BRISCOE, Circuit Judge.
Blue Mountain Energy (Blue Mountain) petitions for review of a Benefits Review Board (the Board) decision affirming an award of black lung benefits to Terry Gunderson. An administrative law judge (ALJ) originally denied benefits under the Black Lung Benefits Act (BLBA), 30 U.S.C. §§ 901-945, and Gunderson appealed to the Board and then to this court. We remanded for further proceedings because the ALJ did not sufficiently explain the basis for the denial. See Gunderson v. U.S. Dep't of Labor, 601 F.3d 1013, 1027 (10th Cir.2010) (Gunderson I). The ALJ again denied benefits, and the Board vacated and remanded the ALJ's decision because it did not comply with our remand.
Blue Mountain petitions for review, arguing that the ALJ violated the Administrative Procedure Act (APA). Specifically, Blue Mountain contends the ALJ gave the preamble to the regulations redefining compensable pneumoconiosis in 20 C.F.R. § 718.201
Fourteen years ago, Terry Gunderson filed a claim under the BLBA, seeking benefits for his chronic obstructive pulmonary disease (COPD). He has been in litigation with his former employer, Blue Mountain, ever since. The parties' dispute centers on whether Gunderson's COPD was caused at least in part by his working as a coal miner for more than thirty years, or whether, as Blue Mountain argues, his COPD was caused solely by his smoking a pack of cigarettes a day for thirty-four years.
The BLBA provides benefits to "to coal miners who are totally disabled due to pneumoconiosis and to the surviving dependents of miners whose death was due to such disease." 30 U.S.C. § 901(a). Pneumoconiosis is defined as "a chronic dust disease of the lung and its sequelae, including respiratory and pulmonary impairments, arising out of coal mine employment." 30 U.S.C. § 902(b). "To obtain benefits under the Act, a miner must demonstrate that he satisfies three conditions: (1) he or she suffers from pneumoconiosis; (2) the pneumoconiosis arose out of coal mining employment; and (3) the pneumoconiosis is totally disabling." Energy W. Mining Co. v. Oliver, 555 F.3d 1211, 1214 (10th Cir.2009).
"[P]ursuant to its authority to implement the [BLBA], see [30 U.S.C.] § 936(a), the Department of Labor has promulgated regulations interpreting § 902(b)'s definition of pneumoconiosis to encompass two distinct types of compensable lung diseases: clinical pneumoconiosis and legal pneumoconiosis." Gunderson I, 601 F.3d at 1018. The regulations state that clinical pneumoconiosis "consists of those diseases recognized by the medical community as pneumoconioses, i.e., the conditions characterized by permanent deposition of substantial amounts of particulate matter in the lungs and the fibrotic reaction of the lung tissue to that deposition caused by dust exposure in coal mine employment," including several enumerated diseases. 20 C.F.R. § 718.201(a)(1). Legal pneumoconiosis is defined more broadly as "any chronic lung disease or impairment and its sequelae arising out of coal mine employment," which "includes, but is not limited to, any chronic restrictive or obstructive pulmonary disease arising out of coal mine employment." 20 C.F.R. § 718.201(a)(2). "[A] disease `arising out of coal mine employment' includes any chronic pulmonary disease or respiratory or pulmonary impairment significantly related to, or substantially aggravated by, dust exposure in coal mine employment." 20 C.F.R. § 718.201(b).
In the initial hearing on Gunderson's claim, both sides presented expert testimony addressing the cause of his condition. Not surprisingly, the experts reached different conclusions. The ALJ found the experts well qualified and their reports both well reasoned and well documented. Finding the opinions to be "evenly balanced" and deserving "equal weight," the ALJ concluded that Gunderson had failed to carry his burden of proof and denied his claim for benefits. Pet.App. at 30. The Board affirmed. Gunderson then appealed to this court and contended the ALJ failed to comply with 5 U.S.C. § 557(c)(3)(A) of the APA because the ALJ did not provide "the reasons or basis" for rejecting his legal pneumoconiosis. We reversed and remanded and instructed the ALJ to provide "a more detailed, scientifically-grounded explanation" for weighing the expert testimony presented. Gunderson I, 601 F.3d at 1024, 1027. In doing so, we noted that "an ALJ has the benefit of a substantial inquiry by the Department of Labor" in resolving disputes concerning the existence and cause of pneumoconiosis. As an example, we cited the Department's regulations which characterize pneumoconiosis "as a latent and progressive disease which may first become detectable only after the cessation of coal mine dust exposure." Id. at 1024-25 (quoting 20 C.F.R. § 718.201(c)).
