Document: 484 U.S. 135 108 S.Ct. 427 98 L.Ed.2d 450 MULLINS COAL COMPANY, INC. OF VIRGINIA, et al., Petitionersv.DIRECTOR, OFFICE WORKERS' COMPENSATION PROGRAMS, UNITED STATES DEPARTMENT LABOR, al. No. 86-327. Argued Oct. 14, 1987. Decided Dec. Rehearing Denied Jan. 25, 1988. See --- ----, 787. Syllabus Section 203(a) of the Secretary Labor's "interim regulations" governing black lung benefits claims filed between July 1, 1973, and April 1980, provides that a claimant who engaged in coal-mine employment for at least 10 years is entitled to an presumption" eligibility disability if he meets one four medical requirements: (1) chest X-ray "establishes" presence pneumoconiosis; (2) ventilatory studies establish any respiratory or pulmonary disease specified severity; (3) blood gas demonstrate impairment transfer oxygen from lungs blood; (4) other evidence, including documented opinion physician exercising reasonable judgment, establishes totally disabling impairment. 203(b) "all relevant evidence shall be considered" adjudication claim, interim presumption rebutted establishes: doing his usual comparable work; capable such did not arise, even part, out employment; does have pneumoconiosis. At hearing on respondent Ray's 1976 record proved Ray had 16 contained qualifying seven nonqualifying interpretations, two studies, five physicians' opinions. After weighing Administrative Law Judge (ALJ) held was benefit presumption, issued order denying benefits, which Benefits Review Board affirmed. However, Court Appeals reversed, rejecting Secretary's position § requires facts by preponderance evidence. The court instead single item always sufficient invoke and, upon finding been invoked this case physician's opinion, remanded ALJ determine whether employer. Held: Pp. 146-160. (a) 203(a)'s plain language mandate basis Appeals' reading 203(a)(1) as though it merely pneumoconiosis ignores fact expressly actually disease. It isolation presence; rather, regulation must, minimum, reference both itself interpretations qualified experts. view regulation, would render some inadmissible certain aspects rebuttal, inconsistent with 203(b)'s requirement received" adjudicating since nothing prevents all being considered point proof process, rebuttal phase. Moreover, interpretation rendered internally that, invokes establishing existence under 203(a)(1), employer may try disprove 203(b)(4), each subsection fully available case. Furthermore, will permit prevail solely negative violation statutory provision prohibiting claim denials basis. Thus, 203 entirely consistent regulation's text. 146-152. (b) erred legislative history statutes single-item-of-evidence invocation burden. derives directly from, substantially similar to, promulgated Social Security Administration (SSA), SSA ALJs routinely weighed stage without judicial objection often explicit approval. 152-155. (c) compel conclusion must sufficient. factual understanding underlying highly probable long-term coal miner disabled arising can prove requirements—is present when offers overcome more reliable conflicting Similarly, policy concern presumption—that miners are truly diseased should undertake difficult task proving their diseases related, they pneumoconiosis—is implicated suffering type ailment Congress concerned. presumption's burden eminently deserving substantial deference. 156-160. 785 F.2d 424 (CA4 1986), reversed remanded. STEVENS, J., delivered Court, which, REHNQUIST, C.J., WHITE, BLACKMUN, O'CONNOR, SCALIA, JJ., joined. MARSHALL, dissenting BRENNAN, Mark E. Solomons, Washington, D.C., petitioners. Michael K. Kellogg, federal supporting C. Randall Lowe, respondents. Justice STEVENS Court. 1 In 1978 Labor govern processing 1980. 20 CFR pt. 727 (1987). those regulations prescribes ways eligibility. question concerns satisfy presumption. held, Stapleton v. Westmoreland Coal Co., 1986) (en banc) (case below), whereas contends Because we persuaded has misread own reverse. 