2 U.S.C. § 1402a — Preliminary review of claims

Page 338 TITLE 2—THE CONGRESS § 1402a of a violation of law after the expiration of the 180-day period which begins on the date of the alleged violation. (Pub. L. 104–1, title IV, § 402, Jan. 23, 1995, 109 Stat. 32; Pub. L. 115–397, title I, § 102(a), Dec. 21, 2018, 132 Stat. 5301.) Editorial Notes REFERENCES IN TEXT Part A of subchapter II, referred to in subsec. (a)(1), (3)(B), was in the original ‘‘part A of title II’’, meaning part A (§§ 201–207) of title II of Pub. L. 104–1, Jan. 23, 1995, 109 Stat. 7, which is classified principally to part A of subchapter II of this chapter. For complete classi- fication of part A to the Code, see Tables. This chapter, referred to in subsecs. (a)(3)(A) and (b)(1), was in the original ‘‘this Act’’, meaning Pub. L. 104–1, Jan. 23, 1995, 109 Stat. 3, which is classified prin- cipally to this chapter. For complete classification of this Act to the Code, see Short Title note set out under section 1301 of this title and Tables. AMENDMENTS 2018—Pub. L. 115–397 amended section generally. Prior to amendment, section related to counseling prior to commencing a proceeding. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2018 AMENDMENT Amendment by Pub. L. 115–397 effective upon expira- tion of the 180-day period beginning on Dec. 21, 2018, with provisions for effect on pending proceedings, see section 401 of Pub. L. 115–397, set out as a note under section 1301 of this title. § 1402a. Preliminary review of claims (a) Preliminary review by hearing officer (1) Appointment Not later than 7 days after transmission to the employing office of a claim pursuant to section 1402(b) of this title, the Executive Di- rector shall appoint a hearing officer to con- duct a preliminary review of the claim. (2) Process for appointment The Executive Director shall appoint a hear- ing officer under this subsection in the same manner and in accordance with the same re- quirements and procedures applicable to the appointment of a hearing officer under section 1405(c) of this title. (b) Assessments required In conducting a preliminary review of a claim under this section, the hearing officer shall as- sess each of the following: (1) Whether the claimant is a covered em- ployee authorized to obtain relief relating to the claim under this subchapter. (2) Whether the office which is the subject of the claim is an employing office under this chapter. (3) Whether the individual filing the claim has met the applicable deadlines for filing the claim under this subchapter. (4) The identification of factual and legal issues involved with respect to the claim. (5) The specific relief sought by the indi- vidual. (6) Whether, on the basis of the assessments made under paragraphs (1) through (5), the in- dividual filing the claim is a covered employee who has stated a claim for which, if the allega- tions contained in the claim are true, relief may be granted under this subchapter. (7) The potential for the settlement of the claim without a formal hearing as provided under section 1405 of this title or a civil action as provided under section 1408 of this title. (c) Report on review (1) Report Not later than 30 days after a claim is filed under section 1402 of this title, the hearing of- ficer shall submit to the individual filing the claim and the office which is the subject of the claim a report on the preliminary review con- ducted under this section, and shall include in the report the hearing officer’s determination as to whether the individual is a covered em- ployee who has stated a claim for which relief may be granted under this subchapter (as de- scribed in paragraph (6) of subsection (b)). The submission of the report shall conclude the preliminary review. (2) Extension of deadline The hearing officer may (upon notice to the individual filing the claim and the employing office which is the subject of the claim) use an additional period of not to exceed 30 days to conclude the preliminary review. (d) Effect of determination of failure to state claim for which relief may be granted If the hearing officer’s report on the prelimi- nary review of a claim under subsection (c) in- cludes the determination that the individual fil- ing the claim is not a covered employee or has not stated a claim for which relief may be grant- ed under this subchapter— (1) the individual (including an individual who is a Library claimant, as defined in sec- tion 1401(d)(1) of this title) may not obtain a formal hearing with respect to the claim as provided under section 1405 of this title; and (2) the hearing officer shall provide the indi- vidual and the Executive Director with a writ- ten notice that the individual may file a civil action with respect to the claim in accordance with section 1408 of this title. (e) Transmission of report on preliminary review of certain claims to congressional ethics com- mittees In the case of a hearing officer’s report under subsection (c) on the preliminary review of a claim alleging a violation described in section 1415(d)(1)(A) of this title, the hearing officer shall transmit the report to— (1) the Committee on Ethics of the House of Representatives, in the case of such an act by a Member of the House of Representatives (in- cluding a Delegate or Resident Commissioner to the Congress); or (2) the Select Committee on Ethics of the Senate, in the case of such an act by a Sen- ator. (Pub. L. 104–1, title IV, § 403, as added Pub. L. 115–397, title I, § 103(a), Dec. 21, 2018, 132 Stat. 5303.) Page 339 TITLE 2—THE CONGRESS § 1403 Editorial Notes REFERENCES IN TEXT This chapter, referred to in subsec. (b)(2), was in the original ‘‘this Act’’, meaning Pub. L. 104–1, Jan. 23, 1995, 109 Stat. 3, which is classified principally to this chapter. For complete classification of this Act to the Code, see Short Title note set out under section 1301 of this title and Tables. PRIOR PROVISIONS A prior section 403 of Pub. L. 104–1 was renumbered section 404 and is classified to section 1403 of this title. Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective upon expiration of the 180-day pe- riod beginning on Dec. 21, 2018, with provisions for ef- fect on pending proceedings, see section 401 of Pub. L. 115–397, set out as an Effective Date of 2018 Amendment note under section 1301 of this title. § 1403. Mediation (a) Availability of mediation (1) Notification regarding mediation (A) Covered employee Upon receipt of a claim under section 1402 of this title, the Office shall notify the cov- ered employee who filed the claim about the process for mediation under this section and the deadlines applicable to such mediation. (B) Employing office Upon transmission to the employing office of the claim pursuant to section 1402(b) of this title, the Office shall notify the employ- ing office about the process for mediation under this section and the deadlines applica- ble to such mediation. (2) Initiation (A) In general During the period described in subpara- graph (B), either the covered employee who filed a claim under section 1402 of this title or the employing office named in the claim may file a request for mediation with the Of- fice, which shall promptly notify the other party. If the other party agrees to the re- quest, the Office shall promptly assign a me- diator to the claim, and conduct mediation under this section. (B) Timing A covered employee or an employing office may file a request for mediation under sub- paragraph (A) during the period beginning on the date that the covered employee or employing office, respectively, receives a no- tification under paragraph (1) regarding a claim under section 1402 of this title and ending on the date on which a hearing offi- cer issues a written decision relating to the claim under section 1405(g) of this title or the covered employee files a civil action with respect to the claim in accordance with section 1408 of this title, as applicable. (3) Failure to request or accept mediation to have no effect on treatment of claim The failure of a party to request mediation under this section with respect to a claim, or the failure of a party to agree to a request for mediation under this section, may not be taken into consideration under any procedure under this title with respect to the claim, in- cluding a preliminary review under section 1402a of this title, a formal hearing under sec- tion 1405 of this title, or a civil action under section 1408 of this title. (b) Process Mediation under this section— (1) may include the Office, the covered em- ployee, the employing office, and one or more individuals appointed by the Executive Direc- tor from the master list developed and main- tained under subsection (e), and (2) shall involve meetings with the parties during which, at the request of any of the par- ties, the parties shall be separated, for the purpose of resolving the dispute between the covered employee and the employing office. (c) Mediation period The mediation period shall be 30 days, begin- ning on the first day after the second party agrees to the request for the mediation. The me- diation period may be extended for one addi- tional period of 30 days at the joint request of the covered employee and employing office. Any deadline in this chapter relating to a claim for which mediation has been agreed to in this sec- tion, that has not already passed by the first day of the mediation period, shall be stayed dur- ing the mediation period. The Office shall notify in writing the covered employee and the em- ploying office when the mediation period has ended. (d) Independence of mediation process No individual, who is appointed by the Execu- tive Director to mediate, may conduct or aid in a hearing conducted under section 1405 of this title with respect to the same matter or shall be subject to subpoena or any other compulsory process with respect to the same matter. (e) Master list of mediators (1) Development and maintenance of master list The Executive Director shall develop and maintain a master list of individuals who are experienced in adjudicating, arbitrating, or mediating the kinds of personnel and other matters for which mediation may be held under this section. Such list may include, but not be limited to, members of the bar of a State or the District of Columbia and retired judges of the United States courts. (2) Consideration of candidates In developing the master list under this sub- section, the Executive Director shall consider candidates recommended by the Federal Medi- ation and Conciliation Service or the Adminis- trative Conference of the United States. (Pub. L. 104–1, title IV, § 404, formerly § 403, Jan. 23, 1995, 109 Stat. 32; Pub. L. 114–6, § 2(a), Mar. 20, 2015, 129 Stat. 81; renumbered § 404 and amended Pub. L. 115–397, title I, §§ 101(c)(2), 104, Dec. 21, 2018, 132 Stat. 5301, 5305.)