On the first remand, the ALJ stated that "the Circuit Court has required that the undersigned choose one party's argument over the other" and that "Drs. Repsher, Renn, and Cohen have given extensive explanations as to their reasoning in this case." Pet.App. at 79-80. The ALJ noted that Gunderson has "significant blood gas abnormality," which Dr. Cohen attributed "in part to coal dust exposure," while Dr. Renn stated "five enumerated factors" that could be the cause of the abnormality. Id. at 80. Overall, the ALJ found "Dr. Renn's opinion to be persuasive" because "Dr. Cohen has not adequately explained why these other facts are not responsible for the blood gas abnormality." Id. Thus, the ALJ concluded that Gunderson "has failed to establish that he is totally disabled by a respiratory impairment due to [coal workers' pneumoconiosis]." Id.
Gunderson appealed to the Board, which vacated and remanded the case to the ALJ. Among other issues, the Board stated that the ALJ "conflated the issues of legal pneumoconiosis, total respiratory disability and disability causation, and misconstrued the Tenth Circuit's remand instructions," which "did not require that the administrative law judge choose one party's argument over the other's, but instructed him to fully explain his reasoning and offer a scientific basis for his evaluation and weighing of the conflicting medical opinions." Id. at 85. The Board directed the ALJ on remand to "evaluate all of the medical opinions of record; determine if they are adequately reasoned and documented; assign each opinion appropriate weight; and provide valid reasons for each of his credibility determinations, while clearly explaining his rationale as to each medical expert." Id. at 86-87. In a footnote to these instructions, the Board stated that "[t]here is no merit to claimant's assertion that an administrative law judge is required to determine the credibility of an expert's opinion in light of the preamble to the revised regulations." Id. at 87 n. 5. However, the Board stated that it is "permissible for an administrative law judge to discuss the preamble to the regulations when weighing the medical opinions relevant to the issue of legal pneumoconiosis" and that this court had acknowledged the Department of Labor's "substantial inquiry" on the subject. Id.
Overall, the ALJ concluded that he found "most probative the opinions of Drs. Cohen and Parker" because "Drs. Parker and Cohen more thoroughly evaluated Claimant's specific condition when determining that Claimant's obstructive lung disease was caused by coal mine dust exposure." Id. The ALJ noted that Dr. Parker had "specifically linked Claimant's symptoms to the documented effects of coal mine dust exposure and cited to literature that has been approved by the Department in the Preamble" and that Dr. Parker's "explanation that Claimant's lung function continued to deteriorate after the cessation of both smoking and coal mining reflects the acknowledged view that pneumoconiosis is a latent and progressive condition." Id.
Blue Mountain moved for reconsideration, requested that the ALJ reopen the record "to permit it to respond with proof to the statements relied on by the ALJ," and argued that the ALJ had improperly determined the date on which benefits should commence.
Blue Mountain then appealed to the Board, which upheld the ALJ's third and final decision. The Board concluded that the ALJ had not "applied an incorrect legal standard in determining whether
Id. Blue Mountain petitions for review of that decision.
Blue Mountain argues that the ALJ violated the APA by (1) relying on the preamble, thereby giving the preamble the "force and effect of law;" and (2) refusing to reopen the record to allow Blue Mountain to submit evidence challenging the science of the preamble.
