTC's attempt to regulate
cigarette labeling and advertising, Congress enacted a statute reserving
exclusive control over both subjects to itself.
[78] Subsequent tobacco-specific legislation
followed a similar pattern. By the FCLAA's own terms, the prohibition on any
additional cigarette labeling or advertising regulations relating to smoking
and health was to expire July 1, 1969. See §10, 79 Stat. 284. In anticipation
of the provision's expiration, both the FCC and the FTC proposed rules
governing the advertisement of cigarettes. See 34 Fed. Reg. 1959 (1969) (FCC
proposed rule to "ban the broadcast of cigarette commercials by radio and
television stations"); id., at 7917 (FTC proposed rule requiring
manufacturers to disclose on all packaging and in all print advertising "
`that cigarette smoking is dangerous to health and may cause death from cancer,
coronary heart disease, chronic bronchitis, pulmonary emphysema, and other
diseases' "). After debating the proper role for administrative agencies
in the regulation of tobacco, see generally Cigarette Labeling and Advertising
-- 1969: Hearings before the House Committee on Interstate and Foreign Commerce,
91st Cong., 1st Sess., pt. 2 (1969), Congress amended the FCLAA by banning
cigarette advertisements "on any medium of electronic communication
subject to the jurisdiction of the Federal Communications Commission" and
strengthening the warning required to appear on cigarette packages. Public
Health Cigarette Smoking Act of 1969, Pub. L. 91-222, §§4, 6, 84 Stat. 88-89.
Importantly, Congress extended indefinitely the prohibition on any other
regulation of cigarette labeling with respect to smoking and health (again
despite the importance of labeling regulation under the FDCA). §5(a), 84 Stat.
88 (codified at 15 U. S. C. §1334(a)). Moreover, it expressly forbade the FTC
from taking any action on its pending rule until July 1, 1971, and it required
the FTC, if it decided to proceed with its rule thereafter, to notify Congress
at least six months in advance of the rule's becoming effective. §7(a), 84
Stat. 89. As the chairman of the House committee in which the bill originated
stated, "the Congress -- the body elected by the people -- must make the
policy determinations involved in this legislation -- and not some agency made
up of appointed officials." 116 Cong. Rec. 7920 (1970) (remarks of Rep.
Staggers).
What did Congress do when a court found that
the Consumer Products Safety Commission had the power to regulate tobacco?
What did Congress make clear at that time
that affects the analysis in this case?
[79] Four years later, after Congress had
transferred the authority to regulate substances covered by the Hazardous
Substances Act (HSA) from the FDA to the Consumer Products Safety Commission
(CPSC), the American Public Health Association, joined by Senator Moss,
petitioned the CPSC to regulate cigarettes yielding more than 21 milligrams of
tar. See Action on Smoking and Health v. Harris, 655 F. 3d 236, 241 (CADC
1980); R. Kluger, Ashes to Ashes 375-376 (1996). After the CPSC determined that
it lacked authority under the HSA to regulate cigarettes, a District Court held
that the Act did, in fact, grant the CPSC such jurisdiction and ordered it to
re-examine the petition. See American Public Health Association v. Consumer
Product Safety Commission, [1972-1975 Transfer Binder] CCH Consumer Prod.
Safety Guide ¶ ;75,081 (DC 1975), vacated as moot, No. 75-1863 (CADC 1976).
Before the CPSC could take any action, however, Congress mooted the issue by
adopting legislation that eliminated the agency's authority to regulate
"tobacco and tobacco products." Consumer Product Safety
Commission Improvements Act of 1976, Pub. L. 94-284, §3(c), 90 Stat. 503
(codified at 15 U. S. C. §1261(f)(2)). Senator Moss acknowledged that the
"legislation, in effect, reverse[d]" the District Court's decision,
121 Cong. Rec. 23563 (1975), and the FDA later observed that the episode was
"particularly" "indicative of the policy of Congress to limit
the regulatory authority over cigarettes by Federal Agencies," Letter to
Action on Smoking and Health (ASH) Executive Director Banzhaf from FDA
Commissioner Goyan (Nov. 25, 1980), App. 59. A separate statement in the Senate
Report underscored that the legislation's purpose was to "unmistakably
reaffirm the clear mandate of the Congress that the basic regulation of tobacco
and tobacco products is governed by the legislation dealing with the subject,
... and that any further regulation in this sensitive and complex area must be
reserved for specific Congressional action." S. Rep. No. 94-251, p. 43
(1975) (additional views of Sens. Hartke, Hollings, Ford, Stevens, and Beall).
What was the FDA’s position on tobacco in
1972?
[80] Meanwhile, the FDA continued to
maintain that it lacked jurisdiction under the FDCA to regulate tobacco
products as customarily marketed. In 1972, FDA Commissioner Edwards
testified before Congress that "cigarettes recommended for smoking
pleasure are beyond the Federal Food, Drug, and Cosmetic Act." 1972
Hearings 239, 242.
What was the effect of the Public Health
Cigarette Smoking Act?
He further stated that the FDA believed
that the Public Health Cigarette Smoking Act "demonstrates that the
regulation of cigarettes is to be the domain of Congress," and that
"labeling or banning cigarettes is a step that can be take[n] only by the
Congress. Any such move by FDA would be inconsistent with the clear
congressional intent." Ibid.
[81] In 1977, ASH filed a citizen petition
requesting that the FDA regulate cigarettes, citing many of the same grounds
that motivated the FDA's rulemaking here. See Citizen Petition, No. 77P-0185
(May 26, 1977), 10 Rec. in No. 97-1604 (CA4), Tab No. 22, pp. 1-10. ASH
asserted that nicotine was highly addictive and had strong physiological
effects on the body; that those effects were "intended" because
consumers use tobacco products precisely to obtain those effects; and that
tobacco causes thousands of premature deaths annually. Ibid.
What reason did the FDA give for not having
jurisdiction over tobacco when denying a petition for rulemaking in 1977?
In denying ASH's petition, FDA
Commissioner Kennedy stated that "[t]he interpretation of the Act by FDA
consistently has been that cigarettes are not a drug unless health claims are
made by the vendors." Letter to
ASH Executive Director Banzhaf (Dec. 5, 1977), App. 47. After the matter
proceeded to litigation, the FDA argued in its brief to the Court of Appeals
that "cigarettes are not comprehended within the statutory definition of
the term `drug' absent objective evidence that vendors represent or intend that
their products be used as a drug." Brief for Appellee in Action on Smoking
and Health v. Harris, 655 F. 2d 236 (CADC 1980), 9 Rec. in No. 97-1604 (CA4),
Tab No. 4, pp. 27-28.
Why did the FDA think Congress agreed it had
no authority over tobacco?
The FDA also contended that Congress had
"long been aware that the FDA does not consider cigarettes to be within
its regulatory authority in the absence of health claims made on behalf of the
manufacturer or vendor," and that, because "Congress has never acted
to disturb the agency's interpretation," it had "acquiesced in the
FDA's interpretation of the statutory limits on its authority to regulate
cigarettes." Id., at 23, 27, n.
23. The Court of Appeals upheld the FDA's position, concluding that "[i]f
the statute requires expansion, that is the job of Congress." Action on
Smoking and Health v. Harris, 655 F. 2d, at 243. In 1980, the FDA also denied a
request by ASH to commence rulemaking proceedings to establish the agency's
jurisdiction to regulate cigarettes as devices. See Letter to ASH Executive Director
Banzhaf from FDA Commissioner Goyan (Nov. 25, 1980), App. 50-51.
What did the FDA say in response to a
petition for rulemaking on tobacco in 1980?
The agency stated that "[i]nsofar as
rulemaking would relate to cigarettes or attached filters as customarily
marketed, we have concluded that FDA has no jurisdiction under section 201(h)
of the Act [21 U. S. C. §321(h)]." Id., at 67.
[82] In 1983, Congress again considered
legislation on the subject of smoking and health. HHS Assistant Secretary
Brandt testified that, in addition to being "a major cause of
cancer," smoking is a "major cause of heart disease" and other
serious illnesses, and can result in "unfavorable pregnancy
outcomes." 1983 House Hearings 19-20. He also stated that it was
"well-established that cigarette smoking is a drug dependence, and that
smoking is addictive for many people." Id., at 20. Nonetheless, Assistant
Secretary Brandt maintained that "the issue of regulation of tobacco ...
is something that Congress has reserved to itself, and we do not within the
Department have the authority to regulate nor are we seeking such
authority." Id., at 74. He also testified before the Senate, stating that,
despite the evidence of tobacco's health effects and addictiveness, the
Department's view was that "Congress has assumed the responsibility of
regulating ... cigarettes." Smoking Prevention and Education Act: Hearings
on S. 772 before the Senate Committee on Labor and Human Resources, 98th Cong.,
1st Sess., 56 (1983) (hereinafter 1983 Senate Hearings).
[83] Against this backdrop, Congress enacted
three additional tobacco-specific statutes over the next four years that
incrementally expanded its regulatory scheme for tobacco products. In 1983,
Congress adopted the Alcohol and Drug Abuse Amendments, Pub. L. 98-24, 97 Stat.
175 (codified at 42 U. S. C. §290aa et seq.), which require the Secretary of
HHS to report to Congress every three years on the "addictive property of
tobacco" and to include recommendations for action that the Secretary may
deem appropriate. A year later, Congress enacted the Comprehensive Smoking
Education Act, Pub. L. 98-474, 98 Stat. 2200, which amended the FCLAA by again
modifying the prescribed warning. Notably, during debate on the Senate floor,
Senator Hawkins argued that the Act was necessary in part because "[u]nder
the Food, Drug and Cosmetic Act, the Congress exempted tobacco products."
130 Cong. Rec. 26953 (1984). And in 1986, Congress enacted the Comprehensive
Smokeless Tobacco Health Education Act of 1986 (CSTHEA), Pub. L. 99-252, 100
Stat. 30 (codified at 15 U. S. C. §4401 et seq.), which essentially extended
the regulatory provisions of the FCLAA to smokeless tobacco products. Like the
FCLAA, the CSTHEA provided that "[n]o statement relating to the use of
smokeless tobacco products and health, other than the statements required by
[the Act], shall be required by any Federal agency to appear on any package ...
of a smokeless tobacco product." §7(a), 100 Stat. 34 (codified at 15 U. S.
