Pauley v. BethEnergy Mines, Inc.Pauley v. BethEnergy Mines, Inc.
Lead Opinion
delivered the opinion of the Court.
The black lung benefits program, created by Congress, was to be administered first by the Social Security Administration (SSA) under the auspices of the then-existent Department of Health, Education, and Welfare (HEW), and later by the Department of Labor (DOL). Congress authorized these Departments, during their respective tenures, to adopt interim regulations governing the adjudication of claims for black lung benefits, but constrained the Secretary of Labor by providing that the DOL regulations “shall not be more restrictive than” HEW’s. This litigation calls upon us to determine whether the Secretary of Labor has complied with that constraint.
I
A
The black lung benefits program was enacted originally as Title IV of the Federal Coal Mine Health and Safety Act of 1969 (FCMHSA), 83 Stat. 792,
Through FCMHSA, Congress established a bifurcated system of compensating miners disabled by pneumoconiosis.
Under FCMHSA, the Secretary of HEW was authorized to promulgate permanent regulations regarding the determination and adjudication of part B claims.
B
Dissatisfied with the increasing backlog of unadjudicated claims and the relatively high rate of claim denials resulting from the application of the HEW permanent regulations, Congress in 1972 amended FCMHSA and redesignated Title IV of that Act as the Black Lung Benefits Act of 1972 (Benefits Act). 86 Stat. 150. See S. Rep. No. 92-743 (1972). See also Comptroller General of the United States, General Accounting Office, Report to the Congress: Achievements, Administrative Problems, and Costs in Paying Black Lung Benefits to Coal Miners and Their Widows 16-18 (September 5, 1972) (nationally, as of December 31, 1971, claims filed were 347,716, claims processed were 322,582, and rate of claim denial was 50.5 percent). In addition to extending the coverage of part B to those claims filed by living miners prior to July 1, 1973, and those filed by survivors before January 1, 1974, the 1972 amendments liberalized in several ways the criteria and procedures applicable to part B claims. First, the amendments added a fourth statutory presumption of total disability due to pneumoconiosis for claimants unable to produce X-ray evidence of the disease. This presumption applied to a claimant with 15 years of coal mine employment who presented evidence of a totally disabling respiratory or pulmonary impairment. Congress expressly limited rebuttal of the presumption to a showing that the miner did not
In response to these amendments, the Secretary of HEW adopted interim regulations “designed to ‘permit prompt and vigorous processing of the large backlog of claims’ that had developed during the early phases of administering part B.” Sebben,
Specifically, the HEW interim regulations permit claimants to invoke a rebuttable presumption that a miner is “to
Once a claimant invokes the presumption of eligibility under
The statutory changes adopted by the 1972 amendments and the application of HEW’s interim regulations resulted in a surge of claims approvals under part B. See Lopatto, The Federal Black Lung Program: A 1983 Primer, 85 W. Va. L. Rev. 677, 686 (1983) (demonstrating that the overall approval rate for part B claims had substantially increased by December 31, 1974). Because the HEW interim regulations expired with the part B program, however, the Secretary of Labor was constrained to adjudicate all part C claims, i. e., those filed after June 30, 1973, by living miners, and after December 31, 1973, by survivors, under the more stringent permanent HEW regulations. See Sebben,
C
The Black Lung Benefits Reform Act of 1977 (BLBRA), 92 Stat. 95, approved and effective March 1, 1978, further liberalized the criteria for eligibility for black lung benefits in several ways. First, the Act expanded the definition of pneumoconiosis to include “sequelae” of the disease, including respiratory and pulmonary impairments arising out of coal mine employment. See
In addition to liberalizing the statutory prerequisites to benefit entitlement, the BLBRA authorized the DOL to adopt its own interim regulations for processing part C claims filed before March 31, 1980. In so doing, Congress required that the “[criteria applied by the Secretary of Labor . . . shall not be more restrictive than the criteria applicable to a claim filed on June 30, 1973.”
