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- Subject: 89-1714, 90-113 & 90-114 -- OPINION, PAULEY v. BETHENERGY MINES
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-
-
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- NOTICE: This opinion is subject to formal revision before publication in
- the preliminary print of the United States Reports. Readers are requested
- to notify the Reporter of Decisions, Supreme Court of the United States,
- Washington, D. C. 20543, of any typographical or other formal errors, in
- order that corrections may be made before the preliminary print goes to
- press.
-
- SUPREME COURT OF THE UNITED STATES
-
-
- Nos. 89-1714, 90-113 and 90-114
-
-
- HARRIET PAULEY, survivor of JOHN C. PAULEY, PETITIONER v. 89-1714
- BETHENERGY MINES, INC., et al.
-
-
- on writ of certiorari to the united states court of appeals for the third
- circuit
-
- CLINCHFIELD COAL COMPANY, PETITIONER
- v.
- 90-113
- DIRECTOR, OFFICE OF WORKERS' COMPENSATION PROGRAMS, UNITED STATES
- DEPARTMENT OF LABOR, et al.
-
- CONSOLIDATION COAL COMPANY, PETITIONER
- v.
- 90-114
- DIRECTOR, OFFICE OF WORKERS' COMPENSATION PROGRAMS, UNITED STATES
- DEPARTMENT OF LABOR, et al.
-
- on writs of certiorari to the united states court of appeals for the fourth
- circuit
-
- [June 24, 1991]
-
-
-
- Justice Blackmun 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,
- 30 U. S. C. MDRV 901 et seq., to provide benefits for miners totally
- disabled due at least in part to pneumoconiosis arising out of coal mine
- employment, and to the dependents and survivors of such miners. See
- Pittston Coal Group v. Sebben, 488 U. S. 105, 108 (1988); Mullins Coal Co.
- v. Director, OWCP, 484 U. S. 135, 138 (1987).
- Through FCMHSA, Congress established a bifurcated system of
- compensating miners disabled by pneumoconiosis. {1} Part B thereof created
- a temporary program administered by the Social Security Administration
- under the auspices of the Secretary of Health, Education, and Welfare.
- This program was intended for the processing of claims filed on or before
- December 31, 1972. Benefits awarded under part B were paid by the Federal
- Government. For claims filed after 1972, part C originally authorized a
- permanent program, administered by the Secretary of Labor, to be
- coordinated with federally approved state workmen's compensation programs.
- Benefits awarded under part C were to be paid by the claimants' coal mining
- employers.
- Under FCMHSA, the Secretary of HEW was authorized to promulgate
- permanent regulations regarding the determination and adjudication of part
- B claims. 30 U. S. C. MDRV 921(b). The Secretary's discretion was
- limited, however, by three statutory presumptions defining eligibility
- under the part B program. MDRV 921(c). For a claimant suffering from
- pneumoconiosis who could establish 10 years of coal mine employment, there
- "shall be a rebuttable presumption that his pneumoconiosis arose out of
- such employment." MDRV 921(c)(1). Similarly, for a miner with at least 10
- years of coal mine employment who "died from a respirable disease there
- shall be a rebuttable presumption that his death was due to
- pneumoconiosis." MDRV 921(c)(2). Finally, there was an irrebuttable
- presumption that a miner presenting medical evidence demonstrating
- complicated pneumoconiosis was totally disabled as a result of that
- condition. MDRV 921(c)(3). Consistent with these presumptions, HEW
- promulgated permanent regulations prescribing the methods and standards for
- establishing entitlement to black lung benefits under part B. See 20 CFR
- 15 410.401 to 410.476 (1990).
-
- 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 FCMSHA and
- redesignated Title IV of that Act as the Black Lung Benefits Act of 1972.
