20 C.F.R. § 725.407

Identification and notification of responsible operator

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(a) Upon receipt of the miner's employment history, the district director shall investigate whether any operator may be held liable for the payment of benefits as a responsible operator in accordance with the criteria contained in Subpart G of this part.

(b) The district director may identify one or more operators potentially liable for the payment of benefits in accordance with the criteria set forth in § 725.495 of this part. The district director shall notify each such operator of the existence of the claim. Where the records maintained by the Office pursuant to part 726 of this subchapter indicate that the operator had obtained a policy of insurance, and the claim falls within such policy, the notice provided pursuant to this section shall also be sent to the operator's carrier. Any operator or carrier notified of the claim shall thereafter be considered a party to the claim in accordance with § 725.360 of this part unless it is dismissed by an adjudication officer and is not thereafter notified again of its potential liability.

(c) The notification issued pursuant to this section shall include a copy of the claimant's application and a copy of all evidence obtained by the district director relating to the miner's employment. The district director may request the operator to answer specific questions, including, but not limited to, questions related to the nature of its operations, its relationship with the miner, its financial status, including any insurance obtained to secure its obligations under the Act, and its relationship with other potentially liable operators. A copy of any notification issued pursuant to this section shall be sent to the claimant by regular mail.

(d) If at any time before a case is referred to the Office of Administrative Law Judges, the district director determines that an operator which may be liable for the payment of benefits has not been notified under this section or has been incorrectly dismissed pursuant to § 725.410(a)(3), the district director shall give such operator notice of its potential liability in accordance with this section. The adjudication officer shall then take such further action on the claim as may be appropriate. There shall be no time limit applicable to a later identification of an operator under this paragraph if the operator fraudulently concealed its identity as an employer of the miner. The district director may not notify additional operators of their potential liability after a case has been referred to the Office of Administrative Law Judges, unless the case was referred for a hearing to determine whether the claim was properly denied as abandoned pursuant to § 725.409.

Notes of Decisions

Cited in 12 cases (5 in the last 5 years), 2001–2026 · leading case: Arch Coal, Inc. v. R. Alexander Acosta

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Arch Coal, Inc. v. R. Alexander Acosta (2018) cadc · cites it 3× “§ 932 (a) ); 20 C.F.R. § 725.407 (2017). A potentially responsible operator may contest its liability before a District Director within the agency, *496 20 C.”

Rockwood Cas. Ins. Co. v. Dir., Office of Workers' Comp. Programs (2019) ca10 · cites it 2× “20 C.F.R. § 725.407 (a). The district director then notifies each potentially liable operator of the claim and sends "a copy of the claimant's application *1206 and a copy of all evidence obtained by the district director relating to the miner's employment.”

Apogee Coal Co. v. OWCP (2024) ca6 · cites it 3× “20 C.F.R. §§ 725.407 , .495. Under the BLBA, a miner’s last No.”

Marfork Coal Company v. Weis (2007) ca4 · cites it 6× “9 20 C.F.R. §§ 725.407 (d); 725.418(d); 65 Fed.”

Westmoreland Coal Co. v. Director, Office of Workers' Compensation Programs (2017) ca4 · cites it 2× “See 20 C.F.R. § 725.407 (a). If there are, he designates as *606 the responsible operator the potentially liable operator that employed the miner most recently.”

National Mining Ass'n v. Chao (2001) dcd “20 C.F.R. § 725.407 : This rule describes the procedure for identifying and notifying responsible operators of an applicant’s claim for benefits.”

Harman Mining Corporation v. Emma Bartley (2024) ca4 · cites it 3× “20 C.F.R. § 725.407 (a) (2024). The district director then notifies any potentially liable operator of the existence of the claim.”

Hobet Mining, Incorporated v. DOWCP (2025) ca4 · cites it 3× “” 2 20 C.F.R. § 725.407 (a). But just who is the “responsible operator” is not necessarily a straightforward inquiry.”

Rockwood Casualty Insurance v. Director, OWCP (2019) ca10 · cites it 2× “20 C.F.R. § 725.407 (a). The district director then notifies each potentially liable operator of the claim and sends “a copy of the claimant’s application and a copy of all evidence obtained by the district director relating to the miner’s employment.”

Three H Coal Company, Inc. v. DOWCP (2025) ca4 · cites it 2× “” 20 C.F.R. § 725.407 (b). The district director then notifies the operators and their insurance carriers of the claim and affords them an opportunity to accept or contest their status and submit evidence on the issue.”

Rhino Energy, LLC v. DOWCP (2026) ca4 · cites it 2× “20 C.F.R. § 725.407 (a). Then, the district director identifies and notifies all such operators of the miner’s claim.”

Vesta Mining Co. v. Director, Office of Workers' Compensation Programs (2007) ca3 “Counsel for the Director also concedes that, if we vacate the determination that Vesta is the responsible operator, Waugh will be entitled to receive benefits from the Black Lung Disability Trust Fund.”

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