2 * Although program rather complex, its broad outlines provisions briefly described. Prolonged exposure dust subjected hundreds thousands pneumoconiosis—a serious progressive condition popularly known "black lung." tragic consequences crippling illness prompted authorize special victims 1969. developed through several enactments,1 different rules during periods time. Those prior were processed (SSA) pursuant Department Health, Education, Welfare (HEW); allowed, these "Part B" paid funds.2 C" claims3 after 1973; private employers fund contribute, administered Director Office Workers' Compensation Programs (the Director) Secretary). Part C includes subparts: governed "permanent criteria,"4 issue Despite "interim" designation, extremely important because apply about 10,000 pending claims. 3 There no dispute authority promulgate regulations.5 Nor there suggestion violate express command. statute require criteria "shall restrictive than" HEW established administration B program,6 but hold violates standard. also evidence" considered, clear requirement7—the only over how much determining invoked. need parse decide 4 holding rests, bottom, propositions: mandates evidence; faithful purposes reflected history. We consider propositions reviewing substance presents legal decide.8 II 5 Disability payable she disabled, caused, pneumoconiosis, arose mine employment. All three conditions presumed ten requirements:9 disease—not necessarily impairment.10 noteworthy first alternative methods invoking claimant's None causation, fourth total disability. 6 second paragraph describes rebutted.11 considered." then work, employment, rebut satisfied.12 III 7 Respondent 1976. before ALJ, placed 47 exhibits Director's file into evidence,13 introduced additional exhibits. qualifying14 interpretation, opinion. record, however, included opinions.15 concluded pneumoconiosis,16 afterbalancing chronic disease.17 Additionally, found opinions, impairment.18 He therefore presumption.19 8 BRB affirmed ALJ's benefits. noted "contention (a)(1) where contains positive previously rejected,"20 agreed evaluation studies. Finally, while disagreeing reasoning, reviewed approved opinions employer's favor. 9 further proceedings. (a)(2) (a)(4) rely sufficiently identified requirements 718.102(c) regulation. Board's denial rebutted. granted certiorari, 479 107 871, 93 L.Ed. 826 (1987), resolve presented case: thereby shift persuasion IV "the 727.203(a)(1), (2), credible indicates set indicates, regulatory standard, disease, blood." F.2d, 426. principal court's makes advancing view, pause significance ofthe word (a)(1). read required constitutes than 11 regulations, recognize difference tends said it. contrast use throughout 727.203(a), defining suitable quality refers constitute absence pneumoconiosis."21 "constitutes pneumoconiosis." Had intent, presumably used elsewhere explain meaning. 12 another reason why cannot intended refer For ordinary trier fact—even heard many cases—an well meaningless unless interpreted expert. What persuasive then, just itself, specialist. And, course, experts provide readings same X-ray. As Posner observed: 13 "Under reading, X-ray, If doctor interprets black-lung 100 equally doctors interpret administrative law judge disregard readings." Cook Director, Programs, 816 1182, 1185 (CA7 1987). 14 seems perfectly disease; sheds light meaning X-ray.22 Just weigh seem ignore X-rays series except one.23 15 relied large part perceived internal inconsistencies interpretation. section, "adjudicating subpart, statement requiring rebuttal. Since make rebuttal,24 thought violated disagree, reasons. First, process. To understand inserted beginning derivation. adopted approval rate increased, due, thought, factfinders failing employers' evidence.25 assure problem infect adjudications new 30 U.S.C. 923(b) explicitly carried section. appears section reflects genesis indicate drafters limited evidentiary battle stage. long demand decision made complete satisfied. 