Identification Number:
EM-21070 REV
Intended Audience:All OHO/OARO/RCs/ARCs/ADs/
FOs/TSCs/PSCs/OCO/OCO-CSTs
Originating Office:ORDP ODP
Title:Office of Hearings Operations (OHO) and Office of Appellate Operations (OAO) instructions for processing representative appointments, revocations, withdrawals, and fee-related documents in the Registration Appointment and Services for Representatives (RASR) application
Type:EM - Emergency Messages
Program:Title II (RSI); Title VIII (SVB); Title XVI (SSI)
Link To Reference:See References at the end of this EM.
 
Retention Date: April 03, 2024

Revision Statement: This EM was revised to include instructions for OAO staff and other substantial revisions. It replaces the prior version published on December 13, 2021.
Summary of Revisions:

· Added OAO to title and provided instructions for OAO staff.

· Added instructions for OHO and OAO staff to add or remove the “Representative Involved” flag for both electronic claim(s) files and paper claim(s) files.

· Changed the diary date from 14 days to 15 days for when OHO or OAO staff will follow up on an assistance request or email to the FO.

· Added instructions for OHO and OAO staff to verify electronic signatures on SSA-1696 or written notice of appointments.




A. Purpose

The purpose of this EM is to provide OHO and OAO staff with instructions for processing representative appointments, revocations, withdrawals, and fee-related documents (e.g., fee agreements or fee waivers) in RASR. Prior to this EM, only field offices (FOs) processed appointment and fee-related documents in RASR. Additionally, this EM provides language to alert the FOs to situations when OHO and OAO staff may request assistance. This change to policy and business process for OHO and OAO
does not change existing procedures for the FOs in GN 03910.040, GN 03910.060, and GN 03940.003.

B. Background

RASR is an application developed to assist with collecting, documenting, and storing registered appointed representative (AR) information. All attorneys and eligible for direct payment non-attorneys (EDPNA) who seek direct payment of fees or request eFolder access
must register with the Social Security Administration (SSA). RASR allows SSA to associate a registered representative with a claim. RASR includes sanction information for all representatives, regardless of whether a representative is registered in RASR. For more background information on RASR, see MS 09101.001.

The FOs process information for registered representatives in RASR and other systems (e.g., the Modernized Claim System (MCS) and the Modernized Supplemental Security Income Claims System (MSSICS)) and outside RASR for non-registered representatives.

NOTE: These instructions do not affect the e1696 or the e1693 processes; those processes remain the same. For more information refer to EM-20022 REV 3 and EM-21021 REV.

SSA accepts a written notice of appointment, a claimant’s revocation, or a representative’s withdrawal in a dated and signed writing, a written fee-related document, or the following SSA forms:


· SSA-1696 Claimant’s Appointment of a Representative

· SSA 1693 Fee Agreement for Representation Before the Social Security Administration

· SSA-1696-SUP1 Claimant's Revocation of the Appointment of a Representative

· SSA-1696-SUP2 Representative's Withdrawal of Acceptance of an Appointment

To process and manage cases, OHO currently uses two case processing systems: the Hearings and Appeals Case Processing System (HACPS) and the Case Processing and Management System (CPMS). OHO is transitioning from processing cases in CPMS to processing cases only in HACPS. Until the transition is complete, OHO staff will process some cases in both systems simultaneously while some cases may be established only in CPMS. Currently, every case established in HACPS is also established in CPMS. Information added or updated in RASR automatically propagates in HACPS but not in CPMS. Therefore, staff will add or update representative information in CPMS (even if the case is in HACPS) to ensure accuracy and completeness.

OAO currently uses the Appeals Review Processing System (ARPS), which does not interface with RASR. A new system, the Office of Appellate Operations Case Processing System (OAOCPS), is in active development, and information added or updated in RASR will automatically propagate in OAOCPS. However, until OAOCPS development is complete, OAO staff must manually add or update representative information in ARPS.

