---
kind: "range"
citation: "20 C.F.R. §§ 416.1540–416.1599"
title: "20"
from: "416.1540"
to: "416.1599"
count: 14
url: "https://uscodex.org/cfr/20/416.1540..416.1599"
---

# §416.1540. Rules of conduct and standards of responsibility for representatives.

- (a) **Purpose and scope.**
  - (1) All attorneys or other persons acting on behalf of a party seeking a statutory right or benefit must, in their dealings with us, faithfully execute their duties as agents and fiduciaries of a party. A representative must provide competent assistance to the claimant and recognize our authority to lawfully administer the process. The following provisions set forth certain affirmative duties and prohibited actions that will govern the relationship between the representative and us, including matters involving our administrative procedures and fee collections.
  - (2) All representatives must be forthright in their dealings with us and with the claimant and must comport themselves with due regard for the nonadversarial nature of the proceedings by complying with our rules and standards, which are intended to ensure orderly and fair presentation of evidence and argument.
- (b) **Affirmative duties.** A representative must, in conformity with the regulations setting forth our existing duties and responsibilities and those of claimants (see [§ 416.912](/cfr/20/416.912.md) in disability and blindness claims):
  - (1) Act with reasonable promptness to help obtain the information or evidence that the claimant must submit under our regulations, and forward the information or evidence to us for consideration as soon as practicable.
  - (2) Assist the claimant in complying, as soon as practicable, with our requests for information or evidence at any stage of the administrative decisionmaking process in his or her claim. In disability and blindness claims, this includes the obligation pursuant to [§ 416.912(c)](/cfr/20/416.912.md?p=c) to assist the claimant in providing, upon our request, evidence about:
    - (i) The claimant's medical source(s);
    - (ii) The claimant's age;
    - (iii) The claimant's education and training;
    - (iv) The claimant's work experience;
    - (v) The claimant's daily activities both before and after the date the claimant alleges that he or she became disabled;
    - (vi) The claimant's efforts to work; and
    - (vii) **Any other factors showing how the claimant's impairment(s) affects his or her ability to work.** In [§§ 416.960 through 416.969a](/cfr/20/416.960..416.969a.md), we discuss in more detail the evidence we need when we consider vocational factors.
  - (3) Conduct his or her dealings in a manner that furthers the efficient, fair, and orderly conduct of the administrative decision-making process, including duties to:
    - (i) **Provide competent representation to a claimant.** Competent representation requires the knowledge, skill, thoroughness, and preparation reasonably necessary for the representation. A representative must know the significant issue(s) in a claim, have reasonable and adequate familiarity with the evidence in the case, and have a working knowledge of the applicable provisions of the Social Security Act, as amended, the regulations, the Social Security Rulings, and any other applicable provisions of law.
    - (ii) **Act with reasonable diligence and promptness in representing a claimant.** This includes providing prompt and responsive answers to our requests for information pertinent to processing of the claim.
    - (iii) When requested, provide us, in a manner we specify, potential dates and times that the representative will be available for a hearing. We will inform the representative how many potential dates and times we require to coordinate the hearing schedule.
    - (iv) Only withdraw representation at a time and in a manner that does not disrupt the processing or adjudication of a claim and that provides the claimant adequate time to find new representation, if desired. A representative should not withdraw after we set the time and place for the hearing (see [§ 416.1436](/cfr/20/416.1436.md)) unless the representative can show that a withdrawal is necessary due to extraordinary circumstances, as we determine on a case-by-case basis.
    - (v) Maintain prompt and timely communication with the claimant, which includes, but is not limited to, reasonably informing the claimant of all matters concerning the representation, consulting with the claimant on an ongoing basis during the entire representational period, and promptly responding to a claimant's reasonable requests for information. When we evaluate whether a representative has maintained prompt and timely communication with the claimant, we will consider the difficulty the representative has in locating a particular claimant (e.g., because the claimant is homeless) and the representative's efforts to keep that claimant informed.
  - (4) Conduct business with us electronically at the times and in the manner we prescribe on matters for which the representative requests direct fee payment. (See [§ 416.1513](/cfr/20/416.1513.md)).
  - (5) Disclose in writing, at the time a medical or vocational opinion is submitted to us or as soon as the representative is aware of the submission to us, if:
    - (i) The representative's employee or any individual contracting with the representative drafted, prepared, or issued the medical or vocational opinion; or
    - (ii) The representative referred or suggested that the claimant seek an examination from, treatment by, or the assistance of, the individual providing opinion evidence.
  - (6) Disclose to us immediately if the representative discovers that his or her services are or were used by the claimant to commit fraud against us.
  - (7) Disclose to us whether the representative is or has been disbarred or suspended from any bar or court to which he or she was previously admitted to practice, including instances in which a bar or court took administrative action to disbar or suspend the representative in lieu of disciplinary proceedings (e.g., acceptance of voluntary resignation pending disciplinary action). If the disbarment or suspension occurs after the appointment of the representative, the representative will immediately disclose the disbarment or suspension to us.
