Explanation of Content and Changes

HA 01110.050 – In subsections A and B, we incorporated information about referring suspected fee violations to the Inspector General as potential criminal conduct from HALLEX HA 01120.081, in addition to a referral for possible administrative sanctions. In subsection B, we revised the instructions for preparing a representative misconduct referral for management review to streamline processing at the hearings and appeals levels. We also revised the referral memorandum template linked in subsection B.1 to reflect these changes. In subsection C, we revised the procedures and contact information for management review to streamline processing and reflect new agency organization in Disability Adjudication. In subsection C.1, we updated the hearings-level instructions so that Hearings Hubs staff will conduct an initial evaluation of any referral memorandum forwarded by a Hearing Office Chief Administrative Law Judge or designee, recommend an action (close out the referral, send the representative a reminder letter, or forward the referral for further agency action), and send the referral and recommendation to DDS and Hearings Quality (DHQ) for further processing. We also removed the requirement that a hearings-level reviewer physically sign the referral memorandum when approving it to facilitate electronic processing of such referrals. We revised subsection D to clarify the steps the agency may take after management approves a referral for possible sanctions. We removed former subsection D.1 and renumbered former subsections D.2, D.3, and D.4 to new D.1, D.2, and D.3, respectively. In new subsection D.3, we revised the policy for designating an administrative law judge (ALJ) to serve as a hearing officer to consider only whether the ALJ has previously been involved in the referral, rather than the ALJ's location. We also revised component names and contact information to reflect recent agency reorganizations and made additional minor editorial changes throughout.

HA 01110.052 – In subsection B, we revised the guidance for an ALJ designated to serve as a hearing officer to recuse himself or herself based on prior involvement with the referral. We also clarified that the hearing office management team will be designated by the ALJ's jurisdiction Hearings Hub. In subsection C.1, we clarified that an appointment of representative in sanctions proceedings must be documented by a signed writing in the record. We also added a note to explain that a Form SSA-1696 is not needed, and that appointments for sanctions proceedings are not processed in the Registration, Appointment, and Services (RASR) application. We also revised subsection C.4 to require the party submitting a filing or motion to resubmit the filing or motion with proof of service on the opposing party when this party failed to do so initially. We also clarified that, while the default means of submitting filings and motions to the hearing officer are mail and facsimile, the parties to the proceedings may agree to use another method (e.g., email) with the hearing officer's approval. In subsections E and F, we removed a note and clarified that dismissals are generally appropriate only in the event of the charged representative's death. In subsection F.5, we updated instructions for the designated hearing officer or staff to provide an electronic copy of the sanctions file to the Appeals Council (AC) for further review and records management. We also revised component names and contact information to reflect recent agency reorganizations and made additional minor editorial changes throughout.

HA 01110.055 – In subsection D, we added death or illness of an immediate family member as examples of the limited circumstances in which the Appeals Council (AC) may grant an extension of time to file briefs or other written statements. We also revised component names and contact information throughout to reflect recent agency reorganizations. We also made additional minor editorial changes.

HA 01110.057 – In subsection A, we clarified that a sanctioned representative may not charge or collect a fee for services performed on or after the sanction effective date even if the representative had validly assigned direct payment of their fee to an entity. We added instructions to subsection B to clarify that legacy unregistered representatives will still appear on the sanction list in RASR, and that Law & Policy (LP) will indicate that a sanctioned representative is unregistered when notifying appropriate components. We also revised the processing instructions for hearings and AC staff to remove any requirement to notify the field office about unregistered representatives, and to send manual notices to affected claimants only when RASR is unable to send automated notices to an unregistered representative's clients. We also revised component names and contact information to reflect recent agency reorganizations and made additional minor editorial changes throughout.

HA 01110.060 – In subsection B, we updated instructions to provide electronic notice, rather than mail, of a request for reinstatement to LP. We revised component names and contact information throughout to reflect recent agency reorganizations. We also made minor editorial changes.