C. §4406(a)). Thus, as with cigarettes, Congress reserved for itself an aspect
of smokeless tobacco regulation that is particularly important to the FDCA's
regulatory scheme.
[84] In 1988, the Surgeon General released a
report summarizing the abundant scientific literature demonstrating that
"[c]igarettes and other forms of tobacco are addicting," and that
"nicotine is psychoactive" and "causes physical dependence
characterized by a withdrawal syndrome that usually accompanies nicotine
abstinence." 1988 Surgeon General's Report 14. The report further
concluded that the "pharmacologic and behavioral processes that determine
tobacco addiction are similar to those that determine addiction to drugs such
as heroin and cocaine." Id., at 15. In the same year, FDA Commissioner
Young stated before Congress that "it doesn't look like it is possible to
regulate [tobacco] under the Food, Drug and Cosmetic Act even though smoking, I
think, has been widely recognized as being harmful to human health." Rural
Development, Agriculture, and Related Agencies Appropriations for 1989:
Hearings before a Subcommittee of the House Committee on Appropriations, 100th
Cong., 2d Sess., 409 (1988).
What did the FDA's general counsel tell
congress about how tobacco fits in the FDA's authority during hearings in 1988?
At the same hearing, the FDA's General
Counsel testified that "what is fairly important in FDA law is whether a
product has a therapeutic purpose," and "[c]igarettes themselves are
not used for a therapeutic purpose as that concept is ordinarily
understood." Id., at 410.
Between 1987 and 1989,
Had Congress considered giving the FDA
authority over tobacco?
Congress considered three more bills that
would have amended the FDCA to grant the FDA jurisdiction to regulate tobacco
products. See H. R. 3294, 100th
Cong., 1st Sess. (1987); H. R. 1494, 101st Cong., 1st Sess. (1989); S. 769,
101st Cong., 1st Sess. (1989).
Did Congress expand the FDA’s authority?
As before, Congress rejected the proposals.
In 1992, Congress instead adopted the Alcohol, Drug Abuse, and Mental Health
Administration Reorganization Act, Pub. L. 102-321, §202, 106 Stat. 394
(codified at 42 U. S. C. §300x et seq.), which creates incentives for States to
regulate the retail sale of tobacco products by making States' receipt of
certain block grants contingent on their prohibiting the sale of tobacco
products to minors.
What does the Court say is the significance
of this history of tobacco regulation?
[85] Taken together, these actions by
Congress over the past 35 years preclude an interpretation of the FDCA that
grants the FDA jurisdiction to regulate tobacco products. We do not rely on
Congress' failure to act -- its consideration and rejection of bills that would
have given the FDA this authority -- in reaching this conclusion. Indeed, this
is not a case of simple inaction by Congress that purportedly represents its
acquiescence in an agency's position.
What is the most important factor in implying
Congressional intent about the FDA and tobacco?
To the contrary, Congress has enacted
several statutes addressing the particular subject of tobacco and health,
creating a distinct regulatory scheme for cigarettes and smokeless tobacco. In
doing so, Congress has been aware of tobacco's health hazards and its
pharmacological effects. It has also enacted this legislation against the
background of the FDA repeatedly and consistently asserting that it lacks
jurisdiction under the FDCA to regulate tobacco products as customarily
marketed.
Did Congress give any agency authority to
regulate on tobacco and health?
Further, Congress has persistently acted
to preclude a meaningful role for any administrative agency in making policy on
the subject of tobacco and health. Moreover,
the substance of Congress' regulatory scheme is, in an important respect,
incompatible with FDA jurisdiction.
Is there evidence that Congress was
protecting tobacco companies?
Although the supervision of product labeling
to protect consumer health is a substantial component of the FDA's regulation
of drugs and devices, see 21 U. S. C. §352 (1994 ed. and Supp. III), the
FCLAA and the CSTHEA explicitly prohibit any federal agency from imposing any
health-related labeling requirements on cigarettes or smokeless tobacco
products, see 15 U. S C. §§1334(a), 4406(a).
Had Congress accepted the FDA’s previous position
that it lacked authority over tobacco?
[86] Under these circumstances, it is
clear that Congress' tobacco-specific legislation has effectively ratified the
FDA's previous position that it lacks jurisdiction to regulate tobacco. As in Bob Jones Univ. v. United States, 461 U. S. 574
(1983), "[i]t is hardly conceivable that Congress -- and in this
setting, any Member of Congress -- was not abundantly aware of what was going
on." Id., at 600-601. Congress has affirmatively acted to address the
issue of tobacco and health, relying on the representations of the FDA that it
had no authority to regulate tobacco. It has created a distinct scheme to
regulate the sale of tobacco products, focused on labeling and advertising, and
premised on the belief that the FDA lacks such jurisdiction under the FDCA. As
a result, Congress' tobacco-specific statutes preclude the FDA from regulating
tobacco products as customarily marketed.
Does the court say that an agency cannot
change its legal position?
[87] Although the dissent takes issue with
our discussion of the FDA's change in position, post, at 26-29, our conclusion
does not rely on the fact that the FDA's assertion of jurisdiction represents a
sharp break with its prior interpretation of the FDCA. Certainly, an
agency's initial interpretation of a statute that it is charged with
administering is not "carved in stone." Chevron, 467 U. S., at
863; see also Smiley v. Citibank (South Dakota), N. A., 517 U. S. 735, 742
(1996). As we recognized in Motor Vehicle Mfrs. Assn. of United States, Inc. v.
State Farm Mut. Automobile Ins. Co., 463 U. S. 29 (1983), agencies "must
be given ample latitude to `adapt their rules and policies to the demands of
changing circumstances.' " Id., at 42 (quoting Permian Basin Area Rate Cases,
390 U. S. 747, 784 (1968)).
What does the court say is the significance
of the long term position of the FDA regarding its authority over tobacco?
Why does this limit subsequent FDA
interpretations of the statute?
The consistency of the FDA's prior position
is significant in this case for a different reason: it provides important
context to Congress' enactment of its tobacco-specific legislation. When
the FDA repeatedly informed Congress that the FDCA does not grant it the
authority to regulate tobacco products, its statements were consistent with the
agency's unwavering position since its inception, and with the position that
its predecessor agency had first taken in 1914. Although not crucial, the
consistency of the FDA's prior position bolsters the conclusion that when
Congress created a distinct regulatory scheme addressing the subject of tobacco
and health, it understood that the FDA is without jurisdiction to regulate
tobacco products and ratified that position.
What about the dissent’s claim that Congress
has been ambivalent about tobacco?
[88] The dissent also argues that the proper
inference to be drawn from Congress' tobacco-specific legislation is
"critically ambivalent." Post, at 22. We disagree. In that series
of statutes, Congress crafted a specific legislative response to the problem of
tobacco and health, and it did so with the understanding, based on repeated assertions
by the FDA, that the agency has no authority under the FDCA to regulate tobacco
products.
What shows most clearly that Congress did
not intend for the FDA to regulate tobacco?
Moreover, Congress expressly preempted any
other regulation of the labeling of tobacco products concerning their health
consequences, even though the oversight of labeling is central to the FDCA's regulatory
scheme. And in addressing the subject, Congress consistently evidenced its
intent to preclude any federal agency from exercising significant policymaking
authority in the area. Under these circumstances, we believe the appropriate
inference -- that Congress intended to ratify the FDA's prior position that it
lacks jurisdiction -- is unmistakable.
What about the dissent’s claim that the FDA only
denied authority over tobacco because it could not show Congress wanted it to
regulate tobacco?
[89] The dissent alternatively argues that,
even if Congress' subsequent tobacco-specific legislation did, in fact, ratify
the FDA's position, that position was merely a contingent disavowal of
jurisdiction. Specifically, the dissent contends that "the FDA's traditional
view was largely premised on a perceived inability to prove the necessary
statutory `intent' requirement." Post, at 30. A fair reading of the
FDA's representations prior to 1995, however, demonstrates that the agency's
position was essentially unconditional. See, e.g., 1972 Hearings 239, 242
(statement of Commissioner Edwards) ("[R]egulation of cigarettes is to be
the domain of Congress," and "[a]ny such move by FDA would be
inconsistent with the clear congressional intent"); 1983 House Hearings 74
(statement of Assistant Secretary Brandt) ("[T]he issue of regulation of
tobacco ... is something that Congress has reserved to itself"); 1983
Senate Hearings 56 (statement of Assistant Secretary Brandt) ("Congress
has assumed the responsibility of regulating ... cigarettes"); Brief for
Appellee in Action on Smoking and Health v. Harris, 655 F. 2d 236 (CADC 1980),
9 Rec. in No. 97-1604 (CA4), Tab No. 4, pp. 27, n. 23 (because "Congress
has never acted to disturb the agency's interpretation," it
"acquiesced in the FDA's interpretation").
Where had the agency been equivocal?
To the extent the agency's position could
be characterized as equivocal, it was only with respect to the well-established
exception of when the manufacturer makes express claims of therapeutic benefit. See, e.g., 1965 Hearings 193 (statement of Deputy
Commissioner Rankin) ("The Food and Drug Administration has no
jurisdiction under the Food, Drug, and Cosmetic Act over tobacco, unless it
bears drug claims"); Letter to ASH Executive Director Banzhaf from FDA
Commissioner Kennedy (Dec. 5, 1977), App. 47 ("The interpretation of the
Act by FDA consistently has been that cigarettes are not a drug unless health
claims are made by the vendors"); Letter to ASH Executive Director Banzhaf
from FDA Commissioner Goyan (Nov. 25, 1980), App. 67 ("Insofar as
rulemaking would relate to cigarettes or attached filters as customarily
marketed, we have concluded that FDA has no jurisdiction"). Thus, what
Congress ratified was the FDA's plain and resolute position that the FDCA gives
the agency no authority to regulate tobacco products as customarily marketed.
[90] C.
Key Chevron Issue: What does the court say
is the effect of an ambiguous statute when applying Chevron?
[91] Finally, our inquiry into whether
Congress has directly spoken to the precise question at issue is shaped, at
least in some measure, by the nature of the question presented. Deference
under Chevron to an agency's construction of a statute that it administers is
premised on the theory that a statute's ambiguity constitutes an implicit
delegation from Congress to the agency to fill in the statutory gaps. See
Chevron, 467 U. S., at 844.
What did Justice Breyer say in a law review
article about this, that the majority quotes in response to Justice Breyer's
dissent?
