Crockett Colleries, Inc. v. BarrettCrockett Colleries, Inc. v. Barrett
Lead Opinion
HOLSCHUH, D. J., delivered the opinion of the court, in which GIBBONS, J., joined. ROGERS, J. (pp. 357-59), delivered a separate concurring opinion.
OPINION
Petitioners Crockett Colleries, Inc. and The Hartford Accident and Indemnity Company (hereafter “Crockett”) appeal the decision of the Benefits Review Board of the United States Department of Labor (“BRB”) affirming an award of black lung benefits to Respondent James Barrett. The BRB found that Crockett’s petition for review failed to comply with the requirements set forth in
I.
James Barrett, who worked in a coal mine for twenty-five years, suffers from a variety of respiratory ailments. In 1991, he filed an application for benefits under the Black Lung Benefits Act,
Barrett wrote a letter to the BRB requesting a review of the ALJ’s decision and order. The BRB construed the letter as a pro se appeal. On May 13, 2003, the BRB issued a decision vacating the ALJ’s order and remanding the ease for additional findings. On remand, in a decision and order issued November 15, 2004, the ALJ found that Barrett was, in fact, еntitled to black lung benefits. This time, in reliance on Dr. Baker’s “well reasoned and well documented” opinion, the ALJ concluded that Barrett had legal pneumoconiosis due to coal mine employment and was totally disabled as a result.
Crockett filed a petition for review with the BRB. The BRB, however, held that it had no basis on which to review the ALJ’s decision because Crockett had failed to comply with the federal regulation set forth in
Crockett has now appealed the BRB’s order, arguing that the BRB erred in finding that Crockett’s petition was insufficient to trigger review. Crockett seeks an order requiring the BRB to review the ALJ’s award of benefits or, in the alternative, an order reversing the award of benefits. Barrett and the Director of the Office of Workers’ Compensation Programs of the Department of Labor maintain that the BRB proрerly refused to review the merits of the case. In the alternative, they argue that we should affirm the ALJ’s decision because it was supported by substantial evidence.
II.
In reviewing an ALJ’s decision and order, the BRB is authorized to “hear and determine appeals raising a substantial question of law or fact.”
In reviewing a decision of the BRB, our task “is limited to correcting errors of law and ensuring that the Board adhered to the substantial evidence standard in its review of the ALJ’s factual findings.” Creek Coal Co., Inc. v. Bates,
Crockett first challenges the BRB’s determination that Crockett’s petition for review failed to comply with the requirements set forth in
Each petition for review shall be accompanied by a supporting brief, mеmorandum of law or other statement which: Specifically states the issues to be considered by the Board; presents, with appropriate headings, an argument with respect to each issue presented with references to transcripts, pieces of evidence and other parts of the record to which the petitioner wishes the Board to refer; a short conclusion stating the precise result the petitioner seeks on each issue and any authorities upon which the pеtition relies to support such proposed result.
In Sarf v. Director, OWCP,
The BRB found that Crockett had failed to adequately brief with specificity the errors allegedly made by the ALJ. It held as follows:
In challenging the above findings, employer contends generally that the evidence of record is not sufficient to establish entitlement to benefits. However, the Boаrd is not authorized to undertake a de novo adjudication of the claim. To do so would upset the carefully allocated division of authority between the administrative law judge as trier-of-fact, and the Board as a reviewing tribunal/ See20 C.F.R. § 802.301(a) ; Sarf v. Director, OWCP,1987 WL 107338 , 10 BLR 1-119, 1-120-21 (1987); Cox v. Benefits Review Board,791 F.2d 445 , 446-47, 9 BLR 2-46, 2-47-48 (6th Cir.1986); Fish v. Director, OWCP, 6 BLR 1-107, 1-109 (1983). As we have emphasized previously, the Board’s circumscribed scope of review requires that a party challenging the Decision and Order below address that Decision and Order with specificity and demonstrate that substantial evidence does not support the rеsult reached or that the Decision and Order is contrary to law. See20 C.F.R. § 802.211(b) ; Sarf, 10 BLR at 1-120; Cox,791 F.2d at 446 , 9 BLR at 2-47; Slinker v. Peabody Coal Co., 6 BLR 1-465,1-466 (1983); Fish, 6 BLR at 1-109. A petitioner who fails to comply with the requisite regulations provides the Board with no basis to reach the merits of an appeal. Id.