The Secretary of Labor, pursuant to this authorization, adopted interim regulations governing the adjudication of part C claims. These regulations differ significantly from the HEW interim regulations. See
In addition, the DOL interim regulations add three methods of invoking the presumption of eligibility not included in the HEW interim regulations. Specifically, under the DOL regulations, a claimant can invoke the presumption of total disability due to pneumoconiosis by submitting blood gas studies that demonstrate the presence of an impairment in the transfer of oxygen from the lung alveoli to the blood; by submitting other medical evidence establishing the presence of a totally disabling respiratory or pulmonary impairment; or, in the case of a deceased miner for whom no medical evidence is available, by submitting a survivor’s affidavit demonstrating such a disability. See
Finally, the DOL interim regulations provide four methods for rebutting the presumptions established under
I — I
The three cases before us present the question whether the DOL’s interim regulations are “more restrictive than” HEW’s interim regulations by virtue of the third and fourth rebuttal provisions, and therefore are inconsistent with the agency’s
Because respondent BethEnergy did not contest the presence of coal workers’ pneumoconiosis, the ALJ found that the presumption had been invoked under
Having determined that Pauley was not entitled to receive black lung benefits under the DOL interim regulations, the ALJ felt constrained by Third Circuit precedent to apply the
After the ALJ denied its motion for reconsideration, BethEnergy appealed unsuccessfully to the Benefits Review Board. It then sought review in the Court of Appeals for the Third Circuit. That court reversed. It pointed out that the decisions of the ALJ and the Benefits Review Board created “two disturbing circumstances.”
Asserting that this Court’s decision in Pittston Coal Group v. Sebben,
In the two other cases now before us, No. 90-113, Clinchfield Coal Co. v. Director, Office of Workers’ Compensation Programs, Dept. of Labor, and No. 90-114, Consolidation Coal Co. v. Director, Office of Workers’ Compensation Programs, Dept. of Labor, the Court of Appeals for the Fourth Circuit struck down the DOL interim regulations. John Taylor, a respondent in No. 90-113, applied for black lung benefits in 1976, after having worked for almost 12 years as a coal loader and roof bolter in underground coal mines. The ALJ found that Taylor properly had invoked the presumption of eligibility for benefits under
The Court of Appeals reversed. Taylor v. Clinchfield Coal Co.,
Focusing on the DOL’s rebuttal provisions in isolation, the Fourth Circuit determined that the third and fourth rebuttal methods “permit rebuttal of more elements of entitlement to benefits than do the interim HEW regulations,” because the HEW regulations permit rebuttal “solely through attacks on the element of total disability,” while the DOL regulations “allow the consideration of evidence disputing both the presence of pneumoconiosis and the connection between total disability and coal mine employment.” Ibid. Accordingly, the court concluded that the DOL interim regulations were more restrictive than those found in
Albert Dayton, a respondent in No. 90-114, applied for black lung benefits in 1979, after having worked as a coal miner for 17 years. The ALJ found that Dayton had invoked the presumption of eligibility based on ventilatory test scores showing a chronic pulmonary condition. The ALJ then determined that petitioner Consolidation Coal Company had successfully rebutted the presumption under
The Fourth Circuit reversed. Dayton v. Consolidation Coal Co.,
In view of the conflict among the Courts of Appeals, we granted certiorari in the three cases and consolidated them for hearing in order to resolve the issue of statutory construction.
I — H I — I I — I
We turn to the statutory text that provides that “[cintería applied by the Secretary of Labor . . . shall not be more restrictive than the criteria applicable” under the interim HEW regulations.
In the BLBRA, Congress specifically constrained the Secretary of Labor’s discretion through the directive that the criteria applied to part C claims could “not be more restrictive than” that applied to part B claims.
Judicial deference to an agency’s interpretation of ambiguous provisions of the statutes it is authorized to implement reflects a sensitivity to the proper roles of the political and judicial branches. See Chevron U. S. A. Inc. v. Natural Resources Defense Council, Inc.,
It is precisely this recognition that informs our determination that deference to the Secretary is appropriate here. The Benefits Act has produced a complex and highly technical regulatory program. The identification and classification of medical eligibility criteria necessarily require significant expertise and entail the exercise of judgment grounded in policy concerns. In those circumstances, courts appropriately defer to the agency entrusted by Congress to make such policy determinations. See Martin v. Occupational Safety and Health Review Comm’n,
In Sebben, we declined to defer to the Secretary’s interpretation of the term “criteria” as used in
That Congress intended in the BLBRA to delegate to the Secretary of Labor broad policymaking discretion in the promulgation of her interim regulations is clear from the text of the statute and the history of this provision. Congress declined to require that the DOL adopt the HEW interim regulations verbatim. Rather, the delegation of authority requires only that the DOL’s regulations be “not . . . more restrictive than” HEW’s. Further, the delegation was made with the intention that the program evolve as technological expertise matured. The Senate Committee on Human Resources stated:
“It is the Committee’s belief that the Secretary of Labor should have sufficient statutory authority ... toestablish eligibility criteria .... It is intended that pursuant to this authority the Secretary of Labor will make every effort to incorporate within his regulations ... to the extent feasible the advances made by medical science in the diagnosis and treatment of pneumoconiosis . . . since the promulgation in 1972 of the Secretary of HEW’s medical eligibility criteria.” S. Rep. No. 95-209, p. 13 (1977).
