FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

 

CONGRESSIONAL BUDGET JUSTIFICATION 

AND 

ANNUAL PERFORMANCE PLAN 

FISCAL YEAR 2021 

February 6, 2020 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

Table of Contents 

Fiscal Year 2021 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 Management Agenda ................................................................................... 8 

Justification by Function 

 General Statement .............................................................................................. 9 

 Activities 

 Administrative Law Judge Function ........................................................ 10 

 Commission Review Function ................................................................ 13 

 Office of the Executive Director Function ............................................... 19 

Tables 

 Budget Authority by Object Class ...................................................................... 21 

 Personnel Summary ........................................................................................... 22 

 Average Salaries ............................................................................................... 22

 Amounts Available for Obligation ...................................................................... 23 

 Summary of Changes by Budget Authority ....................................................... 23 

 Appropriations and Staffing History Table ......................................................... 24 

 

 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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EXECUTIVE SUMMARY 

The Federal Mine Safety and Health Review Commission (FMSHRC) 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 FMSRHC 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 FMSRHC: resolving 

disputes between the Secretary of Labor (Secretary) and underground coal operators 

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

approve such plans. 

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

sound adjudication of cases at the trial and appellate levels. To accomplish this mission, 

FMSHRC is requesting a budget level of $17,184,000 in FY 2021 to support the full-time 

equivalent (FTE) of 76 staff members. This budget level is the same as the FMSRHC’s 

FY2020 Enacted 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. 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 emergency response plans or the temporary reinstatement of a miner 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 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 an ALJ’s decision. In addition, the Commission, 

on its own initiative, may decide to review a case. An ALJ’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 circuit courts of appeals. 

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

(OALJ). FMSHRC estimates the OALJ will have 1,161 cases on hand at the beginning 

of FY 2021. FMSHRC anticipates OALJ will receive 3,002 new cases for review in FY 

2021. FMSHRC estimates there will be 2,959 dispositions, and that the year-end 

balance will be 1,204 cases. 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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Resolving substantive cases being appealed creates a great demand on the resources 

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

Commissioners, with the assistance of 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, at the appellate level 

commissioners consider requests to reopen cases in which a mine operator is in default 

for failing to respond in a timely manner to the Secretary’s proposed penalty or to an 

ALJ’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. 

We anticipate the Commission starting FY 2021 with 13 substantive and 72 “default” 

cases on hand. We expect that the Commission will accept 74 new cases for appellate 

review by commissioners, including 14 substantive cases and 60 “default” cases. 

During FY 2021, we anticipate that 14 substantive cases and 60 “default” cases will be 

disposed. Thus, the substantive case inventory at the end of the year is estimated to be 

13 substantive and 72 “default” cases. 

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

sound adjudication of cases at the trial and appellate levels. In FY 2019, FMSHRC 

substantially reduced its trial and appellate case backlog. 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 impact the number, complexity, and complexion of cases, and affect what cases 

might be appealed. The agency continues to build the systems, processes, and 

capacity to be scaled appropriately if new case filings increase. 

 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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MISSION 

FMSHRC is an independent adjudicatory agency charged with resolving disputes 

arising from the enforcement of safety and health standards in the nation’s mines. 

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. FMSHRC’s mission is to provide just, speedy, 

and legally sound adjudication of proceedings authorized under the Mine Act, thereby 

enhancing compliance with the Act and contributing to the improved health and safety of 

the nation’s miners. 

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 or not the alleged safety and 

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

Other types of cases involve mine operators’ contests of mine closure orders, miners’ 

complaints of safety or health related discrimination, miners’ applications for 

compensation after a mine is idled by a closure order, and review of disputes between 

MSHA and underground coal mine operators relating to those operators’ mine 

emergency plans. 

Once a case is filed with FMSHRC, it is referred to the agency’s Chief Administrative 

Law Judge (CALJ), who leads the Office of Administrative Law Judges. Thereafter, 

litigants in the case must submit additional filings before the case is assigned by the 

CALJ to an ALJ. To expedite the decisional process, the CALJ may rule on certain 

motions and, where appropriate, issue orders of settlement, dismissal, or default. 

Otherwise, once a case is assigned by the CALJ 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 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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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 Office of the Executive Director (OED) supports the above functions by providing 

budget and financial management, and administrative and technical services, including 

human resources and information technology, procurement and contracting, and 

facilities management. 