  - (8) Disclose to us whether the representative is or has been disqualified from participating in or appearing before any Federal program or agency, including instances in which a Federal program or agency took administrative action to disqualify the representative in lieu of disciplinary proceedings (e.g., acceptance of voluntary resignation pending disciplinary action). If the disqualification occurs after the appointment of the representative, the representative will immediately disclose the disqualification to us.
  - (9) Disclose to us whether the representative has been removed from practice or suspended by a professional licensing authority for reasons that reflect on the person's character, integrity, judgment, reliability, or fitness to serve as a fiduciary. If the removal or suspension occurs after the appointment of the representative, the representative will immediately disclose the removal or suspension to us.
  - (10) Ensure that all of the representative's employees, assistants, partners, contractors, or any person assisting the representative on claims for which the representative has been appointed, comply with these rules of conduct and standards of responsibility for representatives, when the representative has managerial or supervisory authority over these individuals or otherwise has responsibility to oversee their work. This includes a duty to take remedial action when:
    - (i) The representative's employees, assistants, partners, contractors or other individuals' conduct violates these rules of conduct and standards of responsibility; and
    - (ii) The representative has reason to believe a violation of these rules of conduct and standards of responsibility occurred or will occur.
- (c) **Prohibited actions.** A representative must not:
  - (1) In any manner or by any means threaten, coerce, intimidate, deceive or knowingly mislead a claimant, or prospective claimant or beneficiary, regarding benefits or other rights under the Act. This prohibition includes misleading a claimant, or prospective claimant or beneficiary, about the representative's services and qualifications.
  - (2) Knowingly charge, collect or retain, or make any arrangement to charge, collect or retain, from any source, directly or indirectly, any fee for representational services in violation of applicable law or regulation. This prohibition includes soliciting any gift or any other item of value, other than what is authorized by law.
  - (3) Make or present, or participate in the making or presentation of, false or misleading oral or written statements, evidence, assertions, or representations about a material fact or law concerning a matter within our jurisdiction, in matters where the representative knows or should have known that those statements, evidence, assertions or representations are false or misleading.
  - (4) Through his or her own actions or omissions, unreasonably delay or cause to be delayed, without good cause (see [§ 416.1411(b)](/cfr/20/416.1411.md?p=b)), the processing of a claim at any stage of the administrative decision-making process.
  - (5) Divulge, without the claimant's consent, except as may be authorized by regulations prescribed by us or as otherwise provided by Federal law, any information we furnish or disclose about a claim or prospective claim.
  - (6) Attempt to influence, directly or indirectly, the outcome of a decision, determination, or other administrative action by any means prohibited by law, or offering or granting a loan, gift, entertainment, or anything of value to a presiding official, agency employee, or witness who is or may reasonably be expected to be involved in the administrative decision-making process, except as reimbursement for legitimately incurred expenses or lawful compensation for the services of an expert witness retained on a non-contingency basis to provide evidence.
  - (7) Engage in actions or behavior prejudicial to the fair and orderly conduct of administrative proceedings, including but not limited to:
    - (i) Repeated absences from or persistent tardiness at scheduled proceedings without good cause (see [§ 416.1411(b)](/cfr/20/416.1411.md?p=b));
    - (ii) Behavior that has the effect of improperly disrupting proceedings or obstructing the adjudicative process, including but not limited to:
      - (A) Directing threatening or intimidating language, gestures, or actions at a presiding official, witness, contractor, or agency employee;
      - (B) Providing misleading information or misrepresenting facts that affect how we process a claim, including, but not limited to, information relating to the claimant's work activity or the claimant's place of residence or mailing address in matters where the representative knows or should have known that the information was misleading and the facts would constitute a misrepresentation; and
      - (C) Communicating with agency staff or adjudicators outside the normal course of business or other prescribed procedures in an attempt to inappropriately influence the processing or outcome of a claim(s).
  - (8) **Violate any section of the Act for which a criminal or civil monetary penalty is prescribed.**
  - (9) **Refuse to comply with any of our rules or regulations.**
  - (10) **Suggest, assist, or direct another person to violate our rules or regulations.**
  - (11) **Advise any claimant or beneficiary not to comply with any of our rules or regulations.**
  - (12) Knowingly assist a person whom we suspended or disqualified to provide representational services in a proceeding under title XVI of the Act, or to exercise the authority of a representative described in [§ 416.1510](/cfr/20/416.1510.md).
  - (13) **Fail to comply with our sanction(s) decision.**
  - (14) Fail to oversee the representative's employees, assistants, partners, contractors, or any other person assisting the representative on claims for which the representative has been appointed when the representative has managerial or supervisory authority over these individuals or otherwise has responsibility to oversee their work.
  - (15) While serving as a point of contact for an entity, violate applicable affirmative duties, engage in prohibited actions, or conduct dealings with us in a manner that is untruthful or does not further the efficient and prompt correction of a fee error.