In evaluating whether the ALJ was justified in relying on the preamble, we note the very limited extent to which the ALJ referenced the preamable: the ALJ merely included the preamble as one of the tools he employed in evaluating the credibility of two expert reports. The preamble is referenced only twice in the ALJ's ruling. Though this circuit has yet to determine whether an ALJ can use the preamble in this way, many other circuits have considered the matter and concluded that such reliance is lawful. See Peabody Coal Co., 746 F.3d at 1125 (concluding that
Blue Mountain attempts to distinguish these cases, but does so unpersuasively. First, it contends that this case, unlike those cited above, "deal[s] with a setting in which the preamble undeniably changed the outcome." Pet. Br. at 25. Blue Mountain relies on the procedural history of this case as support for this proposition, suggesting that the only difference between the ALJ decision in the first two opinions, which denied benefits, and the last one, which granted benefits, is the ALJ's citation to the preamble. Id. at 12. We disagree. Our review of these opinions demonstrates that the third opinion more rigorously analyzed the content of the expert reports than the prior opinions did, which reasonably led to a different outcome.
Blue Mountain also claims that this case is distinguishable because, as employed here, the preamble "undeniably had the force and effect of law." Id. at 16, 25. And, if that is the case, and the ALJ used
Pet.App. at 113 (emphasis added). We fail to see how this use of the preamble transforms a summary of "the prevailing view of the medical community" into binding law. Blue Mountain always had the ability to counter the medical opinion of Dr. Parker, as well as the medical literature cited in the preamble. The potential impact of any general principles that may be gleaned from the preamble can always be lessened by evidence that is more case specific or more medically relevant.
Blue Mountain also cites Christensen v. Harris County, 529 U.S. 576, 120 S.Ct. 1655, 146 L.Ed.2d 621 (2000) for the proposition that courts should not defer to an agency's views that were "not subject to notice and comment rulemaking." Pet. Br. at 24 (citing Christensen, 529 U.S. at 588, 120 S.Ct. 1655). Christensen is distinguishable in at least two ways. First, Christensen involved an opinion letter that provided a legal interpretation of a statute; this case, in contrast, involves a preamble that provides a scientific justification for amending a regulation. Compare Christensen, 529 U.S. at 579-81, 120 S.Ct. 1655 with 65 Fed.Reg. 79920, 79937-45 (Dec. 20, 2000). Second, the question presented in Christensen was whether the Court should give Chevron deference
In sum, we view the preamble as a scientific primer that helps explain why the agency amended the regulation to add "legal pneumoconiosis" to the definition of "pneumoconiosis." As such, it seems like a reasonable and useful tool for ALJs to use in evaluating the credibility of the science underlying expert reports that address the cause of pneumoconiosis. Accordingly, we join our sister circuits in
Blue Mountain also argues on appeal that the preamble constitutes evidence not in the record and that the APA required the ALJ to reopen the record so that Blue Mountain could respond to the findings of the preamble. Pet. Br. at 29-33 (citing 5 U.S.C. §§ 554(b)(3), 554(c), 556(d)(3)). As aptly stated by the Fourth Circuit in Harman, "the APA does not provide that public law documents, like the Act, the regulations, and the preamble, need be made part of the administrative record." 678 F.3d at 316. Blue Mountain was well aware of the preamble's scientific findings, e.g., Nat'l Mining Ass'n v. Dep't of Labor, 292 F.3d 849 (D.C.Cir.2002) (industry challenge to the validity of the relevant regulatory amendments, including the preamble), and had ample opportunity prior to the close of this record to submit evidence or expert opinions to persuade the ALJ that the preamble's findings were no longer valid or were not relevant to the facts of this case. Moreover, its requests to reopen the record—particularly in its motion for reconsideration, when it had the benefit of knowing what in the preamble the ALJ had considered
Blue Mountain also argues that reopening the record is required because the legal standards have changed in that the Department of Labor now contends that miners do not have to prove that their obstructive lung disease was caused by mine work. Yet Blue Mountain does not point to anywhere in the record where the Department contended that Gunderson did not have to prove that his COPD was caused by his mine work.
For these reasons, we conclude that the ALJ did not abuse his discretion by refusing Blue Mountain's requests to reopen the record for new evidence.
While Blue Mountain contends the ALJ violated the APA by relying too heavily on the preamble when determining the weight to be given two medical opinions, we conclude the ALJ did not err. Nor did the ALJ abuse his discretion in denying Blue Mountain's request to reopen the record. Blue Mountain's petition for review is denied.