SSA - POMS: GN 03910.040 - Appointment of a Representative

A. How to appoint a representative

To appoint a representative, our regulations in 20 CFR 404.1707 and 416.1507 require that:

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the claimant signs a written notice that identifies the individual and reflects the claimant's intent to be represented by that individual in dealings before us;
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the non-attorney representative signs the written notice reflecting the intent to accept the appointment (an attorney does not have to sign this written notice); and
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the written notice be filed at a field office (FO), with the Office of Hearings Operations (OHO), or with the Appeals Council (AC) in the Office of Appellate Operations (OAO).

EXCEPTION: If we receive a written inquiry from an official of a foreign consulate or embassy on behalf of a claimant outside the United States, we will consider that the official is authorized to act as the claimant's representative without receiving an additional written notice of appointment. In this situation:

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include the official's inquiry in the record in place of a written notice of appointment; and

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process the official's appointment, as explained in GN 03910.040D.

1. The claimant's signature

A claimant must sign a written notice of appointment (either the Form SSA-1696, Claimant's Appointment of a Representative, or other writing) using either a paper process or the electronic SSA-1696 (e1696) process.

a. Paper process

Generally, if the claimant or representative submits an appointment using a paper SSA-1696 form or other written notice of appointment, the claimant's signature must be in ink. We accept a facsimile of the document. For more information, see A.3. of this section.

NOTE 1: Staff processing appointments must check emergency messages (EMs) or other agency guidance to determine whether there are other temporary or applicable procedures in place regarding signature requirements.

NOTE 2: If a claimant cannot sign or can only mark an “X” on the written notice of appointment, we will accept the written notice if (1) the claimant marks the written notice below the requested information and (2) two witnesses who do not stand to gain anything from the representative's appointment sign the written notice of appointment and provide their full mailing addresses. See GN 00201.010, and GN 00201.015 for information on signature requirements .

b. Electronic (e1696) process

We accept a claimant's electronic signature as part of the electronic Form SSA-1696 (e1696) process, which is available at www.ssa.gov/representation. Once the prospective representative and the claimant electronically complete their respective sections, electronically sign, and submit the online form, an FO technician in the claimant's servicing FO will receive an electronic image of the form to process.

2. The representative's signature

We require a non-attorney representative to sign the written notice of appointment either in ink, electronically, or with a rubber stamp. We strongly encourage, but do not require, attorney representatives to sign the written notice of appointment. We will accept the representative’s signature unless there is reason to doubt the intent to accept the appointment.

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Attorney signature: If an attorneydoes not sign the written notice of appointment and the claimant signs it consistent with GN 03910.040A.1., we will accept the written notice. We will not return the written notice to obtain the attorney's signature.
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Non-attorney signature: If a non-attorney does not sign the written notice of appointment, we will not accept it even if the claimant has signed it. We will not return the written notice of appointment along with a request to amend or correct and sign the notice to the party who submitted it (see GN 03905.055B.2.) The notice can be found in the Document Processing System (DPS) using these keywords in the search box: "Appointment Form Invalid.".

3. Filing the written notice of appointment

The claimant or representative must file the written notice of appointment at one of our FOs at the initial and reconsideration levels, with OHO if the claimant requested a hearing, or with OAO if the claimant requested a review of the administrative law judge's (ALJ) decision. Several options are available to submit the appointment notice. The claimant or representative may file via:

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e1696 portal at ssa.gov/representation (electronically);
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electronic records express (ERE) portal;
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iAppeals portal;
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eFax or analog fax;
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mail; or
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in person (at the FO or with OHO).

Once the notice of appointment is filed, we can process it as explained in GN 03910.040D.

B. Written notice of appointment

A notice of appointment submitted via the e1696 portal cannot be combined with or included in another document. However, a written notice of appointment submitted via any other option listed in section GN 03910.040A.3. may be combined with or included in another document, such as a contract or fee agreement. In such cases, we will accept a photocopy or facsimile of the original signed combined document. Staff must check agency guidance to determine whether there are other temporary or applicable procedures in place regarding authenticating signatures in the paper process. See GN 03910.001D for the definition of "written notice of appointment."

1. Who can appoint a representative

Only the following individuals can appoint a representative:

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the claimant;
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any affected auxiliary beneficiary (for that beneficiary's own representation);
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a parent of a child claimant under age 18. However, in cases where we determine a claimant under age 18 is capable and does not require a payee, that child claimant may appoint and revoke the representative. See GN 00502.070 for information on determining capability - children; or
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a legal guardian for a legally incompetent claimant. See GN 00502.023 for information on legal evidence of incompetency and GN 00502.139 for information on guardianship.

Court-appointed guardians, also known as "guardians ad litem," can appoint a representative or revoke an appointment on behalf of a claimant. In some states, a court may appoint a "legal custodian" in lieu of a "legal guardian" when parental rights are severed. We will consider these court-appointed custodians as legal guardians consistent with state law and on a case-by-case basis.

