Upon receipt of a request for a hearing, an administrative law judge (ALJ) will be designated to act as a hearing officer and assigned to conduct the hearing proceedings.

The hearing officer assignment will be issued in writing to the designated ALJ. The hearing officer must recuse himself or herself at that time if the hearing officer is prejudiced or partial about any party or has any interest in the matter. See 20 CFR 404.1565(b)(2) and 416.1565(b)(2). Additionally, the hearing officer must not have previously adjudicated or reviewed the case(s) which formed the basis for the misconduct charge(s). If the hearing officer recuses himself or herself, another ALJ will be designated as the hearing officer to conduct the proceedings.

Once designated, the hearing officer will:

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  Serve a copy of the formal designation as hearing officer on all parties to the hearing by certified mail to their last known addresses or by personal service. The address for LP is:

  Social Security Administration
  Law & Policy
  Attn: Representative Conduct
  6401 Security Boulevard
  Baltimore, MD 21235-6401
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  Contact his or her jurisdictional Hearings Hub for designation of a hearing office management team to assist with obtaining space for the hearing, retaining a court reporter, and making any other necessary arrangements. The hearing officer may conduct all or any part of the hearing by video teleconferencing or telephone.

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  Avoid possible ex parte communications. An ex parte communication is direct communication by the hearing officer with either party outside the presence of the other party. An uninvolved staff member must conduct any communication with either party that occurs outside the presence of the other party.

Either party may object to the hearing officer named to hold the hearing and must notify the hearing officer of any objection at the earliest opportunity. The hearing officer will consider the objection and decide whether to proceed with the hearing or withdraw. If the hearing officer withdraws, the hearing officer must notify both parties and |||DA DICompliance Hearings Quality. A different ALJ will be designated as the hearing officer. If the hearing officer does not withdraw, the party objecting may later present the objection to the Appeals Council (AC) if he or she is dissatisfied with the hearing officer's decision. See 20 CFR 404.1765(b) and 416.1565(b).

The person charged may be represented by an attorney or other representative. See 20 CFR 404.1765(l) and 416.1565(l). The hearing officer will recognize the appointment if the record contains a signed writing that both the charged person and the identified representative agree to the appointment.

One or more attorneys from LP may represent SSA at the hearing. See 20 CFR 404.1765(l) and 416.1565(l).

The hearing officer sets the time and place of the hearing and will mail the parties and the appointed representative, if any, a written notice of the hearing at least 14 calendar days before the date set for the hearing. See 20 CFR 404.1765(c) and 416.1565(c). The notice of hearing will be served on both parties by certified mail at their last known addresses or by personal service. The notice will inform both parties of the date, time, manner, and location of the hearing and will include requirements and instructions for filing motions, requesting witnesses, and entering exhibits.

The hearing officer may change the time and place of the hearing on his or her own initiative or at the request of either party but must give both parties reasonable notice of the change (e.g., 14 calendar days or a shorter, agreed-upon amount of time). The hearing officer will not consider objections to the manner of appearance of parties or witnesses, unless the party shows good cause not to appear in the prescribed manner. To determine whether good cause exists for extending the deadline, use the standards in 20 CFR 404.911 and 416.1411. See 20 CFR 404.1765(d) and 416.1565(d).

Only the parties and any persons the hearing officer or the parties consider necessary or proper may attend the hearing. The hearing is not open to the public. See 20 CFR 404.1765(g)(3) and 416.1565(g)(3).

Either party may ask the hearing officer to issue subpoenas for the attendance and testimony of witnesses and for the production of books, records, correspondence, papers, or other documents that are material to any matter being considered at the hearing. The hearing officer may also issue subpoenas on his or her own initiative, when necessary for the full presentation of the facts.

The individual requesting a subpoena must submit a written request at least five days before the date set for the hearing. The request must state the name of the individual(s) or the document(s) to be produced and describe the address or location in sufficient detail to find the witness(es) or document(s). The request should also include what material fact(s) the individual expects to establish by the witness(es) or document(s) and why the fact(s) cannot be established with other evidence. The fee and mileage costs of any subpoenaed witness(es) are reimbursable. See 20 CFR 404.1765(f) and 416.1565(f).

The hearing officer rules on all prehearing filings or motions. On receipt of any filing or motion, the hearing officer will ensure that the filing or motion includes a certificate (or other proof) of service showing the filing was sent to the opposing party. If there is no proof of service on the opposing party, the hearing office management team (or other uninvolved staff) will inform the filing party that he or she must resubmit the filing or motion with such proof of service before it can be considered. Filings or motions may be submitted by mail or facsimile. The parties may also agree, with the hearing officer's approval, on another manner of submission (e.g., email).

The date of filing is generally the date the filing or motion is mailed or the date the facsimile is received.

The hearing officer must ensure that there is a complete record of the hearing proceedings. The hearing officer will engage the services of a reliable court reporting service that can produce written transcripts and make digital hearing recordings. For more information about the digital recording process, see Hearings, Appeals, and Litigation Law (HALLEX) manual HA 01260.040.

Following the hearing, the hearing officer will obtain one original certified transcript of the oral proceedings for the record. On request, the hearing officer will also send copies to the parties, upon payment for the cost of the transcript, unless payment is waived for good cause. See 20 CFR 404.1765(o) and 416.1565(o).

The hearing officer will open the hearing with a brief statement introducing himself or herself and explaining how the hearing will be conducted, the procedural history of the case, and the issue(s) involved. While the format of the statement is discretionary, the following information must be included in an opening statement:

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  State the charged individual's name, docket number, and the time and place of the hearing.