- 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 have pneumoconiosis or that
- his respiratory or pulmonary impairment did not arise out of employment in
- a coal mine. 30 U. S. C. MDRV 921(c)(4). Second, the 1972 amendments
- redefined "total disability" to permit an award of benefits on a showing
- that a miner was unable to perform his coal mining duties or other
- comparable work -- as opposed to the prior requirement that the miner
- demonstrate that he was unable to perform any job, see MDRV 902(f) -- and
- prohibited HEW from denying a claim for benefits solely on the basis of a
- negative X ray. MDRV 923(b). Third, the 1972 amendments made it easier
- for survivors of a deceased miner who had been disabled due to
- pneumoconiosis but had died from a cause unrelated to the disease to
- demonstrate eligibility for benefits. See MDRV 901. Finally, the
- amendments made clear that "[i]n determining the validity of claims under
- [part B], all relevant evidence shall be considered." MDRV 923(b).
- 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, 488 U. S., at 109, quoting 20 CFR
- 410.490(a) (1973). {2} These interim regulations established adjudicatory
- rules for processing part B claims that permit the invocation of a
- presumption of eligibility upon demonstration by the claimant of specified
- factors, and a subsequent opportunity for the Social Security
- Administration, in administering the program, to rebut the presumption.
- Specifically, the HEW interim regulations permit claimants to invoke a
- rebuttable presumption that a miner is "totally disabled due to
- pneumoconiosis" in one of two ways. First, the claimant can introduce an X
- ray, a biopsy, or an autopsy indicating pneumoconiosis. 20 CFR MDRV
- 410.490(b)(1) (i) (1990). Second, for a miner with at least 15 years of
- coal mine employment, a claimant may introduce ventilatory studies
- establishing the presence of a chronic respiratory or pulmonary disease.
- MDRV 410.490(b)(1)(ii). In either case, in order to invoke the
- presumption, the claimant also must demonstrate that the "impairment
- established in accordance with paragraph (b)(1) of this section arose out
- of coal mine employment (see 15 410.416 and 410.456)." MDRV
- 410.490(b)(2).
- Once a claimant invokes the presumption of eligibility under MDRV
- 410.490(b), the HEW interim regulations permit rebuttal by the SSA upon a
- showing that the miner is doing his usual coal mine work or comparable and
- gainful work, or is capable of doing such work. See MDRV 410.490(c).
- 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, 488 U. S., at 110.
- Neither the Congress nor the Secretary of Labor was content with the
- application to part C claims of the unwieldy and restrictive permanent
- regulations. See Letter, dated Sept. 13, 1974, of William J. Kilberg,
- Solicitor of Labor, to John B. Rhinelander, General Counsel, Department of
- HEW, appearing in H. R. Rep. No. 94-770, p. 14 (1975). Not only did the
- application of the permanent regulations cause the DOL to process claims
- slowly, but the DOL's claims approval rate was significantly below that of
- the SSA. See Lopatto, supra, at 691. Accordingly, Congress turned its
- attention once again to the black lung benefits program.
-
- C
- The Black Lung Benefits Reform Act of 1977 (BLBRA), 92 Stat. 95,
- approved and effective Mar. 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 30 U. S. C. MDRV 902(b). Second, BLBRA required
- the DOL to accept a board-certified or board-eligible radiologist's
- interpretation of submitted X rays if the films met minimal quality
- standards, thereby prohibiting the DOL from denying a claim based on a
- secondary assessment of the X rays provided by a Governmentfunded
- radiologist. See MDRV 923(b). Finally, the BLBRA added a fifth
- presumption of eligibility and otherwise altered the entitlement structure
- to make it easier for survivors of a deceased long-term miner to obtain
- benefits. See 15 921(c) (5) and 902(f).
- 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 "[c]riteria applied by the Secretary
- of Labor . . . shall not be more restrictive than the criteria applicable
- to a claim filed on June 30, 1973." MDRV 902(f)(2).
- 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 20 CFR MDRV
- 727.203 (1990). The DOL regulations include two presumption provisions
- similar to the two presumption provisions in the HEW interim regulations.
