FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION

CONGRESSIONAL BUDGET JUSTIFICATION

AND

ANNUAL PERFORMANCE PLAN

FISCAL YEAR 2023

MARCH 28, 2022
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION

Table of Contents

Fiscal Year 2023 Congressional Budget Justification and Annual Performance Plan

Executive Summary ........................................................................................................ 1

Mission............................................................................................................................ 3

Functions and Procedures .............................................................................................. 3

Strategic Goals................................................................................................................ 4

Organization Chart .......................................................................................................... 5

Commission Members..................................................................................................... 6

Appropriation Language.................................................................................................. 7

Authorizing Legislation .................................................................................................... 7

President’s Priorities........................................................................................................ 8

Justification by Function

General Statement ............................................................................................. 10

Activities

Administrative Law Judge Function........................................................ 12

Commission Review Function ................................................................ 15

Commission Support Function ............................................................... 21

Tables

Budget Authority by Object Class....................................................................... 24

Personnel Summary........................................................................................... 25

Average Salaries................................................................................................ 25

Amounts Available for Obligation ....................................................................... 26

Summary of Changes by Budget Authority......................................................... 26

Appropriations and FTE History ......................................................................... 27
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The Federal Mine Safety and Health Review Commission (FMSHRC or Commission) is

an independent adjudicatory agency that provides administrative trial and appellate

review of legal disputes arising under the Federal Mine Safety and Health Act of 1977

(Mine Act), as amended. Section 113 of the Mine Act establishes FMSHRC and sets

forth its responsibilities. The Mine Improvement and New Emergency Response Act of

2006, P.L. 109-236 (MINER Act) added an additional responsibility to FMSHRC,

resolving disputes between the Secretary of Labor and underground coal operators with

respect to the contents of emergency response plans or the Secretary’s refusal to

approve such plans.

FMSHRC is requesting a budget level of $18.012 million in FY 2023 to support the fulltime equivalent (FTE) of 76 staff members. This is $828,000 and 4.8 percent above 

FMSHRC’s annualized FY 2022 Continuing Resolution (C.R.) level. 

Most cases that come before FMSHRC involve civil penalties proposed by the

Department of Labor’s Mine Safety and Health Administration (MSHA) against mine

operators. FMSHRC is responsible for addressing whether the alleged violations

occurred, as well as the assessment of appropriate civil penalties sufficient to deter

operator noncompliance. Other types of cases include contests of MSHA orders to

close a mine for health or safety reasons, review of MSHA’s approval of operators’

emergency response and other mine safety plans, miners’ complaints they suffered

discrimination because they exercised protected safety rights, as well as allegations of

interference with the exercise of such rights, and miners’ requests for compensation

after being idled by a mine closure order. Disputes involving the temporary

reinstatement of a miner, or an emergency response plan must be decided on an

expedited basis.

FMSHRC’s Administrative Law Judges (ALJs) decide cases at the trial level. The fivemember Commission provides administrative appellate review. Review of an ALJ’s

decision by FMSHRC is not automatic and requires the approval of at least two

Commissioners. Most of the cases accepted for review are generated from petitions

filed by parties adversely affected by a judge’s decision. In addition, the Commission, on

its own initiative (sua sponte), may decide to review a case. A judge’s decision that is

not accepted for review becomes a final, non-precedential order of FMSHRC. Appeals

from the Commission’s decisions are to the federal courts of appeals.

Cases at the trial level are handled by FMSHRC’s Office of the Chief Administrative Law

Judge (OCALJ). It is estimated that the OCALJ will receive 1,049 new cases for review

in FY 2023. It is estimated there will be 1,949 dispositions, and that the year-end

balance will be 1,120 cases.
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FMSHRC’s Commission Review function is expected to receive 48 new cases, including

12 substantive cases and 36 default cases. FMSHRC projects that 65 undecided

appellate cases will be on hand at the beginning of FY 2023, including 14 substantive

cases and 51 default cases. During FY 2023, it is expected that 42 substantive cases

will be disposed.

Resolving substantive cases creates a great demand on the resources of the fivemember Commission and the Office of General Counsel (OGC). Typically, in these

substantive cases, the Commissioners, with the assistance of OGC, review and analyze

extensive briefs filed by the parties, often conduct an oral argument, and issue a

decision which addresses the major contentions raised by the parties.