C. New Business Process

Effective with this EM, OHO staff, for cases at the hearing level, and OAO staff, for cases at the appeals level, will process in RASR new representative appointments, revocations, withdrawals, and fee-related documents submitted for all representatives registered in RASR, including non-principal representatives.
The FO will continue to process appointments, revocations, withdrawals, and fee-related documents received in the FO and for non-registered representatives in other applicable systems. The FO will also process any appointment documents OHO and OAO are unable to process (e.g., incomplete documents or documents needing extensive development). Additionally, OHO and OAO staff will query the appointed representative active sanctions list in RASR prior to processing any appointment or fee-related document.

IMPORTANT: RASR is capable of storing information for all registered representatives associated with a particular claim, not just the principal representative. OHO and OAO staff will process information in RASR for each registered representative appointed to a claim (i.e., principal and each non-principal representative). OHO and OAO staff will continue to update only the principal representative information in CPMS or ARPS. No update is needed in HACPS because RASR automatically sends appointed representative updates to HACPS.

1. Checking Sanction Information in RASR

Prior to processing any representative appointments (including when an individual appears as a new representative at a hearing), revocations, withdrawals, and fee-related documents, OHO and OAO staff
will search RASR to determine whether the representative is sanctioned. OHO and OAO staff will access RASR’s active sanctions list throughout the hearing and appeals process to check a representative’s status prior to processing any appointment-related document or taking any actions involving the representative.

To check the active sanctions list, staff will access RASR, select the “Queries” tab at the top of the screen and click on the “AR Sanctions List” button. They may then select “Active Sanctions” from the dropdown sanctions filter to see the alphabetical list. Staff can also see if a representative is on the active sanctions list by searching the representative’s ID, SSN, name, or User ID. For instructions on how to view the current active sanctions list, see the “Active Sanctions” tab under the “Queries Search” option in the “Query User Guide” located at the top of the RASR User Guide.
If a representative’s name is on the “Active Sanctions” list:OHO and OAO staff will notify their supervisor and advise the sanctioned representative and the claimant in writing that SSA does not recognize the individual as a representative (see HALLEX I-1-1-57 C). Staff will not take additional steps in the processing of any representative appointment-related documents for the sanctioned representative.

EXAMPLE: If a representative whose name is on the sanctions list submits a fee petition, staff should notify their supervisor and advise the representative that SSA does not allow a sanctioned representative to charge or collect a fee for services performed, nor can the representative receive direct payment of a fee, after the effective date of the sanction (see HALLEX I-1-1-57 A).

    2. Requesting Assistance to Process an Appointment

    After confirming that the representative is not on the active sanctions list, OHO and OAO staff will search RASR to determine whether the representative is registered in RASR (i.e., to receive direct pay or request eFolder access).

    If the representative is not registered, or if OHO and OAO staff are unable to process in RASR an appointment, revocation, withdrawal, or fee-related document (e.g., the document is missing information that cannot be obtained):
      · OHO and OAO staff will add the document to the claim(s) file.
      · OHO staff will send an assistance request with the below sample language for the FO to process the document. For cases that are in HACPS, OHO staff will send an assistance request through HACPS (see the HACPS Guide for Developments & Correspondences). For cases that are not in HACPS, OHO staff will send an assistance request through CPMS (see the Hearing Office Assistance Request User Guide).
      · OAO staff will locate the servicing FO in the Detailed Office and Organization Resource System (DOORS) and email the FO with the below sample language to request the FO staff process the document.
        Sample language for an OHO assistance request or an OAO email to the FO:Unprocessed representative appointment or fee-related document(s) in the claim(s)file. Please process within 15 days of this notification.”
      · OHO and OAO staff will set a diary for 15 days to allow the FO to process the document and follow up as necessary. OHO or OAO staff will then review the representative’s information in CPMS or ARPS and update the information if needed.

