Collins v. Pond Creek Mining Company

468 F.3d 213
CourtCourt of Appeals for the Fourth Circuit
DecidedNovember 8, 2006
Docket05-1832
StatusPublished
Cited by2 cases

This text of 468 F.3d 213 (Collins v. Pond Creek Mining Company) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fourth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Collins v. Pond Creek Mining Company, 468 F.3d 213 (4th Cir. 2006).

Opinions

Petition for review granted; order vacated and remanded by published opinion. Judge KING wrote the majority opinion, in which Judge GOODWIN joined. Judge SHEDD wrote a dissenting opinion.

OPINION

KING, Circuit Judge.

Nora Collins (“Mrs. Collins”) petitions for review of the 2005 Decision and Order of the Benefits Review Board (the “BRB”) denying her claim for survivor’s benefits under the Black Lung Benefits Act, 30 U.S.C. §§ 901-945 (the “Black Lung Act” or the “Act”). In so doing, Mrs. Collins contends, inter alia, that the BRB and the Administrative Law Judge (the “ALJ”) erroneously failed to accord collateral estop-pel effect to an earlier ALJ’s 1988 ruling that her late husband suffered from pneu-moconiosis as a result of his work in the coal mines of southern Appalachia. As explained below, we agree with Mrs. Collins that the BRB erred in 2005 by not according preclusive effect to the 1988 ALJ ruling. We grant her petition for review, vacate the 2005 BRB Decision and Order, and remand.

I.

Mrs. Collins’s late husband, Johnny Collins (“Mr. Collins”), worked underground in the coal mines of southern West Virginia and eastern Kentucky for over thirty-six years. During his extensive mining career, Mr. Collins, inter alia, operated a cutting machine, a motor, and a loading machine; worked on “the belt”; laid track; loaded coal; and worked as a belt repairman. On February 25, 1988, Mr. Collins was awarded benefits under the Black Lung Act by Decision and Order of an ALJ. Collins v. Pond Creek Coal Co., No. 85-BLA-5349 (Feb. 25, 1988) (the “1988 ALJ Decision”). In that proceeding, the Pond Creek Coal Company (“Pond Creek”) was named as the responsible operator.1 The 1988 ALJ Decision was premised on the ALJ’s findings that Mr. Collins had established, by a preponderance of the evidence, that (1) he had pneu-moconiosis (commonly known as “black lung disease”); (2) he was totally disabled; and (3) his total disability was due to pneu-moconiosis. As a result of the 1988 ALJ Decision — from which Pond Creek did not appeal — Mr. Collins received black lung benefits until his death on September 16, 1997.2

[216]*216On September 29, 1997, Mr. Collins’s widow filed a claim for survivor’s benefits under 30 U.S.C. § 922(a)(2), naming Pond Creek as the responsible operator. In order to be entitled to benefits, Mrs. Collins was obliged to show that (1) she was Mr. Collins’s widow, (2) Mr. Collins suffered from pneumoconiosis as a result of his coal mine employment, and (3) pneumoconiosis hastened his death. See § 922(a)(2) (providing that coal miner’s widow can receive benefits if miner’s death was “due to pneu-moconiosis”); 20 C.F.R. § 718.205(c)(2) & (5) (providing that miner’s death is “due to pneumoconiosis” if pneumoconiosis “hastens the miner’s death”). And, in establishing that Mr. Collins had developed pneumoconiosis as a result of working in the coal mines for thirty-six years, Mrs. Collins asserted that she was entitled to rely on the collateral estoppel effect of the 1988 ALJ Decision.

By Decision and Order of December 21, 2001, the ALJ denied Mrs. Collins’s claim for survivor’s benefits. Collins v. Pond Creek Mining Co., No.1998-BLA-1295 (Dec. 21, 2001) (the “2001 ALJ Decision”). In so doing, the ALJ ruled the 1988 ALJ Decision was not entitled to collateral estoppel effect because of our 2000 decision in Island Creek Coal Co. v. Compton, 211 F.3d 203 (4th Cir.2000). See 2001 ALJ Decision at 14. In Compton, we ruled that an ALJ must consider all of the relevant evidence in assessing whether a coal miner suffers from pneumoconiosis. Pursuant to 20 C.F.R. § 718.202(a)’s four subsections, a miner’s pneumoconiosis may be established in four ways: (1) chest X-rays; (2) biopsy or autopsy results; (3) certain regulatory presumptions (not relevant here); and (4) a physician’s opinion based on medical evidence. Our Compton decision invalidated the BRB’s practice of allowing an ALJ to find that a coal miner suffers from pneumoconiosis by relying on evidence falling under one of the four subsections of § 718.202(a) (such as chest X-rays), while ignoring contrary evidence belonging to one of the other three subsections (such as physicians’ opinions). See 211 F.3d at 211. That practice, as Judge Wilkins explained in Compton, contradicted 30 U.S.C. § 923(b)’s statutory mandate that an ALJ must consider “all relevant evidence” in making a pneumoconiosis finding. Id.

In this case, the ALJ concluded, in December 2001, that the pre-Compton 1988 ALJ Decision was not entitled to any collateral estoppel effect, and that Mrs. Collins therefore could not rely on it in establishing Mr. Collins’s pneumoconiosis. The ALJ then considered anew the evidence concerning Mr. Collins’s respiratory condition, and he ruled, contrary to the 1988 ALJ Decision, that Mr. Collins had never suffered from pneumoconiosis (and thus that his death had not been hastened by the disease).

Mrs. Collins then appealed the 2001 ALJ Decision to the BRB. By its Decision and Order of January 28, 2003, the BRB affirmed the 2001 ALJ Decision’s collateral estoppel ruling, but it vacated the ALJ’s no-pneumoconiosis finding and remanded for the ALJ to reweigh the evidence. Collins v. Pond Creek Mining Co., 22 Black Lung Rep. (MB) 1-229 (BRB 2003) (the “2003 BRB Decision”). On remand, the ALJ again found that Mr. Collins had never suffered from pneumoconiosis. Collins v. Pond Creek Mining Co., No.l998-BLA-1295 (Aug. 16, 2004) (the “2004 ALJ Decision”). Additionally, the ALJ determined that, even assuming the existence of pneu-moconiosis, there was insufficient evidence that the disease hastened Mr. Collins’s death. On Mrs. Collins’s appeal from the 2004 ALJ Decision, the BRB reiterated its earlier position that Mrs. Collins was not entitled to rely on the doctrine of collateral estoppel, and it affirmed the ALJ’s find[217]*217ings of no pneumoconiosis and lack of causation. Collins v. Pond Creek Mining Co., BRB No. 04-0899 BLA (June 15, 2005) (the “2005 BRB Decision”). Mrs. Collins has now petitioned for review of the 2005 BRB Decision, and we possess jurisdiction pursuant to 33 U.S.C. § 921(c).

II.

We review an ALJ decision that has been affirmed by the BRB to determine whether it is in accordance with the law and supported by substantial evidence. Island Creek Coal Co. v. Compton, 211 F.3d 203, 207-08 (4th Cir.2000); Piney Mountain Coal Co. v. Mays, 176 F.3d 753, 756 (4th Cir.1999). In so doing, we confíne our review to the grounds upon which the BRB based its decision. See Grigg v. Dir., OWCP,

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