In addition to petitions for review in substantive cases, at the appellate level FMSHRC

considers requests to reopen cases in which a mine operator is in default for failing to

timely respond to the Secretary’s proposed penalty or to a judge’s order. These cases

are generically referred to as default cases. The number of these requests for

reopening filed each year has remained at historically high levels. At the end of FY

2021, the number of default cases pending decision was 26. The number of pending 

default cases at the beginning of the year was 144. FMSHRC prioritized the resolution 

of default cases and made it a goal to clear the backlog of long-pending cases by

close of the 2021 fiscal year. See e.g. Peyrani USA LLC, Docket No. CENT 2018-

0258 (motion filed 4/17/18, decided 1,056 days later on 3/8/21).

FMSHRC’s overall management priority continues to be the expeditious, fair, and legally

sound adjudication of cases at the trial and appellate levels. In response to the COVID

pandemic, FMSHRC implemented a fulltime teleworking plan for all personnel, initiated

complete electronic filings and issuances and suspended in-person hearings, oral

arguments, and Commission meetings. These measures remained in place in 2021 and

2022. Despite these significant challenges, FMSHRC continues to improve trial and

appellate case pendency times, resulting in more timely resolutions for petitioners.

FMSHRC is also mindful that mine emergencies and legislative changes may change

the number, complexity, and complexion of cases, and affect what cases might be

appealed. Our agency continues to build the systems, processes, and capacity to be

scaled appropriately if new case filings increase.
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MISSION

The Federal Mine Safety and Health Review Commission is an independent

adjudicatory agency charged with resolving disputes arising from the enforcement of

safety and health standards in the nation’s mines and ensuring Under its authorizing

statute, the Mine Act, FMSHRC does not regulate the mining industry, nor does it

enforce the Mine Act; those functions are delegated to the Secretary of Labor acting

through MSHA and, with respect to Section 105(c)(3), to miners themselves.

FMSHRC’s mission is to contribute to the improved health and safety of the nation’s

miners by providing just, speedy, and legally sound adjudication of proceedings

authorized under the Mine Act in a manner that deters noncompliance with the Act. In

addition, FMSHRC’s mission is to prevent the recurrence of historic abuses involved in

the unwarranted lowering of penalties as a result of off the record negotiations between

operators and the government by ensuring that a penalty once proposed and contested

before the Commission is not compromised out of view of the public or without

justification.

The scope of FMSHRC’s mission was expanded by the passage of the MINER Act in

2006. That statute amended the Mine Act and vested FMSHRC with the responsibility

for resolving disputes over the contents of mine emergency plans adopted by

underground coal mine operators and submitted to MSHA for review and approval. The

MINER Act imposed tight deadlines on FMSHRC and its ALJs with respect to these

proceedings and FMSHRC has adopted procedural rules to implement those deadlines.

FUNCTIONS AND PROCEDURES

FMSHRC carries out its responsibilities through trial-level adjudication by ALJs and

appellate review of ALJs’ decisions by a five-member Commission appointed by the

President and confirmed by the Senate. Most cases involve civil penalties assessed

against mine operators by MSHA, and address whether the alleged safety and health

violations occurred and if so, the degree of gravity and negligence involved, and 

whether the penalty is sufficient to deter violations of the Mine Act. Other types of cases 

involve mine operators’ contests of mine closure orders, miners’ complaints they 

suffered discrimination because they exercised protected safety rights, allegations of 

interference with the exercise of such rights, miners’ applications for compensation after 

a mine is idled by a closure order, and review of disputes about MSHA’s approval of 

operators’ emergency response and other mandatory plans.

Once a case is filed with FMSHRC, it is referred to the Chief Administrative Law Judge

(Chief Judge). Thereafter, litigants in the case must submit additional filings before the

case is assigned to an ALJ. To expedite the decisional process, the Chief Judge may
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rule on certain motions and, where appropriate, issue orders of settlement, dismissal, or

default. Otherwise, once a case is assigned to an individual ALJ, that ALJ is

responsible for the case and rules upon motions and settlement proposals. If a hearing

is necessary, the ALJ schedules and presides over the hearing, and issues a decision

based upon the record. An ALJ ’s decision becomes a final, non-precedential order of

FMSHRC unless it is accepted for review by the five-member Commission.

FMSHRC also provides administrative appellate review. It may, in its discretion, review

decisions issued by ALJs when requested by a litigant, or it may, on its own initiative,

direct cases for review. FMSHRC’s decisions are precedential and appeals from

FMSHRC’s decisions are heard in the federal courts of appeals.

The Chair of the Commission is responsible for the administrative operations of the 

Commission. The Chief Operating Officer (COO) oversees the Commission’s daily 

operations and provides management guidance to the Chair to ensure Commission 

compliance with federal regulations and improve the Commission’s overall efficiency

and effectiveness. The COO also leads the Office of Commission Support (OCS), 

which supports Commission functions through financial management, human 

resources, and information technology services.