STRATEGIC GOALS 

FMSHRC has two strategic goals: 

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

cases. 

Strategic Goal 2: Manage FMSHRC’s human resources, operations, facilities, 

and information technology systems to ensure a continually 

improving, effective, and efficient organization. 

 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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KEY PERSONNEL 

ORGANIZATION CHART 

 

Arthur R.

Traynor. III

Commissioner

Michael G. Young

Commissioner

Marco M.

Rajkovich, Jr.

Chairman

Mary Lu Jordan

Commissioner

William I. Althen

Commissioner

Michael A.

McCord

General Counsel

Timothy A.

Greten

Senior Policy

Advisor

Glynn F. Voisin

Chief

Administrative

Law Judge

Lisa M. Boyd

Executive

Director
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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COMMISSION MEMBERS 

NAME TERM EXPIRATION 

 

Michael G. Young August 30, 2020 

 

Mary Lu Jordan August 30, 2020 

 

Arthur R. Traynor, III August 30, 2022 

 

Marco M. Rajkovich, Jr. 

(Chairman) 

 August 30, 2024 

William I. Althen August 30, 2024 

 

 

 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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APPROPRIATION LANGUAGE 

SALARIES AND EXPENSES 

For expenses necessary for the Federal Mine Safety and Health Review Commission 

$17,184,000. (Departments of Labor, Health and Human Services, and Education, and 

Related Agencies Appropriations Act, 2020.) 

AUTHORIZING LEGISLATION 

 

Authorizing Legislation Containing Indefinite Authority 

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

seq.) 

 

Dollars in thousands 

 FY 2019

Enacted

FY 2020 

Enacted 

FY 2021

Request

Budget Authority $17,184 $17,184 $17,184

Authorized FTE 76 76 76
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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PRESIDENT’S MANAGEMENT AGENDA 

In accordance with the long-term vision for modernizing the Federal Government 

outlined in the President’s Management Agenda, FMSHRC will continue initiatives to 

support: 

 IT Modernization: FMSHRC seeks to 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 

agency operations during national emergencies or natural disasters. 

o FMSHRC’s IT Modernization Plan features improvements and 

maintenance to systematically meet FMSHRC’s mission performance and 

cybersecurity requirements. 

o FMSHRC continues to implement steps found in Presidential Executive 

Order 13800 on “Strengthening the Cybersecurity of Federal Networks 

and Critical Infrastructure.” Cybersecurity risk management remains a high 

priority for FMSHRC, and includes protecting systems and data from 

unauthorized access, mitigating cyber threats, maintaining awareness of 

cyber threats, and detecting anomalies and incidents adversely affecting 

systems and data. 

o FMSHRC also partners with the Department of Homeland Security 

Continuous Diagnostic and Mitigation program. This effort assists 

FMSHRC in monitoring its IT infrastructure, and helps to prevent malicious 

attacks. 

 Data, Accountability, and Transparency: FMSHRC continues to implement the 

guidelines outlined in the Digital Accountability and Transparency Act of 2014 

and the Federal Funding Accountability and Transparency Act of 2006. 

FMSHRC initiatives include posting all spending information with 

usaspending.gov, and posting agency budget requests and annual performance 

reports to our public-facing website. 

 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. FMSHRC will continue to leverage investments in employee 

training to develop a well-trained workforce. 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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 Improving Customer Experience: FMSHRC will seek to maintain 

improvements to trial and appellate level case pendency, with an emphasis on 

resolving any remaining older cases. These 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 resources, procurement, travel, financial management, 

and cybersecurity initiatives with Shared Service providers. FMSHRC will also 

seek efficiencies where practical with other Federal entities. 

JUSTIFICATION BY FUNCTION 

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 OALJ 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. 

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

and OGC. The Commission hears appeals of ALJ decisions by granting a petition for 

discretionary review from one or more of the parties or by directing review on its own 

motion. In addition, at the appellate level, the Commission 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 OED function supports both the trial-level and appellate functions by providing 

budget management, administrative and technical services. 

