881 F.3d 1211
10th Cir.2018Background
- Bradford McLean worked aboveground in surface coal mines (Wyoming and Montana) from 1977 to 2006; he stopped working in March 2006 for respiratory disability and died in 2011.
- McLean developed COPD/emphysema; treating pulmonologist Dr. Merchant and DOL exam physician Dr. Gottschall attributed significant contribution to coal dust exposure plus long-term smoking.
- Claim filed under the Black Lung Benefits Act (BLBA); District Director awarded benefits; Spring Creek (employer) requested an ALJ hearing.
- ALJ found McLean had at least 15 years of qualifying coal-mine employment because his surface employment regularly exposed him to coal dust, invoked the §411(c)(4) (fifteen-year) rebuttable presumption, and determined Spring Creek failed to rebut legal pneumoconiosis.
- Benefits Review Board affirmed the ALJ. Spring Creek appealed, challenging the DOL regulation that equates “regular exposure to coal-mine dust” with the statute’s “substantially similar” standard and the ALJ’s weighing of medical opinions.
Issues
| Issue | Plaintiff's Argument (McLean/Claimant) | Defendant's Argument (Spring Creek) | Held |
|---|---|---|---|
| Validity and application of 20 C.F.R. § 718.305(b)(2) (surface-miner standard) | Regulation properly implements § 921(c)(4); claimant need only show regular exposure to coal dust at surface mines to prove substantial similarity | Regulation unlawfully lowers statutory "substantially similar" standard to mere regular dust exposure and forecloses meaningful comparison to underground conditions | Court upheld § 718.305(b)(2) as reasonable and consistent with statute, agency history, and precedent; ALJ properly applied the regulation |
| Whether McLean met the 15-year presumption by showing regular exposure | Testimony and lay evidence show frequent dust exposure during at least 15 years of employment | Employer produced dust-sampling evidence but insufficient to prove lack of regular exposure | Substantial evidence supports ALJ/Board finding that McLean was regularly exposed and invoked the presumption |
| Whether Spring Creek rebutted the presumption by disproving legal pneumoconiosis | N/A (claimant) | Medical experts (Drs. Farney, Tuteur) opined smoking, not coal dust, caused COPD; employer argued ALJ misapplied Preamble/science | ALJ permissibly discounted employer experts for failing to address DOL Preamble science (additive effects of dust and smoke) and for inadequate reasoning; rebuttal not proved |
| Whether ALJ misused the DOL Preamble or imposed improper "rule out" requirement | N/A (claimant) | ALJ relied on Preamble to treat most COPD as coal-dust caused or to force doctors to "rule out" coal dust causation | Court held ALJ properly relied on Preamble conclusions and only required sound explanation from employer experts; no improper legal standard applied |
Key Cases Cited
- Westmoreland Coal Co. v. Stallard, 876 F.3d 663 (10th Cir.) (standards for judicial review of BLBA Board/ALJ factual and legal determinations)
- Antelope Coal Co. v. Goodin, 743 F.3d 1331 (10th Cir.) (upholding § 718.305(b)(2) and treating regular dusty conditions as sufficient to show substantial similarity)
- Midland Coal Co. v. Director, OWCP, 855 F.2d 509 (7th Cir.) (holding surface miner need only show sufficient coal-dust exposure; courts may rely on lay evidence and the fact that underground mines are dusty)
- Consolidation Coal Co. v. Director, OWCP, 864 F.3d 1142 (10th Cir.) (application of revised § 718.305 to claims covered by statutory amendment)
- Usery v. Turner Elkhorn Mining Co., 428 U.S. 1 (U.S.) (context on pneumoconiosis classifications and congressional role referenced in rulemaking)
- Harman Mining Co. v. Director, OWCP, 678 F.3d 305 (4th Cir.) (deference to DOL Preamble and regulatory medical findings)