STRATEGIC GOALS

FMSHRC has three strategic goals:

Strategic Goal 1: Ensure expeditious, fair, and legally sound adjudication of

cases.

Strategic Goal 2: Increase the Commission’s overall operational efficiency and 

effectiveness.

Strategic Goal 3: Achieve organizational excellence through workforce 

development.
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KEY PERSONNEL

ORGANIZATION CHART

Marco M. 

Rajkovich Jr.

Commissioner

William I. 

Althen

Commissioner

Arthur R. 

Traynor III

Chair Vacant

Commissioner

Vacant

Commissioner

Michael McCord

General Counsel

Glynn F. Voisin

Chief Administrative 

Law Judge

Leslie C. Bayless

Chief Operating 

Officer
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COMMISSION MEMBERS

NAME TERM EXPIRATION

Arthur R. Traynor III

Marco M. Rajkovich Jr.

August 30, 2022

August 30, 2024

William I. Althen August 30, 2024

Vacant

Vacant

August 30, 2026

August 30, 2026
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APPROPRIATION LANGUAGE

SALARIES AND EXPENSES

For necessary expenses of the Federal Mine Safety and Health Review 

Commission $18,012,000 (Departments of Labor, Health and Human Services, 

andEducation, and Related Agencies Appropriations Act, 2022.)

Note.—A full-year 2022 appropriation for this account was not enacted at the time the budget 

was prepared; therefore, the budget assumes this account is operating under the Continuing 

Appropriations Act, 2022 (Division A of P.L. 117-43, as amended). The amounts included for 

2022 reflect the annualized level provided by the continuing resolution.
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Authorizing Legislation

Authorizing Legislation Containing Indefinite Authority

Federal Mine Safety and Health Act of 1977, as amended (30 U.S.C. § 801 etseq.)

Dollars in thousands

FY 2021

Enacted

FY 2022

Annualized 

C.R.

FY 2023

Request

Budget Authority $17,184 $17,184 $18,012

FTE 76 65 76

Note: A full-year 2022 appropriation for this account was not enacted at the time the budget was 

prepared; therefore, the 2022 column reflects the annualized level provided by the continuing 

resolution (C.R.)
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PRESIDENT’S PRIORITIES

COVID Response: In response to the executive order on Protecting the Federal

Workforce and Requiring Mask-Wearing, FMSHRC crafted a COVID-19 Agency Safety

Plan and continues to vigorously prepare for a safe return to the federal workplace for

employees and our service base.

Enhancing Federal Information Technology (IT) and Cybersecurity: FMSHRC will

continue its efforts to respond to Presidential priorities, by prioritizing IT Modernization

and Cybersecurity with a specific emphasis on Executive Order 14028, “Improving the

Nation’s Cybersecurity”. Focus areas will include security acquisition, standardized

cybersecurity vulnerabilities and incident response, and maturing priority capabilities.

FMSHRC priorities also include modernization of the public facing website, expanding

digital services to a wider user base, and modernization of information systems

associated with Privacy Act processes.

Promoting Racial and Economic Equity: In response to Executive Order 13985:

Advancing Racial Equity and Support for Underserved Communities Through the

Federal Government, which was created to address outward barriers to equity and

inclusion for members of underserved communities, FMSHRC will implement initiatives

to promote racial and economic equity, beginning with making our public facing website

accessible to the Spanish-speaking mining community and offering documents and

information processes in Spanish. Additional initiatives will include distribution of

bilingual written guidance in mining communities, so that miners are able to fully

exercise their right to file a claim under section 105(c)(3) on their own behalf.

In Response to Executive Order 14035: Diversity, Equity, Inclusion, and Accessibility in

the Federal Workplace (DEIA), which was created to address inward barriers to equity

and inclusion for members of underserved communities, FMSHRC is assessing its

recruitment, hiring, promotion, and retention policies and practices to ascertain any

barriers. In addition, FMSHRC is assessing whether members of underserved

communities encounter any reasonable accommodation or religious accommodation

barriers. FMSHRC will then create an action plan based on the results of the selfassessment.