- Compare 15 727.203(a)(1) and (2) with 15 410.490 (b)(1)(i) and (ii). To
- invoke the presumption of eligibility under these two provisions, however,
- a claimant need not prove that the "impairment . . . arose out of coal mine
- employment," as was required under the HEW interim regulations. See MDRV
- 410.490(b)(2).
- 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 15 727.203(a)(3), (4), and (5).
- Finally, the DOL interim regulations provide four methods for rebutting
- the presumptions established under MDRV 727.203. Two of the rebuttal
- provisions mimic those in the HEW regulations, permitting rebuttal upon a
- showing that the miner is performing or is able to perform his coal mining
- or comparable work. See 15 727.203(b)(1) and (2). The other two rebuttal
- provisions are at issue in these cases. Under these provisions, a
- presumption of total disability due to pneumoconiosis can be rebutted if
- "[t]he 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 if
- "[t]he evidence establishes that the miner does not, or did not, have
- pneumoconiosis." See 15 727.203(b)(3) and (4).
-
- II
- The three cases before us present the question whether the DOL's
- interim regulations are "more restrictive than" the HEW's interim
- regulations by virtue of the third and fourth rebuttal provisions, and
- therefore are inconsistent with the agency's statutory authority. In No.
- 89-1714, Pauley v. BethEnergy Mines, Inc., the Court of Appeals for the
- Third Circuit concluded that the DOL interim regulations were not more
- restrictive. BethEnergy Mines, Inc. v. Director, OWCP, 890 F. 2d 1295
- (1989). John Pauley, the nowdeceased husband of petitioner Harriet Pauley,
- filed a claim for black lung benefits on April 21, 1978, after he had
- worked 30 years in the underground mines of Pennsylvania. Pauley stopped
- working soon after he filed his claim for benefits. At a formal hearing on
- November 5, 1987, the Administrative Law Judge (ALJ) found that Pauley had
- begun to experience shortness of breath, coughing, and fatigue in 1974, and
- that those symptoms had gradually worsened, causing him to leave his job in
- the mines. The ALJ also found that Pauley had arthritis requiring several
- medications daily, had suffered a stroke in January 1987, and had smoked
- cigarettes for 34 years until he stopped in 1974.
- Because respondent BethEnergy did not contest the presence of coal
- workers' pneumoconiosis, the ALJ found that the presumption had been
- invoked under MDRV 727.203(a)(1). Turning to the rebuttal evidence, the
- judge concluded that Pauley was not engaged in his usual coal mine work or
- comparable and gainful work, and that Pauley was totally disabled from
- returning to coal mining or comparable employment. See 15 727.203(b)(1)
- and (2). The judge then weighed the evidence submitted under MDRV
- 727.203(b)(3), and determined that respondent BethEnergy had sustained its
- burden of establishing that pneumoconiosis was not a contributing factor in
- Pauley's total disability and, accordingly, that his disability did not
- "arise in whole or in part out of coal mine employment." MDRV
- 727.203(b)(3). See Carozza v. United States Steel Corp., 727 F. 2d 74 (CA3
- 1984).
- 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 HEW interim regulations to Pauley's
- claim. He first concluded that respondent BethEnergy's concession that
- Pauley had pneumoconiosis arising out of coal mining employment was
- sufficient to invoke the presumption of total disability due to
- pneumoconiosis under MDRV 410.490(b). Because the evidence demonstrated
- Pauley's inability to work, and the ALJ interpreted MDRV 410.490(c) as
- precluding rebuttal of the presumption by "showing that the claimant's
- total disability is unrelated to his coal mine employment," the judge found
- that BethEnergy could not carry its burden on rebuttal, and that Pauley was
- entitled to benefits.