In this case, the employer generally asserts that the administrative law judge erred in the weight he accorded Dr. Baker’s opinion. Employer’s Brief at 4-7. Employer, however, fails to adequately brief with specificity any error made by the administrative law judge in his evaluation of the evidence or in his аpplication of the law pursuant to 20 C.F.R. Part 718. Thus, as employer has failed to adequately raise or brief any issues arising from the administrative law judge’s award of benefits, the Board has no basis upon which to review the decision. Thus, we decline to review the Decision and Order of the administrative law judge and we affirm the administrative law judge’s award of benefits. See Sarf, 10 BLR at 1-121.
J.A. at 229-30 (footnote omitted).
On appeal, Crockett maintains that the arguments presented in its petition for review were no less concise than the arguments presented by Barrett in his earlier appeal. According to Crockett, the BRB unfairly applied different standards of review to the two petitions. Any difference
In its petition for review, Crockett argued that the ALJ’s conclusion that Barrett has pneumoconiosis is not supported by substantial evidence and should be overturned. Crockett noted that the ALJ, citing Cornett v. Benham Coal, Inc.,
Crockett next challenged the ALJ’s evaluation of the evidence concerning whether Barrett was totally disabled. At issue was whether a physician, exercising reasoned medical judgment based on medically accepted clinical and laboratоry diagnostic techniques, had concluded that Barrett’s pneumoconiosis prevented him from engaging in coal mining or other comparable work. The ALJ relied on Dr. Baker’s report, finding it well-reasoned and well-documented. In its petition for review, Crockett argued that it was inconsistent for the ALJ to find that Baker’s report, which relied on FEVi results and arterial blood gas studies, supported a finding of total disability when the ALJ had previously held that the same arterial blood gas studies did not support a finding of total disability. Crоckett also argued that the ALJ erred in finding that Dr. Dahhan’s opinion concerning Barrett’s respiratory capacity was not well-reasoned.
IV.
If we agreed with the BRB that Crockett’s petition failed to comply with the procedural requirements of
“When the question before this court is whether the ALJ reached the correct result after weighing conflicting medical evidence, ‘our scope of review ... is exceedingly narrow. Absent an error of law, findings of facts and conclusions flowing thereform [sic] must be affirmed if supported by substantial evidence.’ ” Knuckles v. Director, OWCP,
In this case, the ALJ found that Barrett was entitled to black lung benefits because Barrett had established that: (1) he has pneumoconiosis; (2) the pneumoco-niosis arose out of his employment in the coal mines; and (3) he is totally disabled as a result.
The ALJ found that Barrett had established the existence of legal pneumoconio-sis pursuant to
Dr. Dahhan and Dr. Baker agree that Barrett suffers from some degree of respiratory or pulmonary impairment. The question in dispute is whether that impairment is caused by cigarette smoking, coal dust exposure, or both. The ALJ noted that because of Barrett’s long-time coal mine employment, Barrett was entitled to a presumption that his pneumoconiosis was caused by coal dust exposure. See
The ALJ found that this presumption had not been rebutted. He also relied on Dr. Baker’s report. Baker first stated that Barrett’s moderate obstructive defect “could all be due to cigarette smoking or could be due to a combination of cigarette smoking and coal dust exposure.” He nevertheless concluded that the coal dust exposure “probably contributes to some extent in an undefinable proportion” to Barrett’s pulmonary problems. The ALJ acknowledged that Baker’s opinion with respect to causation was “not wholly unequivocal.” The ALJ nevertheless found that any equivocality appeared “to relate to the extent to which coal dust exposure contributed rather than whether coal dust contributed to Claimant’s respiratory impairments.” J.A. at 216 (emphasis in original).
In rejecting Dr. Dаhhan’s opinion, the ALJ found that Dahhan had not adequately explained why Barrett’s responsiveness to treatment with bronchodilators necessarily eliminated a finding of legal pneu-moconiosis, and had not adequately explained “why he believes that coal dust exposure did not exacerbate [Barrett’s] allegedly smoking-related impairments.” J.A. at 217. In short, the ALJ clearly articulated his reasons for crediting Baker’s opinion over Dahhan’s, and substantial evidence supports the ALJ’s finding that Barrett has legal pneumoconiosis due to coal mine employment.
