TN 6 (04-12)
GN 03970.015 How We Deal With Representatives’ Actions that Violate the Law or Regulations
Policy on how to deal with possible violations
There are several types of violations (e.g., fee, possible fee, non-fee, or criminal violations.) Refer to GN 03970.010 for examples and definitions.
See information on the rules of conduct and standards of responsibility for representatives in GN 03970.010. See information on violations and fraud in GN 04100.000. OIG has responsibility for developing criminal violations. OGC has responsibility for pursuing administrative sanctions against attorney and non-attorney representatives for violations of the Rules of Conduct and Standards of Responsibility for Representatives. See information on action to suspend, disqualify, or withdraw charges against a representative by the Office of the General Counsel in GN 03970.030.
Refer conduct that involves violation of SSA rules to OGC. Regardless of whether OIG decides to seek criminal prosecution, OGC reviews all referrals for possible administrative sanctions; therefore, refer conduct involving potential criminal violations to both OIG and OGC. Do not refer any violations involving attorneys to any State Bar Association.