    3. Updates to Representative Contact or Registration Information in RASR

    OHO and OAO staff cannot register a representative or update a representative’s contact information in RASR. The Office of Earnings and International Operations (OEIO) is responsible for processing new registrations and updates (e.g., changes to a representative’s name, address, firm affiliation, or information for direct payment of fees) via form
    SSA-1699 (Registration for Appointed Representative Services and Direct Payment). If OHO and OAO staff receive a form SSA-1699, staff must fax the form to OEIO at 1-877-268-3827, one form at a time. OEIO processes updates based on form SSA-1699, following GN 03913.012.

    For registered representatives, OHO and OAO staff will not process any updates to representative contact information in CPMS or ARPS, unless it is submitted on form SSA-1699, and only after OEIO has completed its action to update RASR. When action is required by OEIO to complete a new registration or to update contact information, OHO and OAO staff will diary the case for 15 days in their respective case processing system(s) while OEIO processes the form SSA-1699. After OHO or OAO staff has confirmed the updated information in RASR:
      · OHO staff will request that the regional IT staff add the appointed representative to or update the Representative Table in CPMS, if needed (see the Representative Table Desk Guide for Hearing Offices).

      · OAO staff will request to have the appointed representative’s information added to the Representative Table in CPMS by sending an email to ^OHO CPMS Rep Table (see the Representative Table Desk Guide for Office of Appellate Operations (OAO).

      · After the appointed representative information has been added to or updated in the Representative Table, OHO Staff will update CPMS and OAO staff will update ARPS with any new or updated principal representative information, including changes in the fee arrangement, affiliation, or other information.


    If OHO and OAO staff receive updated contact information for a non-registered appointed representative in any manner other than form SSA-1699 (e.g., on a form SSA-1696), staff will add the information to the claim(s) file, update CPMS or ARPS, and send the updated information to the FO via an assistance request or email (see Section C.2, above).

    Sample Language for an OHO assistance request or an OAO email to the FO:
    “Please process the updated contact information that is in the claim(s) file for a non-registered appointed representative.”

    4. Representative Involved Flag

    When a new appointment is received, OHO and OAO staff will add the “Representative Involved” flag to the electronic claim(s) file or affix the “form SSA-1128 (Representative Involved)” to the paper claim(s) file. When terminating appointments (e.g., revocations, withdrawals), OHO and OAO staff will remove the “Representative Involved” flag from the electronic claim(s) file or the form SSA-1128 from the paper claim(s) file if the claimant is no longer represented. If the case is in the Electronic Non-Medical (ENM) application, OHO and OAO staff will add or remove the form SSA-1128 when re-assembling the paper claim(s) file at case closure (see CJB 21-01 REV 3 and EM-21000 SEN REV 4 for information on the ENM application).

    D. Instructions for OHO and OAO Processing of Representative Appointment Documents

    OHO staff will process representative appointments, revocations, withdrawals, and fee-related documents received at the hearing level for representatives already registered in RASR (including principal representatives and non-principal representatives). OAO staff will process in RASR representative appointments, revocations, withdrawals, and fee-related documents received at the appeals level for registered representatives. For information on RASR and step-by-step instructions for inputting information in RASR, staff should refer to the RASR User Guide.

    OHO and OAO staff will process written notices of appointment and other representational documents as follows:

    1. When OHO and OAO staff receive a written notice of appointment or form SSA-1696, before keying the information in RASR, staff will verify that the document is valid. A valid notice of appointment must include:
      · The claimant’s signature;
      · A statement reflecting that the claimant wants the individual to be the claimant's representative in dealings with SSA; and
      · The individual’s signature agreeing to be the claimant's representative if the individual is not an attorney. An attorney does not have to sign a notice of appointment.

    The following are also necessary to process an appointment in RASR:

      · Identity of the claimant by first and last name and social security number (SSN);

      · Identity of the representative by first and last name and RepID (if provided by a representative registered in RASR);

      · There is a pending claim, matter, or issue before us. See GN 03910.001B for the definition of "pending claim, matter, or issue."



