IMPORTANT NOTICE
NOT TO BE PUBLISH ED OPINION
THIS OPINION IS DESIGNATED "SNOT TO BE PUBLISHED."
PURSUANT TO THE RULES OF CIVIL PROCEDURE
PROMULGATED BY THE SUPREME COURT, CR 76.28(4)(C),
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RENDERED : March 20, 2008
NOT TO BE PUBLISHED
,Simyrmt gourf of
2007-SC-000276-WC
ROGER MANN APPELLANT
ON APPEAL FROM COURT OF APPEALS
V. 2006-CA-001648-WC
WORKERS' COMPENSATION NO. 04-01659
ROCKHOUSE ENERGY MINING COMPANY/
SIDNEY COAL, HON . SHEILA C. LOWTHER,
ADMINISTRATIVE LAW JUDGE AND WORKERS'
COMPENSATION BOARD APPELLEES
MEMORANDUM OPINION OF THE COURT
AFFIRMING
An Administrative Law Judge (ALJ) determined in 1992 that the claimant
suffered from category 1 pneumoconiosis and awarded a retraining incentive benefit .
Appealing from an unfavorable decision in a 2004 claim against a subsequent
employer, the claimant asserts that the 1992 finding precluded a subsequent finding
that he did not suffer from pneumoconiosis . The Workers' Compensation Board and
the Court of Appeals affirmed .
We affirm. The finding that the claimant suffered from category 1 disease in
1992 required him to show that his exposure while working for the defendant-employer
caused a subsequent harmful change in the human organism, i.e. , a higher disease
category or respiratory impairment. He failed to do so.
In his 1992 claim against Big Bottom Mine, the claimant alleged that he suffered
from coal workers' pneumoconiosis . Relying on x-ray reports from Drs. Lane, Baker,
and Anderson, an ALJ determined on December 11, 1992, that the claimant suffered
from category 1 pneumoconiosis without respiratory impairment . The claimant
continued to work for various employers thereafter.
On September 14, 2004, the claimant filed an application for benefits that named
Rockhouse Energy Mining Co./Sidney Coal as the defendant-employer. He alleged
that he suffered from coal workers' pneumoconiosis due to his work for Rockhouse and
that his last exposure occurred on September 22, 2001 . He supported the claim with a
September 15, 2004, x-ray and a report from Dr. Baker, who interpreted the x-ray as
showing changes that were consistent with category 1/0 pneumoconiosis :
The employer filed a report from Dr. Broudy, who evaluated an x-ray taken on
December 1, 2004. Dr. Broudy stated that the x-ray revealed no parenchymal or
pleural abnormalities that were consistent with pneumoconiosis .
The Commissioner of the Department of Workers' Claims certified the absence
of a consensus at the party level and, consistent with KRS 342 .794, submitted the two
sets of x-rays to a panel of certified 13-readers . Drs. Dahhan and Rosenberg classified
the x-rays as category 0, and Dr. Reed classified them as category 0/1 . Thus, the
Commissioner notified the parties that the reports were in consensus and negative .
During the proof period, the employer filed a report from Dr. Wiot, who also classified
the x-rays as negative .
An ALJ determined that no evidence rebutted the consensus classification and,
therefore, that the claim must be dismissed. In a petition for reconsideration, the
claimant asserted that the consensus panel's interpretation of his x-rays was immaterial
because the doctrine of res iudicata precluded a finding that he suffered from less than
category 1 disease. The AU denied the petition, after which the claimant appealed .
As explained in Godbev v. University Hospital of the Albert B. Chandler Medical
Center, Inc. , 975 S.W.2d 104,105 (Ky. App. 1998), KRS 342.305 permits a final
workers' compensation award to be enforced as a judgment in circuit court, like a final
judgment in a civil action . Although KRS 342.125 permits the reopening of an
otherwise final award under specified circumstances, Slone v. R & S Mining, Inc. , 74
S .W.3d 259 (Ky. 2002), and numerous other decisions indicate that the doctrine of res
'udj icata applies to final workers' compensation decisions . As explained in Yeoman v.
Com., Health Policy Board, 983 S.W.2d 459, 464 (Ky. 1998), res judicata is the Latin .
term for "a matter adjudged ." It stands for the principle that a final judgment is
conclusive of causes of action and facts or issues thereby litigated . Two aspects of the
doctrine are claim preclusion and issue preclusion, which is also referred to as collateral
estoppel .
Claim preclusion bars a party from relitigating a previously-adjudicated cause of
action ; whereas, issue preclusion bars a party to a judgment from relitigating an issue
that is identical to an issue that was previously litigated, finally decided, and essential to
the previous judgment. Issue preclusion may be used both offensively and defensively .
Moore v. Commonwealth . Cabinet for Human Resources , 954 S.W .2d 317 (Ky. 1997),
and Godbev , supra, at 105, indicate that it may be used against a party to an action by
one who was not a party to preclude the relitigation of a matter that was fully litigated
and finally decided . But a party to an earlier judgment may not use it against one who
was not a party to the action and, therefore, did not have a full and fair opportunity to
litigate the issue.
The claimant attempts to use the 1992 finding to rebut the consensus in his
present claim, but the defendant-employer was not a party to the 1992 claim and,
therefore, was not bound by the finding that the claimant suffered from category 1
disease. In contrast, the claimant was a party to the 1992 judgment that he suffered
from category 1 disease . The finding that he suffered from category 1 disease in 1992
bound him in the present claim to show that his exposure while working for the
defendant-employer caused a subsequent harmful change in the human organism, i.e. ,
a higher disease category or respiratory impairment . He failed to show such a change .
The decision of the Court of Appeals is affirmed .
All sitting . All concur.
COUNSEL FOR APPELLANT,
ROGER MANN :
LEONARD JOSEPH STAYTON
P.O . BOX 1386
I NEZ, KY 41224
COUNSEL FOR APPELLEE,
ROCKHOUSE ENERGY MINING CO./SIDNEY COAL :
A. STUART BENNETT
JACKSON KELLY PLLC
175 EAST MAIN STREET
SUITE 500
P.O. BOX 2150
LEXINGTON, KY 40588-9945