2. Who cannot appoint or revoke a representative on behalf of the claimant

The following individuals cannot appoint or revoke a representative on behalf of a claimant:

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a representative payee;
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a third-party proper applicant; and
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the representative.

3. Scope of appointment

In the written notice of appointment, the claimant decides the scope of the appointment and the pending claim(s), matter(s), or issue(s) the representative will handle. We do not limit or expand the scope of appointment. We do not assume that the claimant has appointed the representative to handle all pending claim(s), matter(s), or issue(s). If there is ambiguity in the scope of representation, we will contact the claimant for further clarification. See GN 03910.050A for information on contacting a represented claimant. If the claimant did not sign the form (i.e. lacked capacity), we will contact the individual who signed the form.

EXAMPLE: Peggy is filing an appeal for review of a continuing disability review (CDR) that terminated Peggy's Title XVI benefits. Peggy appointed James as a representative and James files a written notice of appointment in which Peggy selected "Title XVI" as the issue James will handle. While the appeal is still pending, Peggy files a Title II disability claim but does not appoint a representative to handle the Title II claim. We will only communicate with James regarding issues related to Peggy's Title XVI claim. We will not assume that Peggy has also appointed James to handle the Title II claim. See GN 03910.050B for information on written communications sent to both claimants and appointed representatives.

4. Signature date

We recognize the appointment of a representative as of:

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the date that the claimant signed the written notice of appointment (e.g., Form SSA-1696 or any other writing); or
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if the appointment is not dated, the date we receive the written notice of appointment.

NOTE: We cannot accept the filing of a written notice of appointment unless we have a pending claim, matter, or issue. However, we will accept the written notice of appointment submitted after but dated prior to the filing date of the claim, matter, or issue. See GN 03910.001B for the definition of "pending claim, matter, or issue" and NOTE 2 in GN 03910.040D.2.a. for information on what to do when we receive a written notice of appointment with no pending claim, matter, or issue.

5. Supplemental appointments

Supplemental appointments are notices of appointments submitted by an appointed representative to indicate changes in information that are not significant.

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We can accept supplemental appointments for each separate appointment without a claimant's signature when the changes do not affect the representative's appointment relationship with the claimant (e.g., change in the representative's address, direct pay eligibility status, or phone number).
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We cannot accept supplemental appointments without a claimant's signature for each separate appointment when the changes affect the representative's appointment relationship with the claimant or the claimant's personal information (e.g., change in the fee arrangement or the claimant's first or last name, address, or phone number).

6. Law firm or organization named as representative

Although we do not recognize entities (e.g., law firms or organizations) as representatives, claimants sometimes complete written notices of appointments in which they identify an entity as their appointed representative instead of an individual.

In such cases, if an individual in the entity signs the written notice of appointment, we will process the written notice of appointment for this individual as long as the individual has provided the basic information consistent with GN 03910.040D.2. We will recognize the individual who signs the written notice of appointment, but not the entity, as the claimant's appointed representative.

EXAMPLE: Sara submits a Form SSA-1696 and lists “Hawthorne and James, a Professional Corporation” as Sara's representative. The form contains information consistent with GN 03910.040D.2. James signs the form and accepts the appointment. In this case, we will recognize James as Sara's representative.

NOTE: See GN 03910.040A.2. for information on signature requirements for non-attorney representatives.

C. Multiple representatives appointed

A claimant may appoint multiple representatives. However, if a claimant appoints more than one individual, we require the claimant to designate a principal representative since we will contact and send notices or requests for development only to the principal representative. We expect the principal representative to provide copies of notices or requests to the other representative(s).

If the claimant submits multiple written notices of appointment at the same time, but does not specify which representative will be the principal representative, contact the claimant to determine which representative is intended to be the principal representative, and document the claimant's intent in the Registration, Appointment and Services for Representative (RASR) application either by including a Report of Contact (ROC) in the record or by obtaining a new, signed Form SSA-1696 that clearly specifies the principal representative.

If a claimant appoints an additional representative(s) but does not revoke the appointment of the first representative, the first representative does not withdraw, and the new written notice of appointment does not specify a principal representative, as explained in GN 03910.060B:

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contact the claimant to determine the intent to either appoint both representatives as co-representatives with one of them being the principal representative or to revoke the first representative's appointment (IMPORTANT: do not suggest that the claimant needs to revoke the first representative's appointment); or
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contact the first representative to find out if that representative withdrew from the pending claim, matter, or issue.

1. Multiple representatives appointed at the same time (simultaneously)

If the claimant appoints more than one individual at the same time, the claimant must designate a principal representative.

Check the claim file to determine whether:

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the claimant appointed each co-representative individually, in writing, and specified who is the principal representative. Check the written notice or section 3 of the Form SSA-1696 (it has a fill-in to designate the principal representative); and
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each co-representative meets the qualifications in GN 03910.020A.1. or GN 03910.020A.2.