17 Second, cited subpart," "subpart" "may group related sections part." 21.9(b) 727.203 within subpart 727. phase; simply admissible 18 superfluous reading. instance, (a)(1), (b)(4). This limitation according Appeals, renders inconsistent. 19 Again, constrained disagree. Nothing introduce, say, oppose given chance show nonexistence nonetheless invoked, still causality.26 might carry day employer, statute's "no . denied results [an X-ray]." (made applicable 902(f)(2)). easy answer provided dissent below: "a drawn either sole nor (b)(4) carried." 445 (emphases added). undoubtedly keep mind character disease: 21 "Since irreversible early significantly later readings. proposition pattern reversed. situation recent earlier less regard timing recognized principle trustworthy indicator disease." Elkins Beth-Elkhorn Corp., BLR 1-683, 1-686 (Ben.Rev.Bd.1979). 22 sum, find V 23 suffices based statutes. 457-461. congressional presumptions reduce number Labor. While agree intend ensure fewer denials, goal frustrated specifically proof. 24 program, high lack due mandated liberalized standards, directive. 410.490(b). so doing, explained problems scheme virtues one: 25 "In enacting Black Lung Act 1972, backlog generated could await establishment facilities development tests presently evaluate handled circumstances resources techniques. Accordingly, stated expectancy adopt prompt vigorous intent 1972 amendments give full consideration combined handicap age physical performance feasible tests. criteria. They take account expectation instances extensive function testing measure extent individual's breathing impairment, alveoli cellular level exist individual roentgenogram (X-ray) normal." 410.490(a). 26 implemented desire ease claimants' burdens promulgating serves antecedent met: "[a] pneumoconiosis" "[i]n employed underground ." 410.490(b)(1); second, "[t]he accordance [either requirements] employment." 410.490(b)(2). [ventilatory studies] requisite 410.490(b)(3). 27 SSA's "[t]here is, fact, work gainful work" "[o]ther ., establish[es] able do work." 410.490(c). 28 remained low, predicate fact. case, result dissatisfaction low rate, satisfies Congress' June 30, 1973," 902(f)(2), i.e., 29 derived SSA's, regarding single-item correct, expect decisions permitting manner, indicating Instead, referred weighings objection, approval.27 occur piece evidence.28 VI Under Indeed, authors apparently expected regularly evidence.29 Reasoning expectation, whenever But demonstrated above, compelled neither text 31 presumptions, law, product understandings concerns. matter reasonably person decade regulation.30 That degree probability not, offer 32 policy, aware whose health impaired insidious effects environment Rather providing more.31 concerned, justification presuming fall outside class assistance unlikely By suffer sort initially gave rise concern, shoulder remainder burden, logical connection proven conclusion.32 33 end, strongly supported wrote Agency's deference "unless plainly erroneous regulation," Bowles Seminole Rock & Sand 325 410, 414, 65 1215, 1217, 89 1700 (1945), been, exception, consistently maintained decisions.33 Likewise, Courts factfinder's determination standard.34 downgrade normal accorded agency's Cf. Motor Vehicle Mfrs. Assn. United States, Inc. State Farm Mutual Automobile Insurance 463 29, 103 2856, 77 443 (1983). 34 judgment proceedings opinion.35 35 ordered. 36 whom BRENNAN joins, dissenting. 37 threshold meet 727.203(a) (Director) listed trigger en banc, rejected proffered once meeting requirements—that "one x-ray, opinion." 424, 436 1986). chooses embrace view. I believe contravenes creates unnecessarily complex inconsistent, dissent. 38 structure most compelling sets up stages: (a), presumption-invocation stage, (b), "miner requirements. 727.203(a). determines "did arise whole employment"; "evidence 727.203(b). 