To initiate a referral, a hearings or AC-level employee will prepare a referral memorandum, which includes pertinent information such as:

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

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  The representative's Representative ID (RepID) from the Registration, Appointment and Services (RASR) application;

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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; and

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

The referring employee will also include Portable Document Format (PDF) 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 other licensing authority, especially if it relates to fee-related issues, or a signed statement from the claimant(s) or other witness(es) that details the suspected misconduct. Other relevant information may include:

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  Copies of the SSA-1696 or other written notice of appointment (for appointments made before December 9, 2024);

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  Document(s) or statement(s) from the claimant(s) or other persons(s) alleging a violation;

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  Copies of bills or receipts the representative issued to the claimant;

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  Originals or copies of cancelled checks or money orders from the claimant, payable to the representative;

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  Copies of any offer of an opportunity to correct the situation that was made to the representative, including reports of contact and notices mailed; and

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  Copies of fee agreements and notices of approval or disapproval of fee agreements.

The referring employee will add the following Remark or Case Note in the applicable case processing system(s) for each case referenced in the memorandum: “Referral memo submitted to management for consideration on [date].”

At the hearings level, hearing office employees will forward the referral memorandum and any accompanying documentation to the Hearings Office Chief Administrative Law Judge (HOCALJ) or a designee. Special Review Cadre employees will forward the referral and any other documents to the Lead Administrative Law Judge (Lead ALJ) or a designee. Other hearings employees may forward the referral and any other documents to their component executive or a designee.

At the AC level, Appeals – Request for Review employees will forward the referral memorandum and any accompanying information to ^DA ApplsReqReview Controls for a Division Chief Administrative Appeals Judge (DCAAJ) to review and approve. Other AC-level employees will forward the referral memorandum and any accompanying information to their DCAAJ.

The HOCALJ, Lead ALJ, component executive, or designee will review the initial referral memorandum to ensure that the allegations are fully developed according to the instructions in HALLEX HA 01110.050B.

If further referral is appropriate, the HOCALJ or designee will email the approved referral to the jurisdictional Hearings Hub with the subject line “Representative Misconduct Referral,” using the following dedicated mailboxes:

Hub A: ^DA HRNGHubA Programs

Hub B: ^DA HRNGHubB Programs

Hub C: ^DA HRNGHubC Programs

Hub D: ^DA HRNGHubD Programs

Hub E: ^DA HRNGHubE Programs

The Hub will review the referral and assess whether the Hub has reviewed other referrals or has other referrals pending that involve the same representative or entity and similar alleged misconduct. The Hub will then recommend whether to close the referral, issue a reminder to the representative, or forward the referral for further agency action and send this recommendation, along with the referral memorandum and any supporting documentation, to |||DA DICompliance Hearings Quality with the subject line “Representative Misconduct Referral.”

In other hearings-level components, the Lead ALJ, component executive, or designee will forward any approved referral, and any supporting documentation, directly to |||DA DICompliance Hearings Quality with the subject line “Representative Misconduct Referral.”

The reviewing DCAAJ will examine the initial referral memorandum to ensure that the allegations are fully developed.

If the AC encounters possible representative misconduct that occurred at another level of adjudication, and it is unclear whether another component made a referral, a referral by the AC may be appropriate.

The DCAAJ will forward any approved referral, and any supporting documentation to |||DA DICompliance Hearings Quality with the subject line “Representative Misconduct Referral.”

If the designated staff determines that there is evidence suggesting the representative may have violated the Act or regulations, designated staff 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, the referral may be closed without further action or resolved informally by issuing the representative a reminder or warning letter. The reminder or warning letter places the representative on notice that he or she must comply with the rules of conduct and standards of responsibility for representatives and that warning histories may be considered by SSA when determining whether to pursue suspension or disqualification in future referrals involving the same representative.

If this process is determined to be inappropriate, or if the suspected misconduct continues after a reminder or warning letter(s), the approved referral will be forwarded to ^LP Representative Conduct for potential sanctions proceedings.

If LP determines that the violation warrants formal sanctions, LP will serve the notice containing a statement of charges on the representative by 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 his or her right to file an answer within 14 business days admitting or denying the factual assertions contained in the notice and stating why the representative should not be suspended or disqualified from acting as a representative before SSA. As appropriate, the answer period may be extended for good cause.

If LP accepts the representative's answer and decides that SSA should not suspend or disqualify the representative, it 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, LP will request designation of an administrative law judge (ALJ) to serve as a hearing officer and decide the merits of the charges by sending an email to |||DA DICompliance Hearings Quality. See HALLEX HA 01110.052. The ALJ designated as the hearing officer should not have previously adjudicated or reviewed the case(s) which formed the basis for the current proceedings.