2. Multiple representatives appointed at different times (subsequently)

A claimant may appoint more than one individual to serve as a representative at different times.

a. Claimant revokes the appointment of the first representative

If a claimant revokes the appointment of one representative and then appoints another representative, check the claim file to determine whether:

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the claimant submitted a signed statement revoking the appointment of the first representative;
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the claimant submitted a signed, written notice of appointment for the new representative;
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the new representative meets the qualifications in GN 03910.020A.1. or GN 03910.020A.2.; and
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the new representative is eligible to receive direct payment and is requesting direct payment on the pending claim, matter, or issue.

NOTE: For convenience, claimants may use Form SSA-1696 SUP-1 (Claimant's Revocation of a Representative).

See GN 03910.060B.3. for information about revocation of an appointed representative.

b. First representative withdraws

If a representative withdraws from a pending claim, matter, or issue:

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obtain a copy of the written, signed, and dated statement to that effect from the representative; and
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document whether the representative will submit a waiver of the right to charge or collect a fee from either the claimant or any other source.

NOTE: For convenience, representatives may use Form SSA-1696 SUP-2 (Representative's Withdrawal of an Acceptance of an Appointment).

See GN 03910.060B.4. for information about an appointed representative's withdrawal and GN 03920.020 for information on waiver of fee or direct payment of representative's fees.

c. Claimant does not revoke the appointment of the first representative and the first representative does not withdraw

If a claimant appoints an additional representative(s) but does not revoke the appointment of the first representative, the first representative does not withdraw, and the new written notice of appointment does not specify a principal representative:

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contact the claimant to find out who the claimant wants as the principal representative on the pending claim, matter, or issue as noted in GN 03910.050A;
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document your contact with the claimant using a ROC in RASR; and
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check the claim file as noted in GN 03910.040C.2.a.

D. Processing a written notice of appointment

We process written notices of appointment for representatives in RASR for representatives who are registered via the SSA-1699 (see GN 03905.020A).

The parties can document the appointment of a representative by signing and submitting a written notice of appointment (e.g., Form SSA-1696 or any other writing) that meets the requirements outlined in GN 03910.040A. We will collect basic information from the written notice of appointment and process the appointment in our systems.

1. Information we maintain for representatives

We maintain a current record of the identity of the individual representing the claimant in our systems. Technicians in the FO will annotate the appointment of representatives according to the instructions in GN 03910.040E.

For registered representatives, OHO or OAO staff will process a written notice of appointment for a claim pending with the respective office and will update RASR with the registered representative's appointment. If a representative is not registered, OHO or OAO staff will notify the FO to take action on the appointment notice and to update the systems ( Personal Communicator (PCOM), Electronic Disability Collect System (EDCS)). OHO or OAO staff also will annotate the appointment and the representative's information in their respective systems.

2. Information we collect to process the appointment of a representative

a. Basic information we collect to process the appointment

To process an appointment, we will collect the following basic information:

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the claimant's personal identifying information (e.g., Social Security number (SSN), name, address, phone number);
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the representative's identifying information (e.g., name, RepID);
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the claimant's signature (see GN 03910.040A.1.); and
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a non-attorney representative's signature (see GN 03910.040A.2.).

NOTE: If the notice does not have sufficient information to identify the claimant and representative, or is missing a required signature, we will not return the written notice of appointment to the party who submitted it, along with a request for more information." See GN 03905.055B.2.

IMPORTANT: We will not accept a written notice of appointment if there is no pending claim, matter, or issue (e.g., an iClaim filed by a third-party without the claimant’s valid signature or agency approved signature alternative/signature proxies on behalf of the claimant as required by GN 00201.015). We will not return the written notice of appointment. We notify the party who submitted it using the language in GN 03905.055B.1.

If we cannot identify the individual who submitted the written notice of appointment, we will not return the written notice to the claimant.

b. Additional information we may document while processing the appointment in our systems

To ensure that we accurately process written notices of appointment in our systems, which in turn ensures accurate fee processing and communications with the claimant and representative, we will document the additional information when submitted or necessary:

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the claimant’s and representative’s identifying information (e.g., claimant's and representative's name, address, and phone number, claimant's SSN, representative's RepID);
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the parties’ fee arrangement, if any (We do not inquire whether a representative will charge or collect a fee unless the representative works with a legal service organization that provides legal services free of charge. See GN 03920.020A);
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the representative’s signature (attorney and non-attorney representative) if the representative waives the fees; and
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the name of the principal representative if the claimant appoints more than one representative.

If this additional information is submitted on either the Form SSA-1696 or any other writing, but we lack necessary information to process the appointment as explained in GN 03910.040E.2, contact the claimant or representative to obtain the additional information.

Record the contact with the claimant or representative using a Report of Contact (RPOC) in Modernized Claims System (MCS), Report of Contact in the Consolidated Claims Experience (CCE),

, or ROC (upload the ROC into the electronic folder or file an original ROC in the paper folder). Update RASR, MCS, and MSSICS once the additional information is obtained.