- 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." 890 F. 2d, at 1299. First, the
- court found it "surely extraordinary," ibid., that a determination that
- Pauley was totally disabled from causes unrelated to pneumoconiosis, which
- was sufficient to rebut the presumption under MDRV 727.203(b)(3), would
- preclude respondent BethEnergy from rebutting the presumption under MDRV
- 410.490(c). Second, the court considered it to be "outcome determinative"
- that the purpose of the Benefits Act is to provide benefits to miners
- totally disabled at least in part due to pneumoconiosis if the disability
- arises out of coal mine employment, and that the ALJ had made unchallenged
- findings that Pauley's disability did not arise even in part out of such
- employment. 890 F. 2d, at 1299-1300. The court found it to be "perfectly
- evident that no set of regulations under [the Benefits Act] may provide
- that a claimant who is statutorily barred from recovery may nevertheless
- recover." Id., at 1300.
- Asserting that this Court's decision in Sebben, supra, was not
- controlling because that decision concerned only the invocation of the
- presumption and not its rebuttal, the court then concluded that Congress'
- mandate that the criteria used by the Secretary of Labor be not more
- restrictive than the criteria applicable to a claim filed on June 30, 1973,
- applied only to the criteria for determining whether a claimant is "totally
- disabled," not to the criteria used in rebuttal. Finally, the court
- pointed out that its result would not differ if it applied the rebuttal
- provisions of MDRV 410.490(c) to Pauley's claim, because subsections (c)(1)
- and (2) make reference to MDRV 410.412 (a), which refers to a miner's being
- "totally disabled due to pneumoconiosis." According to the Third Circuit,
- there would be no reason for the regulations to include such a reference
- "unless it was the intention of the Secretary to permit rebuttal by a
- showing that the claimant's disability did not arise at least in part from
- coal mine employment." 890 F. 2d, at 1302.
- In the two other cases now before us, No. 90-113, Clinchfield Coal Co.
- v. Director, OWCP, and No. 90-114, Consolidation Coal Co. v. Director,
- OWCP, 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 MDRV 727.203(a)(3), based on qualifying arterial blood gas studies
- demonstrating an impairment in the transfer of oxygen from his lungs to his
- blood. The ALJ then proceeded to weigh the rebuttal evidence, consisting
- of negative X-ray evidence, nonqualifying ventilatory study scores, and
- several medical reports respectively submitted by Taylor and by his
- employer, petitioner Clinchfield Coal Company. In light of this evidence,
- the ALJ concluded that Taylor neither suffered from pneumoconiosis nor was
- totally disabled. Rather, the evidence demonstrated that Taylor suffered
- from chronic bronchitis caused by 30 years of cigarette smoking and
- obesity. The Benefits Review Board affirmed, concluding that the ALJ's
- decision was supported by substantial evidence.
- The Court of Appeals reversed. Taylor v. Clinchfield Coal Co., 895 F.
- 2d 178 (1990). The court first dismissed the argument that the DOL interim
- regulations cannot be considered more restrictive than HEW's as applied to
- Taylor because Taylor invoked the presumption of eligibility based on
- arterial blood gas studies, a method of invocation available under the DOL
- regulations but not under HEW's, and was therefore unable to use the
- rebuttal provisions of the HEW interim regulations as a benchmark. Id., at
- 182. The court reasoned that it was a "matter of indifference" how the
- claimant invoked the presumption of eligibility, and rejected the argument
- that the rebuttal provisions must be evaluated in light of corresponding
- invocation provisions. "It is the fact of establishment of the presumption
- and the substance thereof which is of consequence in this case, not the
- number of the regulation which provides for such establishment." Ibid.
- 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 MDRV
- 410.490, and that the application of these regulations violated 30 U. S. C.
- MDRV 902(f). {3}
- One judge dissented. Noting that the panel's decision was in conflict
- with the Sixth Circuit in Youghiogheny and Ohio Coal Co. v. Milliken, 866
- F. 2d 195 (1989), and with the Third Circuit in Pauley, he concluded that
- those decisions "do less violence to congressional intent, and avoid . . .
- upsetting the statutory scheme." 895 F. 2d, at 184.