In extraordinary cases, however, there
may be reason to hesitate before concluding that Congress has intended such an
implicit delegation. Cf. Breyer,
Judicial Review of Questions of Law and Policy, 38 Admin. L. Rev. 363, 370
(1986) ("A court may also ask whether the legal question is an important
one. Congress is more likely to have focused upon, and answered, major questions,
while leaving interstitial matters to answer themselves in the course of the
statute's daily administration").
How broad is authority the FDA is now claiming?
[92] This is hardly an ordinary case.
Contrary to its representations to Congress since 1914, the FDA has now
asserted jurisdiction to regulate an industry constituting a significant
portion of the American economy. In fact, the FDA contends that, were it to
determine that tobacco products provide no "reasonable assurance of
safety," it would have the authority to ban cigarettes and smokeless tobacco
entirely. See Brief for Petitioners 35-36; Reply Brief for Petitioners 14.
How does the special history of tobacco
argue this is exactly the sort of case Justice Breyer had in mind in his
article?
Owing to its unique place in American
history and society, tobacco has its own unique political history. Congress,
for better or for worse, has created a distinct regulatory scheme for tobacco
products, squarely rejected proposals to give the FDA jurisdiction over
tobacco, and repeatedly acted to preclude any agency from exercising
significant policymaking authority in the area. Given this history and the breadth of the authority
that the FDA has asserted, we are obliged to defer not to the agency's
expansive construction of the statute, but to Congress' consistent judgment to
deny the FDA this power.
What does the court think of the dissents’
notion that Congress had implicitly given the FDA the power to ban tobacco?
[93] Our decision in MCI Telecommunications
Corp. v. American Telephone & Telegraph Co., 512 U. S. 218 (1994), is
instructive. That case involved the proper construction of the term
"modify" in §203(b) of the Communications Act of 1934. The FCC
contended that, because the Act gave it the discretion to "modify any
requirement" imposed under the statute, it therefore possessed the
authority to render voluntary the otherwise mandatory requirement that long
distance carriers file their rates. Id., at 225. We rejected the FCC's
construction, finding "not the slightest doubt" that Congress had
directly spoken to the question. Id., at 228. In reasoning even more apt here,
we concluded that "[i]t is highly unlikely that Congress would leave
the determination of whether an industry will be entirely, or even
substantially, rate-regulated to agency discretion -- and even more unlikely
that it would achieve that through such a subtle device as permission to
`modify' rate-filing requirements." Id., at 231.
[94] As in MCI, we are confident that
Congress could not have intended to delegate a decision of such economic and
political significance to an agency in so cryptic a fashion. To find that
the FDA has the authority to regulate tobacco products, one must not only adopt
an extremely strained understanding of "safety" as it is used
throughout the Act -- a concept central to the FDCA's regulatory scheme -- but
also ignore the plain implication of Congress' subsequent tobacco-specific
legislation. It is therefore clear, based on the FDCA's overall regulatory
scheme and the subsequent tobacco legislation, that Congress has directly
spoken to the question at issue and precluded the FDA from regulating tobacco
products.
[95] By no means do we question the
seriousness of the problem that the FDA has sought to address. The agency has
amply demonstrated that tobacco use, particularly among children and
adolescents, poses perhaps the single most significant threat to public health
in the United States. Nonetheless, no matter how "important, conspicuous,
and controversial" the issue, and regardless of how likely the public is
to hold the Executive Branch politically accountable, post, at 31, an
administrative agency's power to regulate in the public interest must always be
grounded in a valid grant of authority from Congress. And " `[i]n our
anxiety to effectuate the congressional purpose of protecting the public, we
must take care not to extend the scope of the statute beyond the point where Congress
indicated it would stop.' " United States v. Article of Drug ...
Bacto--Unidisk, 394 U. S. 784, 800 (1969) (quoting 62 Cases of Jam v. United
States, 340 U. S. 593, 600 (1951)). Reading the FDCA as a whole, as well as in
conjunction with Congress' subsequent tobacco-specific legislation, it is plain
that Congress has not given the FDA the authority that it seeks to exercise
here. For these reasons, the judgment of the Court of Appeals for the Fourth Circuit
is affirmed.
[96] It is so ordered.
The Dissent
[105] The Food and Drug Administration (FDA)
has the authority to regulate "articles (other than food) intended to
affect the structure or any function of the body ... ." Federal Food, Drug
and Cosmetic Act (FDCA), 21 U. S. C. §321(g)(1)(C). Unlike the majority, I
believe that tobacco products fit within this statutory language.
Does tobacco fit the literal words of the
statute?
[106] In its own interpretation, the
majority nowhere denies the following two salient points. First, tobacco
products (including cigarettes) fall within the scope of this statutory
definition, read literally. Cigarettes achieve their mood-stabilizing
effects through the interaction of the chemical nicotine and the cells of the
central nervous system. Both cigarette manufacturers and smokers alike know of,
and desire, that chemically induced result.
Are they intended to affect the body’s
structure and function?
Hence, cigarettes are "intended to affect"
the body's "structure" and "function," in the literal sense
of these words.
What about protecting health?
[107] Second, the statute's basic purpose --
the protection of public health -- supports the inclusion of cigarettes within
its scope. See United States v. Article of Drug ... Bacto&nbhyph;Unidisk,
394 U. S. 784, 798 (1969) (FDCA "is to be given a liberal construction
consistent with [its] overriding purpose to protect the public health"
(emphasis added)). Unregulated tobacco use causes "[m]ore than 400,000
people [to] die each year from tobacco-related illnesses, such as cancer,
respiratory illnesses, and heart disease." 61 Fed. Reg. 44398 (1996).
Is tobacco a health problem?
Indeed, tobacco products kill more people in
this country every year "than ... AIDS, car accidents, alcohol, homicides,
illegal drugs, suicides, and fires, combined." Ibid. (emphasis added).
[108] Despite the FDCA's literal language
and general purpose (both of which support the FDA's finding that cigarettes
come within its statutory authority), the majority nonetheless reads the statute
as excluding tobacco products for two basic reasons:
What does the majority believe that the FDA
will have to do if it regulates tobacco under the current law?
[109] (1) the FDCA does not
"fit" the case of tobacco because the statute requires the FDA to
prohibit dangerous drugs or devices (like cigarettes) outright, and the agency
concedes that simply banning the sale of cigarettes is not a proper remedy,
ante, at 19-20; and
Why does the majority think Congress does
not want the FDA to regulate tobacco?
[110] (2) Congress has enacted other
statutes, which, when viewed in light of the FDA's long history of denying
tobacco-related jurisdiction and considered together with Congress' failure
explicitly to grant the agency tobacco-specific authority, demonstrate that
Congress did not intend for the FDA to exercise jurisdiction over tobacco,
ante, at 33-34.
What does the dissent believe?
[111] In my view, neither of these
propositions is valid. Rather, the FDCA does not significantly limit the FDA's
remedial alternatives. See infra, at 14-21. And the later statutes do not tell
the FDA it cannot exercise jurisdiction, but simply leave FDA jurisdictional
law where Congress found it. See infra, at 21-26; cf. Food and Drug Administration
Modernization Act of 1997, 111 Stat. 2380 (codified at note following 21 U. S.
C. §321 (1994 ed., Supp. III)) (statute "shall" not "be construed
to affect the question of whether" the FDA "has any authority to
regulate any tobacco product").
[112] The bulk of the opinion that follows
will explain the basis for these latter conclusions. In short, I believe that
the most important indicia of statutory meaning -- language and purpose --
along with the FDCA's legislative history (described briefly in Part I) are
sufficient to establish that the FDA has authority to regulate tobacco. The
statute-specific arguments against jurisdiction that the tobacco companies and
the majority rely upon (discussed in Part II) are based on erroneous
assumptions and, thus, do not defeat the jurisdiction-supporting thrust of the
FDCA's language and purpose. The inferences that the majority draws from later
legislative history are not persuasive, since (as I point out in Part III) one
can just as easily infer from the later laws that Congress did not intend to
affect the FDA's tobacco-related authority at all. And the fact that the FDA
changed its mind about the scope of its own jurisdiction is legally
insignificant because (as Part IV establishes) the agency's reasons for changing
course are fully justified. Finally, as I explain in Part V, the degree of
accountability that likely will attach to the FDA's action in this case should
alleviate any concern that Congress, rather than an administrative agency,
ought to make this important regulatory decision.
History
[113] I.
[114] Before 1938, the federal Pure Food and
Drug Act contained only two jurisdictional definitions of "drug":
[115] "[1] medicines and preparations
recognized in the United States Pharmacopoeia or National Formulary ... and [2]
any substance or mixture of substances intended to be used for the cure,
mitigation, or prevention of disease." Act of June 30, 1906, ch. 3915, §6,
34 Stat. 769.
[116] In 1938, Congress added a third
definition, relevant here:
[117] "(3) articles (other than food)
intended to affect the structure or any function of the body ... ." Act of
June 25, 1938, ch. 675, §201(g), 52 Stat. 1041 (codified at 21 U. S. C.
§321(g)(1)(C)).
[118] It also added a similar definition in
respect to a "device." See §201(h), 52 Stat. 1041 (codified at 21 U.
S. C. §321(h)). As I have mentioned, the literal language of the third
definition and the FDCA's general purpose both strongly support a
projurisdiction reading of the statute. See supra, at 1-2.
[119] The statute's history offers further
support. The FDA drafted the new language, and it testified before Congress
that the third definition would expand the FDCA's jurisdictional scope
significantly. See Hearings on S. 1944 before a Subcommittee of the Senate
Committee on Commerce, 73d Cong., 2d Sess., 15-16 (1933), reprinted in 1 FDA,
Legislative History of the Federal Food, Drug, and Cosmetic Act and Its Amendments
107-108 (1979) (hereinafter Leg. Hist.). Indeed, "[t]he purpose" of
the new definition was to "make possible the regulation of a great many
products that have been found on the market that cannot be alleged to be
treatments for diseased conditions." Id., at 108. While the drafters
focused specifically upon the need to give the FDA jurisdiction over
"slenderizing" products such as "antifat remedies," ibid.,
they were aware that, in doing so, they had created what was "admittedly
an inclusive, a wide definition." Id., at 107. And that broad language was
included deliberately, so that jurisdiction could be had over "all
substances and preparations, other than food, and all devices intended to
affect the structure or any function of the body ... ." Ibid. (emphasis
added); see also Hearings on S. 2800 before the Senate Committee on Commerce,
73d Cong., 2d Sess. 516 (1934), reprinted in 2 Leg. Hist. 519 (statement of
then-FDA Chief Walter Campbell acknowledging that "[t]his definition of
`drugs' is all-inclusive").