3. Direct payment of fees to eligible and registered representatives (i.e., an attorney or an Eligible for Direct Fee Payment Non-Attorney (EDPNA))

Sections 6041(a) and 6045(f) of the Internal Revenue Code require us to issue an Internal Revenue Service (IRS) Form 1099-MISC or NEC to each representative who receives, by direct payment from us, aggregate fees of $600 or more in a calendar year.

a. When we will pay a fee directly to the claimant's representative

To comply with this IRS requirement, we will pay a fee directly to the claimant’s representative only if:

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the claimant signs the written notice of appointment as described in GN 03910.040A.1.;
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the representative is eligible for direct fee payment. See GN 03920.017 and GN 03920.018 for information on attorney and non-attorney representatives' eligibility for direct fee payment;
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the representative registers with us before we effectuate a favorable decision that results in past due benefits. If the representative does not register timely, we will release the withheld past-due benefits to the claimant and payment of any authorized fee is a matter between the representative and claimant. See GN 03920.017B and GN 03920.017C for information on direct payment of representative fees in administrative proceedings before us. If an attorney who represented the claimant before the court is not registered to receive direct payment when we effectuate the court’s favorable judgment, see GN 03920.060E.2.b. for instructions on notifying the court attorney about registering with us for direct payment;
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the representative has not waived a fee or direct payment of the fee. See GN 03920.020 for information on waiver of fee or direct fee payment of representative's fee; and
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not already completed when establishing the appointment, the representative submits Parts A and B of Section 5 of the Form SSA-1696, and the Affiliation Information in that same Section, if applicable

or the information therein to the appropriate FO prior to the effectuation of the pending claim, matter, or issue. If the representative submits the Form SSA-1696 solely for the purpose of providing the affiliation and direct fee payment information (and not to establish an appointment), the claimant is not required to sign the form, See GN 03910.040B.5. for information on supplemental appointments.

b. How does a representative register with us?

In order to register with us, the representative must perform the following steps:

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Submit a Form SSA-1699 (Registration for Appointed Representative Services and Direct Payment) to us. See GN 03913.001 for information on individual registration for appointed representative services and direct payment of fees; and
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If the representative is performing services as the employee of an entity, submit Form SSA-1694 (Request for Business Entity Taxpayer Identification) either online or to the FO. See GN 03905.015 and GN 03913.050 for information on Form SSA-1694.

Upon receipt of these forms, we enter the information provided on these forms into RASR. Form SSA-1696 establishes a link between the claimant and representative in RASR. Forms SSA-1694 and SSA-1699 provide tax affiliation and other information about the representative and entity.

NOTE 1: We update the representative's information in RASR only when the representative submits a new Form SSA-1699. Accordingly, a representative is responsible for notifying us of any changes to the information previously provided. See GN 03910.060G for information on handling name changes for appointed representatives and GN 03913.010 for information on updating individual registration information for appointed representative services and direct payment of fees.

NOTE 2: RASR only updates the Electronic Folder Interface (EFI), which updates EDCS. Other downstream applications such as MCS, CCE, and Manual Adjustment Credit and Award Data Entry (MACADE) retrieve the most current information from RASR only when the technician takes an update action in those respective applications. See MSS18-013 for information on RASR.

NOTE 3: If an attorney is only seeking direct payment of a court-awarded fee, that attorney must register with us, but the claimant does not need to appoint the attorney as a representative in a pending claim, matter, or issue before the agency. See GN 03913.012 for information on paper registration using Form SSA-1699 to enroll in direct payment of fees and GN 03920.060 for information on attorneys’ fees for representation in proceedings before a court.

E. Processing incoming appointments

The processing component (FO, OHO, or OAO) will take the actions described in the steps below if:

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the claimant appoints a representative by submitting a signed, written notice of appointment consistent with GN 03910.040A and GN 03910.040D.2.a; and
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the processing component receives the signed, written notice of appointment.
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OHO and OAO will follow procedural guidance per HALLEX I-1-1-11.

1. Review the written notice of appointment before entering information into RASR

Prior to entering information into RASR, the FO will review the written notice of appointment to determine whether it contains information as required in GN 03910.040D.2.

If the written notice of appointment is unclear about the scope of appointment or does not specify which pending claim(s), matter(s), or issue(s) the representative is appointed to handle:

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contact the claimant (by telephone or in writing) to clarify the scope of the representation; and
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document the contact with the claimant by adding a copy of the written correspondence in the electronic folder or by using a RPOC in MCS, Report of Contact in the CCE, or ROC for non-MCS/CCE cases. For non-MCS/MSSICS cases, upload the written correspondence or ROC into the electronic folder or file the original ROC in the paper folder.