- 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 judge
- then determined that petitioner Consolidation Coal Company had successfully
- rebutted the presumption under 15 727.203(b)(2) and (4) by demonstrating
- that Dayton did not have pneumoconiosis and, in any event, that Dayton's
- pulmonary impairment was not totally disabling. The Benefits Review Board
- affirmed, concluding that the medical evidence demonstrated that Dayton's
- pulmonary condition was unrelated to coal dust exposure, but was instead
- secondary to his smoking and "other ailments," and that the ALJ had
- correctly concluded that Consolidation had rebutted the presumption under
- MDRV 727.203(b)(4). {4}
- The Fourth Circuit reversed. Dayton v. Consolidation Coal Co., 895 F.
- 2d 173 (1990). Relying on its decision in Taylor, the court held that 30
- U. S. C. MDRV 902(f) required Dayton's claim to be adjudicated "under the
- less restrictive rebuttal standards of MDRV 410.490." 895 F. 2d, at 175.
- Concluding that the HEW regulations did not permit rebuttal upon a showing
- that the claimant does not have pneumoconiosis, the court stated that the
- ALJ's finding that Dayton does not have pneumoconiosis "is superfluous and
- has no bearing on the case." Id., at 176, n. *.
- 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. --- U. S. --- (1990). {5}
-
- III
- We turn to the statutory text that provides that "[c]riteria applied by
- the Secretary of Labor . . . shall not be more restrictive than the
- criteria applicable" under the interim HEW regulations. 30 U. S. C. MDRV
- 902(f)(2). See Sebben, 488 U. S., at 113. Specifically, we must determine
- whether the third and fourth rebuttal provisions in the DOL regulations
- render the DOL regulations more restrictive than were the HEW regulations.
- These provisions permit rebuttal of the presumption of eligibility upon a
- showing that the miner's disability did not arise in whole or in part out
- of coal mine employment or that the miner does not have pneumoconiosis.
- {6}
-
- A
- 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. 30 U. S. C. MDRV 902(f)(2). The claimants and the dissent urge
- that this restriction is unambiguous, and that no deference is due the
- Secretary's determination that her interim regulations are not more
- restrictive than the HEW's. In the alternative, both the claimants and the
- dissent argue that regardless of whether the statutory mandate is clear,
- the only interpretation of the HEW interim regulations that warrants
- deference is the interpretation given those regulations by the Secretary of
- HEW. In our view, this position misunderstands the principles underlying
- judicial deference to agency interpretations, as well as the scope of
- authority delegated to the Secretary of Labor in the BLBRA.
- 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., 467
- U. S. 837, 866 (1984) ("[F]ederal judges -- who have no constituency --
- have a duty to respect legitimate policy choices made by those who do");
- see also Silberman, Chevron -- The Intersection of Law & Policy, 58 Geo.
- Wash. L. Rev. 821, 822-24 (1990). As Chevron itself illustrates, the
- resolution of ambiguity in a statutory text is often more a question of
- policy than of law. See Sunstein, Law and Administration After Chevron, 90
- Colum. L. Rev. 2071, 2085-2088 (1990). When Congress, through express
- delegation or the introduction of an interpretive gap in the statutory
- structure, has delegated policy-making authority to an administrative
- agency, the extent of judicial review of the agency's policy determinations
- is limited. Cf. Adams Fruit Co. v. Barrett, --- U. S. ---, --- (1990) ("A
- precondition to deference under Chevron is a congressional delegation of
- administrative authority") (slip op. 10); Chevron, 467 U. S., at 864-866.
- It is precisely this recognition that informs our determination that
- deference to the Secretary is appropriate here. The Black Lung 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. OSHRC, --- U. S. ---, --- (1991) (slip op.
- 7); Aluminum Co. of America v. Central Lincoln Peoples' Utility District,
- 467 U. S. 380, 390 (1984).
- In Sebben, we declined to defer to the Secretary's interpretation of
- the term "criteria" as used in MDRV 902(f)(2), as including only medical
- but not evidentiary criteria, because we found Congress' intent to include
- all criteria in that provision to be manifest. See Sebben, 488 U. S., at
- 113-114, 116. With respect to the phrase "not . . . more restrictive
- than," Congress' intent is similarly clear: the phrase cannot be read
- except as a delegation of interpretive authority to the Secretary of
- Labor.
