2 U.S.C. § 1402 — Initiation of procedures

Page 337 TITLE 2—THE CONGRESS § 1402 Section 153(c) of the Legislative Branch Appropria- tions Act, 2018, referred to in subsec. (d)(5), is Pub. L. 115–141, div. I, title I, § 153(c), Mar. 23, 2018, 132 Stat. 787, set out as a note under section 1301 of this title. AMENDMENTS 2018—Pub. L. 115–397 amended section generally. Prior to amendment, section related to procedure for consid- eration of alleged violations, consisting of three pars. Par. (3). Pub. L. 115–141, § 153(b)(1)(A), struck out ‘‘ei- ther’’ after ‘‘section 1404 of this title, of’’ in introduc- tory provisions. Par. (3)(C). Pub. L. 115–141, § 153(b)(1)(B)–(D), added subpar. (C). 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. § 1402. Initiation of procedures (a) Claim (1) Filing of claim To commence a proceeding under this sub- chapter, a covered employee alleging a viola- tion of law made applicable under part A of subchapter II shall file a claim with the Office. The Office shall not accept a claim which is filed after the deadline applicable under sub- section (d). (2) Contents of claim The claim filed under this section shall be made in writing under oath or affirmation, shall describe the facts that form the basis of the claim and the violation that is being al- leged, shall identify the employing office al- leged to have committed the violation or in which the violation is alleged to have oc- curred, and shall be in such form as the Office requires. (3) No effect on ability of covered employee to seek information from office or pursue re- lief Nothing in paragraph (2), or subsection (b) or (c), may be construed to limit the ability of a covered employee— (A) to contact the Office or any other ap- propriate office prior to filing a claim under this section to seek information regarding the employee’s rights under this chapter and the procedures available under this chapter; (B) in the case of a covered employee of an employing office of the House of Representa- tives or Senate, to refer information regard- ing an alleged violation of part A of sub- chapter II to the Committee on Ethics of the House of Representatives or the Select Com- mittee on Ethics of the Senate (as the case may be); or (C) to file a civil action in accordance with section 1401(b) of this title. (b) Initial processing of claim (1) Intake and recording; notification to em- ploying office Upon the filing of a claim by a covered em- ployee under subsection (a), the Office shall take such steps as may be necessary for the initial intake and recording of the claim, in- cluding providing each party with all relevant information with respect to the rights of the party under this chapter, and shall transmit immediately a copy of the claim to the head of the employing office and the designated rep- resentative of that office. (2) Special notification requirements for claims based on acts by members of Congress (A) In general In the case of a claim alleging a violation described in subparagraph (B) which consists of a violation described in section 1415(d)(1)(A) of this title by an individual, upon the filing of the claim under subsection (a), the Office shall notify immediately such individual of the claim, the possibility that the individual may be required to reimburse the account described in section 1415(a) of this title for the reimbursable portion of any award or settlement in connection with the claim, and the right of the individual under section 1415(d)(8) of this title to intervene in any mediation, hearing, or civil action under this subchapter with respect to the claim. (B) Violations described A violation described in this subparagraph is— (i) harassment that is unlawful under section 1311(a) or 1316(a) of this title; or (ii) intimidation, reprisal, or discrimina- tion that is unlawful under section 1317 of this title and is taken against a covered employee because of a claim alleging a violation described in clause (i). (c) Use of secure electronic reporting and track- ing system (1) Establishment and operation of secure sys- tem The Office shall establish and operate a se- cure electronic reporting system through which a covered employee may initiate a pro- ceeding under this subchapter, and which will keep an electronic record of the date and time at which the proceeding is initiated and will track all subsequent actions or proceedings occurring with respect to the proceeding under this subchapter. (2) Accessibility to all parties The system shall be accessible to all parties to such actions or proceedings, but only until the completion of such actions or proceedings. (3) Assessment of effectiveness of procedures The Office shall use the information con- tained in the system to make regular assess- ments of the effectiveness of the procedures under this subchapter in providing for the timely resolution of claims, and shall submit semi-annual reports on such assessments each year to the Committee on House Administra- tion of the House of Representatives and the Committee on Rules and Administration of the Senate. (d) Deadline A covered employee may not file a claim under this section with respect to an allegation 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.)