In FY 2021, FMSHRC is requesting $17,184,000 and 76 FTE. 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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Summary by Function 

 Dollars in thousands 

 FY 2019 

Enacted 

FY 2020 

Enacted FY 2021 Request 

Function FTE Actual FTE 

Budget 

Authority FTE 

Budget 

Authority

Administrative Law 

Judge 43 $9,956 43 $9,593 43 $9,593

Commission Review 22 $5,558 22 $5,472 22 $5,472

Office of the Executive 

Director 11 $1,670 11 $2,119 11 $2,119

Total 76 $17,184 76 $17,184 76 $17,184

ADMINISTRATIVE LAW JUDGE FUNCTION 

Administrative Law Judge Function 

 

Dollars in thousands 

 

FY 2019

Enacted

FY 2020 

Enacted 

FY 2021

Request

Budget Authority $9,956 $9,593 $9,593

FTE 43 43 43

Introduction 

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

travel to hearing sites located at or near the mine involved in order to afford mine 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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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 has established the following strategic objective for the ALJ function: 

 Ensure timely issuance of decisions at the trial level. 

FY 2021

FMSHRC’s FY 2021 budget request includes 43 FTEs and $9,592,909 for OALJ. 

The FY 2021 request includes law clerks and legal assistants to support the ALJs, and 

a number of docket clerks to maintain case files and process and record documents 

filed with FMSHRC. FMSHRC has established a pendency goal for trial level cases of 

230 days for FY 2021. Pendency is the average time between receipt of a case and 

case disposition. 

FMSHRC estimates that 1,161 trial level cases will be pending at the beginning of 

FY 2021. FMSHRC anticipates that it will receive 3,002 new cases during FY 2021, and 

will dispose of 2,959 cases during the same period. This is slightly lower than 

FMSHRC’s FY 2020 case disposal estimate, and is a function of fewer older cases 

awaiting resolution. 

FY 2020

FMSHRC’s FY 2020 Enacted budget level includes 43 FTEs and $9,592,909 for OALJ. 

The FY 2020 request includes law clerks and legal assistants to support the judges, and 

a number of docket clerks to maintain case files and process and record documents 

filed with FMSHRC. FMSHRC has established a pendency goal for trial level cases of 

240 days for FY 2020. 

FMSHRC had 1,212 trial level cases pending at the beginning of FY 2020. FMSHRC 

anticipates that it will receive 3,070 new cases during FY 2020, and will dispose of 

3,121 cases during the same period. 

FY 2019

FMSHRC received a budget of $9,956,000 and 43 FTE for OALJ activities in FY 2019. 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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There were 1,632 trial level cases pending at the beginning of FY 2019. FMSHRC 

received 3,019 new cases during FY 2019, and disposed of 3,439 cases during the 

same period. 

Administrative Law Judge Function - Caseload Data 

 

FY 2019

Actual 

FY 2020

Estimate 

FY 2021

Estimate 

Cases pending beginning of year 1,632 1,212 1,161 

 Assessment of civil 

penalty 1,448 1,003 976 

 Notice of contest 157 189 166 

 Discrimination and 

compensation 26 19 18 

 Other 1 1 1 

New cases 

received 3,019 3,070 3,002 

 Assessment of civil 

penalty 2,697 2,740 2,684 

 Notice of contest 275 265 255 

 Discrimination and 

compensation 39 49 44 

 Other 8 16 19 

Total case workload 4,651 4,282 4,163 

 Assessment of civil 

penalty 4,145 3,743 3,660 

 Notice of contest 432 454 421 

 Discrimination 

proceeding 65 68 62 

 Other 9 17 20 

Cases disposed 3,439 3,121 2,959 

 Assessment of civil 

penalty 3,142 2,767 2,660 

 Notice of contest 243 288 236 

 Discrimination and 

compensation 46 50 44 

 Other 8 16 19 

Cases pending end of year 1,212 1,161 1,204 

 Assessment of civil 

penalty 1,003 976 1,000 

 Notice of contest 189 166 185 

 Discrimination and 

compensation 19 18 18 

 Other 1 1 1 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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Administrative Law Judge Function – Strategic Objectives

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

   FY 2019 FY 2020 FY 2021

Performance Goal Actual Target Target

1.1.1 Average time from receipt to disposition of all cases 188 days 240 days 230 days

1.1.2 Average time from receipt to disposition of penalty

cases 175 days 235 days 225 days

1.1.3 Percent of all cases on hand over

365 days in age 4% 20% 20%

FMSHRC ALJ performance targets were projected in the FMSHRC FY 2018‐2022 Strategic Plan.  In the

coming year, FMSHRC anticipates updating these targets to reflect improved case pendency

performance.  