Is the FDCA meant to be broad?
[120] After studying the FDCA's history,
experts have written that the statute "is a purposefully broad delegation
of discretionary powers by Congress," J. O'Reilly, 1 Food and Drug
Administration §6.01, p. 6-1 (2d ed. 1995) (hereinafter O'Reilly), and that, in
a sense, the FDCA "must be regarded as a constitution" that
"establish[es] general principles" and "permit[s] implementation
within broad parameters" so that the FDA can "implement these
objectives through the most effective and efficient controls that can be
devised." Hutt, Philosophy of Regulation Under the Federal Food, Drug and
Cosmetic Act, 28 Food Drug Cosm. L. J. 177, 178-179 (1973) (emphasis added).
This Court, too, has said that the
[121] "historical expansion of the
definition of drug, and the creation of a parallel concept of devices, clearly
show ... that Congress fully intended that the Act's coverage be as broad as
its literal language indicates -- and equally clearly, broader than any strict
medical definition might otherwise allow." Bacto-Unidisk, 394 U. S., at
798.
What was the Congressional view of agencies
in 1938 when the FDCA was first passed?
[122] That Congress would grant the FDA such
broad jurisdictional authority should surprise no one. In 1938, the
President and much of Congress believed that federal administrative agencies
needed broad authority and would exercise that authority wisely -- a view
embodied in much Second New Deal legislation. Cf. Gray v. Powell, 314 U. S.
402, 411-412 (1941) (Congress "could have legislated specifically"
but decided "to delegate that function to those whose experience in a
particular field gave promise of a better informed, more equitable"
determination). Thus, at around the same time that it added the relevant
language to the FDCA, Congress enacted laws granting other administrative
agencies even broader powers to regulate much of the Nation's transportation
and communication. See, e.g., Civil Aeronautics Act of 1938, ch. 601, §401(d)(1),
52 Stat. 987 (Civil Aeronautics Board to regulate airlines within confines of
highly general "public convenience and necessity" standard); Motor
Carrier Act of 1935, ch. 498, §204(a)(1), 49 Stat. 546 (Interstate Commerce
Commission to establish "reasonable requirements" for trucking);
Communications Act of 1934, ch. 652, §201(a), 48 Stat. 1070 (Federal
Communications Commission (FCC) to regulate radio, later television, within
confines of even broader "public interest" standard). Why would the
1938 New Deal Congress suddenly have hesitated to delegate to so well
established an agency as the FDA all of the discretionary authority that a straightforward
reading of the relevant statutory language implies?
Did the 1938 Congress anticipate the FDA
regulating tobacco?
[123] Nor is it surprising that such a
statutory delegation of power could lead after many years to an assertion of
jurisdiction that the 1938 legislators might not have expected. Such a possibility
is inherent in the very nature of a broad delegation. In 1938, it may well have
seemed unlikely that the FDA would ever bring cigarette manufacturers within
the FDCA's statutory language by proving that cigarettes produce chemical
changes in the body and that the makers "intended" their product
chemically to affect the body's "structure" or "function."
Or, back then, it may have seemed unlikely that, even assuming such proof, the
FDA actually would exercise its discretion to regulate so popular a product.
See R. Kluger, Ashes to Ashes 105 (1997) (in the 1930's "Americans were in
love with smoking ...").
Does Congress have to anticipate the future
reach of a statute?
[124] But it should not have seemed unlikely
that, assuming the FDA decided to regulate and proved the particular
jurisdictional prerequisites, the courts would rule such a jurisdictional
assertion fully authorized. Cf. United States v. Southwestern Cable Co., 392 U.
S. 157, 172 (1968) (reading Federal Communications Act as authorizing FCC
jurisdiction to regulate cable systems while noting that "Congress could
not in 1934 have foreseen the development of" advanced communications
systems).
What about the Internet?
After all, this Court has read more narrowly
phrased statutes to grant what might have seemed even more unlikely assertions
of agency jurisdiction. See, e.g., Permian Basin Area Rate Cases, 390 U. S.
747, 774-777 (1968) (statutory authority to regulate interstate
"transportation" of natural gas includes authority to regulate
"prices" charged by field producers); Phillips Petroleum Co. v.
Wisconsin, 347 U. S. 672, 677-684 (1954) (independent gas producer subject to
regulation despite Natural Gas Act's express exemption of gathering and
production facilities).
[125] I shall not pursue these general
matters further, for neither the companies nor the majority denies that the
FDCA's literal language, its general purpose, and its particular legislative
history favor the FDA's present jurisdictional view. Rather, they have made
several specific arguments in support of one basic contention: even if the
statutory delegation is broad, it is not broad enough to include tobacco. I now
turn to each of those arguments.
[126] II.
[127] A.
Can the FDCA really be so broad? (think
about the Clean Air Act as a modern parallel)
[128] The tobacco companies contend that the
FDCA's words cannot possibly be read to mean what they literally say. The
statute defines "device," for example, as "an instrument,
apparatus, implement, machine, contrivance, implant, in vitro reagent, or other
similar or related article ... intended to affect the structure or any function
of the body ... ." 21 U. S. C. §321(h). Taken literally, this definition
might include everything from room air conditioners to thermal pajamas. The
companies argue that, to avoid such a result, the meaning of "drug"
or "device" should be confined to medical or therapeutic products,
narrowly defined. See Brief for Respondent United States Tobacco Co. 8-9.
[129] The companies may well be right that
the statute should not be read to cover room air conditioners and winter
underwear. But I do not agree that we must accept their proposed limitation.
For one thing, such a cramped reading contravenes the established purpose of
the statutory language. See Bacto-Unidisk, 394 U. S., at 798 (third definition
is "clearly, broader than any strict medical definition"); 1 Leg.
Hist. 108 (definition covers products "that cannot be alleged to be
treatments for diseased conditions"). For another, the companies'
restriction would render the other two "drug" definitions
superfluous. See 21 U. S. C. §§321(g)(1)(A), (g)(1)(B) (covering articles in
the leading pharmacology compendia and those "intended for use in the
diagnosis, cure, mitigation, treatment, or prevention of disease").
How does the dissent read the FCDA more
narrowly – what is the key characteristic of a drug?
[130] Most importantly, the statute's
language itself supplies a different, more suitable, limitation: that a
"drug" must be a chemical agent.
Can a device be a chemical?
The FDCA's "device" definition
states that an article which affects the structure or function of the body is a
"device" only if it "does not achieve its primary intended
purposes through chemical action within ... the body," and "is not
dependent upon being metabolized for the achievement of its primary intended
purposes." §321(h) (emphasis added). One can readily infer from this
language that at least an article that does achieve its primary purpose through
chemical action within the body and that is dependent upon being metabolized is
a "drug," provided that it otherwise falls within the scope of the
"drug" definition. And one need not hypothesize about air
conditioners or thermal pajamas to recognize that the chemical nicotine, an
important tobacco ingredient, meets this test.
How does nicotine work in the body, i.e., is
this a chemical action?
[131] Although I now oversimplify, the FDA
has determined that once nicotine enters the body, the blood carries it almost
immediately to the brain. See 61 Fed. Reg. 44698-44699 (1966). Nicotine then
binds to receptors on the surface of brain cells, setting off a series of
chemical reactions that alter one's mood and produce feelings of sedation and
stimulation. See id., at 44699, 44739. Nicotine also increases the number of
nicotinic receptors on the brain's surface, and alters its normal electrical
activity. See id., at 44739. And nicotine stimulates the transmission of a
natural chemical that "rewards" the body with pleasurable sensations
(dopamine), causing nicotine addiction. See id., at 44700, 44721-44722. The
upshot is that nicotine stabilizes mood, suppresses appetite, tranquilizes, and
satisfies a physical craving that nicotine itself has helped to create -- all
through chemical action within the body after being metabolized.
[132] This physiology -- and not simply
smoker psychology -- helps to explain why as many as 75% of adult smokers
believe that smoking "reduce[s] nervous irritation," 60 Fed. Reg.
41579 (1995); why 73% of young people (10- to 22-year-olds) who begin smoking
say they do so for "relaxation," 61 Fed. Reg. 44814 (1996); and why
less than 3% of the 70% of smokers who want to quit each year succeed, id., at
44704. That chemistry also helps to explain the Surgeon General's findings that
smokers believe "smoking [makes them] feel better" and smoke more
"in situations involving negative mood." Id., at 44814. And, for
present purposes, that chemistry demonstrates that nicotine affects the
"structure" and "function" of the body in a manner that is
quite similar to the effects of other regulated substances. See id., at 44667
(FDA regulates Valium, NoDoz, weight-loss products). Indeed, addiction,
sedation, stimulation, and weight loss are precisely the kinds of product
effects that the FDA typically reviews and controls.
Does this method of action make nicotine a drug?
And, since the nicotine in cigarettes
plainly is not a "food," its chemical effects suffice to establish
that it is as a "drug" (and the cigarette that delivers it a
drug-delivery "device") for the purpose of the FDCA.
[133] B.
How do tobacco companies argue that nicotine
does not fit the definition of a drug?
[134] The tobacco companies' principal
definitional argument focuses upon the statutory word "intended." See
21 U. S. C. §321(g)(1)(C). The companies say that "intended" in this
context is a term of art. See Brief for Respondent Brown & Williamson
Tobacco Corp. 2. They assert that the statutory word "intended"
means that the product's maker has made an express claim about the effect that
its product will have on the body. Ibid. Indeed, according to the companies,
the FDA's inability to prove that cigarette manufacturers make such claims is
precisely why that agency historically has said it lacked the statutory power
to regulate tobacco. See id., at 19-20.
Does the FDCA require specific claims to be
made?
[135] The FDCA, however, does not use the
word "claimed"; it uses the word "intended." And the FDA
long ago issued regulations that say the relevant "intent" can be
shown not only by a manufacturer's "expressions," but also "by
the circumstances surrounding the distribution of the article." 41 Fed. Reg. 6896 (1976) (codified at 21 CFR §801.4
(1999)); see also 41 Fed. Reg. 6896 (1976) ("objective intent" shown
if "article is, with the knowledge [of its makers], offered and used"
for a particular purpose).