In addition, the Conference Report indicated that the DOL’s task was more than simply ministerial when it informed the Secretary that “such [new] regulations shall not provide more restrictive criteria than [the HEW interim regulations], except that in determining claims under such criteria all relevant medical evidence shali be considered.” H. R. Conf. Rep. No. 95-864, p. 16 (1978) (emphasis added). As delegated by Congress, then, the Secretary’s authority to promulgate interim regulations “not . . . more restrictive than” the HEW interim regulations necessarily entails the authority to interpret HEW’s regulations and the discretion to promulgate interim regulations based on a reasonable interpretation thereof. From this congressional delegation derives the Secretary’s entitlement to judicial deference.
The claimants also argue that even if the Secretary of Labor’s interpretation of the HEW interim regulations is generally entitled to deference, such deference would not be appropriate in this instance because that interpretation has changed without explanation throughout the litigation of these cases. We are not persuaded. As a general matter, of course, the case for judicial deference is less compelling with respect to agency positions that are inconsistent with previously held views. See Bowen v. Georgetown University Hospital,
B
Having determined that the Secretary’s position is entitled to deference, we must decide whether this position is reasonable. See Chevron,
The regulatory scheme, however, is not so straightforward as the claimants would make it out to be. We have noted before the Byzantine character of these regulations. See Sebben,
The premise underlying the Secretary’s interpretation of the HEW interim regulations is that the regulations were adopted to ensure that miners who were disabled due to pneumoconiosis arising out of coal mine employment would receive benefits from the black lung program. Under the Secretary’s view, it disserves congressional intent to interpret HEW’s interim regulations to allow recovery by miners who do not have pneumoconiosis or whose total disability did not arise, at least in part, from their coal mine employment. We agree. See Usery v. Turner Elkhorn Mining Co.,
The Secretary and the nonfederal petitioners contend that SSA adjudications under the HEW interim regulations permitted the factual inquiry specified in the third and fourth rebuttal provisions of the DOL regulations. According to the Secretary, subsection (b)(2) of HEW’s invocation provisions, and the provisions incorporated by reference into that subsection, do the work of DOL’s third and fourth rebuttal methods. Subsection (b)(2) of the HEW interim regulations provides that in order to invoke a presumption of eligibility the claimant must demonstrate that the “impairment established in accordance with paragraph (b)(1) of this section arose out of coal mine employment (see §§ 410.416 and 410.456).”
“If a miner was employed for 10 years or more in the Nation’s coal mines, and is suffering or suffered from pneumoconiosis, it will be presumed, in the absence of persuasive evidence to the contrary, that the pneumoco-niosis arose out of such employment.”
See also § 410.456.