FMSHRC will continue to revisit its EEO Policies on a regular basis as the laws evolve

and will address any perceived deficiencies. As discussed in more detail below,

employees will continue to receive required EEO Trainings, but will also receive other

trainings, such as conflict resolution, implicit bias, gender inclusion, and disability
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awareness to promote and foster an equitable and inclusive work environment. To that

end, our agency has assembled and developed a Work Environment Committee (WEC)

that examined our agency’s current culture and best practices for promoting an

environment that strengthens civility, trust, respect, inclusivity and professionalism

throughout the organization. It will develop an action plan that includes

recommendations for personnel outreach, leadership development, education and

training, accountability concepts, and equitable opportunities for all employees. The

committee is a cross section of our agency, with representatives from all job levels,

demographics, and our three office locations. Currently, the committee is presenting

staff with agency core values – Fair Treatment, Respect, Service and Trust – and

developing plans for action to improve our agency culture. Upon the committee’s

recommendation, agency staff will identify and share working styles through the

Everything DiSC Workplace assessment. Everything DiSC Workplace provides

individual insights as well as the ability to compare styles with colleagues in the same

department or across the agency. This activity promotes understanding, engagement,

and meaningful connections throughout the agency, ultimately enhancing inclusivity.

Promoting Collective Bargaining: FMSHRC has taken steps to ensure that

employees understand Executive Order 14003 through training provided on April 26,

2021. Training provided employees with an overview of Labor Unions and their purpose,

employee rights, and steps to form a union. FMSHRC will continue to inform employees

of their rights to participate in employee labor unions and collective bargaining.

Developing a Workforce for the 21st Century: FMSHRC continues to recruit talent

both for the agency and as an entry point for more extensive Federal employment.

Most agency hiring is done through the Office of the Chief Administrative Law Judge

(OCALJ) for the law clerk and summer internship programs. OCALJ recruits from law

schools across the country and through various recruitment programs to ensure that

there is a diverse pool of candidates from which to hire new attorneys and interns.

FMSHRC conducts comprehensive training for all new employees on position functions

and duties, the Freedom of Information Act and procedures, Ethics rules, and Equal

Employment Opportunity laws and procedures. In addition, on regular schedules,

FMSHRC conducts No FEAR Act, Hatch Act, and Reasonable Accommodations

refresher trainings for all employees. It also conducts other trainings, such as Conflict

Resolution and Alternative Dispute Resolution for supervisors and managers, and nonmanagerial staff.

FMSHRC is committed to providing duties-related training for employees at all levels.

Specifically, judges and other staff have participated in week-long certificate courses on

various topics at the National Judicial College, judges and attorneys have participated in

both three-day and week-long mediation courses provided by law school professors,
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and management analysts and legal assistants have participated in courses specific to

their duties to enhance their respective skills.

Finally, FMSHRC is dedicated to celebrating the diversity of its staff through Special

Emphasis Programs, Multicultural Day, and Disability Awareness Day. FMSHRC will

continue to leverage investments in employee training to develop a well-trained

workforce.

Improving Case Processing: FMSHRC will seek to maintain improvements to trial

and appellate level case pendency, with an emphasis on resolving any remaining older

cases. For example, in FY 2021 FMSHRC gave reducing the backlog of default cases

a high priority. At the beginning of the year,144 default cases were pending before the

agency, and additional default cases were being filed. FMSHRC was able to dispose

of148 default cases during the year, which left only 26 default cases pending at the end

of the year. These types of actions serve to provide a timely resolution to parties before

FMSHRC.

Sharing Quality Services: FMSHRC will continue seeking improvement and

efficiencies through Shared Service Providers. This includes interagency agreements

for human resource, procurement, travel, financial management, cybersecurity

initiatives with Shared Service providers. FMSHRC will also seek efficiencies where

practical with other Federal entities. The Office of the Chief Administrative Law Judge is

an active participant in OPM’s Administrative Law Judge Loan Program. Under this

program, OCALJ judges receive cases from other agencies who have demonstrated no

ALJ is available within their own agency. FMSHRC currently has inter-agency

agreements with four agencies under which it regularly receives loaner judge cases.

GENERAL STATEMENT

FMSHRC was established as an independent agency by section 113(a) of the Federal

Mine Safety and Health Act of 1977. FMSHRC fulfills its mission through three

functions.

The OCALJ function provides trial-level adjudication by ALJs. At the trial level,

FMSHRC’s ALJs hear and decide cases initiated by the Secretary of Labor, mine

operators, miners, and miners’ representatives.

The Commission Review function is carried out by the Commissioners, their staff, and

OGC. FMSHRC hears appeals of judges’ decisions by granting a petition for

discretionary review from one or more of the parties or by directing review on its own
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motion. In addition, at the appellate level, FMSHRC considers motions to reopen cases

where an operator has failed to timely contest a proposed penalty or to timely respond

to the Secretary of Labor’s penalty petition.

The OCS function supports both the trial-level and appellate functions by providing

financial management, human resources, and information technology services.

In FY 2023, FMSHRC is requesting $18,012 million and 76 FTE.

Dollars in thousands

FY 2021

Enacted

FY 2022

Annualized 

C.R.