39 triggered [X ray], biopsy, autopsy (a)(4), reasoned impairment." taken whole," weight physicians"—the inquiry Court's interpretation—but X ray, "will presumed" thus commands ray presumption.1 40 attempts evade placing overriding emphasis "establishes." "establish" mean evidence.2 like-kind A natural context come forward standards words, "establishes impairment" referring strict reliability authenticity see, e.g., §§ 410.428, 727.206 41 argues probative reasons expert's ray. From premise, concludes "[j]ust one." Ante, 148—149 (footnote omitted). No language. Whatever merit (for Court), positive. addition, contrary characterization, rays "ignored"; against brought bear.3 42 ruling test comments final promulgation regulations. addressing standard stated: "[T]he cannot, requested some, look qualify obtained rebuts presumption." Notice Final Rulemaking Reform 1977, 43 Fed.Reg. 36826 (1978) (hereinafter Rulemaking) (emphasis current conflicts strong intent. 44 Another reject turns head, submitted severely restricting categories proves category. "fact proved" relitigation foreclosed. Brief Federal 14-15. Of nonmedical instances, hardly conforms 45 placement inexact, Yet stages remarkable introduction simple matter, place 727.200. see assume inartful drafting. accompanying conflict "The urge rebutting rejected. [T]he similarly limit These understood 46 approach virtually useless grounds (b). (b)(4), medicalevidence already mismatched, example produces blood-gas-studies operator rays, weighed. acknowledges, practical submit method diagnosing 24, n. 22. counters "[n]othing case." 150. course true. extraordinary exercise respect central aspect valid claim: suffers addition running afoul structure, needlessly blurs distinction stages. medical-evidence challenge proved, elements subjects mesmerizing swirl rules. relevant, issues disability, although causation using (a)(3), again category, procedural morass two-step inquiry. 48 contrast, marked simplicity. so, proceeds operators 49 willingness accept based, believe, misperception trying alleviate Pneumoconiosis elusive deeply concerned difficulty dearth medical-testing miners. Testimony committees Members repeatedly emphasized unreliability results. Usery Turner Elkhorn Mining 428 31-32, 33, 96 2882, 2899-2900, 752 (1976), "Congress significant demonstrating fails disclose depended disease," "authoritative indications untrustworthy."4 Juxtaposed difficulties rife among Congressman Paul Simon study autopsies 400 years' experience showed 90-95% them House Committee Education Labor, Revenue 96th Cong., 282-283 (Comm.Print 1979). Senate estimated 50% eventually become Hearings S. 355 Subcommittee Public Welfare, 91st 1st Sess., 2, pp. 641, 856 (1969) (statements Dr. I.E. Buff Leon Cander). 50 recognizes especially face showing reasons, more. benefits." 158 "truly diseased" troubling. disputes include physicians. designed risk faulty incidence miners, coupled encountered good shifting findings today accepts, undermines decision. 51 correct See, (1945). bounds. license agency effectively rewrite An abide written until rescinds amends them. States Nixon, 418 683, 695-696, 94 3090, 3101, 1039 (1974). scheme. history, defer. 52 accordingly dissent, affirm Appeals. Title Mine Health Safety 1969, 83 Stat. 792, 801 seq., amended 86 150, 901 92 11, 95, Amendments 1981, 95 1643, 1635, note, Consolidated Omnibus Budget Reconciliation 1985, Pub.L. 99-272, 13203(a), (d), 312, 313, 9501 note (1986). codified 921 seq. 931 718 725.4(a) 902(f)(1). noted: leaves various production allocated employer." 433 banc). 902(f)(2). provides, part: carrying maximum (and part) utilize personnel procedures uses entitlement insurance payments 223 [42 423], [X-ray]. validity including, examination, electrocardiogram, tests, physician, wife's affidavits, deceased miner, appropriate affidavits persons knowledge miner's condition, supportive materials." requirement. infra, 149. irrebuttable 149-150, 26, well. 434. clearly incorrect, incorrect. 