The Secretary interprets the requirement in
Petitioners Clinchfield and Consolidation adopt the Third Circuit’s reasoning in Pauley. The court in Pauley relied on the reference in the HEW rebuttal provisions to § 410.412(a)(1), which in turn refers to a miner’s being “totally disabled due to pneumoconiosis.” The Third Circuit reasoned that this reference must indicate “the intention of the Secretary
The claimants respond that the Secretary has not adopted the most natural reading of subsection (b)(2). Specifically, the claimants argue that miners who have 10 years of coal mine experience and satisfy the requirements of subsection (b)(1) automatically obtain the presumption of causation that §410.416 or §410.456 confers, and thereby satisfy the causation requirement inherent in the Act. In addition, the claimants point out that the reference in the HEW rebuttal provisions to § 410.412(a)(1) may best be read as a reference only to the definition of the term “comparable and gainful work,” not to the disability causation provision of § 410.412(a). While it is possible that the claimants’ parsing of these impenetrable regulations would be consistent with accepted canons of construction, it is axiomatic that the Secretary’s interpretation need not be the best or most natural one by grammatical or other standards. EEOC v. Commercial Office Products Co.,
The claimants’ assertion that the Secretary’s interpretation is contrary to the plain language of the statute ultimately rests on their contention that subsections (b)(l)(i) and (ii) of the HEW interim regulations create a “conclusive” presumption of entitlement without regard to the existence of competent evidence demonstrating that the miner does not or did not have pneumoconiosis or that the miner’s disability was not caused by coal mine employment. This argument is deficient in two respects. First, the claimants’ premise is inconsistent with the text of the authorizing statute, which expressly provides that the presumptions in question will be rebuttable, see
Second, the presumptions do not by their terms conclusively establish any statutory element of entitlement. In setting forth the two rebuttal methods in subsection (c), the Secretary of HEW did not provide that they would be the exclusive methods of rebuttal. In fact, the claimants admit that “conclusively presume” is a term they “coined” for purposes of argument. Tr. of Oral Arg. 34. Although the delineation of two methods of rebuttal may support an inference that the drafter intended to exclude rebuttal methods not so specified, such an inference provides no guidance where its application would render a regulation inconsistent with the purpose and language of the authorizing statute. See Sunstein,
In asserting that the Secretary’s interpretation is untenable, the claimants essentially argue that the Secretary is not justified in interpreting the HEW interim regulations in conformance with their authorizing statute. According to the claimants, the HEW officials charged with administering the black lung benefits program and with drafting the HEW interim regulations believed that it was virtually impossible to determine medically whether a miner’s respiratory impairment was actually caused by pneumoconiosis or whether his total disability arose out of his coal mine employment. Faced with such medical uncertainty, and instructed to ensure the “prompt and vigorous processing of the large backlog of claims,” see
Finally, we do not accept the implicit premise of this argument: that the Secretary cannot prevail unless she is able to
IV
We conclude that the Secretary unreasonably or inconsistently with
It is so ordered.
Notes
Pneumoconiosis was identified by the Surgeon General as “a chronic chest disease caused by the accumulation of fine coal dust particles in the human lung.” S. Rep. No. 95-209, p. 5 (1977). What he described as simple pneumoconiosis seldom produces significant ventilation impairment, but it may reduce the ability of the lung to transfer oxygen to the blood. Complicated pneumoconiosis is a more serious disease, for the patient “incurs progressive massive fibrosis as a complex reaction to dust and other factors.” In its complicated stage, pneumoconiosis “usually produces marked pulmonary impairment and considerable respiratory disability.” Ibid.
Although the 1972 amendments did not direct the Secretary of HEW to promulgate these new interim regulations, the Report of the Senate Committee on Labor and Public Welfare contained a strongly worded invitation to do so. See S. Rep. No. 92-743, p. 18 (1972) (“Accordingly, the Committee expects the Secretary to adopt such interim evidentiary rules and disability evaluation criteria as will permit prompt and vigorous processing of the large backlog of claims consistent with the language and intent of these amendments”).
In light of this Court’s decision in Pittston Coal Group v. Sebben,
In light of this conclusion, the Board found it unnecessary to review the determination that Consolidation had successfully rebutted the presumption under subsection (b)(2) of the DOL interim regulations.
In addition to the Third Circuit, the Seventh Circuit has concluded that the third rebuttal provision of the DOL interim regulation is not more restrictive than the criteria applied by HEW. See Patrich v. Old Ben Coal Co.,
In Sebben, the Court concluded that the DOL interim regulations were more restrictive than the HEW’s to the extent that the DOL’s invocation provision did not permit invocation of the presumption without 10 years of coal mining experience. See
The Court’s conclusion in Sebben that subsection (b)(2) of HEW’s interim regulations was not a rebuttal provision does not foreclose the Secretary’s argument, as the Sebben Court made clear that that provision was, nonetheless, a “substantive requirement.” See Sebben,
That no element of the presumptions at issue was intended to be conclusive is further indicated by the language of the remaining two provisions in this section of the statute. In
The claimants support this argument by reference to the HEW’s Coal Miner’s Benefits Manual (1979), which they claim represents the agency’s contemporaneous interpretation of its regulation. Claimants assert that the manual “nowhere suggests” that the HEW interim regulations permit factual inquiry into the existence of pneumoconiosis or disability causation. The manual, however, does not demonstrate that HEW understood its interim regulations to preclude rebuttal with facts similar to DOL’s third and fourth rebuttal provisions. At best, this document is ambiguous with respect to the statutory elements susceptible of rebuttal. See Manual, Part IV, § IB6(e) (stating that the presumption of entitlement to benefits “may be rebutted if . . . (3) Biopsy or autopsy findings clearly establish that no pneumoconiosis exists”). We find it more revealing that, in outlining the general structure of the interim regulations, the manual makes clear that “[t]o establish entitlement to benefits on the basis of a coal miner’s total disability due to pneumoconiosis, a claimant must submit the evidence necessary to establish that he is a coal miner . . . who is . . . totally disabled
Dissenting Opinion
dissenting.