      When staff receive a written notice of appointment with an electronic signature from a claimant:

      · OHO staff will verify signatures received at the hearing level following current temporary policy and procedure prior to attempting to add the representative in RASR (see EM-20022 REV 3). If unable to verify a signature, staff will send an assistance request to the FO (see Section C.2, above). The FO will update RASR if the claimant confirms the intent to sign the appointment document. If an administrative law judge already held a hearing for the case and verified the appointment on-the-record, then the claimant’s electronic signature on the form SSA-1696 does not require further verification by the FO (see EM-20022 REV 3).

        · OAO staff will verify signatures received at the appeals level and, in limited circumstances, signatures received at the hearing level, prior to attempting to add the representative in RASR. If an appointment notice was received at the hearing level, but the appointment was not recognized, OAO staff will determine whether the signature required further verification by OHO staff or the FO (see EM-20022 REV 3). If necessary, staff will request assistance from the FO (see Section C.2, above). The FO will update RASR if the claimant confirms the intent to sign the appointment document.

      If the appointment document is valid and OHO and OAO staff have the necessary information to process the appointment in RASR, OHO and OAO staff will process it as described in section D.3., below. If any of the above information necessary to process the appointment in RASR is missing, staff will attempt to obtain the missing information.

      When OHO staff are unable to obtain the missing information, they will send an assistance request to the FO (see Section C.2, above). When OAO staff are unable to obtain the missing information, they will send an email to the FO (see Section C.2, above).

      OHO or OAO staff will set a diary for 15 days to allow the FO to update the information and follow up as necessary. If the FO obtains the missing information identified by OHO staff, the FO will process the appointment in RASR and notify OHO via an assistance request. If the FO obtains the missing information identified by OAO staff, the FO will process the appointment in RASR and notify OAO via email.
      OHO or OAO staff will then review the representative’s information in CPMS or ARPS and update the information if needed.

      IMPORTANT: These instructions do not apply to or change the processing of form SSA-3288 (Consent for Release of Information). If an individual submits this form at the hearing level or the appeals level, staff will process the form per current procedures and will add the document to the claim(s) file. There are no additional steps to take in RASR, HACPS, CPMS, or ARPS.

      2. If the representative is not registered in RASR and submits a written notice of appointment:
        · OHO staff will provide information on how to register by referring the representative to www.ssa.gov/ar (see also GN 03913.005 for more information).

        · If the information is for the principal representative and is not in CPMS or ARPS, OHO and OAO staff will update the Representative Table (see Section C.3., above).

        · OHO staff will update CPMS and OAO staff will update ARPS with any new or updated principal representative information, including changes in the fee arrangement, affiliation, or other information.
        · OHO staff will send an assistance request and OAO staff will send an email to inform the FO to take action to document the appropriate systems with the representative’s information (see Section C.2, above).

        · OHO and OAO staff will add/upload the representative appointment-related documents to the electronic or paper claim(s) file.


          NOTE: The FO will generate a manual notice to the representative.

        · OHO and OAO staff will not take any of the additional steps described in this EM.

      3. If the representative is registered in RASR, OHO and OAO staff will:
        · Update RASR with new appointments, revocations, withdrawals, fee-related actions (e.g., fee waiver) for each representative (i.e., principal and non-principal representatives). For step-by-step instructions for inputting information in RASR, staff should refer to the RASR User Guide. OHO and OAO staff will also add or remove the principal representative designation, as needed, to ensure the correct principal representative is identified in RASR. See GN 03910.040 for the FO procedures for determining the principal representative when the claimant has appointed multiple representatives; OHO and OAO staff may reach out to the FO for assistance in determining the principal representative.

        · If unable to complete the processing in RASR, OHO staff will send an assistance request and OAO staff will send an email to the FO (see section C.2, above).

        REMINDER: OHO and OAO staff will process information in RASR for all registered appointed representatives (including non-principal representatives).

        NOTE 1: RASR will automatically send appropriate notices and acknowledgments to the registered appointed representative and the claimant.