   
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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COMMISSION REVIEW FUNCTION 

Commission Review Function 

Dollars in thousands 

 

FY 2019

Enacted

FY 2020 

Request 

FY 2021

Request

Budget Authority $5,558 $5,472 $5,472

FTE 22 22 22

Introduction 

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 an ALJ 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. 

(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 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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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. 

OGC is responsible for conducting the initial research in substantive cases and 

preparing draft opinions for Commissioners. OGC plays an important role in handling 

substantive cases that have been accepted for review by the Commissioners. 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, such 

as those involving more efficient settlement procedures. 

FMSHRC has established the following strategic objective for FMSHRC Commission 

Review function. 

 Ensure timely issuance of decisions at the appellate level. 

FY 2021 

FMSHRC is requesting a budget of $5,472,217 and 22 FTE for its appellate review 

activities in FY 2021. 

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. The Commission’s’ workload also includes 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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

generally be granted or denied within approximately ten days. 

In FY 2021, FMSHRC expects that 85 substantive and default cases will be pending 

before the Commission at the beginning of the year, and an estimated 74 new cases will 

be filed during the year. Approximately 74 dispositions are expected, of which an 

estimated 14 will be substantive cases and 60 will be default cases. Thus, FMSHRC 

anticipates that the Commission’s appellate docket will contain 85 undecided cases at 

the end of FY 2021. 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. 

FY 2020 

FMSHRC received a budget of $5,472,217 and 22 FTE for its appellate review activities 

in FY 2020. 

In FY 2020, 85 substantive and default cases were pending before the Commission at 

the beginning of the year, and an estimated 74 new cases will be filed during the year. 

Approximately 74 dispositions are expected, of which an estimated 14 will be 

substantive cases and 60 will be default cases. Thus, FMSHRC anticipates that the 

Commission’s appellate docket will contain 85 undecided cases at the end of FY 2020. 

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. 

FY 2019 

FMSHRC received a budget of $5,558,000 and 22 FTE for its appellate review activities 

in FY 2019. 

In FY 2019, there were 37 cases before the Commission at the beginning of the year, 

and 70 new cases were filed during the year. A total of22 cases were disposed of, of 

which 7 were substantive cases and 15 were default cases. The Commission’s 

appellate docket contained 85 undecided cases at the end of FY 2019. 

 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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Commission Review Function - Caseload Data 

 FY 2019 FY 2020 FY 2021

Actual Estimate Estimate

Cases pending beginning of 

year 

37 85 85

 Substantive cases 9 13 13

 Default cases 28 72 72

New cases received 70 74 74

 Substantive cases 11 14 14

 Default cases 59 60 60

Total case workload 107 159 159

 Substantive cases 20 27 27

 Default cases 87 132 132

Cases disposed 22 74 74

 Substantive cases 7 14 14

 Default cases 15 60 60

Cases pending end of year 85 85 85

 Substantive cases 13 13 13

 Default cases 72 72 72

 
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 2019 FY 2020 FY 2021

Performance Goal Actual Target Target

1.2.1 Average time to issuance of decision

17

months

12

months

12

months

1.2.2 Average time from briefing completion to issuance of

decision

12

months 9 months 9 months

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

        

Strategic Objective 1.3 Issue orders in motions to reopen cases (i.e. “default cases”)

in a timely manner

   FY 2019 FY 2020 FY 2021

Performance Goal Actual Target Target

1.3.1 Average time to issuance of final order 143 days 120 days 120 days

  

Goal 1.2.1 measures the average time period from the date that review is granted to the date of

issuance of a decision
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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OFFICE OF THE EXECUTIVE DIRECTOR FUNCTION 

Office of the Executive Director Function 

Dollars in thousands 

 

FY 2019

 Actual

FY 2020 

Enacted 

FY 2021

Request

Budget Authority $1,670 $2,119 $2,119

FTE 8 11 11

The Office of the Executive Director (OED) provides administrative services to support 

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

management, human resources, procurement and contracting, information technology, 

facilities management, and general administrative service support. 

 

The financial management services function includes the areas of budget and 

accounting, such as budget formulation, budget execution, funds control, financial 

reporting, and vendor payments. 

Human resources includes 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. 

Procurement and contracting includes specific matters such as maintaining a simplified 

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

and coordination of services and supplies. 