2. Flag and annotate the system

Flag and annotate the claim file as follows:


Paper claims	Step 1. Affix the Form SSA-1128 (Representative Involved) to the front lower right corner of the paper claim folder and indicate whether: • the representative is an attorney, EDPNA, or a non-attorney who is not eligible for direct pay; • a fee agreement has been submitted. See GN 03940.000; • the representative waives a fee; • the representative waives only direct payment of the fee from withheld past-due benefits; • the claim is Title II, Title XVI, or concurrent; • a third party has paid or will pay the representative's fee. See GN 03920.005B and GN 03920.010B for information on our authorization of fees when paid by a third-party entity; and • the representative submits a fee agreement, but you are not the decision maker. Check the block on the Form SSA-1128 labeled “Fee Agreement in File,” but do not check either the “Approved” or “Disapproved” block. See GN 03940.002 for information on the fee agreement decision maker. Step 2. Enter information in RASR and file the written notice of appointment in the claim file. a. Representative is in RASR. 1. Enter the information in RASR, which will send the necessary notices and acknowledgments to the appointed representative. 2. The FO will also enter the information in MCS and MSSICS to ensure the representative's information propagates into all claims systems. 3. When an affected auxiliary beneficiary's information becomes available, the FO will enter this information and ensure that the system has created a link to the claimant. b. Representative is not in RASR. 1. When the representative is an attorney or EDPNA and is eligible for and seeking direct payment of a fee but is not in RASR, the FO will process the written notice of appointment outside of RASR as explained in 2a below. Explain to the representative that we require that representatives who are eligible for and seek direct payment of their fees to register with us. Once the representative is registered for direct payment, enter the representative's information in RASR. Refer to 71 FR 58043 and GN 03913.000 for information on individual registration for appointed representative services and direct payment of fees. If the representative (attorney or EDPNA) is eligible for but not seeking direct payment, process the appointment as explained in step 2a below. 2. If the representative is a non-attorney who is not eligible for direct pay, contact the representative and ask if the representative would like to register in RASR for access to electronic services as explained in GN 03913.005C. a. If the non-attorney declines to register, for concurrent claims, the FO will file the written notice of appointment in the Title II claim file and a copy in the Title XVI claim file and process the appointment outside of RASR as follows: (1) send manual notices from Document Processing System (DPS) to acknowledge the appointment; and (2) annotate the required downstream applications (e.g., MCS and MSSICS) with the representative's name, address, and phone number (in multiple representative situations, enter the principal's representative's name, address, and phone number); and, if applicable, note information about a fee agreement or waiver of fee, if any. b. If the non-attorney representative agrees to register, the FO will secure a Form SSA-1699 and process it as explained in GN 03913.005. Unless other reasons prevent recognition of the appointment, process the appointment as you would for unregistered representatives. Once the non-attorney is registered, enter the appointment data in RASR. This process is a one-time registration process done for non-attorney representatives who want access to electronic services. Step 3. Update other systems. a. In pending Title II and Title XVI claims, the FO will: 1. In pending Title II and Title XVI claims, the FO will: 1. Add a “1696” issue to the MCS DW01 screen (MS 03508.004) and the CCE Development Worksheet page (MS 08122.004). 2. Annotate the NOT2 screen in a Title II MCS claim, as explained in MS 03509.009. 3. In a Title II non-MCS claim, annotate the Special Message field of the Master Beneficiary Record (MBR) (after MBR is established) as explained in MS 06307.008 and obtain an Inquiry Response Identification (QRID) query as explained in MS 05206.002 and MS 05206.022. 4. In Title XVI claims, annotate the UATH and UFEE screens, if any fee information is applicable and available (i.e., appointed representative is eligible for and requesting direct payment). b. In reconsideration requests and hearing requests on MCS, annotate the system, as explained in MS 03510.004 or MS 03510.006, as applicable. c. In post-entitlement situations, to answer questions about the record posed by a claimant or an appointed representative, query the system as explained in MS 05206.002, MS 05206.022, and MS 05206.023. This query accesses representative identification information gathered from the MBR, Supplemental Security Record (SSR), and the Authorized Representative File on the Modernized Data Input. Step 4. Document Payment Center (PC) systems. a. To send an action request for the PC, the FO will use “Paperless” to fax items and create an action item in the Payment Center Action Control System (PCACS). b. The FO will use the Evidence Portal to store Title II and Title XVI documents and material for claims that do not have an electronic folder. c. The FO will annotate the system if the OHO or OAO notifies the FO that it has received an appointment of representative. NOTE: When the claimant revokes the representative's appointment or the representative withdraws before we make a determination or decision and the claimant does not appoint another representative, remove the Form SSA-1128 from the paper claim file, the appointed representative’s information from the NOT2 screen in MCS and UATH screen in MSSICS, and terminate the appointment in RASR. The revoked or withdrawn representative is not entitled to direct payment. Terminating the appointment in RASR will break the link between the representative and the pending claim, matter, or issue and prevent direct payment of a fee, if any. See the NOTE in GN 03920.017A for information on when we do not withhold the claimant's past due benefits for direct payment of an authorized fee to a representative. When the claimant revokes the representative's appointment or the representative withdraws after we make a determination or decision, remove the Form SSA-1128 from the paper claim and process direct payment of the authorized fee as explained in SM 00834.001 for Title II claims or SM 01901.000 for Title XVI claims. Representatives who are revoked or withdraw after we make a determination or decision are entitled to direct payment from us. If necessary, develop for the date of revocation or withdrawal if the date is not shown on the statement of revocation or withdrawal. Step 5. Label evidence. For paper claims, label any evidence submitted by a representative without a cover letter or other identifier by annotating the evidence in the upper right corner “Submitted by [Representative's Name] on [Date]."
Electronic claims	Step 1. Enter information in RASR, and the FO will enter the information in downstream applications at the FO (e.g., MCS, MSSICS, and EDCS) as explained in Step 2 above. If processing the written notice of appointment outside of RASR: • Upload the written notice of appointment into the electronic folder; • The FO will send manual notices from DPS to acknowledge the appointment; • The FO will annotate the required downstream applications (e.g., MCS and MSSICS) with the representative’s name, address, and phone number. If the claimant appoints multiple representatives, enter the principal representative’s name, address, and phone number; and • If applicable, enter information about a fee agreement or waiver of a fee, if any. Step 2. Add the "Representative Involved" flag to the claim(s) file. If a representative enters the case before you send the medical file to the Disability Determination Services (DDS), OHO, or OAO, add the "Representative Involved" flag for an electronic folder in disability claims. See DI 81020.085 for information on certified electronic folder flags. If the case is at the reconsideration or hearing level and jurisdiction has changed, activate the flag and send an update after transfer (UAT) in EDCS. Step 3. The FO will enter information in other systems as explained in Step 3 above and annotate the EDCS transfer screen. See DI 81010.085 for information on transferring cases in EDCS. Step 4. The FO enters information in PC systems as explained in Step 4 above. NOTE: When the claimant revokes the representative's appointment or the representative withdraws before we make a determination or decision and the claimant does not appoint another representative, remove the "Representative Involved" flag from EDCS, the appointed representative’s information from the NOT2 screen in MCS and UATH screen in MSSICS, and terminate the appointment in RASR. The revoked or withdrawn representative is not entitled to direct payment. If the pending claim, matter, or issue is at the initial, reconsideration, or hearing level, send an UAT in EDCS. Terminating the appointment in RASR will break the link between the representative and the pending claim, matter, or issue and prevent direct payment of a fee, if any. See the NOTE in GN 03920.017A for information on when we do not withhold the claimant's past due benefits for direct payment of an authorized fee to a representative. When the claimant revokes the representative's appointment or the representative withdraws after we make a determination or decision, process direct payment of the authorized fee as explained in SM 00834.001 for Title II claims or SM 01901.000 for Title XVI claims and terminate the appointment in RASR. Representatives who are revoked or who withdraw after we make a determination or decision are entitled to direct payment from us. If necessary, develop for the date of revocation or withdrawal if the date is not shown on the statement of revocation or withdrawal.
IMPORTANT: Go through the respective screens in MACADE (e.g., ATT), MCS (e.g., NOT2), and MSSICS (e.g., UATH and UFEE) when adjudicating a claim. This process ensures that MACADE, MCS, and MSSICS have the most up-to-date appointed representative information.