FY2023

Request

Function FTE

Budget

Authority FTE

Budget

Authority FTE

Budget

Authority

Administrative Law

Judge 43 $9,593 39 $9,593 43 $9,893

Commission Review 22 $5,472 20 $5,472 22 $5,756

Commission 

Support 11 $2,119 6 $2,119 11 $2,363

Total 76 $17,184 65 $17,184 76 $18,012

 
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ADMINISTRATIVE LAW JUDGE FUNCTION

Administrative Law Judge Function

Dollars in thousands

FY 2021

Enacted

FY 2022

Annualized 

C.R.

FY 2023

Request

Budget Authority $9,593 $9,593 $9,893

FTE 43 39 43

Introduction

FMSHRC employs ALJs to hear and decide contested cases at the trial level. The ALJs

afford mine operators, miners and their representatives a full opportunity to participate

in the hearing process. FMSHRC ALJs are also responsible for evaluating and

approving or denying settlement agreements proposed by the parties under the Mine

Act.

FMSHRC’s FY 2023 budget request includes the following strategic objective for the

ALJ function:

• Strategic Objective 1.1 – Ensure timely issuance of decisions at the trial level

FY 2023

FMSHRC’s FY 2023 Budget includes $9.893 million and 39 FTEs for its

Administrative Law Judge function.

The FY 2023 request includes law clerks, management analysts, and legal assistants to

support the judges, and several docket office management analysts and clerks to

maintain case files and process and record documents filed with FMSHRC.

FMSHRC has established a pendency goal for trial level cases of 180 days for FY 2023.

Pendency is the average time between receipt of a case and case disposition.
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FMSHRC estimates that 938 trial level cases will be pending at the beginning of FY

2023. FMSHRC anticipates that it will receive 2,031 new cases during FY 2023 and will

dispose of 1,949 cases during the same period.

FY 2022

FMSHRC’s FY 2022 annualized C.R. level included 43 FTEs and $9.741 

million for the Administrative Law Judge function. FMSHRC anticipates 

operating at a level of 39 FTEs during FY 2022 for this function.

The FY 2022 level supports law clerks, management analysts, and legal assistants to

support the judges, and several docket office management analysts and clerks to

maintain case files and process and record documents filed with FMSHRC. FMSHRC

established a pendency goal for trial level cases of 180 days for FY 2022.

FMSHRC had 1,001 trial level cases pending at the beginning of FY 2022. FMSHRC 

anticipates that it will receive 1,763 new cases during FY 2022 and will dispose of 1,826

cases during the same period.

FY 2021

FMSHRC’s FY 2021 Enacted budget level for its Administrative Law Judge function was

$9,593 million and that office had a year-end total of 34 actual FTEs.

There were 880 trial level cases pending at the beginning of FY 2021. FMSHRC

received 1,974 new cases during FY 2021 and disposed of 1,853 cases during the

same period.
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Administrative Law Judge Function – Caseload Data

FY 2021 FY 2022 FY 2023

Actual Estimate Estimate

Cases pending beginning of

year

880 1,001 938

Assessment of civil

penalty 735 854 804

Notice of contest 110 109 99

Discrimination and

compensation 30 32 29

Other 5 6 6

New cases received 1,974 1,763 2,031

Assessment of civil

penalty 1,671 1,487 1,706

Notice of contest 270 245 284

Discrimination and

compensation 27 25 33

Other 6 6 8

Total case workload 2,854 2,764 2,969

Assessment of civil

penalty 2,406 2,341 2,510

Notice of contest 380 354 383

Discrimination

proceeding 57 57 62

Other 11 12 14

Cases disposed 1,853 1,826 1,949

Assessment of civil

penalty 1,552 1,537 1,687

Notice of contest 271 255 229

Discrimination and

compensation 25 28 28

Other 5 6 5

Cases pending end of year 1001 938 1,020

Assessment of civil

penalty 854 804 823

Notice of contest 109 99 154

Discrimination and

compensation 32 29 34

Other 6 6 9
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Administrative Law Judge Function – Strategic Objectives

Strategic Objective 1.1 Ensure timely issuance of decisions at the trial level

FY 2021 FY 2022 FY 2023

Performance Goal Actual Target Target

1.1.1 Average time from receipt to disposition of all

cases

196

days

180

days

180

days

1.1.2 Average time from receipt to disposition of penalty

cases

184

days

180

days

180

days

1.1.3 Percent of all cases on hand over

365 days in age 12% 20% 20%

COMMISSION REVIEW FUNCTION

Commission Review Function

Dollars in thousands

FY 2021

Enacted

FY 2022

Annualized 

C.R.

