CFR Subpart H

CFR Subpart H
in effect

13 C.F.R. § 134.801 Scope of rules.

(a) The rules of practice in this subpart H apply to the OHA appeal under the Employee Dispute Resolution Process (EDRP). Standard Operating Procedure (SOP) 37 71 sets out the EDRP. It is available at http://www.sba.gov/tools/resourcelibrary/sops/index.html or through OHA's Web site http://www.sba.gov/oha). (b) The following rules, located in subparts A and B of this part, also apply to OHA appeals under the EDRP: (1) Definitions (§ 134.101); (2) Jurisdiction of OHA (§ 134.102(r) only); (3) Scope of the rules in this subpart B (§ 134.201(a), (b)(6), and (c) only); (4) Commencement of cases (§ 134.202(d) only, on deadlines and how to count days); (5) Filing and service requirements (§ 134.204); (6) Amendments and supplemental pleadings (§ 134.207); (7) Requirement of signature (§ 134.209); (8) Motions (§ 134.211); (9) Summary decision (§ 134.212); and (10) Sanctions (§ 134.219).

13 C.F.R. § 134.803 Commencement of appeals from SBA Employee Dispute Resolution Process cases (Employee Disputes).

(a) An appeal from a Step Two decision must be commenced by filing an appeal petition within 15 calendar days from the date the Employee receives the Step Two decision. (b) If the Step Two Official does not issue a decision within 15 calendar days of receiving the SBA Dispute Form from the Employee, the Employee must file his/her appeal petition at OHA no later than 15 calendar days from the date the Step Two decision was due. (c) The rule for counting days is in § 134.202(d). (d) OHA will dismiss an untimely appeal.

13 C.F.R. § 134.804 The appeal petition.

(a) Form. There is no required format for an appeal petition. However, it must include the following: (1) The completed SBA Dispute Form; (2) A copy of the Step One and Step Two decisions, if any; (3) Statement of why the Step Two decision (or Step One decision, if no Step Two decision was received), is alleged to be in error; (4) Any other pertinent information the OHA Judge should consider; (5) A request for mediation, if applicable; and (6) If represented by an attorney, the attorney's contact information and signature. (b) Service of the appeal petition upon the SBA. The Employee must serve copies of the entire appeal petition upon three SBA officials: (1) The Step Two Official; (2) Chief Human Capital Officer, U.S. Small Business Administration, 409 Third Street, SW., Washington, DC 20416; and (3) Associate General Counsel for General Law, U.S. Small Business Administration, 409 Third Street, SW., Washington, DC 20416, e-mail: OGLService@sba.gov, except that an employee of the Office of Inspector General (OIG) must serve it upon the Counsel to the Inspector General, U.S. Small Business Administration, 409 Third Street, SW., Washington, DC 20416, e-mail: ig.counseldiv@sba.gov. (c) The rules governing filing and service are in § 134.204. (d) Dismissal. An appeal petition that does not meet all the requirements of this section may be dismissed by the Judge at his or her own initiative or upon motion of the SBA.

13 C.F.R. § 134.805 After the appeal petition is filed.

(a) The AA/OHA will assign a Judge to adjudicate the case. If mediation is requested or offered, the AA/OHA will assign a different person to mediate the case. (b) OHA will issue and serve upon the Employee and the SBA a notice and order informing the parties that an appeal has been filed, and setting the date for SBA's response and the close of record. (c) The rules for amendments to pleadings and supplemental pleadings are in § 134.207. (d) Unless otherwise instructed, OHA will serve all orders and the decision by email upon the Employee, or upon the attorney if represented by an attorney.

13 C.F.R. § 134.806 Mediation.

Either the Employee or the SBA may request mediation, or OHA may offer mediation. OHA may designate a Judge or an OHA attorney to serve as a mediator. If the parties reach a settlement through mediation, they may file a joint motion to dismiss the appeal based on that settlement. If the parties do not reach a settlement, the mediation will conclude and the appeal will go to adjudication. An OHA-provided mediator will not be involved in a subsequent adjudication.

13 C.F.R. § 134.807 SBA response.

(a) If the appeal goes to adjudication, SBA will file and serve the SBA's response to the appeal and any documentation, not already filed by the Employee, that SBA wishes OHA to consider. (b) Unless the Judge orders a different date (either on his or her own initiative or on motion by a party), the SBA must file any response to the appeal petition no later than 15 calendar days from the conclusion of mediation or 15 calendar days from the filing of the appeal petition, whichever is later. (c) The SBA's response is normally the last submission in an appeal, although the Judge may order or permit additional submissions. If a party wishes to file an additional submission, the party must file and serve a motion (see § 134.211) accompanied by the proposed submission.

13 C.F.R. § 134.808 The decision.

(a) The Judge will decide the appeal within 45 calendar days (if practicable) from close of record. The decision will affirm, modify, remand, or reverse the Step One or Step Two decision. (b) The standard of review and burden of proof will be determined by the specific issue presented. (c) OHA's decision is an initial decision which becomes the final decision of the SBA 30 calendar days after issuance, unless a party files a request for review pursuant to § 134.809. (d) OHA's decision is not precedential and it will not be published.

13 C.F.R. § 134.809 Review of initial decision.

(a) If the Chief Human Capital Officer, General Counsel for SBA, or Counsel to the Inspector General (IG) believes OHA's decision is contrary to law, rule, regulation, or SBA policy, that official may file a Petition for Review (PFR) of the decision with the Deputy Administrator (or IG for disputes by OIG employees) for a final SBA Decision. Only the Chief Human Capital Officer, General Counsel, or Counsel to the IG may file a PFR of an OHA decision; the Employee may not. (b) To file a PFR, the official must request a complete copy of the dispute file from the Assistant Administrator for OHA (AA/OHA) within five calendar days of receiving the decision. The AA/OHA will provide a copy of the dispute file to the official, the Employee, and the Employee's representative within five calendar days of the official's request. The official's PFR is due no later than 15 calendar days from the date the official receives the dispute file. The PFR must specify the objections to OHA's decision.

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