        NOTE 2: In most cases, OHO and OAO staff will not generally need to send either an assistance request or email to the FO after updating RASR because RASR will automatically notify the FO via an EDCS action to make any required updates to its systems. However, if OHO or OAO staff process an appointment in RASR and receive an “EDCS Propagation Alert,” OHO staff will send an assistance request and OAO staff will send an email to the FO (see Section C.2, above) with the below sample language for the FO to update EDCS to allow the information to propagate into the relevant systems.

        Sample language for an OHO assistance request or OAO email to the FO:Processed representative appointment in RASR and received EDCS propagation alert. EDCS Update After Transfer action is required.”

        NOTE 3: There are some cases when OHO or OAO staff process an appointment in RASR, but the appointment does not propagate into EDCS because there is a keyed-in appointed representative in EDCS. Consequently, there are no RASR updates sent to the downstream systems (e.g., HACPS). OHO staff will send an assistance request and OAO staff will send an email to the FO (see section C.2, above) with the below sample language for the FO to review the appointed representative in RASR and EDCS to determine which appointed representative applies to the EDCS case. For more information, see MSS22-065 RASR.

        Sample language for an OHO assistance request or OAO email to the FO:Processed representative appointment in RASR, but the appointment did not propagate into EDCS. Please review appointments in RASR and EDCS to determine the correct appointed representative.

        · Add all claimant or representative submitted appointment-related document(s) to the electronic, the paper claim(s) file, or the ENM application.

        · OHO staff will update CPMS and OAO staff will update ARPS with any new or updated principal representative information including changes in the fee arrangement, affiliation, or other information. No update is needed in HACPS because RASR automatically sends appointed representative updates to HACPS.


      E. Closing

      OHO staff should direct questions through the office’s management chain. Regional office staff may direct questions about this matter to the Office of the Chief Administrative Law Judge’s Division of Field Procedures.

      OAO staff should direct questions through their management chain. OAO managers may seek guidance from the Executive Director’s Office.

      FO staff may direct all program-related and technical questions to their Regional Office (RO) support staff or Program Service Center (PSC) Operations Analysis (OA) staff. RO support staff or PSC OA staff may refer questions, concerns, or problems to their Central Office contact.

      F. References

      GN 03910.040 Appointment of a Representative
      GN 03910.060 When a Representative’s Appointment Ends
      GN 03940.003 Fee Agreement Evaluation
      GN 03913.012 Processing Form SSA-1699 (Registration for Appointed Representative Services and Direct Payment)

      GN 03910.001 Terms and Definitions as Applied to this Subchapter
      GN 03913.005 Registration for Access to Electronic Services, Direct Payment, and Annual Tax Statements
      HALLEX I-1-1-57 Common Issues After a Suspension or Disqualification
      EM-20022 REV 3 Temporary Instructions for the Bundled Receipt and Processing of an Electronically Signed SSA-1696 and Certain Other Forms
      EM-21000 SEN REV 4 Instructions for Sending Non-Medical Appeals (NMA) to the Office of Hearings Operations (OHO) and Office of Appellate Operations (OAO) using Electronic Non-Medical (ENM) application’s Create, Upload, and Transfer of Jurisdiction Functionality

      EM-21021 REV Online Forms SSA-1696 Claimant’s Appointment of Representative and SSA-1693 Fee Agreement for Representation before SSA
      CJB 21-01 REV 3 Updated Business Process for the Electronic Non-Medical Application
      MS 09101.001 Registration, Appointment and Services for Representatives (RASR) - Overview
      MSS22-065 Representative, Appointment and Services (RASR) - Propagation Problem, Workaround and Resolution



      EM-21070 REV - Office of Hearings Operations (OHO) and Office of Appellate Operations (OAO) instructions for processing representative appointments, revocations, withdrawals, and fee-related documents in the Registration Appointment and Services for Representatives (RASR) application - 8/2/2022