FY 2023

Request

Budget Authority $5,472 $5,472 $5,756

FTE 19 20 22

Introduction

The FMSHRC Commission Review function incorporates the responsibilities of the

Commissioners and OGC in the appellate review function.

The five-member Commission decides two principal types of cases:

(1) substantive cases, which are cases in which a judge has issued a final or

interlocutory decision on the merits and FMSHRC has granted a petition for

review filed by either party, or at least two Commissioners have decided to

grant review on their own initiative.
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(2) default cases, which are cases where an operator has failed to timely

contest a proposed penalty or to timely respond to a judge’s order and the

operator has filed a motion to reopen the final order.

The general authority for the review of ALJs’ decisions is set forth in section 113(d)(1) of

the Mine Act. The Act states that an ALJ’s decision shall become final 40 days after its

issuance, unless within that period any two Commissioners direct that the decision be

reviewed. Most substantive cases come before FMSHRC when two or more

Commissioners vote to grant a petition for discretionary review filed by a party adversely

affected or aggrieved by the ALJ’s decision. FMSHRC may also consider an ALJ’s

interlocutory ruling under certain circumstances.

Two or more Commissioners may also direct any ALJ’s final decision for review sua

sponte (on FMSHRC’s own initiative, without the parties filing a petition). Sua sponte

review is limited to judges’ decisions that are contrary to law or FMSHRC policy, or that

present a novel question of policy.

By law, a quorum of three Commissioners is required to decide substantive cases.

When FMSHRC lacks a quorum of Commissioners, it cannot issue decisions, and this

affects the average time required to reach decisions. Many of FMSHRC’s cases

present issues of first impression under the Mine Act. That is, the cases raise issues

that have not been resolved by prior decisions of FMSHRC or the courts. Many cases

involve the interpretation of safety and health standards and regulations promulgated

by MSHA.

The Office of General Counsel (OGC) is responsible for conducting the initial research

in substantive cases and sometimes preparing draft opinions for Commissioners. Each 

Commissioner is assigned an attorney advisor, who reports directly to the individual 

Commissioner and assists with research and preparation of opinions. The OGC 

attorneys also perform other duties, such as responding to FOIA requests, ethics 

counseling and training, and review of financial disclosure forms.In addition, OGC is 

primarily responsible for formulating and drafting FMSHRC’s rulemaking initiatives.

FMSHRC has established the following strategic objective for FMSHRC Commission

Review function:

• Strategic Objective 1.2 – Ensure timely issuance of decisions at the appellate level
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FY 2023

FMSHRC’s FY 2023 budget request includes 22 FTEs and $5.756 million for its

Commission Review function.

The appellate caseload includes several types of cases, including those where by law,

FMSHRC must issue rulings very quickly. For example, FMSHRC hears appeals of

temporary reinstatement cases; these are discrimination cases, and pursuant to

FMSHRC’s procedural rules, appeals of these types of decisions must be adjudicated

within an extremely short timeframe. Commissioners’ workload also includes deciding

whether to accept petitions for discretionary review, which by statute must generally be

granted or denied within approximately ten days.

In FY 2023, it is expected that 65 substantive and default cases will be pending at the

beginning of the year, and an estimated 48 new cases will be filed during the year.

Approximately 42 dispositions are expected, of which an estimated 12 will be

substantive cases and 30 will be default cases. It is anticipated that FMSHRC’s

appellate docket will contain 71 cases at the end of FY 2023. The legal proceedings

involved in disposing of substantive cases are expected to average twelve months.

Therefore, the cases disposed of during one year include both cases that were received

in a previous year but not disposed of that year (cases pending end of year), and new

cases received during the current year. FMSHRC will continue to work expeditiously to

achieve the goals for case backlog and pendency.

FY 2022

FMSHRC’s FY 2022 annualized C.R. funding level included 20 FTEs and 

$5.472 million for its Commission Review function. FMSHRC anticipates 

operating at a level of 20 FTEs during FY 2022 for this function. 

The appellate caseload includes several types of cases, including those where by law,

FMSHRC must issue rulings very quickly. For example, FMSHRC hears appeals of

temporary reinstatement cases; these are discrimination cases, and pursuant to

FMSHRC’s procedural rules, appeals of these types of decisions must be adjudicated

within an extremely short timeframe. Commissioners’ workload also includes deciding

whether to accept petitions for discretionary review, which by statute must generally be

granted or denied within approximately ten days.

In FY 2022, a total of 33 substantive and default cases were pending before FMSHRC

at the beginning of the year and an estimated 48 new cases will be filed during the 

year. Approximately 57 dispositions are expected, of which an estimated 14 will be

substantive cases and 43 will be default cases. It is anticipated that FMSHRC’s docket
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will contain 65 undecided cases at the end of FY 2022. FMSHRC will continue to work 

expeditiously to achieve the goals for case backlog andpendency.