Information technology includes help desk functions, network administration, policy 

formulation, and telecommunications. 

Facilities management includes property and space management, organization 

management, and physical security. 

Other general administrative services provided by OED include the administration of 

employee travel authorizations and reimbursements, and the metro subsidy program. 

 

 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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FMSHRC has established the following strategic objectives for the OED function: 

 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 FMSHRC’s operations during national 

emergencies or natural disasters which may disrupt normal office operations; 

 Recruit, train, and retain a diverse workforce of skilled, highly motivated 

employees to effectively and efficiently accomplish FMSHRC’s mission; and 

 Develop and maintain a Cybersecurity Risk Management Strategy for FMSHRC’s 

network infrastructure in order to assess, respond, and monitor risk, to protect 

FMSHRC’s resources. 

As part of FMSHRC’s multi-year information system modernization, and aligning with 

the Presidential Management Agenda “Modernize IT Systems” priority, FMSHRC has 

added three (3) additional FTE. These positions in-source IT functions were previously 

carried out by contractors. 

FY 2021 

FMSHRC is requesting a FY 2021 budget of $2,118,874 and 11 FTE for its Office of the 

Executive Director activity. 

FY 2020 

FMSHRC’s OED received a FY 2020 budget of $2,118,874 and 11 FTE. 

FY 2019 

FMSHRC’s OED received a FY 2019 budget of $1,670,000 and 8 FTE. 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

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TABLES 

Budget Authority by Object Class 

FY 2021 Budget Request by Object Class

Dollars in thousands   

  

FY 2019

Enacted

FY 2020

Request

FY 2021

Request

Personnel Compensation           8,743             9,394      9,489

Other than Full‐Time Permanent 0 0           0   

Total, Personnel Compensation           8,743             9,394      9,489

Personnel Benefits, Civilian           2,296             2,479      2,512

Benefits to Former Employees                10                  10            10

Travel and Transportation of Persons              166                166          167

Transportation of Things                10                  10            10

Rental Payments to GSA           1,987             1,987       1,988

Communications, Utilities, and Misc.              564                563          563

Printing and Reproduction                12                  12            12

Other Services           3,004             2,316       2,186

Supplies and Materials              150                150          150

Equipment              242                97            97

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

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Personnel Summary 

 2019 2020 2021

Actual Estimate Estimate

Executive Level III 1 1 1

Executive Level IV 4 4 4

Executive Schedule 5 5 5

ES 2 2 2

Senior Executive Service 2 2 2

AL-1 1 1 1

AL-3 11 11 11

Administrative Law Judges 12 12 12

GS-15 7 7 7

GS-14 5 5 5

GS-13 9 9 9

GS-12 16 16 16

GS-11 5 5 5

GS-9 4 4 4

GS-8 10 10 10

GS-7 0 0 0

GS-6 1 1 1

GS-5 0 0 0

General Schedule 57 57 57

Total Permanent Full-time Positions 76 76 76

Average Salaries 

 

FY 2019

Enacted 

(Actual)

FY 2020

Enacted

(Estimate)

FY 2021 

Request 

(Estimate) 

Average EX Salary $160,480 $160,480 $160,480 

Average ES Salary $173,300 $173,300 $175,033 

Average AL Salary $176,900 $181,500 $183,315 

Average GS Salary $98,075 $100,711 $101,718 
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

23 

Amounts Available for Obligation 

(in millions) 

FY 2019 

Enacted 

FY 2020 

Enacted 

FY 2021 

Request 

FTE Amount FTE Amount FTE Amount 

Appropriation, total 

estimated obligations 76 $17.184 76 $17.184 76 $17.184 

 

Summary of Changes by Budget Authority 

(in millions) 

Budget Authority FY 2019 

Enacted

FY 2020 

Enacted

FY 2021 

Request

Net Change 

(FY 2020 to FY 2021) 

Appropriations $17.184 $17.184 $17.184 $0 

Full-time Equivalent 76 76 76 0 

 

   
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

24 

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 76 

2015 17,601,000 -- -- 16,751,000 76 

2016 17,085,000 -- -- 17,085,000 79 

2017 17,184,000 -- -- 17,184,000 79 

2018 17,053,000 -- -- 17,184,000 76 

2019 17,053,000 17,184,000 76 

2020 17,184,000 17,184,000 76 

2021 17,184,000 76 

 

                                                            

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.