Can intent be inferred from consumer
expectations about the product?
Thus, even in the absence of express claims,
the FDA has regulated products that affect the body if the manufacturer wants,
and knows, that consumers so use the product. See, e.g., 60 Fed. Reg.
41527-41531 (1995) (describing agency's regulation of topical hormones,
sunscreens, fluoride, tanning lamps, thyroid in food supplements, novelty
condoms -- all marketed without express claims); see also O'Reilly, Food and
Drug Administration §13.04, at 13-15 ("Sometimes the very nature of the
material makes it a drug ...").
[136] Courts ordinarily reverse an agency
interpretation of this kind only if Congress has clearly answered the
interpretive question or if the agency's interpretation is unreasonable.
Chevron U. S. A. Inc. v. Natural Resources Defense Council, Inc., 467 U. S.
837, 842-843 (1984). The companies, in an effort to argue the former, point to
language in the legislative history tying the word "intended" to a
technical concept called "intended use." But nothing in Congress'
discussion either of "intended" or "intended use" suggests
that an express claim (which often shows intent) is always necessary. Indeed,
the primary statement to which the companies direct our attention says only
that a manufacturer can determine what kind of regulation applies --
"food" or "drug" -- because, "through his
representations in connection with its sale, [the manufacturer] can
determine" whether an article is to be used as a "food," as a
"drug," or as "both." S. Rep. No. 361, 74th Cong., 1st
Sess., 4 (1935), reprinted in 3 Leg. Hist. 696.
[137] Nor is the FDA's "objective
intent" interpretation unreasonable. It falls well within the established
scope of the ordinary meaning of the word "intended." See Agnew v.
United States, 165 U. S. 36, 53 (1897) (intent encompasses the known
consequences of an act). And the companies acknowledge that the FDA can
regulate a drug-like substance in the ordinary circumstance, i.e., where the
manufacturer makes an express claim, so it is not unreasonable to conclude that
the agency retains such power where a product's effects on the body are so well
known (say, like those of aspirin or calamine lotion), that there is no need
for express representations because the product speaks for itself.
[138] The companies also cannot deny that
the evidence of their intent is sufficient to satisfy the statutory word
"intended" as the FDA long has interpreted it. In the first place,
there was once a time when they actually did make express advertising claims
regarding tobacco's mood-stabilizing and weight-reducing properties -- and
historical representations can portend present expectations. In the late
1920's, for example, the American Tobacco Company urged weight-conscious
smokers to
Has tobacco advertising crossed the line to
promising effects on the body?
" `Reach for a Lucky instead of a sweet.'
" Kluger, Ashes to Ashes, at 77-78. The advertisements of R J Reynolds
(RJR) emphasized mood stability by depicting a pilot remarking that " `It
Takes Steady Nerves To Fly the Mail At Night ... . That's why I smoke Camels.
And I smoke plenty!' " Id., at 86. RJR also advertised the stimulating
quality of cigarettes, stating in one instance that " `You get a Lift with
a Camel,' " and, in another, that Camels are " `A Harmless
Restoration of the Flow of Natural Body Energy.' " Id., at 87. And
claims of medical proof of mildness (and of other beneficial effects) once were
commonplace. See, e.g., id., at 93 (Brown & Williamson advertised
Kool-brand mentholated cigarettes as "a tonic to hot, tired
throats"); id., at 101, 131 (Phillip Morris contended that "[r]ecognized
laboratory tests have conclusively proven the advantage of Phillip
Morris"); id., at 88 (RJR proclaimed " `For Digestion's sake, smoke
Camels! ... Camels make mealtime more pleasant -- digestion is stimulated --
alkalinity increased' "). Although in recent decades cigarette
manufacturers have stopped making express health claims in their advertising,
consumers have come to understand what the companies no longer need to express
-- that through chemical action cigarettes stabilize mood, sedate, stimulate,
and help suppress appetite.
Did the tobacco companies know the physiological
properties of nicotine?
[139] Second, even though the companies
refused to acknowledge publicly (until only very recently) that the nicotine in
cigarettes has chemically induced, and habit-forming, effects, see, e.g.,
Regulation of Tobacco Products (Part 1): Hearings before the House Subcommittee
on Health and the Environment, 103d Cong., 2d Sess., 628 (1994) (hereinafter
1994 Hearings) (heads of seven major tobacco companies testified under oath
that they believed "nicotine is not addictive" (emphasis added)), the
FDA recently has gained access to solid, documentary evidence proving that
cigarette manufacturers have long known tobacco produces these effects within
the body through the metabolizing of chemicals, and that they have long wanted
their products to produce those effects in this way.
[140] For example, in 1972, a
tobacco-industry scientist explained that " `[s]moke is beyond question
the most optimized vehicle of nicotine,' " and " `the cigarette is
the most optimized dispenser of smoke.' " 61 Fed. Reg. 44856 (1996). That
same scientist urged company executives to
[141] " `[t]hink of the cigarette
pack as a storage container for a day's supply of nicotine... . Think of the
cigarette as a dispenser for a dose unit of nicotine [and] [t]hink of a puff of
smoke as a vehicle of nicotine.' " Ibid. (Philip Morris).
[142] That same year, other tobacco industry
researchers told their superiors that
[143] " `in different situations and at
different dose levels, nicotine appears to act as a stimulant, depressant,
tranquilizer, psychic energizer, appetite reducer, anti-fatigue agent, or
energizer... . Therefore, [tobacco] products may, in a sense, compete with a
variety of other products with certain types of drug action.' " Id., at
44669 (RJR).
[144] A draft report prepared by
authorities at Philip Morris said that nicotine
[145] " `is a physiologically active,
nitrogen containing substance [similar to] quinine, cocaine, atropine and
morphine. [And] [w]hile each of these [other] substances can be used to affect
human physiology, nicotine has a particularly broad range of influence.' "
Id., at 44668-44669.
[146] And a 1980 manufacturer's study stated
that
[147] " `the pharmacological
response of smokers to nicotine is believed to be responsible for an
individual's smoking behaviour, providing the motivation for and the degree of
satisfaction required by the smoker.' " Id., at 44936 (Brown &
Williamson).
Does the intent to sell tobacco to affect the
body really matter if Congress does not want the FDA to regulate tobacco?
[148] With such evidence, the FDA has more
than sufficiently established that the companies "intend" their
products to "affect" the body within the meaning of the FDCA.
[149] C.
[150] The majority nonetheless reaches the
"inescapable conclusion" that the language and structure of the FDCA
as a whole "simply do not fit" the kind of public health problem that
tobacco creates. Ante, at 20. That is because, in the majority's view, the FDCA
requires the FDA to ban outright "dangerous" drugs or devices (such
as cigarettes); yet, the FDA concedes that an immediate and total
cigarette-sale ban is inappropriate. Ibid.
To this point, the dissent has relied on a
literal reading of the FDCA. How does he now find that the FDA would not have
to ban tobacco?
[151] This argument is curious because it
leads with similarly "inescapable" force to precisely the opposite
conclusion, namely, that the FDA does have jurisdiction but that it must ban
cigarettes. More importantly, the argument fails to take into account the
fact that a statute interpreted as requiring the FDA to pick a more dangerous
over a less dangerous remedy would be a perverse statute, causing, rather than
preventing, unnecessary harm whenever a total ban is likely the more dangerous
response. And one can at least imagine such circumstances.
Look hard at [152] - Is this really true?
Does Breyer have a real example? The FDA has allowed the phase out of important
drugs found to be dangerous to allow an orderly transition to other drugs, but
it has never kept a drug on the market because of fears of a black-market
substituted.
[152] Suppose, for example, that a commonly
used, mildly addictive sleeping pill (or, say, a kind of popular contact lens),
plainly within the FDA's jurisdiction, turned out to pose serious health risks
for certain consumers. Suppose further that many of those addicted consumers
would ignore an immediate total ban, turning to a potentially more dangerous
black-market substitute, while a less draconian remedy (say, adequate notice)
would wean them gradually away to a safer product. Would the FDCA still force
the FDA to impose the more dangerous remedy? For the following reasons, I think
not.
[153] First, the statute's language does not
restrict the FDA's remedial powers in this way. The FDCA permits the FDA to
regulate a "combination product" -- i.e., a "device" (such
as a cigarette) that contains a "drug" (such as nicotine) -- under
its "device" provisions. 21 U. S. C. §353(g)(1). And the FDCA's
"device" provisions explicitly grant the FDA wide remedial
discretion. For example, where the FDA cannot "otherwise" obtain
"reasonable assurance" of a device's "safety and
effectiveness," the agency may restrict by regulation a product's
"sale, distribution, or use" upon "such ... conditions as the
Secretary may prescribe. §360j(e)(1) (emphasis added). And the statutory
section that most clearly addresses the FDA's power to ban (entitled
"Banned devices") says that, where a device presents "an
unreasonable and substantial risk of illness or injury," the Secretary
"may" -- not must -- "initiate a proceeding ... to make such
device a banned device." §360f(a) (emphasis added).
In [154] Breyer asserts that a device does
not need to be in Class III if regulations can make it safe to use. While this
is true, does the FDA assert that its regulations will make tobacco safe?
[154] The Court points to other statutory
subsections which it believes require the FDA to ban a drug or device entirely,
even where an outright ban risks more harm than other regulatory responses. See
ante, at 12-13. But the cited provisions do no such thing. It is true, as the
majority contends, that "the FDCA requires the FDA to place all
devices" in "one of three classifications" and that Class III
devices require "premarket approval." Ante, at 12, 13. But it is not
the case that the FDA must place cigarettes in Class III because tobacco itself
"present[s] a potential unreasonable risk of illness or injury." 21
U. S. C. §360c(a)(1)(C). In fact, Class III applies only where regulation
cannot otherwise "provide reasonable assurance of ... safety."
§§360c(a)(1)(A), 360c(a)(1)(B) (placing a device in Class I or Class II when
regulation can provide that assurance). Thus, the statute plainly allows the
FDA to consider the relative, overall "safety" of a device in light
of its regulatory alternatives, and where the FDA has chosen the least dangerous
path, i.e., the safest path, then it can -- and does -- provide a
"reasonable assurance" of "safety" within the meaning of
the statute. A good football helmet provides a reasonable assurance of safety
for the player even if the sport itself is still dangerous. And the safest
regulatory choice by definition offers a "reasonable" assurance of
safety in a world where the other alternatives are yet more dangerous.