FY 2021

FMSHRC’s FY 2021 Enacted budget level for its Commission Review function was

$5.472 million and that office had a year-end total of 19 actual FTEs.

In FY 2021, there were 154 cases before FMSHRC at the beginning of the year, and 38 

new cases were filed during the year. 159 cases were disposed, of which 11 were

substantive cases and 148 were default cases. The number of dispositions in default

cases in 2021 is unusually high (148) because the Commission is placing a special

emphasis this year on reducing the backlog of pending default cases. FMSHRC’s

appellate docket contained 33 undecided cases at the end of FY 2021.
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION

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Commission Review Function - Caseload Data

FY 2021 FY 2022 FY 2023

Actual Estimate Estimate

Cases pending beginning of

year

154 33 65

Substantive cases 10 7 14

Default cases 144 26 51

New cases received 38 48 48

Substantive cases 8 12 12

Default cases 30 36 36

Total case workload 192 80 113

Substantive cases 18 18 26

Default cases 174 62 87

Cases disposed 159 57 42

Substantive cases 11 14 12

Default cases 148 43 30

Cases pending end of year 33 65 71

Substantive cases 7 14 14

Default cases 26 51 57
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION

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Commission Review Function – Strategic Objectives

Strategic Objective 1.2 Ensure timely issuance of decisions at the appellate

level

FY 2021 FY 2022 FY 2023

Performance Goal Actual Target Target

1.2.1 Average time from direction for review to issuance

of decision

12

months

12

months

12

months

1.2.2 Average time from briefing completion to issuance

of decision

9

months

9

months

9

months

1.2.3 Percent of cases on hand over 18 months in age 14% 20% 20%

Strategic Objective 1.3 Issue orders in motions to reopen cases in a timely

manner

FY 2021 FY 2022 FY 2023

Performance Goal Target Target Target

1.3.1 Average time from receipt of the motion to issuance

of final order

120

days

120

days

120

days
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION

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OFFICE OF COMMISSION SUPPORT FUNCTION

Office of Commission Support Function

Dollars in thousands

FY 2021

Enacted

FY 2022

Annualized 

C.R.

FY 2023

Request

Budget Authority $2,119 $2,119 $2,363

FTE 11 6 11

Introduction

The Office of Executive Director (OED) will be restructured in FY2022 to address

evolving Commission needs and will be known as the Office of Commission Support 

(OCS). This workforce reshaping effort was conducted in collaboration with the Office 

of Personnel Management (OPM). OCS is better postured to achieve the strategic 

objectives laid out in FMSHRC’s new Strategic Plan 2022-2026. 

The Chief Operating Officer oversees the Commission’s daily operations and leads the 

Office of Commission Support (OCS). OCS provides administrative services to support 

FMSHRC in fulfilling its mission and strategic goals. The primary functions are financial 

management, human resources, and information technology services, in addition to 

procurement and contracting, facilities management, and general administrative

service support.

The financial management services function includes budget and accounting, such as

budget formulation, budget execution, funds control, financial reporting, and vendor

payments.

Human resources include recruitment and placement, classification and pay

administration, performance management and incentive awards, employee benefits and

retirement, personnel security, coordination of employee training programs, and

wellness and employee assistance programs.

Information technology includes help desk functions, network administration,

Cybersecurity oversight and implementation, policy formulation, and

telecommunications.

Procurement and contracting include specific matters such as maintaining a simplified

acquisition program for supplies and services, contract implementation and oversight,

and coordination of services and supplies.
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION

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Facilities management includes property and space management, OSHA Compliance,

emergency evacuation, and physical security.

OCS's other general administrative services include oversight and administering

employee travel authorizations and reimbursements and the metro subsidy program.

FMSHRC has established the following strategic objectives for FMSHRC 

Commission Support function:

• Strategic Objective 2.1 – Modernize Information Technology infrastructure, 

resources, and capabilities

• Strategic Objective 2.2 – Increase internal transparency

• Strategic Objective 3.1 – Advance diversity, equity, inclusion, and accessibility

• Strategic Objective 3.2 – Improve talent management

• Strategic Objective 3.3 – Promote work-life programs

FY 2023

FMSHRC’s FY 2023 budget request includes 11 FTEs and $2.363 million for its Office

of Commission Support function. 

FY 2022

FMSHRC’s annualized FY 2022 C.R. level included 6 FTEs and $2.119 million for its 

Office of the Executive Director function. FMSHRC anticipates operating at the level 

of 6 FTEs during FY 2022 for this function. 