- That Congress intended in the BLBRA to delegate to the Secretary of
- Labor broad policy-making discretion in the promulgation of his 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 . . . to establish 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. 95209, 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 shall be considered." H. R. Rep. No. 95-864,
- p. 16 (1977) (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, 488 U. S. 204, 212-213 (1988).
- However, the Secretary has held unswervingly to the view that the DOL
- interim regulations are consistent with the statutory mandate and not more
- restrictive than the HEW interim regulations. This view obviously informed
- the structure of the DOL's regulations. In response to comments suggesting
- that the DOL's proposed interim regulations might violate MDRV 902(f)(2)
- because they required that all relevant evidence be considered in
- determining eligibility, the Secretary replied that "the Social Security
- regulations, while less explicit, similarly do not limit the evidence which
- can be considered in rebutting the interim presumption." See 43 Fed. Reg.
- 36,826 (1978). Moreover, this position has been faithfully advanced by
- each Secretary since the regulations were promulgated. See e. g., Sebben,
- 488 U. S., at 119. Accordingly, the Secretary's defense of her interim
- regulations warrants deference from this Court.
-
- B
- Having determined that the Secretary's position is entitled to
- deference, we must decide whether this position is reasonable. See
- Chevron, 467 U. S., at 845. The claimants and the dissent argue that this
- issue can be resolved simply by comparing the two interim regulations.
- This argument is straightforward; it reasons that the mere existence of
- regulatory provisions permitting rebuttal of statutory elements not
- rebuttable under the HEW interim regulations renders the DOL interim
- regulations more restrictive than HEW's and, as a consequence renders the
- Secretary's interpretation unreasonable. See Tr. of Oral Arg. 22-24.
- Specifically, the claimants and the dissent assert that the HEW interim
- regulations plainly contain no provision, either in the invocation
- subsection or in the rebuttal subsection, that directs factual inquiry into
- the issue of disability causation or the existence of pneumoconiosis.
- Accordingly, under the claimants' reading of the regulations, there is no
- manner in which the DOL interim regulations can be seen to be "not . . .
- more restrictive than" the HEW regulations.
- 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, 488 U. S., at 109 (the second
- presumption is "drafted in a most confusing manner"); id., at 129
- (dissenting opinion) (assuming that the drafters "promulgated a scrivener's
- error"). In our view, the Secretary presents the more reasoned
- interpretation of this complex regulatory structure, an interpretation that
- has the additional benefit of providing coherence among the statute and the
- two interim regulations.
- 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., 428 U. S. 1, 22, n. 21 (1976) ("[A]n operator can be liable
- only for pneumoconiosis arising out of employment in a coal mine"); Mullins
- Coal Co. v. Director, OWCP, 484 U. S. 135, 158 (1987) ("[I]f a miner is not
- actually suffering from the type of ailment with which Congress was
- concerned, there is no justification for presuming that the miner is
- entitled to benefits").
- 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 15 410.416 and 410.456)." 20 CFR
- MDRV 410.490 (b)(2) (1990). Section 410.416(a) provides:
-
-
- "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
- pneumoconiosis arose out of such employment."
-
-
- See also MDRV 410.456.
- The Secretary interprets the requirement in MDRV 410.490(b)(2) that the
- claimant demonstrate that the miner's impairment "arose out of coal mine
- employment" as comparable to the DOL's third rebuttal provision, which
- permits the mine operator to show that the miner's disability "did not
- arise in whole or in part out of coal mine employment." MDRV
- 727.203(b)(3). With respect to DOL's fourth rebuttal provision, the
- Secretary emphasizes that the statute defines pneumoconiosis as "a chronic
- dust disease . . . arising out of coal mine employment." See 30 U. S. C.