Paper claims

Step 1. Affix the Form SSA-1128 (Representative Involved) to the front lower right corner of the paper claim folder and indicate whether:

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the representative is an attorney, EDPNA, or a non-attorney who is not eligible for direct pay;
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a fee agreement has been submitted. See GN 03940.000;
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the representative waives a fee;
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the representative waives only direct payment of the fee from withheld past-due benefits;
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the claim is Title II, Title XVI, or concurrent;
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a third party has paid or will pay the representative's fee. See GN 03920.005B and GN 03920.010B for information on our authorization of fees when paid by a third-party entity; and
•

the representative submits a fee agreement, but you are not the decision maker. Check the block on the Form SSA-1128 labeled “Fee Agreement in File,” but do not check either the “Approved” or “Disapproved” block. See GN 03940.002 for information on the fee agreement decision maker.

Step 2. Enter information in RASR and file the written notice of appointment in the claim file.

a.
Representative is in RASR.
1. 1.
  
  Enter the information in RASR, which will send the necessary notices and acknowledgments to the appointed representative.
2. 2.
  
  The FO will also enter the information in MCS and MSSICS to ensure the representative's information propagates into all claims systems.
3. 3.
  
  When an affected auxiliary beneficiary's information becomes available, the FO will enter this information and ensure that the system has created a link to the claimant.
b.
Representative is not in RASR.
1. 1.
  
  When the representative is an attorney or EDPNA and is eligible for and seeking direct payment of a fee but is not in RASR, the FO will process the written notice of appointment outside of RASR as explained in 2a below. Explain to the representative that we require that representatives who are eligible for and seek direct payment of their fees to register with us. Once the representative is registered for direct payment, enter the representative's information in RASR. Refer to 71 FR 58043 and GN 03913.000 for information on individual registration for appointed representative services and direct payment of fees. If the representative (attorney or EDPNA) is eligible for but not seeking direct payment, process the appointment as explained in step 2a below.
2. 2.
  