FY 2021

FMSHRC’s FY 2021 Enacted budget level was $2.119 million for its Office of the

Executive Director function and that office had a year-end total of 6 actual FTE’s.
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION

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TABLES
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION

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Budget Authority by Object Class

FY 2023 Budget Request by Object Class

Dollars in thousands

FY 2021

Actual

FY 2022

Annualized

C.R.

FY 2023

Request

Personnel Compensation 9,458 9,458 10,284

Other than Full-Time Permanent 0 0 0

Total, Personnel Compensation 9,458 9,458 10,284

Personnel Benefits, Civilian 2,512 2,512 2,697

Benefits to Former Employees 10 10 10

Travel and Transportation of Persons 8 8 151

Transportation of Things 12 12 11

Rental Payments to GSA 1,995 1,995 1,875

Communications, Utilities, and Misc. 733 733 807

Printing and Reproduction 9 9 15

Other Services 2,279 2,279 1,889

Supplies and Materials 48 48 150

Equipment 120 120 123

Total 17,184 17,184 18,012
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION

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Personnel Summary

2021 2022 2023

Actual Annualized 

C.R.

Request

Executive Level III 1 1 1

Executive Level IV 4 4 4

Executive Schedule 5 5 5

ES 5 2 2

Senior Executive Service 2 2 2

AL-2 1 1 1

AL-3 11 11 11

Administrative Law Judges 12 12 12

GS-15 2 6 6

GS-14 9 5 5

GS-13 5 7 7

GS-12 16 5 16

GS-11 5 7 7

GS-9 13 11 11

GS-8 1 1 1

GS-7 1 4 4

General Schedule 57 46 57

Total Permanent Full-Time Positions 76 65 76

Average Salaries

FY 2021

Enacted

(Estimate)

FY 2022

Enacted

(Estimate)

FY 2023

Request

(Estimate)

Average EX Salary $161,800 $166,169 $169,757

Average ES Salary $175,033 $179,221 $184,598

Average AL Salary $183,315 $188,249 $193,896

Average GS Salary $101,718 $110,182 $113,584
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Amounts Available for Obligation

(in millions)

FY 2021

Enacted Estimate

FY 2022

Annualized 

C.R.

FY 2023

Request

FTE Amount FTE Amount FTE Amount

Appropriation 76 $17.184 65 $17.184 76 $18.012

Summary of Changes by Budget Authority

(in millions)

Budget Authority FY 2021

 Enacted

FY 2022

Annualized 

C.R.

FY 2023

Request

Net Change

(FY 2022 to

FY2023)

Appropriations $17.184 $17.184 $ 18.012 (+0.828)

Full-time Equivalent 76 65 76 +11
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Appropriations and FTE History

Fiscal Year

Budget

Estimate

to Congress

House

Allowance

Senate

Allowance Appropriation FTE1

2009 8,653,000 8,653,000 8,653,000 8,653,000 50

2010 9,857,567 9,857,567 10,358,000 10,358,0002 63

Supplemental 3,800,000 3,800,000 3,800,0003 174

2011 13,105,000 13,905,000 15,755,000 10,337,0005 63

2012 22,417,000 – 17,637,000 17,604,0006 72

2013 16,000,000 -- -- 16,683,0007 74

2014 16,423,000 -- -- 16,423,000 82

2015 17,601,000 -- -- 16,751,000 73

2016 17,085,000 -- -- 17,085,000 72

2017 17,184,000 -- -- 17,184,000 65

2018 17,053,000 -- -- 17,184,000 60

2019 17,053,000 - - 17,184,000 66

2020 17,184,000 - - 17,184,000 59

2021 17,184,000 - - 17,184,000 76

2022 17,539,000 - - 65*

2023 18,012,000 76*

*Estimated FTE Level

1 FTE for FY 2013 and before represent the FTE ceiling given budget authority, not the actual FTE.

2 Reflects Senate approved mark-up of $500,000 pursuant to P.L. 111-117.

3 Reflects supplemental funding of $3,800,000 pursuant to P.L. 111-212.

4 Temporary FTE provided July 29, 2010—July 28, 2011 though FY 2010 supplemental appropriation.

The Commission carried this staff over for the last two months of FY 2011, using FY 2011 funding.

5 Reflects reduction of $21,000 pursuant to Sec. 1119(a) of the Department of Defense and Full-Year

Continuing Appropriations Act, 2013, P.L. 112-10.

6 Reflects reduction of $33,334 pursuant to Section 527(a) of the Consolidated Appropriations Act, 2013,

P.L. 112-74.

7 Reflects the post-sequester 2013 Continuing Resolution level.