- MDRV 902(b). Accordingly, she views the reference to 15 410.416 and
- 410.456 in HEW's invocation provision, and the acknowledgment within these
- sections that causation is to be presumed "in the absence of persuasive
- evidence to the contrary," as demonstrating that a miner who is shown not
- to suffer from pneumoconiosis could not invoke HEW's presumption. {7}
- 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 MDRV 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
- [of HEW] to permit rebuttal by a showing that the claimant's disability did
- not arise at least in part from coal mine employment." 890 F. 2d, at
- 1302.
- 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 MDRV 410.416 or MDRV 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 MDRV
- 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 MDRV 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., 486 U. S. 107, 115 (1988). Rather,
- the Secretary's view need be only reasonable to warrant deference. Ibid.;
- Mullins, 484 U. S., at 159.
- 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)(1)(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 30 U. S. C. 15 921(c)(1), (2), and (4),
- and requires the Secretary of HEW to consider all relevant evidence in
- adjudicating claims under part B. See 30 U. S. C. MDRV 923(b). {8}
- 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, 90 Colum.
- L. Rev., at 2109, n. 182 (recognizing that the principle expressio unius
- est exclusio alterius "is a questionable one in light of the dubious
- reliability of inferring specific intent from silence"); cf. Commercial
- Office Products Co., 486 U. S., at 120 (plurality opinion) (rejecting the
- more natural reading of statutory language because such an interpretation
- would lead to "absurd or futile results . . . plainly at variance with the
- policy of the legislation as a whole") (internal quotations omitted).
- 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 20 CFR MDRV 410.490(a) (1990), the claimants assert that HEW
- omitted from its criteria factual inquiries into disability causation and
- the existence of pneumoconiosis based on a "cost/benefit" conclusion that
- such inquiries would engender inordinate delay yet generate little
- probative evidence. {9} The dissent presents a similar view. Post, at
- 11-14.
- We recognize that the SSA, under the HEW interim regulations, appeared
- to award benefits to miners whose administrative files contained scant
- evidence of eligibility. See The Comptroller General of the United States,
- General Accounting Office, Report to Congress: Examination of Allegations
- Concerning Administration of the Black Lung Benefits Program 6-10, included
- in Hearings on H. R. 10760 and S. 3183 before the Subcommittee on Labor of
- the Senate Committee on Labor and Public Welfare, 94th Cong., 2d Sess.,
- 440-444 (1976). We are not, however, persuaded that this circumstance
- requires the Secretary to award black lung benefits to claimants who do not
- have pneumoconiosis or whose disability did not arise in whole or in part
- out of coal mine employment. As an initial matter, contemporaneous
- analyses of claims approved by the HEW provide little support for the
- argument that the HEW made a "cost/benefit" decision to forgo inquiry into
- disease existence or disability causation. Rather, many of the claims
- allegedly awarded on the basis of insufficient evidence involved miners who
- were unable to present sufficient evidence of medical disability, not those
- who did not suffer from pneumoconiosis or were disabled by other causes.
- See ibid.; see also, The Comptroller General of the United States, General
- Accounting Office, Program to Pay Black Lung Benefits to Miners and Their
- Survivors -- Improvements Are Needed, 45-47 (1977); H. R. Rep. No. 95-151,
- pp. 73-74 (1977) (Minority Views and Separate Views). Moreover, this
- argument ignores entirely the advances in medical technology that have
- occurred since the promulgation of the HEW interim regulations, advances
- that Congress could not have intended either the HEW or the DOL to ignore
- in administering the program. See S. Rep. No. 95-209, p. 13 (1977).
- Finally, we do not accept the implicit premise of this argument: that
- the Secretary cannot prevail unless she is able to demonstrate that her
- interpretation of the HEW interim regulations comports with HEW's
- contemporaneous interpretation of those regulations. As is stated above,
- the Secretary's interpretation of HEW's interim regulations is entitled to
- deference so long as it is reasonable. An interpretation that harmonizes
- an agency's regulations with their authorizing statute is presumptively
- reasonable, and claimants have not persuaded us that the presumption is
- unfounded in this case.