149-150. short, opportunity, considered. resolution affect Even properly majority analysis, adopting approach, ground Cornett, Both conclusions. With Ray, disagreed think helpful add posture parties petitioners, joint petition Rule 19.4, Mullins Old Republic Jewell Ridge Corp. employed, respectively, respondents Glenn Cornett Luke R. victorious whom, brief Mullins' carrier. are: administers (Labor) lays challenging burden; Gerald Stapleton, supra, attacks 19.6; happy below, unhappy ramifications support 19.6. fifth alternative, death 727.203(a)(5) quoted 10, infra. reads follows: "(a) Establishing time death, following "(1) (X-ray), (see 410.428 title); "(2) Ventilatory (which duration 410.412(a)(2) title) values equal table: Equal than— FEV MVV 67" less...................... 2.3. 68".............................. 2.4. 69".............................. 70".............................. 2.5. 71".............................. 2.6. 104 72".............................. 73" more...................... 2.7. "(3) Blood indicated Arterial pCO2 (mm.Hg.) pO2 below........................... 70. 31.................................... 69. 32.................................... 68. 33.................................... 67. [Footnote continued p. 143] 34.................................... 66. 35.................................... 65. 36.................................... 64. 37.................................... 63. 38.................................... 62. 39.................................... 61. 40-45................................. 60 Above 45.......................... Any value. "(4) Other impairment; "(5) available, affidavit survivor demonstrates 727.203(b) "(b) Rebuttal if: 410.412(a)(1) Petitioners production. takes cases "true doubt"—that weight. 39. ensures win, stronger claimant's. (BRB) "has upheld true doubt exists, resolved favor claimant." Lessar C.F. I. Steel 1-63, 1-68 (Ben.Rev.Bd.1981). Medical examinations ordered himself. 725.2(b) 725.404 When ordered, becomes record. 725.421(b)(4). term "qualifying" suffice, absent type, example, disclosed (§ (a)(1)) revealed magnitude (a)(2)) Conversely, failed reveal great enough deemed "nonqualifying" object moment; what matters (all may), During hearing, admitted took testimony. "I greatest X-rays, "B" readers. (Dir.Exbs. 26) conclude Claimant 727.203(a)(1)." App. Pet. Cert. 129a. " 'B' readers radiologists proficiency assessing classifying successful completion examination conducted behalf Human Services." Consolidation Co. Chubb, 741 968, 971, 1984). performed 1977 1980 defined aforementioned (Dir.Exb. 19; Emp.Exb. 1) 1975. 16, 17) necessitates 130a. [not impairment], Warden's obstructive probably exposure, persuasive. Warden himself unsure caused diagnosed Id., 132a-133a original). dust. offered none achieved necessary blood. challenged findings. 120a (citing Bozick 1-574 (Ben.Rev.Bd.1983)). 718.102(e) (1987) "(e) compliance Appendix A. runs trouble (a)(3) invocations subsections "ventilatory "blood "; facially, plural references reliance finesse problem, studies" 434 "[T]his define conducted. consists accompanied tracings performed. 718.103; 410.430. separate components, reflecting rest, reporting exercise. 718.105." Ibid. Nevertheless, reasoning adding words of" regulation; moreover, consist occasions "study." 410.426(b) 718.105(b) (c). quality, quantity, despite outnumbered ones, focuses number, uncertainty discounting E.g., outweighed Critical Analysis Legislative History Surrounding Interim Presumption Survey Unresolved Issues, W.Va.L.Rev. 869, 893-895 (1981) (Solomons). "remain open" "only kind stage." 