I respectfully dissent. The disputed regulatory language is complex, but it is not ambiguous, and I do not think Chevron deference, see Chevron U. S. A. Inc. v. Natural Resources Defense Council, Inc.,
A
As an initial matter, the Court misconstrues our Chevron jurisprudence. Chevron requires that we defer to an agency’s interpretation of its organic statute once we determine that that statute is ambiguous. No one contends that the relevant statutory language (“shall not be more restrictive than”) is ambiguous. See Pittston Coal Group v. Sebben,
But even if the regulations were ambiguous, it would not follow that the Secretary of Labor is entitled to deference. Nothing in our Chevron jurisprudence requires us to defer to one agency’s interpretation of another agency’s ambiguous regulations. We rejected precisely that proposition in Martin v. Occupational Safety and Health Review Comm’n,
B
In any event, the interpretive issue here is, in my view, much less difficult than the Court suggests. Title
“§727.203 Interim Presumption.
“(a) Establishing interim presumption. A miner who engaged in coal mine employment . . . will be presumed to be totally disabled due to pneumoconiosis . . . if one of the following medical requirements is met:
“(1) A chest roentgenogram (X-ray), biopsy, or autopsy establishes the existence of pneumoconiosis (see §410.428 of this title);
“(2) Ventilatory studies establish the presence of a chronic respiratory or pulmonary disease . . .
“(3) Blood gas studies . . . demonstrate the presence of an impairment in the transfer of oxygen from the lung alveoli to the blood . . .
“(4) Other medical evidence . . . establishes the presence of a totally disabling respiratory or pulmonary impairment;
“(b) Rebuttal of interim presumption. In adjudicating a claim under this subpart, all relevant medical evidence shall be considered. The presumption in paragraph (a) of this section shall be rebutted if:
“(1) The evidence establishes that the individual is, in fact, doing his usual coal mine work or comparable and gainful work (see § 410.412(a)(1) of this title); or
"(2) In light of all relevant evidence it is established that the individual is able to do his usual coal mine work or comparable and gainful work (see § 410.412(a)(1) of this title); or
“(3) The evidence establishes that the total disability or death of the miner did not arise in whole or in part out of coal mine employment; or
“(4) The evidence establishes that the miner does not, or did not, have pneumoconiosis.”20 CFR §727.203 (1990).
The criteria governing claims filed on June 30, 1973, were set forth in HEW interim regulations,
“(b) Interim presumption. With respect to a miner who files a-claim for benefits before July 1, 1973, . . . such miner will be presumed to be totally disabled due to pneumoconiosis ... if:
“(1) One of the following medical requirements is met:
“(i) A chest roentgenogram (X-ray), biopsy, or autopsy establishes the existence of pneumoconiosis (see §410.428); or
“(ii) In the case of a miner employed for at least 15 years in underground or comparable coal mine employment, ventilatory studies establish the presence of a chronic respiratory or pulmonary disease . . .
“(2) The impairment established in accordance with paragraph (b)(1) of this section arose out of coal mine employment (see §§410.416 and 410.456).
“(c) Rebuttal of Presumption. The presumption in paragraph (b) of this section may be rebutted if:
“(1) There is evidence that the individual is, in fact, doing his usual coal mine work or comparable and gainful work (see § 410.412(a)(1)), or
“(2) Other evidence, including physical performance tests . . . establish that the individual is able to do his usual coal mine work or comparable and gainful work (see § 410.412(a)(1)).”
The relationship between the two regulations is apparent because they use a similar structure and, in large part, similar language. Both allow claimants to invoke a presumption of disability due to pneumoconiosis upon the presentation of certain medical evidence (the HEW regulations provide for two types of medical evidence while the DOL regulations provide for four). Both specify certain ways in which that presumption may be rebutted. The HEW regulations, however, specify only two methods of rebuttal (both relating to the extent of the disability), while the DOL regulations authorize four methods (the two expressed in the HEW regulations plus two more: (1) that pneumoconiosis did not cause the disability, and (2) that the miner does not have pneumoconiosis).