[155] In any event, it is not entirely clear
from the statute's text that a Class III categorization would require the FDA
affirmatively to withdraw from the market dangerous devices, such as
cigarettes, which are already widely distributed. See, e.g., §360f(a) (when a
device presents an "unreasonable and substantial risk of illness or injury,"
the Secretary "may" make it "a banned device"); §360h(a)
(when a device "presents an unreasonable risk of substantial harm to the
public health," the Secretary "may" require
"notification"); §360h(b) (when a defective device creates an
"unreasonable risk" of harm, the Secretary "may" order
"repair, replacement, or refund"); cf. O'Reilly, Food and Drug
Administration §18.08, at 18-38 (point of Class III "premarket
approval" is to allow "careful scientific review" of each
"truly new" device "before it is exposed" to users
(emphasis added)).
Could the FDA determine that tobacco is not
dangerous to health, and thus avoid banning it as “misbranded”?
What do you think would be the response of
public health groups?
[156] Noting that the FDCA requires banning
a "misbranded" drug, the majority also points to 21 U. S. C. §352(j),
which deems a drug or device "misbranded" if "it is dangerous to
health when used" as "prescribed, recommended, or suggested in the
labeling." See ante, at 12. In addition, the majority mentions §352(f)(1),
which calls a drug or device "misbranded" unless "its labeling
bears . . . adequate directions for use" as "are necessary for the
protection of users." Ibid.
Is the test as harmless as possible, or safe
for the intended use?
But this "misbranding" language is
not determinative, for it permits the FDA to conclude that a drug or device is
not "dangerous to health" and that it does have "adequate"
directions when regulated so as to render it as harmless as possible. And
surely the agency can determine that a substance is comparatively
"safe" (not "dangerous") whenever it would be less
dangerous to make the product available (subject to regulatory requirements)
than suddenly to withdraw it from the market. Any other interpretation risks
substantial harm of the sort that my sleeping pill example illustrates. See
supra, at 14. And nothing in the statute prevents the agency from adopting a
view of "safety" that would avoid such harm.
Chemotherapy drugs are deemed safe for their
intended use because they are safer than the alternative of dying.
What is the safer alternative to using
tobacco?
Indeed, the FDA already seems to have
taken this position when permitting distribution of toxic drugs, such as
poisons used for chemotherapy, that are dangerous for the user but are not
deemed "dangerous to health" in the relevant sense. See 61 Fed.
Reg. 44413 (1996).
Does shall really mean must, or does the FDA
have an alternative remedy for a dangerous product?
[157] The tobacco companies point to another
statutory provision which says that if a device "would cause serious,
adverse health consequences or death, the Secretary shall issue" a cease
distribution order. 21 U. S. C. §360h(e)(1) (emphasis added). But that word
"shall" in this context cannot mean that the Secretary must resort to
the recall remedy whenever a device would have serious, adverse health effects.
Rather, that language must mean that the Secretary "shall issue" a
cease distribution order in compliance with the section's procedural
requirements if the Secretary chooses in her discretion to use that particular
subsection's recall remedy. Otherwise, the subsection would trump and make
meaningless the same section's provision of other lesser remedies such as
simple "notice" (which the Secretary similarly can impose if, but
only if, she finds that the device "presents an unreasonable risk of
substantial harm to the public"). §360h(a)(1). And reading the statute to
compel the FDA to "recall" every dangerous device likewise would
conflict with that same subsection's statement that the recall remedy
"shall be in addition to [the other] remedies provided" in the
statute. §360h(e)(3) (emphasis added).
Is the assertion in [158] true? Wonder what
Breyer would say if the FDA approved smoking as an obesity treatment?
[158] The statute's language, then, permits
the agency to choose remedies consistent with its basic purpose -- the overall protection
of public health.
[159] The second reason the FDCA does not
require the FDA to select the more dangerous remedy, see supra, at 14, is that,
despite the majority's assertions to the contrary, the statute does not
distinguish among the kinds of health effects that the agency may take into
account when assessing safety. The Court insists that the statute only
permits the agency to take into account the health risks and benefits of the
"product itself" as used by individual consumers, ante, at 17, and,
thus, that the FDA is prohibited from considering that a ban on smoking would
lead many smokers to suffer severe withdrawal symptoms or to buy possibly
stronger, more dangerous, black market cigarettes -- considerations that the
majority calls "the aggregate health effects of alternative administrative
actions." Ibid. But the FDCA expressly permits the FDA to take account
of comparative safety in precisely this manner. See, e.g., 21 U. S. C.
§360h(e)(2)(B)(i)(II) (no device recall if "risk of recal[l]" presents
"a greater health risk than" no recall); §360h(a) (notification
"unless" notification "would present a greater danger" than
"no such notification").
[160] Moreover, one cannot distinguish in
this context between a "specific" health risk incurred by an
individual and an "aggregate" risk to a group. All relevant risk is,
at bottom, risk to an individual; all relevant risk attaches to "the
product itself"; and all relevant risk is "aggregate" in the
sense that the agency aggregates health effects in order to determine risk to
the individual consumer.
In [160] Breyer makes an argument that the
regulations will reduce the risk of smoking in the community, thus it will be
safer than if smoking were banned. He then analogizes to the regulation of
methadone as a replacement for heroin. Putting aside that methadone is an
approved drug because it is an effective, long lasting painkiller, having
nothing to do with its use as a heroin substitute, why does this analogy fail?
If unregulated smoking will kill 4 individuals
out of a typical group of 1,000 people, if regulated smoking will kill 1 out of
1,000, and if a smoking ban (because of the black market) will kill 2 out of
1,000; then these three possibilities means that in each group four, one, and
two individuals, on average, will die respectively. And the risk to each
individual consumer is 4/1000, 1/1000, and 2/1000 respectively. A
"specific" risk to an individual consumer and "aggregate"
risks are two sides of the same coin; each calls attention to the same set of
facts. While there may be a theoretical distinction between the risk of the
product itself and the risk related to the presence or absence of an
intervening voluntary act (e.g., the search for a replacement on the black
market), the majority does not rely upon any such distinction, and the FDA's
history of regulating "replacement" drugs such as methadone shows
that it has long taken likely actual alternative consumer behavior into
account.
What is your answer to Breyer's question
posed in [161]?
[161] I concede that, as a matter of logic,
one could consider the FDA's "safety" evaluation to be different from
its choice of remedies. But to read the statute to forbid the agency from
taking account of the realities of consumer behavior either in assessing safety
or in choosing a remedy could increase the risks of harm -- doubling the risk
of death to each "individual user" in my example above. Why would
Congress insist that the FDA ignore such realities, even if the consequent harm
would occur only unusually, say, where the FDA evaluates a product (a sleeping
pill; a cigarette; a contact lens) that is already on the market, potentially
habit forming, or popular? I can find no satisfactory answer to this question. And
that, I imagine, is why the statute itself says nothing about any of the
distinctions that the Court has tried to draw. See 21 U. S. C. §360c(a)(2) (instructing
FDA to determine the safety and effectiveness of a "device" in part
by weighing "any probable benefit to health ... against any probable risk
of injury or illness ...") (emphasis added).
Is the example in 162 relevant, given that Congress
prevented the ban from going into effect?
[162] Third, experience counsels against an
overly rigid interpretation of the FDCA that is divorced from the statute's
overall health-protecting purposes. A different set of words, added to the
FDCA in 1958 by the Delaney Amendment, provides that "no [food] additive
shall be deemed to be safe if it is found [after appropriate tests] to induce
cancer in man or animal." §348(c)(3). The FDA once interpreted this
language as requiring it to ban any food additive, no matter how small the
amount, that appeared in any food product if that additive was ever found to
induce cancer in any animal, no matter how large a dose needed to induce the
appearance of a single carcinogenic cell. See H. R. Rep. No. 95-658, p. 7
(1977) (discussing agency's view). The FDA believed that the statute's ban
mandate was absolute and prevented it from establishing a level of "safe
use" or even to judge whether "the benefits of continued use outweigh
the risks involved." Id., at 5. This interpretation -- which in principle
could have required the ban of everything from herbal teas to mushrooms --
actually led the FDA to ban saccharine, see 42 Fed. Reg. 19996 (1977), though
this extremely controversial regulatory response never took effect because
Congress enacted, and has continually renewed, a law postponing the ban.
See Saccharin Study and Labeling Act, Pub. L. 95-203, §3, 91 Stat. 1452; e.g.,
Pub. L. 102-142, Tit. VI, 105 Stat. 910.
Are there other agencies that regulate
products, including drugs and devices? How does this affect the arguments in
[162]?
[163] The Court's interpretation of the statutory
language before us risks Delaney-type consequences with even less linguistic
reason. Even worse, the view the Court advances undermines the FDCA's overall
health-protecting purpose by placing the FDA in the strange dilemma of either
banning completely a potentially dangerous drug or device or doing nothing at
all. Saying that I have misunderstood its conclusion, the majority maintains
that the FDA "may clearly regulate many `dangerous' products without
banning them." Ante, at 19. But it then adds that the FDA must ban --
rather than otherwise regulate -- a drug or device that "cannot be used
safely for any therapeutic purpose." Ibid. If I misunderstand, it is
only because this linchpin of the majority's conclusion remains unexplained.
Why must a widely-used but unsafe device be withdrawn from the market when that
particular remedy threatens the health of many and is thus more dangerous than
another regulatory response? It is, indeed, a perverse interpretation that
reads the FDCA to require the ban of a device that has no "safe"
therapeutic purpose where a ban is the most dangerous remedial alternative.
[164] In my view, where linguistically permissible,
we should interpret the FDCA in light of Congress' overall desire to protect
health. That purpose requires a flexible interpretation that both permits the
FDA to take into account the realities of human behavior and allows it, in
appropriate cases, to choose from its arsenal of statutory remedies. A statute
so interpreted easily "fit[s]" this, and other, drug- and
device-related health problems.
[165] III.
Does it matter whether other agencies
regulate tobacco if none of them regulate the health effects?