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  Explain that the proceedings are being recorded.

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  Cite the regulatory authority for conducting the proceedings.

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  Introduce anyone in the room who will be assisting during the hearing.

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  Identify any other person present, including the parties. If necessary, explain the person's reason for attending.

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  Explain if there are any limitations on the evidence being considered.

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  Note that any testimony will be taken under oath or affirmation.

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  Read into the record the procedural history of the case.

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  State the issue(s) to be decided.

All witness testimony will be made under oath or affirmation, and refusal to do so must be noted on the record. To administer an oath or affirmation, the hearing officer will ask all witnesses to raise his or her right hand and ask:

Do you solemnly swear or affirm that the testimony you are about to give at this proceeding shall be the truth, and nothing but the truth, under penalty of perjury?

The hearing officer will regulate the conduct of the hearing and decide the order in which the parties will present evidence. The hearing officer will inquire fully into the matter(s) at issue and hear testimony and argument.

If the representative filed a response to the charges, the hearing officer will accept into evidence any documentary items that are relevant, material, and not a duplicate of other evidence already in the file.

If the charged representative did not file an answer to the charges, the charged representative has no right to present evidence at the hearing. In that case, the hearing officer may make a decision based on the existing record or permit the charged representative to submit a statement about the sufficiency of the evidence or the validity of the proceedings. See 20 CFR 404.1765(g)(2) and 416.1565(g)(2).

The hearing officer may accept evidence even though it may not be admissible under the rules of evidence that apply in Federal courts.

Witnesses who testify must do so under oath or affirmation. Both parties may question the witnesses. The hearing officer may also ask questions, when necessary, and shall rule on any objection raised by either party about whether a question is proper. See 20 CFR 404.1765(i) and 416.1565(i).

When appropriate, the hearing officer may decide not to allow witnesses to attend or listen to other testimony given at the hearing and may require that a witness be present in the hearing room only when giving his or her testimony.

The hearing officer must give the parties a reasonable time to present oral summation. The hearing officer must also provide reasonable time to file briefs or other written statements about proposed findings of fact and conclusions of law when either party requests it. See 20 CFR 404.1765(j) and 416.1565(j).

Unless additional time is provided to submit written summation, the hearing officer closes the record at the end of the hearing.

However, the hearing officer may reopen the hearing record to accept additional evidence any time before mailing the decision, unless the party who wishes to present the evidence is a charged representative who did not file an answer to the charges. See 20 CFR 404.1765(g) and 416.1565(g). The hearing officer will only reopen if the evidence is material to an issue before the hearing officer and the evidence was not available for presentation at the time of the hearing.

Dismissals are generally not appropriate, even for failure to appear at a hearing without good cause. However, the hearing officer may dismiss the charges in the event of the death of the charged representative. See 20 CFR 404.1765(n) and 416.1565(n).

If the hearing officer determines that SSA proved the charges by a preponderance of the evidence, the hearing officer will either:

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  Suspend the representative from further practice before SSA for a specified period of not less than one year and not more than five years from the date of the decision; or

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  Disqualify the representative from further practice before SSA.

Disqualification is the sole sanction available if the hearing officer finds that the representative:

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  Has been, for reasons of misconduct, disbarred or suspended from any court or bar to which the representative was previously admitted to practice;

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  Has been, for reasons of misconduct, disqualified from participating in or appearing before any Federal program or Federal agency; or

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  Has collected or received, and retains, a fee for representational services in excess of the amount authorized.

Although the hearing officer must consider whether the disbarment, suspension, or disqualification was based on misconduct, the hearing officer must not reexamine or revise the factual or legal conclusion(s) that led to the action. See 20 CFR 404.1770(a)(2) and 416.1570(a)(2).

The hearing officer will issue a written decision containing findings of fact and conclusions of law based on the evidence of record. The hearing officer will mail the decision to both parties with a cover letter. The letter attached to the hearing officer's decision will inform the parties of the right to appeal and provide information for filing the request for review in writing with the Appeals Council (AC) within 14 business days from the date the hearing officer mailed the notice. The appeal address is:

While the content of the decision will generally be at the discretion of the hearing officer, the decision must include:

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  The names of the parties and the docket number.

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  A statement of the hearing officer's jurisdiction.

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  The procedural history of the case.

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  A brief summary of the issue(s) before the hearing officer.

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  The applicable law and regulations.

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  The background and facts of the case, including the complaint and statement of the charges.

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  An evaluation of the evidence.

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  The findings of fact and conclusions of law.

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  The ultimate decision of the hearing officer.

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  The right to appeal.

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  The signature of the hearing officer.

The hearing officer's decision is final and binding unless, within 14 business days of the date the hearing officer mailed the decision, one of the parties asks the AC to review the decision, and the AC reverses or modifies the decision on review. See 20 CFR 404.1770(b)(1) and 416.1570(b)(1).

The AC keeps all hearing officer files for representative sanction actions. Since either party may appeal, hearing officer files must be available even when the representative is not sanctioned. Further, the AC reviews all requests for reinstatement, and the file is often necessary for that purpose.

After a decision is issued, the hearing officer or management team will provide an electronic copy of the file to ^DA Compliance Rep Issues, with subject line “Representative Sanctions Decision - [representative name, type of sanction (e.g., disqualification, suspension)]” and a copy to ^LP Representative Conduct and |||DA DICompliance Hearings Quality.