  If the representative is a non-attorney who is not eligible for direct pay, contact the representative and ask if the representative would like to register in RASR for access to electronic services as explained in GN 03913.005C.
  
  a.
  
  If the non-attorney declines to register, for concurrent claims, the FO will file the written notice of appointment in the Title II claim file and a copy in the Title XVI claim file and process the appointment outside of RASR as follows: (1) send manual notices from Document Processing System (DPS) to acknowledge the appointment; and (2) annotate the required downstream applications (e.g., MCS and MSSICS) with the representative's name, address, and phone number (in multiple representative situations, enter the principal's representative's name, address, and phone number); and, if applicable, note information about a fee agreement or waiver of fee, if any.
  
  b.
  
  If the non-attorney representative agrees to register, the FO will secure a Form SSA-1699 and process it as explained in GN 03913.005. Unless other reasons prevent recognition of the appointment, process the appointment as you would for unregistered representatives. Once the non-attorney is registered, enter the appointment data in RASR. This process is a one-time registration process done for non-attorney representatives who want access to electronic services.

Step 3. Update other systems.

a.
In pending Title II and Title XVI claims, the FO will:
1. 1.
  
  In pending Title II and Title XVI claims, the FO will: 1. Add a “1696” issue to the MCS DW01 screen (MS 03508.004) and the CCE Development Worksheet page (MS 08122.004).
2. 2.
  
  Annotate the NOT2 screen in a Title II MCS claim, as explained in MS 03509.009.
3. 3.
  
  In a Title II non-MCS claim, annotate the Special Message field of the Master Beneficiary Record (MBR) (after MBR is established) as explained in MS 06307.008 and obtain an Inquiry Response Identification (QRID) query as explained in MS 05206.002 and MS 05206.022.
4. 4.
  
  In Title XVI claims, annotate the UATH and UFEE screens, if any fee information is applicable and available (i.e., appointed representative is eligible for and requesting direct payment).
b.

In reconsideration requests and hearing requests on MCS, annotate the system, as explained in MS 03510.004 or MS 03510.006, as applicable.
c.

In post-entitlement situations, to answer questions about the record posed by a claimant or an appointed representative, query the system as explained in MS 05206.002, MS 05206.022, and MS 05206.023. This query accesses representative identification information gathered from the MBR, Supplemental Security Record (SSR), and the Authorized Representative File on the Modernized Data Input.

Step 4. Document Payment Center (PC) systems.

a.

To send an action request for the PC, the FO will use “Paperless” to fax items and create an action item in the Payment Center Action Control System (PCACS).
b.

The FO will use the Evidence Portal to store Title II and Title XVI documents and material for claims that do not have an electronic folder.
c.

The FO will annotate the system if the OHO or OAO notifies the FO that it has received an appointment of representative.

NOTE: When the claimant revokes the representative's appointment or the representative withdraws before we make a determination or decision and the claimant does not appoint another representative, remove the Form SSA-1128 from the paper claim file, the appointed representative’s information from the NOT2 screen in MCS and UATH screen in MSSICS, and terminate the appointment in RASR. The revoked or withdrawn representative is not entitled to direct payment. Terminating the appointment in RASR will break the link between the representative and the pending claim, matter, or issue and prevent direct payment of a fee, if any. See the NOTE in GN 03920.017A for information on when we do not withhold the claimant's past due benefits for direct payment of an authorized fee to a representative.

When the claimant revokes the representative's appointment or the representative withdraws after we make a determination or decision, remove the Form SSA-1128 from the paper claim and process direct payment of the authorized fee as explained in SM 00834.001 for Title II claims or SM 01901.000 for Title XVI claims. Representatives who are revoked or withdraw after we make a determination or decision are entitled to direct payment from us. If necessary, develop for the date of revocation or withdrawal if the date is not shown on the statement of revocation or withdrawal.

Step 5. Label evidence.

For paper claims, label any evidence submitted by a representative without a cover letter or other identifier by annotating the evidence in the upper right corner “Submitted by [Representative's Name] on [Date]."

Electronic claims

Step 1. Enter information in RASR, and the FO will enter the information in downstream applications at the FO (e.g., MCS, MSSICS, and EDCS) as explained in Step 2 above.

If processing the written notice of appointment outside of RASR:

•

Upload the written notice of appointment into the electronic folder;
•

The FO will send manual notices from DPS to acknowledge the appointment;
•

The FO will annotate the required downstream applications (e.g., MCS and MSSICS) with the representative’s name, address, and phone number. If the claimant appoints multiple representatives, enter the principal representative’s name, address, and phone number; and
•

If applicable, enter information about a fee agreement or waiver of a fee, if any.

Step 2. Add the "Representative Involved" flag to the claim(s) file.

If a representative enters the case before you send the medical file to the Disability Determination Services (DDS), OHO, or OAO, add the "Representative Involved" flag for an electronic folder in disability claims. See DI 81020.085 for information on certified electronic folder flags.

If the case is at the reconsideration or hearing level and jurisdiction has changed, activate the flag and send an update after transfer (UAT) in EDCS.