[166] In the majority's view, laws enacted
since 1965 require us to deny jurisdiction, whatever the FDCA might mean in
their absence. But why? Do those laws contain language barring FDA
jurisdiction? The majority must concede that they do not. Do they contain
provisions that are inconsistent with the FDA's exercise of jurisdiction? With
one exception, see infra, at 24, the majority points to no such provision. Do
they somehow repeal the principles of law (discussed in Part II, supra) that
otherwise would lead to the conclusion that the FDA has jurisdiction in this
area? The companies themselves deny making any such claim. See Tr. of Oral Arg.
27 (denying reliance on doctrine of "partial repeal"). Perhaps the
later laws "shape" and "focus" what the 1938 Congress meant
a generation earlier. Ante, at 20. But this Court has warned against using the
views of a later Congress to construe a statute enacted many years before. See
Pension Benefit Guaranty Corporation v. LTV Corp., 496 U. S. 633, 650 (1990)
(later history is " `a hazardous basis for inferring the intent of an
earlier' Congress" (quoting United States v. Price, 361 U. S. 304, 313
(1960))).
Does the court really care about legislative
history?
And, while the majority suggests that the
subsequent history "control[s] our construction" of the FDCA, see
ante, at 20 (citation and internal quotation marks omitted), this Court
expressly has held that such subsequent views are not "controlling." Haynes v. United States, 390 U. S. 85, 87-88, n. 4
(1968); accord, Southwestern Cable Co., 392 U. S., at 170 (such views have
" `very little, if any, significance' "); see also Sullivan v.
Finkelstein, 496 U. S. 617, 632 (1990) (Scalia, J., concurring)
("Arguments based on subsequent legislative history ... should not be taken
seriously, not even in a footnote.").
[167] Regardless, the later statutes do not
support the majority's conclusion. That is because, whatever individual Members
of Congress after 1964 may have assumed about the FDA's jurisdiction, the laws
they enacted did not embody any such "no jurisdiction" assumption.
And one cannot automatically infer an antijurisdiction intent, as the majority
does, for the later statutes are both (and similarly) consistent with quite a
different congressional desire, namely, the intent to proceed without
interfering with whatever authority the FDA otherwise may have possessed. See,
e.g., Cigarette Labeling and Advertising -- 1965: Hearings on H. R. 2248 et al.
before the House Committee on Interstate and Foreign Commerce, 89th Cong., 1st
Sess., 19 (1965) (hereinafter 1965 Hearings) (statement of Rep. Fino that the
proposed legislation would not "erode" agency authority).
How would the dissent read the history
differently?
As I demonstrate below, the subsequent
legislative history is critically ambivalent, for it can be read either as (a)
"ratif[ying]" a no-jurisdiction assumption, see ante, at 34, or as
(b) leaving the jurisdictional question just where Congress found it. And the fact that both inferences are "equally
tenable," Pension Benefit Guaranty Corp., supra, at 650 (citation and
internal quotation marks omitted); Johnson v. Transportation Agency, Santa
Clara Cty., 480 U. S. 616, 672 (1987) (Scalia, J., dissenting), prevents the
majority from drawing from the later statutes the firm, antijurisdiction
implication that it needs.
How does Breyer address the assumption that
Congress failed to allow the FDA to regulate tobacco when asked?
Does this really cut to the heart of the
politics?
Why hasn't Congress regulated tobacco
itself?
[168] Consider, for example, Congress'
failure to provide the FDA with express authority to regulate tobacco -- a
circumstance that the majority finds significant. See ante, at 21, 24-25,
32-33. But cf. Southwestern Cable Co., supra, at 170 (failed requests do not
prove agency "did not already possess" authority). In fact,
Congress both failed to grant express authority to the FDA when the FDA denied
it had jurisdiction over tobacco and failed to take that authority expressly
away when the agency later asserted jurisdiction. See, e.g., S. 1262, 104th
Cong., 1st Sess., §906 (1995) (failed bill seeking to amend FDCA to say that
"[n]othing in this Act or any other Act shall provide the [FDA] with any
authority to regulate in any manner tobacco or tobacco products"); see
also H. R. 516, 105th Cong., 1st Sess., §2 (1997) (similar); H. R. Res. 980,
reprinted in 142 Cong. Rec. 5018 (1996) (Georgia legislators unsuccessfully
requested that Congress "rescind any action giving the FDA authority"
over tobacco); H. R. 2283, 104th Cong., 1st Sess. (1995) (failed bill "[t]o
prohibit the [FDA] regulation of the sale or use of tobacco"); H. R. 2414,
104th Cong., 1st Sess., §2(a) (1995) (similar). Consequently, the defeat of
various different proposed jurisdictional changes proves nothing. This
history shows only that Congress could not muster the votes necessary either to
grant or to deny the FDA the relevant authority. It neither favors nor
disfavors the majority's position.
[169] The majority also mentions the speed
with which Congress acted to take jurisdiction away from other agencies once
they tried to assert it. See ante, at 22, 26-29. But such a congressional
response again proves nothing. On the one hand, the speedy reply might suggest
that Congress somehow resented agency assertions of jurisdiction in an area it
desired to reserve for itself -- a consideration that supports the majority. On
the other hand, Congress' quick reaction with respect to other agencies'
regulatory efforts contrasts dramatically with its failure to enact any
responsive law (at any speed) after the FDA asserted jurisdiction over tobacco
more than three years ago. And that contrast supports the opposite
conclusion.
What did the history of the FDA
Modernization Act of 1997 say about tobacco? Why did congress dodge the issue,
which was then in litigation?
[170] In addition, at least one post-1938
statute reveals quite a different congressional intent than the majority
infers. See Note following 21 U. S. C. §321 (1994 ed., Supp. III) (FDA
Modernization Act of 1997) (law "shall [not] be construed to affect the
question of whether the [FDA] has any authority to regulate any tobacco
product," and "[s]uch authority, if any, shall be exercised under the
[FDCA] as in effect on the day before the date of [this] enactment"). Consequently,
it appears that the only interpretation that can reconcile all of the
subsequent statutes is the inference that Congress did not intend, either
explicitly or implicitly, for its later laws to answer the question of the
scope of the FDA's jurisdictional authority. See 143 Cong. Rec. S8860
(Sept. 5, 1997) (the Modernization Act will "not interfere or
substantially negatively affect any of the FDA tobacco authority").
[171] The majority's historical perspective
also appears to be shaped by language in the Federal Cigarette Labeling and
Advertising Act (FCLAA), 79 Stat. 282, 15 U. S. C. §1331 et seq. See ante, at
25-26. The FCLAA requires manufacturers to place on cigarette packages, etc.,
health warnings such as the following:
[172] "SURGEON GENERAL'S WARNING:
Smoking Causes Lung Cancer, Heart Disease, Emphysema, And May Complicate
Pregnancy." 15 U. S. C. §1333(a).
What does Breyer say about the limits of the
FCLAA preemption?
[173] The FCLAA has an express pre-emption
provision which says that "[n]o statement relating to smoking and
health, other than the statement required by [this Act], shall be required on
any cigarette package." §1334(a). This pre-emption clause plainly
prohibits the FDA from requiring on "any cigarette package" any other
"statement relating to smoking and health," but no one contends that
the FDA has failed to abide by this prohibition. See, e.g., 61 Fed. Reg.
44399 (1996) (describing the other regulatory prescriptions). Rather, the
question is whether the FCLAA's pre-emption provision does more. Does it forbid
the FDA to regulate at all?
[174] This Court has already answered that
question expressly and in the negative. See Cipollone v. Liggett Group, Inc.,
505 U. S. 504 (1992). Cipollone held that the FCLAA's pre-emption provision
does not bar state or federal regulation outside the provision's literal scope.
Id., at 518. And it described the pre-emption provision as "merely
prohibit[ing] state and federal rulemaking bodies from mandating particular
cautionary statements on cigarette labels ... ." Ibid.
[175] This negative answer is fully
consistent with Congress' intentions in regard to the pre-emption language.
When Congress enacted the FCLAA, it focused upon the regulatory efforts of the
Federal Trade Commission (FTC), not the FDA. See 1965 Hearings 1-2. And the
Public Health Cigarette Smoking Act of 1969, Pub. L. 91-222, §7(c), 84 Stat.
89, expressly amended the FCLAA to provide that "[n]othing in this Act
shall be construed to affirm or deny the [FTC's] holding that it has the
authority to issue trade regulation rules" for tobacco. See also H. R.
Conf. Rep. No. 91-897, p. 7 (1970) (statement of House Managers) (we have
"no intention to resolve the question as to whether" the FTC could
regulate tobacco in a different way); see also 116 Cong. Rec. 7921 (1970) (statement
of Rep. Satterfield) (same). Why would one read the FCLAA's pre-emption clause
-- a provision that Congress intended to limit even in respect to the agency
directly at issue -- so broadly that it would bar a different agency from
engaging in any other cigarette regulation at all? The answer is that the Court
need not, and should not, do so. And, inasmuch as the Court already has
declined to view the FCLAA as pre-empting the entire field of tobacco
regulation, I cannot accept that that same law bars the FDA's regulatory
efforts here.
[176] When the FCLAA's narrow pre-emption
provision is set aside, the majority's conclusion that Congress clearly
intended for its tobacco-related statutes to be the exclusive
"response" to "the problem of tobacco and health," ante, at
35, is based on legislative silence. Notwithstanding the views voiced by
various legislators, Congress itself has addressed expressly the issue of the
FDA's tobacco-related authority only once -- and, as I have said, its statement
was that the statute was not to "be construed to affect the question of
whether the [FDA] has any authority to regulate any tobacco product." Note
following 21 U. S. C. §321 (1994 ed., Supp. III). The proper inference to be
drawn from all of the post-1965 statutes, then, is one that interprets
Congress' general legislative silence consistently with this statement.
[177] IV.
Is the agency bound by it prior interpretation?
[178] I now turn to the final historical
fact that the majority views as a factor in its interpretation of the
subsequent legislative history: the FDA's former denials of its tobacco-related
authority.
[179] Until the early 1990's, the FDA
expressly maintained that the 1938 statute did not give it the power that it
now seeks to assert. It then changed its mind. The majority agrees with me
that the FDA's change of positions does not make a significant legal
difference. See ante, at 34; see also Chevron, 467 U. S., at 863 ("An
initial agency interpretation is not instantly carved in stone");
accord, Smiley v. Citibank (South Dakota), N. A., 517 U. S. 735, 742 (1996)
("[C]hange is not invalidating"). Nevertheless, it labels those
denials "important context" for drawing an inference about Congress'
intent. Ante, at 34. In my view, the FDA's change of policy, like the
subsequent statutes themselves, does nothing to advance the majority's
position.
