FEDERAL MINE SAFETY AND HEALTH REVIEW 

COMMISSION

STRATEGIC PLAN

FISCAL YEARS 2014-2018
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

Page left intentionally blank

ii
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

Table of Contents

Agency and Mission Information

Mission.........................................................................................................1

Organizational structure ...............................................................................1

Background..................................................................................................2

Strategic Goals ......................................................................................................3

Strategic Objectives ................................................................................................4

Performance Goals ................................................................................................5

Other Information

Major Management Challenges ...................................................................9

Program Evaluation......................................................................................10

iii
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

Page left intentionally blank

iv
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

AGENCY AND MISSION INFORMATION

MISSION

The Federal Mine Safety and Health Review Commission (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 the 

Commission 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 the Commission, 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.

ORGANIZATIONAL STRUCTURE

1
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

BACKGROUND

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

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

against mine operators. The Commission is responsible for addressing whether 

the alleged violations occurred, as well as the assessment of appropriate civil 

penalties. Other types of cases include contests of MSHA orders to close a mine 

for health or safety reasons, miners’ charges of discrimination based on their 

complaints regarding health or safety, 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. 

The Commission’s Administrative Law Judges (judges) decide cases at the trial 

level. The five-member Commission provides administrative appellate review. 

Review of a judge’s decision by the Commission 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, may decide to 

review a case. A judge’s decision that is not accepted for review becomes a 

final, non-precedential order of the Commission. Appeals from the Commission’s 

decisions are to the federal courts of appeals.

Resolving these substantive cases creates a great demand on the resources of 

the five-member Commission and the Office of General Counsel (OGC). 

Typically, in these substantive cases, the Commissioners, with the assistance of 

the OGC, review and analyze extensive briefs filed by the parties, sometimes 

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, the Commission at the 

appellate level 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. 

2
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

STRATEGIC GOALS

The Commission has two strategic goals:

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

adjudication of cases 

Strategic Goal 2: Manage the Commission’s human resources, 

operations, facilities, and information technology

systems to ensure a continually improving, 

effective and efficient organization

The Strategic Goal 1 of ensuring expeditious, fair, and legally sound adjudication 

of cases at the trial and appellate levels is further explained by strategic

objectives. Performance goals and targets have been established to benchmark 

and track progress towards achieving the goals. The Strategic Goal 2 is defined 

by commission-wide objectives without performance goals.

3
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

STRATEGIC OBJECTIVES

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

cases

Strategic Objectives

1.1 Ensure timely issuance of decisions at the trial level 

(Office of the Administrative Law Judges Function)

1.2 Ensure timely issuance of decisions at the appellate level 

(Commission Review Function)

1.3 Issue orders in default cases in a timely manner 

(Commission Review Function)

Strategic Goal 2: Manage the Commission’s human resources, operations, 

facilities, and information technology systems to ensure 

a continually improving, effective, and efficient 

organization 

Strategic objectives

2.1: Maintain and enhance secure electronic information systems for case 

management, legal research, management operations support, 

public access to data through the internet, and continuity of the 

Commission’s operations during national emergencies or natural 

disasters which may disrupt normal office operations

(Office of the Executive Director Function)

2.2: Recruit, train, and retain a diverse workforce of skilled, highly 

motivated employees to effectively and efficiently accomplish the 

Commission’s mission

(Office of the Executive Director Function)

4
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

PERFORMANCE GOALS

The goals in Strategic Objective 1.1 cover cases received in the Office of the 

Administrative Law Judges: 

• The trial-level function lies within the Office of the Administrative Law 

Judges (OALJ). 

• At the trial level, the Commission’s judges hear and decide cases 

initiated by the Secretary of Labor, mine operators, miners, and miners’ 

representatives. 

• Cases primarily involve three types: assessment of civil penalty, notice of 

contest, and discrimination proceedings.

• Dispositions primarily consist of: settlements, decisions after hearing, 

dismissals, defaults, and judgments.

Performance Goal 1.1.1 Average days from receipt to disposition of all cases

• The time period, referred to as pendency, covers from the date that the 

case is received in the OALJ until the date of disposition. 

• This goal includes all types of cases. 

Performance Goal 1.1.2 Average days from receipt to disposition of penalty 

cases

• The time period, referred to as pendency, covers from the date that the 

case is received in the OALJ until the date of disposition. 

• This goal includes only assessment of civil penalty cases. 

Performance Goal 1.1.3 Percent of all cases on hand over 365 days in age

• This goal measures the percent of those cases on hand at year end that 

are over 365 days compared to all cases on hand. 

• This goal includes all types of cases. 

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

(Office of the Administrative Law Judges Function)

Performance Goal 2013 

Result

2014

Target 2015 2016 2017 2018Target

1.1.1 Average time from 

receipt to disposition of 

all cases

463 days 360 days Targets established annually 180 days

1.1.2 Average time from 

receipt to disposition of 

penalty cases

433 days 425 days Targets established annually 180 days

1.1.3 Percent of all cases 

on hand over 365 days in 

age

43% 40% Targets established annually 10%

5
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

The goals in Strategic Objective 1.2 apply to those substantive cases that, for 

the purpose of this Strategic Plan, are defined as those in which the 

Commission has granted review of a petition for discretionary review (PDR) or a 

petition for interlocutory review (PIR). 

• These goals do not apply to the time expended on PDRs for which 

review was not granted. Decisions on whether to grant or deny review 

must, by statute, be made within 40 days of the issuance of an 

administrative law judge decision, and the Commission adheres strictly 

to that standard.

• These goals do not apply to the time expended on petitions for 

temporary reinstatement (PTRs). PTRs are by regulation to be decided 

within 10 days after receiving the PTR and any response, and the 

Commission adheres strictly to that standard. 