Step 3. The FO will enter information in other systems as explained in Step 3 above and annotate the EDCS transfer screen.

See DI 81010.085 for information on transferring cases in EDCS.

Step 4. The FO enters information in PC systems as explained in Step 4 above.

NOTE: When the claimant revokes the representative's appointment or the representative withdraws before we make a determination or decision and the claimant does not appoint another representative, remove the "Representative Involved" flag from EDCS, the appointed representative’s information from the NOT2 screen in MCS and UATH screen in MSSICS, and terminate the appointment in RASR. The revoked or withdrawn representative is not entitled to direct payment. If the pending claim, matter, or issue is at the initial, reconsideration, or hearing level, send an UAT in EDCS. Terminating the appointment in RASR will break the link between the representative and the pending claim, matter, or issue and prevent direct payment of a fee, if any. See the NOTE in GN 03920.017A for information on when we do not withhold the claimant's past due benefits for direct payment of an authorized fee to a representative.

When the claimant revokes the representative's appointment or the representative withdraws after we make a determination or decision, process direct payment of the authorized fee as explained in SM 00834.001 for Title II claims or SM 01901.000 for Title XVI claims and terminate the appointment in RASR. Representatives who are revoked or who withdraw after we make a determination or decision are entitled to direct payment from us. If necessary, develop for the date of revocation or withdrawal if the date is not shown on the statement of revocation or withdrawal.

IMPORTANT: Go through the respective screens in MACADE (e.g., ATT), MCS (e.g., NOT2), and MSSICS (e.g., UATH and UFEE) when adjudicating a claim. This process ensures that MACADE, MCS, and MSSICS have the most up-to-date appointed representative information.

NOTE: If the appointed representative discloses disbarment or suspension from another Federal agency or the appointed representative gives a status different than what is in our record, the FO must notify the Office of the General Counsel by sending an email to ^OGC OGL Representative Conduct.

3. Acknowledge the written notice of appointment

When the representative is registered in RASR, RASR sends a notice to the appointed registered representative and a copy to the claimant acknowledging the notice of appointment. The acknowledgment notice is also available in DPS and Manage Text (AURORA) processing system for manual processing in cases where RASR fails to send the notice (e.g., claimant's address is missing in the system) and for appointments processed outside of RASR (e.g., representatives who are not registered for direct payment).

IMPORTANT: Sending a copy of the acknowledgment notice alerts the claimant that we recognized the appointment and ensures the claimant's continued concurrence with it.

F. Processing appointments at the PC

When a claim is in the process of effectuation or adjudication in the PC and the PC receives a written notice of appointment or other representational documents that have not previously been associated with the claim file, take the following actions:

1. Written notice of appointment from FO, OHO, or OAO

If the processing component sent a written notice of appointment or other representational documents while the claim was pending with that office, check that the appointment has been acknowledged and:

•

affix the Form SSA-1128 (Representative Involved) prepared by the processing component to a paper claim file; or
•

activate the "Representative Involved" flag in the electronic folder if necessary.

NOTE: Upon receipt of a notice of appointment for a claim pending with OHO or OAO, OHO or OAO will update RASR with a registered representative’s appointment and add the "Representative Involved" flag in the claim(s) file. If the representative is not registered, OHO will send an assistance request, and OAO will send an email, to the FO to take action on the appointment notice and update the systems. The FO’s updates will result in the flag being added in eView.

2. No written notice of appointment in claim file

If the claim file or material the processing component sends indicates the involvement of a representative in the case (e.g., additional evidence accompanied by a cover letter from a representative), but a written notice of appointment is not in the claim file, contact the appropriate office to determine whether the notice of appointment was retained there. If so, ask the appropriate office to send a copy of the written notice of appointment and add it to the electronic claim (i.e., upload to eFolder) or the paper claim. If the processing component does not have the notice, obtain a copy from the claimant or the representative.

3. Flag and annotate the system

To flag and annotate the system, follow the instructions in GN 03910.040E.2.

IMPORTANT: Refer to the NOTE in GN 03910.040E.2. if annotating a statement of revocation or withdrawal in a paper or electronic claim.

G. Processing appointments in post-entitlement situations at the PC

Take the action(s) in GN 03910.040F if:

1.

The PC has completed effectuation or adjudication of a claim, matter, or issue, including the claim(s), matter(s), or issue(s) of an affected auxiliary beneficiary, if any;
2.
The PC receives material regarding representation that has not previously been associated with the claim file:
1. a.
  
  If the material includes a written notice of appointment, see GN 03910.040F.1. or
2. b.
  
  If there is no written notice of appointment in the claim file, see GN 03910.040F.2. Send to the newly appointed representative copies of any notice of determination that the PC sent the claimant; and
3.

The appeals period for the last determination effectuated in the claim has not expired.

NOTE: Refer to GN 03920.055 for instructions on taking corrective actions in situations where we processed the award without withholding past-due benefits for representative fees.

Social Security

Program Operations Manual System (POMS)

GN 03910.040 Appointment of a Representative