Obviously, if the DOL regulations provide more opportunities for rebuttal, they are less favorable to claimants. I think it quite apparent that they do. The present case is illustrative. Claimant Pauley invoked the presumption by submitting X-ray evidence of pneumoconiosis, pursuant to
In my view this argument is self-evidently correct and is obscured only by the technical complexity of the regulatory provisions. But the statutory structure, as opposed to the actual language, is simple. Under the HEW regulations, we assume “x,” but “x” may be rebutted by a showing of “a” or “b.” Under the DOL regulations, we likewise assume “x,” but “x” may be rebutted by a showing of “a” or “b” or “c” or “d.” It defies common sense to argue that, given this structure, the two regulations are in fact identical, and that Pauley, whose claim could be defeated by a showing of “c” but not by a showing of “a” or “b,” was no worse off under the latter regime. Yet that is precisely the argument the Court accepts.
Pauley’s commonsense reading is further supported by the fact that there is nothing remarkable about the HEW regulations’ severely limiting rebuttal. The introduction to those regulations states:
“In enacting the Black Lung Act of 1972, the Congress noted that adjudication of the large backlog of claims generated by the earlier law could not await the establishment of facilities and development of medical tests not presently available to evaluate disability due to pneumo-coniosis, and that such claims must be handled underpresent circumstances in the light of limited medical resources and techniques. Accordingly, the Congress stated its expectancy that the Secretary would adopt such interim evidentiary rules and disability evaluation criteria as would permit prompt and vigorous processing of the large backlog of claims . . . § 410.490(a) .
In this context, the limitation on rebuttal makes perfect sense. Litigation over the existence of pneumoconiosis was circumscribed: If the claimants introduced specified types of medical evidence supporting their claim, that portion of the case would be deemed established — thus avoiding the time-consuming exchange of conflicting medical evidence which, given the technology and scientific knowledge then available, was likely to be inconclusive in any event. Similarly, litigation over the causal link between the disease and the disability — which poses even more difficult medical questions — was eliminated entirely by the presumption that if a miner had pneumoconiosis and was disabled, he was disabled because of pneumoconiosis. On the other hand, the regulations permitted full litigation as to the existence of a disability, an area where medical and scientific knowledge was equal to the task and where agencies (and courts) typically think themselves able to make reasoned assessments.
In addition, apparently the interim regulations were at the time thought to limit rebuttal. Literally thousands of cases were decided pursuant to these regulations in the 1970’s; neither the Government nor the employers have cited a single
“[T]he rebuttal provisions of the interim Labor regulation . . . permi[t] rebuttal not only on the grounds available in the interim HEW regulation (§ 410.490(c) ), but also on the basis that ‘the total disability or death of the miner did not arise in whole or in part out of coal mine employment’ or that ‘the miner does not, or did not, have pneumoconiosis.’ See§§ 727.203(b)(1) -(4).”488 U. S., at 111 (emphasis added).
hH I — 1
Although I think the HEW regulations clear (albeit complex) on their face, I turn now to the specific arguments why they should nevertheless not be read to limit rebuttal opportunities.
A
First, the Government contends that the HEW rebuttal provisions actually include the two new rebuttal provisions apparently added by DOL. The principal claim here centers upon subsection (b)(2) of the HEW regulations. That provision states that the claimant must demonstrate that the “impairment established in accordance with paragraph (b)(1) of this section arose out of coal mine employment.”
The Government contends that subsection (b)(2) of the HEW regulations also equates with the fourth rebuttal provision of the DOL regulations. The fourth rebuttal provision allows rebuttal on the ground that the claimant does not have pneumoconiosis. I think the Government’s argument is partially correct — but only partially. As the Government notes, proof of pneumoconiosis involves proof of two elements: (1) a chronic dust disease, which (2) arose from coal mine employment. Subsection (b)(1) of the HEW regulations says the claimant must prove the first point, and says how to do it (by submitting the specified medical evidence and thereby raising the presumption). Subsection (b)(2) says that the claimant must also prove the second point (to which the presumption is irrelevant). To contest a finding of pneumoconiosis, the employer may wish to argue either (1) that the miner has a chronic dust disease but it did not arise from coal mine employment; or (2) that the miner does not have a chronic dust
The employers offer yet another contortion of the statute to the same effect.