25. So, "other ultimate attempt causality (b)(3) (b)(1) (b)(2) Government notes: "Based knowledge, Therefore, Subsection invocation, closed: party form clinical Invocation involves relatedness; thus, facts, general rule outweighed) invocation. Padavich Mathews, 561 142, 145-146 (CA8 1977) (medical "contradictory inconclusive"; negative, positive, radiologists); Bozwich 558 475 (conflicting readings; invoked); Collins 547 795, 796 1976) ("Although [the] [ALJ] determined pneumoconiosis"); Petrock Califano, 444 F.Supp. 872, 875 (ED Pa.1977); Owens 435 200, 206 (ND Ind.1977); Hill Weinberger, 430 332, 334 Tenn.1976) ("[T]he Council considers interpretive film readers, bases particular credibility ."); 416 1229, 1231 (SD Iowa 1976), aff'd, 142 1977); Ward 403 Tenn.1975); Zirkle 401 945, 949 W.Va.1975); Blackmon 1282, 1287 Okla.1975); Baker 383 1095, 1099 (WD Va.1974). nearly uniform sanctioning Hamrick Schweiker, 679 1078, 1081 1982); Prater Harris, 620 1074, 1084 1980); Pannell 614 391, 393 Staten 598 328, 330 1979); Vintson 592 1353, 1360 (CA5 Sharpless 585 664, 667 1978); Gober Matthews, 574 772, 775 (CA3 1978). Sixth Circuit stands alone reread contradicted "when Couch Services, 774 163, 168 (1985) added); Hatfield 743 1150 (1984); Haywood 699 277 (1983); Lawson 688 (1982); Miniard 618 405 (1980); Dickson 590 616 (1978). draft "would adjudicator disability." Solomons 897, 138. eliminated response objections raised staff members. 451-452, 5. persuaded. quite (a)(2), (a)(3). required, evidence"—i.e., scrapped enumerated responding received notice proposed rulemaking urging stressed explained: embodies claimant, plays role determinations otherwise." "clearly imply[ing] 465. unspoken uncontroverted plausible, ultimately unsatisfactory. According Secretary, sentence explanation proscribes making singling overlooking evidence." 38. phrase for"; operating referent assumed phase principle, "single names thing do, viz., pick choose items claim. Like inference one, rest relationship logic common understanding. "Inferences staple our adversary system factfinding. element crime—that 'ultimate' 'elemental' fact—from 'evidentiary' 'basic' facts. value devices, Due Process Clause, vary depending strength basic elemental involved device curtails freedom assess independently." County Ulster Allen, 442 140, 156, 99 2213, 2224, 777 (1979). pre-July presumes arisen worked mines. 921(c)(1); 921(c)(2), (3), (other presumptions). 921(c) indirectly Lurking beneath surface constitutional "some rational presumed." Mobile, Jackson, Kansas City Turnipseed, 219 35, 43, 136, 138, 55 78 (1910). "proved" serve facts—if tending permitted 28-29, 2898-2899, (1976) (statutory 921(c)(1), "proof plus employment). 1-686-1-687 (Ben.Rev.Bd.1979) (approving (a)(1)); Strako Zeigler 1-136, 1-143 (Ben.Rev.Bd.1981) (factfinder "must conforming reports reports, conflict," (a)(2)); (requiring evidence); Meadows 1-773, 1-779 (Ben.Rev.Bd.1984) (a)(4)), overruling Stiner Bethlehem Mines 1-487, 1-490 opinion). Moseley Peabody 769 357, 359-360, (CA6 1985) 973 1984) "according greater X-ray"); Drummond Freeman, 733 1523 (CA11 (not objecting (4)); Whicker Dept. Bd., 346 (sanctioning weighing), overruled, supra; Sanati, 713 480 1983) overruled Markus Ben 712 322, 324 accepting older ones). divergent views presented. Third sided Fourth. Revak National 808 996 intracircuit confusion, Seventh Circuits followed Hite Preparation 829 1363 1987) (preponderance invocations); Patton 825 1035 (remand Back 169 Engle 792 63, 64, ("The 1182 invocations) (Amax 958 Kuehner Ziegler 788 439 distinguished finds indistinguishable). Tenth Circuit, discussing issue, resulted noninvocation. Plutt 804 597 petitioners pass petitioners' argument, namely, 7(c) Procedure Act, 556(d), 727.203(a)(2) plural, studies." 718.103, 718.105 (a). state Agency "long adhered 'true doubt' rule, equipoise." 16-17 (citation bring attention, instance applied evaluating "as 'constitutes pneumoconiosis,' asserts "[h]ad meaning." 147. notes 718.102(e), "that argument arises unwillingness informed "establish Given qualifying, functional equivalence terms expected. guides speak "constitute pneumoconiosis," says identical meanings Report "approximately percent random sample 200 records coalworker's post mortem S.Rep. 92-743, (1972), U.S.Code Cong. Admin.News 2305, 2316.

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