-
- IV
- We conclude that the Secretary of Labor has not acted unreasonably, or
- inconsistently with MDRV 902(f)(2) of the Black Lung Benefits Act, in
- promulgating interim regulations that permit the presumption of entitlement
- to black lung benefits to be rebutted with evidence demonstrating that the
- miner does not, or did not, have pneumoconiosis or that the miner's
- disability does not, or did not, arise out of coal mine employment.
- Accordingly, we affirm the judgment of the Third Circuit in No. 89-1714.
- The judgments of the Fourth Circuit in No. 90-113 and No. 90-114 are
- reversed, and those cases are remanded for further proceedings consistent
- with this opinion. No costs are allowed in any of these cases.
- It is so ordered.
-
-
- Justice Kennedy took no part in the consideration or decision of this
- litigation.
-
-
-
-
-
-
-
- ------------------------------------------------------------------------------
- 1
- 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.
-
- 2
- 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").
-
- 3
- In light of this Court's decision in Sebben, the Court of Appeals
- interpreted MDRV 410.490(c) as permitting rebuttal of the presumption on a
- showing that the claimant's disability was not caused by coal mine
- employment. 895 F. 2d, at 183. The court therefore remanded the case for
- further consideration of that issue. It appears that the Fourth Circuit
- has since retreated from this view, and now considers the HEW interim
- regulations to permit only two rebuttal methods. See Robinette v.
- Director, OWCP, 902 F. 2d 1566 (CA4 1990) (judgment entry), cert. pending,
- No. 90-172.
-
- 4
- 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.
-
- 5
- 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 the HEW. See Patrich v. Old Ben
- Coal Co., 926 F. 2d 1482, 1488 (1991). The Seventh Circuit did not address
- the fourth rebuttal provision. The Sixth Circuit also has refused to
- invalidate the third and fourth rebuttal provisions of the DOL interim
- regulation, and continues to apply these provisions to all part C claims,
- regardless of whether the presumption is invoked under MDRV 410.490 or MDRV
- 727.203. See Youghiogheny and Ohio Coal Co. v. Milliken, 866 F. 2d 195,
- 202 (1989).
-
- 6
- 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 488 U. S., at 113. The Sebben Court did not
- address the issue now before us: the validity of the third and fourth
- rebuttal provisions contained in the DOL interim regulations. See id., at
- 119.
-
- 7
- The Court's conclusion in Sebben that subsection (b)(2) of the 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, 488 U. S., at
- 120. We agree with the Patrich court that "there is no meaningful
- difference between a procedure which creates a presumption and then allows
- evidence to rebut it and one which denies the presumption in the first
- place if the same evidence is offered." See Patrich, 926 F. 2d, at 1488.
-
- 8
- 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 MDRV 921(c)(3), Congress
- demonstrated its ability to create an irrebuttable presumption, applicable
- to a miner for whom the medical evidence demonstrates the presence of
- complicated pneumoconiosis. Perhaps more telling is MDRV 921(c)(4), the
- only section of the statute in which Congress addressed the available
- methods of rebuttal. In that section, Congress created a rebuttable
- presumption of eligibility applicable to a miner with 15 years or more of
- coal mine employment, for whom evidence demonstrates the existence of a
- totally disabling respiratory disease but whose X rays do not reveal
- complicated pneumoconiosis. With respect to this presumption, Congress
- expressly provided: "The Secretary may rebut such presumption only by
- establishing that (A) such miner does not, or did not, have pneumoconiosis,
- or that (B) his respiratory or pulmonary impairment did not arise out of,
- or in connection with, employment in a coal mine." Written as a limiting
- provision, this section indicates Congress' understanding that these
- rebuttal methods are among those permitted with respect to other
- presumption provisions.
-
- 9
- 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
- MDRV 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 due to pneumoconiosis, and that his pneumoconiosis arose out of
- employment in the Nation's coal mines." MDRV IB1.
-