Report on Potential e-filing and 

Electronic Case Management Solutions 

Submitted by:

The Federal Mine Safety and Health Review 

Commission

March 23, 2010
Introduction 

Pursuant to Chapter 7 of Public Law 111-212, the “Supplemental Appropriations Act, 

2010,” the Federal Mine Safety and Health Review Commission (FMSHRC or 

Commission) received an appropriation of $3,800,000, all of which is available for one 

year from the date of enactment (July 29, 2010) for the purpose of reducing the existing 

case backlog before the Commission. In Senate Report 111-188, Congress stated its 

expectation that some of the supplemental funding provided to the Commission would be 

used to explore information technology solutions that would enhance the efficient 

processing and tracking of cases before the Commission. This is the Commission’s 

report on the results of its exploration to date on options for upgrades, the feasibility of 

such upgrades, and the associated costs. 

Exploration of Options 

FMSHRC has been actively exploring various electronic products and system designs to 

replace or upgrade its current case management system. Ultimately, a new or upgraded 

system will permit electronic filing, fully electronic case files, electronic assignment and 

distribution of cases, automated notifications to parties, secure access by litigants, case 

tracking, and other utilities. It would also ideally help to increase public access under the 

Freedom of Information Act and other transparency initiatives designed to promote 

greater public understanding of its activities. 

The Commission assembled an ad hoc e-filing project team made up of Commission staff 

and contractors, who as a first step developed a list of general, high-level requirements 

that must be addressed in the new system. FMSHRC then consulted with other federal 

agencies using electronic filing systems regarding how a new system could be integrated 

with the current case tracking system. Through these consultations, we learned the 

importance of having a dedicated project manager and integrated project team on-site to 

oversee the development and integration of a new system. Careful attention to change 

management – that is, the process of prioritizing requirements and adjusting the system 

and associated processes to accommodate evolving requirements and technology – will 

be critical to a successful transition. 

In order to learn about information technology solutions available in the marketplace and 

to estimate the cost of acquiring and implementing a system, FMSHRC published a 

Request for Information (RFI) in FedBizOpps on November 24, 2010. The RFI asked 

vendors to inform the Commission about market solutions that could fulfill the 

requirements identified by the FMSHRC e-filing project team, demonstrate the 

experience of the vendor in providing secure electronic filing systems to federal agencies, 

and provide price information for implementing the solution. The Commission received 

16 responses to the RFI. The information provided in those responses has been and will 

continue to be very useful as the Commission continues to explore, prepare for, and 

ultimately implement electronic case filing and management. 

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FMSHRC has contracted with a research firm experienced in process evaluation and 

software assessment. The firm has extensive experience working with the Department of 

Labor’s Mine Safety and Health Administration (MSHA) and Office of the Solicitor 

(SOL). As a result of this experience, the firm initiated its work for the Commission 

already possessing an in-depth understanding of the backlog of cases before the 

Commission, and the processes used by both MSHA and the Commission in processing 

those cases. 

Under its contract with FMSHRC, the firm is evaluating the 16 responses to the RFI, 

providing recommendations on the options offered in those responses, the associated 

costs, and the feasibility of implementation. It will also develop a process map that 

reflects how cases are currently processed at the Commission from receipt through 

disposition. This process map will help the Commission identify any inefficiencies in 

case processing that could be addressed prior to implementing a new system, highlight 

best practices that could be rolled out uniformly across the Commission, and also assist 

the Commission and a future system provider in prioritizing key requirements to 

customize and implement a technological solution. 

Finally, the research firm will advise the Commission on developing a system of records 

that relies on electronic, rather than paper, files. This is an important long-term costsaving aspect to electronic case management. Currently, the Commission is required to 

reinforce the floor of its docket office in order to ensure sufficient support for the many 

closed case files that are not yet scheduled to be sent to the Archives. The Commission’s 

lease on its current Headquarters in Washington, D.C. will expire at the end of FY 2012. 

Thus, corollary goals of electronic case management are to reduce the amount of contract 

staff, office, and storage space needed for the docket office and to eliminate the need for 

reinforced flooring as the vast majority of all files are retained electronically. 

Findings 

The RFI responses and their analysis have provided FMSHRC with a great deal of 

valuable information regarding market solutions to e-filing and electronic case 

management. We anticipate using this information to develop a Request for Proposals in 

the future. 

Through the RFI responses, the Commission has learned that moving to e-filing and 

electronic case management is entirely feasible. However, there are a number of 

considerations that must be taken into account as we move forward. One is whether the 

system will be cloud-based or on-site. The Office of Management and Budget, in its “25 

Point Implementation Plan to Reform Federal Information Technology Management” 

(http://www.cio.gov/documents/25-Point-Implementation-Plan-to-ReformFederal%20IT.pdf) issued a “Cloud First” policy for the federal government. The policy 

stipulates that “when evaluating options for new IT deployments, OMB will require that 

agencies default to cloud-based solutions whenever a secure, reliable, cost-effective cloud 

option exists.” 

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The Commission is a small agency without a robust information technology department, 

so even absent OMB’s “cloud first” guidance, our inclination is to avoid owning and 

servicing servers and instead to look to a cloud-based solution. However, even without 

hosting the system on-site, FMSHRC’s current network, hardware and software require 

upgrading for the systems to be effective. 

RFI respondents were asked to estimate the cost of implementing any recommended 

solution, and most provided a rough order of magnitude cost estimate, noting that the 

information provided in the RFI was insufficient to provide a more precise estimate of 

cost. In addition, the cost estimates provided varied widely depending on what was 

included in the estimate, such as necessary hardware to support the system, software 

licenses, term of licenses, and professional services provided. Based on the information 

provided by respondents, and an internal assessment of our current IT infrastructure, 

FMSHRC estimates that the first year cost of acquiring and implementing a 

comprehensive electronic solution will be approximately $1,000,000. This estimate 

includes acquiring a system, any required software and licenses for the first year, 

professional services to customize and integrate the system, and necessary upgrades to 

the Commission’s current network, hardware and software. 

Conclusion 

The President’s FY 2012 Budget includes $1,000,000 for e-filing and electronic case 

management. In the interim, FMSHRC will continue to take purposeful steps to lay the 

groundwork for the ultimate solution. Those steps include examining and streamlining 

its current processes, increasing automation of certain steps in the process, and other 

enhanced use of information technology.