FEDERAL MINE SAFETY AND HEALTH REVIEW 

COMMISSION

STRATEGIC PLAN

FISCAL YEARS 2018 - 2022

February 12, 2018
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Table of Contents

Agency and Mission Information ...........................................................................1

Overview ......................................................................................................1

Mission Statement........................................................................................2

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

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

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

Other Information ...................................................................................................8

Major Management Priorities and Challenges .............................................8
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1. AGENCY AND MISSION INFORMATION

1.1 OVERVIEW

The Federal Mine Safety and Health Review Commission (Commission) is an 

independent adjudicatory agency charged with resolving disputes arising from 

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

The Commission’s authorizing statute is 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 scope of the Commission’s mission was expanded by the passage of the 

Mine Improvement and New Emergency Response Act of 2006, P.L. 109-236 

(MINER Act). That statute amended the Mine Act and vested the Commission 

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 the 

Commission and its judges with respect to these proceedings and the 

Commission has adopted procedural rules to implement those deadlines.

Under the Mine Act, the Commission does not regulate the mining industry, nor 

does it enforce the Mine Act; those functions are delegated to the Secretary of 

Labor acting through the Mine Safety and Health Administration (MSHA). 

The Commission carries out its responsibilities through trial-level adjudication by 

administrative law judges and appellate review of judges’ decisions by a fivemember 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 penalty that should be assessed. 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 the Commission, 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 a judge. To expedite the 

decisional process, the Chief Judge may rule on certain motions and, where 

appropriate, issue orders of settlement, dismissal, or default. Otherwise, once a 

case is assigned to an individual judge, that judge is responsible for the case and 

rules upon motions and settlement proposals. If a hearing is necessary, the 

judge schedules and presides over the hearing, and issues a decision based 
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upon the record. A judge’s decision becomes a final, non-precedential order of 

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

The Commission also provides administrative appellate review. It may, in its 

discretion, review decisions issued by judges when requested by a litigant, or it 

may, on its own initiative, direct cases for review. The Commission’s decisions 

are precedential, and appeals from the Commission’s decisions are heard in the 

federal courts of appeals.

The Office of the Executive Director 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.

1.2 MISSION STATEMENT

The mission of the Federal Mine Safety and Health Review Commission 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.
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2. 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

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.

Strategic Goal 2 is defined by commission-wide objectives without performance 

goals.
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3. 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 motions to reopen 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)

2.3: Develop and maintain a Cybersecurity Risk Management Strategy for 

the Commission’s network infrastructure in order to assess, 

respond, and monitor risk, to protect the Commission’s resources

(Office of the Executive Director Function)
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4. PERFORMANCE GOALS

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

level

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 time 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 time 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. 

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022

Performance Goal Actual Actual Target Target Target Target Target

1.1.1 Average time from receipt to 

disposition of all cases 348 days 325 days 290 days 260 days 240 days 230 days 230 days

1.1.2 Average time from receipt to 

disposition of penalty cases 309 days 315 days 280 days 250 days 235 days 225 days 225 days

1.1.3 Percent of all cases on hand 

over 365 days in age 21% 19% 20% 20% 20% 20% 20%

Strategic Objective 1.1 Ensure timely issuance of decisions at the trial level
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Strategic objective 1.2: Ensure timely issuance of decisions at the 

appellate level

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), a 

petition for interlocutory review (PIR) or a petition for temporary reinstatement 

(PTR).

• 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

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

granted to the date of issuance of a decision. 

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022

Performance Goal Actual Actual Target Target Target Target Target

1.2.1 Average time to issuance of 

decision 22 months 15 months 15 months 12 months 12 months 12 months 12 months

1.2.2 Average time from briefing 

completion to issuance of decision 19 months 13 months 9 months 9 months 9 months 9 months 9 months

1.2.3 Percent of cases on hand over 

18 months in age 11% 14% 25% 20% 20% 20% 20%

Strategic Objective 1.2 Ensure timely issuance of decisions at the appellate level
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Performance Goal 1.2.2 Average time from briefing completion to issuance of 

decision

• 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. 

Strategic objective 1.3: Issue orders in motions to reopen cases in a timely 

manner

The goal in Strategic Objective 1.3 covers motions to reopen cases received by 

the Commission.

• This goal measures the time it takes to dispose of 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 1.3.1 Average time to issuance of final order

• This goal measures the average time period from receipt of motion to 

reopen to the date of issuance of a Commission order.

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022

Performance Goal Actual Actual Target Target Target Target Target

1.3.1 Average time to issuance of 

final order 279 days 494 days 300 days 120 days 120 days 120 days 120 days

Strategic Objective 1.3 Issue orders in motions to reopen cases in a timely manner
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5. OTHER INFORMATION

MAJOR MANAGEMENT PRIORITIES AND CHALLENGES

The Commission’s overall management priority continues to be the expeditious, 

fair, and legally sound adjudication of cases at the trial and appellate levels. 

The Commission’s major challenge is the unpredictability of the workload. The 

number of new cases at both the trial and appellate levels is not subject to the 

control of the Commission. 

• Most trial level 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. These cases are the result 

of mine operators contesting those penalties.

• 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. 

• In addition, 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.

The Commission faced significant challenges when the new cases received 

increased significantly in recent years: the trial level cases increased by 170% 

from FY 2007 to FY 2010. This backlog was the result of the increased contest 

rate since 2006. Then the appellate level cases increased by 380% from FY 

2009 to FY 2011. This increase in new cases led to substantial backlogs in cases 

on hand.

Through a combination of reengineered business processes, increased staffing, 

and a reduction in new cases received, the Commission has been able to reduce 

the cases on hand. 

The Commission has now added a focus on the pendency of case dispositions. 

Pendency is defined as the time from receipt to disposition of cases. Pendency 

goals have been adopted for trial level, appellate level, and default cases.