Peabody Coal Co. v. Director, Office of Workers' Compensation Programs
2014 U.S. App. LEXIS 5996
9th Cir.2014Background
- Opp filed a Black Lung Benefits Act claim alleging legal pneumoconiosis (COPD) arising from coal mine employment.
- Regulations evolved in 2001 to cover legal pneumoconiosis; pre-2001 focused on clinical pneumoconiosis.
- ALJ awarded Opp’s surviving spouse benefits for 2000–2002; Benefits Review Board affirmed; Peabody sought review.
- Record included competing medical opinions: Drs. James and Anderson linked COPD to coal dust exposure; Peabody’s experts disputed.
- ALJ used the regulatory preamble to evaluate medical literature and assign weight to expert testimony; awarded benefits.
- Issue on appeal: whether the ALJ violated APA by relying on the preamble and whether the award is supported by substantial evidence.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| APA compliance with preamble use | Peabody argues preamble cannot bind or guide decisionmaking. | Opp contends ALJ may use preamble to interpret literature. | ALJ may rely on the preamble to assess medical evidence. |
| Proper weight given to medical testimony | Peabody asserts its experts’ interpretations are equally valid. | Opp argues the preamble supports Opp’s supported interpretation of literature. | ALJ’s weighing of Dr. James/Anderson over Peabody’s experts sustained. |
| Arising out of coal mine employment and total disability | Opp contends COPD is legally pneumoconiosis from coal dust exposure. | Peabody contends COPD largely due to smoking, not coal dust. | ALJ’s finding that Opp’s COPD arose from coal mine employment affirmed. |
Key Cases Cited
- A & E Coal Co. v. Adams, 694 F.3d 798 (6th Cir. 2012) (preamble explains regulations; not expanding reach)
- Harman Mining Co. v. Dir., Office of Workers’ Comp. Programs, 678 F.3d 305 (4th Cir. 2012) (ALJ may rely on preamble to assess medical evidence)
- Helen Mining Co. v. Dir., Office of Workers’ Comp. Programs, 650 F.3d 248 (3d Cir. 2011) (preamble reference supports reasonableness of credibility assessment)
- Consolidation Coal Co. v. Dir., Office of Workers’ Comp. Programs, 521 F.3d 723 (7th Cir. 2008) (upholds ALJ’s method of weighing expert testimony)
- Wyeth v. Levine, 555 U.S. 555 (Sup. Ct. 2009) (preemption/agency interpretation limits; not applicable here)
- Home Concrete & Supply, 634 F.3d 249 (4th Cir. 2011) (preamble not binding where it contradicts statute; distinguished here)
- Midland Coal Co. v. Dir., Office of Workers’ Comp. Programs, 358 F.3d 486 (7th Cir. 2004) (affirmation of substantial evidence review framework)
- Palmer Coking Coal Co. v. Dir., Office of Workers’ Comp. Programs, 720 F.2d 1054 (9th Cir. 1983) (extremely deferential standard for factual findings)