At the hearing level, the employee will prepare a referral memorandum from the Hearing Office Chief Administrative Law Judge (HOCALJ), Hearing Center Chief Administrative Law Judge (HCCALJ), or a designee, addressed to OGC. At the Appeals Council (AC) level, the employee will prepare the memorandum from the Executive Director.

The memorandum will generally include:

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  The names, addresses, and telephone numbers of the representative and the claimant;

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  The name, address, and telephone number of any other involved individual or witness;

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  The date(s) the action(s) occurred;

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  The action(s) that led to the representative misconduct allegation;

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  The location(s) where the action(s) took place (i.e., hearing office, representative's office, bank, or other location); and

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  Contact information for the employee who observed or discovered the suspected misconduct.

The RO and OAO will provide a copy of the electronic file and/or hearing record upon request by OGC. If the case involves a paper file, the employee will locate the paper file so it may be forwarded to OGC on request.

The employee will also include copies of any other pertinent evidence related to the suspected misconduct, such as a notice of the representative's disbarment or suspension from a state bar association, or a signed statement from the claimant or other witness(es) that details the suspected misconduct.

The OHO or OAO employee will add the following Remark in the applicable processing system to note the referral: “Referral memo submitted for consideration on [note date and for OHO, the RO where the referral is submitted].” At the hearing level, the OHO employee will note the referral in the Hearings and Appeals Case Processing System. At the AC level, the OAO employee will note the referral in the Appeals Review Processing System.

At the hearing level, the employee will forward the referral memorandum and any accompanying documentation to the first line supervisor, who will refer the memorandum through the management chain to the HOCALJ or HCCALJ.

At the AC level, the employee will refer the memorandum and any accompanying information directly to the Division Chief Administrative Appeals Judge (DCAAJ).

The HOCALJ or HCCALJ will review the initial referral memorandum to ensure that the allegations are fully developed according to the instructions in HALLEX HA 01110.050 B in this section and that a referral to OGC is appropriate.

The HOCALJ or HCCALJ will then sign the memorandum and forward the information to the management team in the RO in the region where the suspected misconduct occurred, and copy the OHO Office of the Chief Administrative Law Judge's (OCALJ) Division of Program Support (DPS) at |||DCDA OHO HQ OCALJ DPS. The HOCALJ or HCCALJ will use the following mailboxes and in the subject line include “Representative Misconduct Referral”:

Northeast: ^DCDA OHO NE Programs

Southeast: ^DCDA OHO SE Programs

Mid-West/West: ^DCDA OHO MWW Programs

Southwest: ^DCDA OHO SW Programs

The RO will determine whether there are referrals from other regional HOs that involve the same representative or firm.

The RO will review the referral and in consultation with OCALJ, will determine whether to close the referral, issue a reminder letter to the representative, or send the referral to the OGC at ^OGC OGL Representative Conduct, with a copy sent to OCALJ DPS at |||DCDA OHO HQ OCALJ DPS.

The DCAAJ will review the initial referral memorandum to ensure that the allegations are fully developed and a referral to OGC is appropriate.

If the AC encounters possible representative misconduct that occurred at another level of adjudication, the AC will check the Remarks section in CPMS to confirm submission of a referral to the RO by the component observing the conduct. When it is unclear whether another component made a referral, a referral by the AC may be appropriate.

When the DCAAJ agrees a referral is appropriate, the DCAAJ will forward a copy of the memorandum to ^DCDA OAO with the subject line “OGC Referral” and, when applicable, deliver any supporting documentation to the Executive Director's Office. The Executive Director's Office will review and, when appropriate, forward the referral to OGC at ^OGC OGL Representative Conduct.

When OGC receives a referral, it will evaluate the suspected violation and determine whether the referral warrants further action.

If OGC determines that the representative may have violated the Social Security Act or regulations, OGC may send the representative an inquiry letter describing the potential violation and providing the representative with an opportunity to respond to the allegations. Based on the representative's response, if any, OGC may decide to close the referral without further action or resolve the matter informally by issuing the representative a warning letter. The warning letter will place the representative on notice that they must comply with the Rules of Conduct and Standards of Responsibility for Representatives and that OGC may consider the warning letter when determining whether to pursue suspension or disqualification in future referrals involving the same representative. OGC may also opt to initiate the formal sanctions process by preparing a notice containing a statement of charges.

If OGC determines that the violation warrants formal sanctions, OGC will serve the notice containing a statement of charges on the representative via certified or registered mail. The notice must describe the acts or omissions that constitute the basis for the charges and specify whether SSA is seeking a disqualification or a suspension.

The notice advises the representative of their right to file an answer within 14 business days admitting or denying the factual assertions contained in the notice and stating why SSA should not suspend or disqualify the individual from acting as a representative before SSA. OGC may extend the answer period for good cause.

If OGC accepts the representative's answer and decides that SSA should not suspend or disqualify the representative, OGC will withdraw the charges and notify the representative.

If the representative does not file a timely answer or if the answer does not support withdrawal of the charges, OGC will ask OCALJ to designate an administrative law judge (ALJ) to serve as a hearing officer and decide the merits of the charges. See HALLEX HA 01110.052. Whenever possible, the ALJ designated as the hearing officer will be from outside the region(s) where the representative practices.