At [180] Breyer says that the FDA's denial
of authority was based on not having evidence that tobacco manufacturers
intended to sell their products for their health effects. Are there old
advertisements that undermine this claim?
[180] When it denied jurisdiction to
regulate cigarettes, the FDA consistently stated why that was so. In 1963,
for example, FDA administrators wrote that cigarettes did not satisfy the
relevant FDCA definitions -- in particular, the "intent" requirement
-- because cigarette makers did not sell their product with accompanying
"therapeutic claims." Letter to Directors of Bureaus, Divisions
and Directors of Districts from FDA Bureau of Enforcement (May 24, 1963), in
Public Health Cigarette Amendments of 1971: Hearings on S. 1454 before the
Consumer Subcommittee of the Senate Committee on Commerce, 92d Cong., 2d Sess.,
240 (1972) (hereinafter FDA Enforcement Letter). And subsequent FDA
Commissioners made roughly the same assertion. One pointed to the fact that the
manufacturers only "recommended" cigarettes "for smoking
pleasure." Two others reiterated the evidentiary need for "health
claims." Yet another stressed the importance of proving
"intent," adding that "[w]e have not had sufficient
evidence" of "intent with regard to nicotine." See,
respectively, id., at 239 (Comm'r Edwards); Letter of Dec. 5, 1977, App. 47
(Comm'r Kennedy); 1965 Hearings 193 (Comm'r Rankin); 1994 Hearings 28 (Comm'r
Kessler). Tobacco company counsel also testified that the FDA lacked
jurisdiction because jurisdiction "depends on ... intended use,"
which in turn "depends, in general, on the claims and representations made
by the manufacturer." Health Consequences of Smoking: Nicotine Addiction,
Hearing before the Subcommittee on Health and the Environment of the House
Committee on Energy and Commerce, 100th Cong., 2d Sess., 288 (1988) (testimony
of Richard Cooper) (emphasis added).
[181] Other agency statements occasionally
referred to additional problems. Commissioner Kessler, for example, said that
the "enormous social consequences" flowing from a decision to
regulate tobacco counseled in favor of obtaining specific Congressional
"guidance." 1994 Hearings 69; see also ante, at 31 (quoting statement
of Health and Human Services Secretary Brandt to the effect that Congress
wanted to make the relevant jurisdictional decision). But a fair reading of the
FDA's denials suggests that the overwhelming problem was one of proving the
requisite manufacturer intent. See Action on Smoking and Health v. Harris, 655
F. 2d 236, 238-239 (CADC 1980) (FDA "comments" reveal its
"understanding" that "the crux of FDA jurisdiction over drugs
lay in manufacturers' representations as revelatory of their intent").
What Changed?
[182] What changed? For one thing, the
FDA obtained evidence sufficient to prove the necessary "intent"
despite the absence of specific "claims." See supra, at 12-14.
This evidence, which first became available in the early 1990's, permitted the
agency to demonstrate that the tobacco companies knew nicotine achieved
appetite-suppressing, mood-stabilizing, and habituating effects through
chemical (not psychological) means, even at a time when the companies were
publicly denying such knowledge.
[183] Moreover, scientific evidence of
adverse health effects mounted, until, in the late 1980's, a consensus on the
seriousness of the matter became firm. That is not to say that concern
about smoking's adverse health effects is a new phenomenon. See, e.g.,
Higginson, A New Counterblast, in Out-door Papers 179, 194 (1863)
(characterizing tobacco as " `a narcotic poison of the most active class'
"). It is to say, however, that convincing epidemiological evidence began
to appear mid-20th century; that the First Surgeon General's Report documenting
the adverse health effects appeared in 1964; and that the Surgeon General's
Report establishing nicotine's addictive effects appeared in 1988. At each
stage, the health conclusions were the subject of controversy, diminishing
somewhat over time, until recently -- and only recently -- has it become clear
that there is a wide consensus about the health problem. See 61 Fed. Reg.
44701-44706 (1996).
[184] Finally, administration policy
changed. Earlier administrations may have hesitated to assert jurisdiction for
the reasons prior Commissioners expressed. See supra, at 27-28. Commissioners
of the current administration simply took a different regulatory attitude.
[185] Nothing in the law prevents the FDA
from changing its policy for such reasons. By the mid-1990's, the evidence
needed to prove objective intent -- even without an express claim -- had been
found. The emerging scientific consensus about tobacco's adverse, chemically
induced, health effects may have convinced the agency that it should spend its
resources on this important regulatory effort. As for the change of
administrations, I agree with then-Justice Rehnquist's statement in a different
case, where he wrote:
What did Justice Rehnquist say in State Farm
that Breyer cites as support?
How does this explain the views of previous
FDA commissioners, and even the previous views of Kessler?
[186] "The agency's changed view ...
seems to be related to the election of a new President of a different political
party. It is readily apparent that the responsible members of one
administration may consider public resistance and uncertainties to be more
important than do their counterparts in a previous administration. A change in
administration brought about by the people casting their votes is a perfectly
reasonable basis for an executive agency's reappraisal of the costs and
benefits of its programs and regulations. As long as the agency remains within
the bounds established by Congress, it is entitled to assess administrative
records and evaluate priorities in light of the philosophy of the
administration." Motor Vehicle Mfrs. Assn. of United States, Inc. v.
State Farm Mut. Automobile Ins. Co., 463 U. S. 29, 59 (1983) (concurring in
part and dissenting in part).
[187] V.
[188] One might nonetheless claim that,
even if my interpretation of the FDCA and later statutes gets the words right,
it lacks a sense of their "music." See Helvering v. Gregory, 69
F. 2d 809, 810-811 (CA2 1934) (L. Hand, J.) ("[T]he meaning of a [statute]
may be more than that of the separate words, as a melody is more than the notes
..."). Such a claim might rest on either of two grounds.
[189] First, one might claim that, despite
the FDA's legal right to change its mind, its original statements played a
critical part in the enactment of the later statutes and now should play a
critical part in their interpretation. But the FDA's traditional view was
largely premised on a perceived inability to prove the necessary statutory
"intent" requirement. See, e.g., FDA Enforcement Letter 240
("The statutory basis for the exclusion of tobacco products from FDA's
jurisdiction is the fact that tobacco marketed for chewing or smoking without
accompanying therapeutic claims, does not meet the definitions ... for food,
drug, device or cosmetic"). The statement, "we cannot assert
jurisdiction over substance X unless it is treated as a food" would not
bar jurisdiction if the agency later establishes that substance X is, and is
intended to be, eaten. The FDA's denials of tobacco-related authority
sufficiently resemble this kind of statement that they should not make the
critical interpretive difference.
[190] Second, one might claim that
courts, when interpreting statutes, should assume in close cases that a
decision with "enormous social consequences," 1994 Hearings 69,
should be made by democratically elected Members of Congress rather than by
unelected agency administrators. Cf. Kent v. Dulles, 357 U. S. 116, 129
(1958) (assuming Congress did not want to delegate the power to make rules
interfering with exercise of basic human liberties). If there is such a
background canon of interpretation, however, I do not believe it controls the
outcome here.
The majority believes that such a major
change should be done Congress. How does Breyer argue that it is also properly
the president's call?
[191] Insofar as the decision to regulate
tobacco reflects the policy of an administration, it is a decision for which
that administration, and those politically elected officials who support it,
must (and will) take responsibility. And the very importance of the decision
taken here, as well as its attendant publicity, means that the public is likely
to be aware of it and to hold those officials politically accountable.
Presidents, just like Members of Congress, are elected by the public. Indeed,
the President and Vice President are the only public officials whom the entire
Nation elects. I do not believe that an administrative agency decision of this
magnitude -- one that is important, conspicuous, and controversial -- can escape
the kind of public scrutiny that is essential in any democracy. And such a
review will take place whether it is the Congress or the Executive Branch that
makes the relevant decision.
[192] According to the FDA, only 2.5% of
smokers successfully stop smoking each year, even though 70% say they want to
quit and 34% actually make an attempt to do so. See 61 Fed. Reg. 44704
(1996) (citing Centers for Disease Control and Prevention, Cigarette Smoking
Among Adults -- United States, 1993; 43 Morbidity and Mortality Weekly Report
929 (Dec. 23, 1994)). The fact that only a handful of those who try to quit
smoking actually succeed illustrates a certain reality -- the reality that the
nicotine in cigarettes creates a powerful physiological addiction flowing from
chemically induced changes in the brain. The FDA has found that the makers of
cigarettes "intend" these physical effects. Hence, nicotine is a
"drug"; the cigarette that delivers nicotine to the body is a
"device"; and the FDCA's language, read in light of its basic
purpose, permits the FDA to assert the disease-preventing jurisdiction that the
agency now claims.
Why does Breyer say that the a possible tobacco
ban should not resolve the step one analysis?
[193] The majority finds that cigarettes
are so dangerous that the FDCA would require them to be banned (a result the
majority believes Congress would not have desired); thus, it concludes that the
FDA has no tobacco-related authority. I disagree that the statute would
require a cigarette ban. But even if I am wrong about the ban, the statute
would restrict only the agency's choice of remedies, not its jurisdiction.
[194] The majority also believes that subsequently
enacted statutes deprive the FDA of jurisdiction. But the later laws say next
to nothing about the FDA's tobacco-related authority. Previous FDA disclaimers
of jurisdiction may have helped to form the legislative atmosphere out of which
Congress' own tobacco-specific statutes emerged. But a legislative atmosphere
is not a law, unless it is embodied in a statutory word or phrase. And the
relevant words and phrases here reveal nothing more than an intent not to
change the jurisdictional status quo.
[195] The upshot is that the Court today
holds that a regulatory statute aimed at unsafe drugs and devices does not
authorize regulation of a drug (nicotine) and a device (a cigarette) that the
Court itself finds unsafe. Far more than most, this particular drug and device
risks the life-threatening harms that administrative regulation seeks to
rectify. The majority's conclusion is counter-intuitive. And, for the reasons
set forth, I believe that the law does not require it.
[196] Consequently, I dissent.
20000321
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