Last Update: 5/19/05 (Transmittal I-1-50)
Citations:
Social Security Act §§ 206(a), 1102(a) and 1631(d)(2)
The Social Security Act authorizes the Commissioner to make and publish such rules and regulations as may be necessary to discharge the Commissioner's duties under the Act. The Commissioner has promulgated the regulations cited above to implement the Act's provisions regarding representation of claimants.
The Commissioner may, after due notice and opportunity for a hearing, suspend or prohibit from further practice before the Agency any representative who refuses to comply with the Commissioner's rules and regulations, or who violates section 206(a) or section 1631(d)(2) of the Social Security Act.
The Commissioner or designee may also refer alleged violations to the Office of the Inspector General for investigation and potential criminal or civil prosecution.
The regulations governing the conduct of representatives provide for the suspension or disqualification of a representative who fails to discharge specific affirmative duties or engages in certain prohibited actions. These duties and prohibited actions are listed below.
In conformity with the regulations setting forth the Agency's and claimants' duties and responsibilities, a representative is expected to:
act with reasonable promptness to obtain the information and evidence that the claimant wants to submit in support of his or her claim, and forward the same to the Agency for consideration as soon as practicable (in disability and blindness claims, the representative will be expected to assist the claimant in complying with his or her responsibilities to submit the evidence that the claimant wants to have considered pursuant to 20 CFR §§ 404.1512(a) and 416.912(a));
assist the claimant in complying, as soon as practicable, with the Agency's requests for information or evidence at any stage of the administrative decisionmaking process in his or her claim (in disability and blindness claims, the representative will be expected to assist the claimant in providing the evidence requested by the Agency pursuant to 20 CFR §§ 404.1512(c) and 416.912(c)); and
conduct his or her dealings in a manner that furthers the efficient, fair and orderly conduct of the administrative decisionmaking process, including duties to (i.) provide competent representation to a claimant (competent representation requires the knowledge, skill, thoroughness and preparation reasonably necessary for the representation) and (ii.) act with reasonable diligence and promptness in representing a claimant.
A representative shall not:
in any manner or by any means threaten, coerce, intimidate, deceive or knowingly mislead a claimant, or prospective claimant or beneficiary, regarding benefits or other rights under the Act;
knowingly charge, collect, or retain, or make any arrangement to charge, collect, or retain, from any source, directly or indirectly, any fee for representational services in violation of applicable law or regulation;
knowingly make or present, or participate in the making or presentation of, false or misleading oral or written statements, assertions, or representations about a material fact or law concerning a matter within the Agency's jurisdiction;
through his or her own actions or omissions, unreasonably delay or cause to be delayed, without good cause, the processing of a claim at any stage of the administrative decisionmaking process;
divulge, without the claimant's consent, except as may be authorized by regulations prescribed by the Agency or as otherwise provided by Federal law, any information that the Agency furnishes or discloses about a claim or prospective claim;
attempt to influence, directly or indirectly, the outcome of a decision, determination or other administrative action by offering or granting a loan, gift, entertainment or anything of value to a presiding official, Agency employee or witness who is or may reasonably be expected to be involved in the administrative decisionmaking process, except as reimbursement for legitimately incurred expenses or lawful compensation for the services of an expert witness retained on a non-contingency basis to provide evidence; or
engage in actions or behavior prejudicial to the fair and orderly conduct of administrative proceedings, including but not limited to (i) repeated absences from, or persistent tardiness at, scheduled proceedings without good cause, (ii) willful behavior which has the effect of improperly disrupting proceedings or obstructing the adjudicative process, and (iii) threatening or intimidating language, gestures or actions directed at a presiding official, witness or Agency employee which results in a disruption of the orderly presentation and reception of evidence.