“(a) A miner shall be considered totally disabled due to pneumoconiosis if:
“(1) His pneumoconiosis prevents him from engaging in gainful work in the immediate area of his residence requiring the skills and abilities comparable to those of any work in a mine or mines in which he previously engaged with some regularity and over a substantial period of time
Because this provision begins with references to the miner’s disability due to pneumoconiosis, the employers believe it would be reasonable to construe it as authorizing the argument either that the miner does not have the disease or that the disease is not causing the disability. I do not find this a plausible explanation of the reference to § 410.412(a)(1). The logical reason for cross-referencing that provision was to include within the explicit rebuttal provision the more complete definition of “gainful work” that the incorporated section affords. Had HEW intended to create additional rebuttal provisions, it would simply have done so, explicitly and in parallel with the other rebuttal provisions, rather than backhandedly, through the incorporation by reference.
The Court apparently concedes that the companies’ cross-reference argument is not the most natural reading of the
B
The Government’s second line of attack centers upon its claim that the HEW regulations, if read to limit rebuttal, would violate the Black Lung Benefits Act of 1972. That argument has potential force, for we are more willing to depart from the natural import of language when adhering to it would render a regulation unauthorized or a statute unconstitutional. It is important to note at the outset, however, that the Government has a heavy burden in this regard. Had the HEW regulations been challenged before this Court as inconsistent with the statute, we would have owed Chevron deference to the Secretary (of HEW). The Government’s present argument depends on a showing, not that a natural reading of the HEW regulations produces less than the best reading of the statute, but that it produces an unreasonable one.
The Government argues, and the Court accepts, that “it disserves congressional intent to interpret HEW’s interim regulations to allow recovery by miners who do not have pneumoconiosis or whose total disability did not arise, at least in part, from their coal mine employment,” ante, at 700, and thus HEW must have permitted rebuttal on these grounds even if its regulations did not say so. I think that most unlikely. Any adjudication of claims necessarily involves a tradeoff between the speed and the accuracy of adjudication. As discussed above, the HEW presumptions were avowedly designed to enhance speed at the expense of accuracy, see
It is next argued that certain specific provisions of the authorizing statute mandate the methods of rebuttal later adopted by DOL. Specifically, according to the Court, “the authorizing statute . . . expressly provides that the presumptions in question will be rebuttable, see
Slightly more on point is
In my view, the only colorable claim to a statutory conflict is based on
C
The Government’s final argument is that the HEW regulations do not expressly preclude rebuttal on grounds other than those specified. Thus, even if expanded rebuttal is not specifically provided for, neither is it foreclosed; the statute adopting the HEW regulations is simply ambiguous as to its availability, and we should defer to DOL’s view that it should exist. It is true that the HEW regulations do not say that these are the only two ways to rebut the presumption. That is, however, the reasonable implication, as is suggested by the hoary canon of construction, expressio unius est exclusio alterius. When a provision sets forth a general rule followed by specific exceptions to that rule, one must assume — absent other evidence — that no further exceptions are intended. The Court argues that the principle of expressio unius is not absolute, and may be rejected where its application “would render a regulation inconsistent with the purpose and language of the authorizing statute.” Ante, at 703. That is assuredly true; it is only one of many possible indications of meaning. Cf. Burns v. United States, ante, at 136-138 (invocation of expressio unius inappropriate where it would lead to absurd and arguably unconstitutional results). It is a strong indication, however, and the problem here is that there are no others. As discussed above, limitation of rebuttal is not contrary to the text or purpose of the authorizing statute, and neither the Government nor the Court offers any other reason for thinking that the listed exceptions are not exclusive.
In sum, the DOL regulations impermissibly exceed the HEW regulations in at least two respects: (1) they allow employers to argue that a miner who has pneumoconiosis and is disabled is nevertheless not disabled due to the pneumoconio-sis, and (2) where a miner has submitted specified evidence of a chronic dust disease, they allow the employer to challenge not only whether the disease is coal related, but whether the disease exists. That was the view of these regulations we expressed in Pittston Coal, see
For the foregoing reasons, I respectfully dissent.
The HEW regulations also contain a separate provision that would have required Pauley to show that his medical condition arose from working in a coal mine.
In its permanent regulations HEW did not use the
Even if the Secretary of Labor were the proper party to claim Chevron deference in interpreting these regulations, I find her arguments to the contrary so implausible that I would not accept them in any event.