Substantial evidence also supports the ALJ’s finding that Barrett is totally disabled as a result of the pneumoconiosis. Total disability may be proved in one of four ways: (1) qualifying pulmonary function tests; (2) qualifying arterial blood-gas tests; (3) cor pulmonale with right-sided congestive heart failure; or (4) a physician exercising reasoned medical judgment,
The ALJ noted that four pulmonary function studies were included in the record. Although three of the four produced qualifying results, the ALJ found that one of those three tests was invalid. Nevertheless, because two of the conforming studies produced qualifying results, the ALJ concluded that the totality of the pulmonary function evidence supported a finding of total disability. These pulmonary funсtion studies, standing alone, would have been sufficient to support a finding of total disability. See
Baker concluded that Barrett suffers a moderate impairment and lacks the respiratory capacity to perform the work of a coal miner or comparable work in a dust-free environment. J.A. at 120. The ALJ noted that Baker’s opinion was based not only on the March 28, 2000 pulmonary function tеst, which was determined to be invalid, but also on a subsequent pulmonary function test that did produce qualifying results and on arterial blood gas studies which indicated that Barrett had “mild resting arterial hypoxemia.” J.A. at 222. The ALJ concluded that, “[wjhile the weight of the valid and conforming pulmonary function tests alone constitutes probative evidence of total disability, when combined with the arterial blood gases, which provide no evidence of total disability, and the medical opinions, which weigh in favor of a finding of total disability, the weight of the evidence directs a finding of total disability.” J.A. at 223. In rejecting Dr. Dahhan’s opinion to the contrary, the ALJ noted that Dahhan did not reach a clear, medical conclusion concerning Barrett’s respiratory capacity and failed to compare Barrett’s “exertional requirements with his respiratory capacity in order to reach his conclusion that he possessed the capacity to return to coal mine employment.” J.A. at 222. Finally, the ALJ noted that Barrett wаs entitled to a rebuttable presumption that his total disability was caused by coal mine employment.
To summarize, we find that the ALJ correctly applied the law, and that his factual findings are supported by substantial evidence. He adequately explained his reasons for rejecting Dr. Dahhan’s medical report and explained why he found Dr. Baker’s report to be well-reasoned. We therefore affirm the award of black lung benefits to Barrett.
Notes
. Even though the petition for review that Crockett submitted tо the BRB lies at the heart of this appeal, it was not included as part of the Joint Appendix, although portions of it were quoted in Crockett’s brief.
Concurrence Opinion
concurring.
I concur fully in the majority opinion. I write separately to explain why this court is permitted to affirm rulings of the Benefits Review Board (BRB) on grounds other than those relied on by the BRB, rather than remand erroneous rulings to the Board as would be required in the case of ordinary appellate review of agency decisions. Such a course appears on the surface to conflict with the time-honored administrative law principle that “an administrative order cannot be upheld unless the grounds upon which the agency acted in exercising its powers were those upon which its action can bе sustained.” SEC v. Chenery Corp.,
The Chenery principle does not apply in this case, however, because the narrow, quasi-judicial function of the BRB distinguishes BRB orders from the ordinary instance of agency decision making.
The BRB exercises the appellate review authority formerly exercised by the United States District Courts. See House Report No. 92-1441, 1972 U.S.C.C.A.N. 4698, 4709. Thus, in the current scheme, Black Lung claims are first heard and decided by an ALJ. Then the ALJ’s determination may be appealed to the BRB. When the BRB reviews the ALJ’s determination, the Board’s review is narrowly defined by
In this context, the ordinary Chenery concerns melt away. The Chenery doctrine rests on the understanding that agency orders involve “a determination of policy or judgment which the agency alone is authorized to make.” Chenery,
In this scheme the BRB functions just like the district courts it replaced. It is, therefore, appropriate that courts of appeals should treat review of the Board’s decisions like our review of legal decisions from the district courts, rather than like the ordinary review of agency determinations. The Supreme Court in Chenery observed that it would be “wasteful” to send a case back to a district court “to reinstate a decision which it had already made but which the appellate court concluded should properly be based on another ground within the power of the appellate court to formulate.” Chenery,
Other circuits have similarly affirmed the BRB on alternate grounds. United Brands Co. v. Melson,