• The matters to which these goals apply are significant cases with many 

presenting issues of first impression under the Mine Act. That is, the 

cases raise issues that have not been resolved by prior decisions of the 

Commission or the courts, or the cases involve the interpretation of

safety and health standards and regulations promulgated by the Mine 

Safety and Health Administration of the Department of Labor.

Performance Goal 1.2.1 Average time to issuance of decision in substantive 

cases

• This goal measures the average time period from the date that review is 

granted to the date of issuance of a decision. 

Strategic Objective 1.2 Ensure timely issuance of decisions at the appellate level

(Commission Review Function)

Performance Goal 2013 

Result

2014

Target 2015 2016 2017 2018Target

1.2.1 Average time 

to issuance of 

decision in 

substantive cases 

27.7 months 28 months Targets established annually 18 months

1.2.2 Average time 

from briefing 

completion to 

issuance of decision 

in substantive cases 

23.9 months 24 months Targets established annually 14 months

1.2.3 Percent of 

substantive cases on 

hand over 18

months in age

43% 40% Targets established annually 10%

6
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

Performance Goal 1.2.2 Average time from briefing completion to issuance of 

decision in substantive cases

• This goal measures the average time period from briefing completion date 

to the date of issuance of a decision.

• By excluding the time before briefs are filed, this goal provides a measure 

of the average time for the Commission to issue a decision once the 

parties have fully presented their written arguments.

Performance Goal 1.2.3 Percent of all substantive cases on hand over 18

months in age

• This goal measures the percent of those substantive cases on hand at 

year end that are over 18 months in age (from the date that review was 

granted) compared to all cases on hand. 

7
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

The goal in Strategic Objective 1.3 covers default cases received by the 

Commission 

• This goal measures the time it takes to issue an order in cases where an 

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

the Secretary’s penalty petition, and the operator has filed a motion to 

reopen the final order.

Performance Goal 1.2.1 Percent of default cases on hand over 6 months in age

• This goal measures the percent of those default cases on hand at year 

end that are over 6 months compared to all default cases on hand. 

Strategic objective 1.3: Issue orders in default cases in a timely manner

(Commission Review Function)

Performance Goal 2013 

Result

2014

Target 2015 2016 2017 2018Target

Percent of default cases on 

hand over 6 months in age 13% 13% Targets established annually 10%

8
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

OTHER INFORMATION

MAJOR MANAGEMENT CHALLENGES

The Commission has faced great challenges in recent years, as its trial caseload 

increased dramatically. From FY 2000 through FY 2005, the average number of 

new cases filed was 2,307 per year. However, beginning in FY 2006 the number 

of new cases filed increased steadily. The Commission began FY 2014 with an 

inventory of 7,612 trial-level cases. In contrast, the average trial-level caseload 

from FY 2000 through FY 2004 was only 1,379. 

H.R. 4899, the Supplemental Appropriations Act, 2010 (P.L. 111-212), was 

enacted on July 29, 2010. Pursuant to that law, the Commission received 

$3,800,000, available for one year from the date of enactment for the purpose of 

reducing the backlog. Supported by the FY 2011 continuing resolutions, as well 

as this supplemental appropriation, the Commission took a number of steps to 

dispose of cases more efficiently and reduce the backlog. Most importantly, the 

Commission hired additional personnel, including six new full time equivalent 

judges and the staff to support their work. 

In addition, the Commission actively explored the implementation of an electronic 

case management system to increase the speed and efficiency with which cases 

are processed. The Commission submitted a report to Congress on March 23, 

2011, describing the options, costs and timelines associated with this project. A 

new electronic Case Management System procurement was initiated in FY 2012 

for award and fielding in early FY 2014. This system will permit electronic filing, 

fully electronic case files, electronic assignment and distribution of cases, 

automated notifications to parties, case tracking and other utilities. In 

anticipation of this new system, the Commission initiated pilot projects to 

increase the use of technology in case handling that will help to identify and 

ameliorate potential barriers to e-filing.

The Commission promulgated two final rules in FY 2011, both aimed at 

streamlining the adjudicatory process. On November 30, 2010, the Commission 

published in the Federal Register a final rule on settlement procedures. See 75 

Fed. Reg. 73955. The goal of the rule is to make the settlement of cases more 

efficient and less time-consuming for Commission judges, by requiring that 

parties who file motions to approve settlement submit a proposed decision 

approving settlement with the motion. The rule generally requires the filing party 

9
Federal Mine Safety and Health Review Commission Strategic Plan 2014-2018

to submit the motion and proposed order electronically.

On December 28, 2010, the Commission published in the Federal Register a 

final Simplified Proceedings rule setting forth procedures that simplify and 

streamline the processing of certain civil penalty proceedings. See 75 Fed. Reg. 

81459. Although the simplified proceedings rule became effective on March 1, 

2011, full implementation was delayed until May 2012. 

The backlog reduction activities undertaken by the Commission have been highly 

productive, and case dispositions at the trial level have increased significantly. 

However, as a result of the increasing number of cases disposed of by 

Commission judges, the number of cases appealed to the Commission Review 

has increased significantly. 

PROGRAM EVALUATION

The Commission will evaluate its progress toward accomplishing its strategic

goals through analysis of the results of its performance measures and through a 

continual reassessment of its workload and the needs of the parties that it 

serves. The Commission has established a management committee that meets 

on a monthly basis to review management issues. On a quarterly basis this 

committee reviews program strengths and weaknesses to determine if alternative 

courses of action are required. The Commission will use the results of these 

evaluations to develop the annual performance goals and targets which will focus 

the Commission’s activities for the year.

10