# §416.1545. Violations of our requirements, rules, or standards.


When we have evidence that a representative fails to meet our qualification requirements or has violated the rules governing dealings with us, we may begin proceedings to suspend or disqualify that individual from acting in a representational capacity before us. We may file charges seeking such sanctions when we have evidence that a representative:

- (a) Does not meet the qualifying requirements described in [§ 416.1505](/cfr/20/416.1505.md);
- (b) Has violated the affirmative duties or engaged in the prohibited actions set forth in [§ 416.1540](/cfr/20/416.1540.md);
- (c) Has been convicted of a violation under section 1631(d) of the Act;
- (d) Has been, by reason of misconduct, disbarred or suspended from any bar or court to which he or she was previously admitted to practice (see [§ 416.1570(a)](/cfr/20/416.1570.md?p=a));
- (e) Has been, by reason of misconduct, disqualified from participating in or appearing before any Federal program or agency (see [§ 416.1570(a)](/cfr/20/416.1570.md?p=a)); or
- (f) Who, as a non-attorney, has been removed from practice or suspended by a professional licensing authority for reasons that reflect on the person's character, integrity, judgment, reliability, or fitness to serve as a fiduciary.

# §416.1550. Notice of charges against a representative.

- (a) The General Counsel or other delegated official will prepare a notice containing a statement of charges that constitutes the basis for the proceeding against the representative.
- (b) We will send this notice to the representative either by certified or registered mail, to his or her last known address, or by personal delivery.
- (c) We will advise the representative to file an answer, within 14 business days from the date of the notice, or from the date the notice was delivered personally, stating why he or she should not be suspended or disqualified from acting as a representative in dealings with us.
- (d) The General Counsel or other delegated official may extend the 14-day period specified in [paragraph (c)](#c) of this section for good cause in accordance with [§ 416.1411](/cfr/20/416.1411.md).
- (e) **The representative must—**
  - (1) Answer the notice in writing under oath (or affirmation); and
  - (2) File the answer with the Social Security Administration, at the address specified on the notice, within the 14-day time period specified in [paragraph (c)](#c) of this section.
- (f) If the representative does not file an answer within the 14-day time period specified in [paragraph (c)](#c) of this section (or the period extended in accordance with [paragraph (d)](#d) of this section), he or she does not have the right to present evidence, except as may be provided in [§ 416.1565(g)](/cfr/20/416.1565.md?p=g).

# §416.1555. Withdrawing charges against a representative.


The General Counsel or other delegated official may withdraw charges against a representative. We will withdraw charges if the representative files an answer, or we obtain evidence, that satisfies us that we should not suspend or disqualify the representative from acting as a representative. When we consider withdrawing charges brought under [§ 416.1545(d) through (f)](/cfr/20/416.1545.md?p=d..f) based on the representative's assertion that, before or after our filing of charges, the representative has been reinstated to practice by the court, bar, or Federal program or Federal agency that suspended, disbarred, or disqualified the representative, the General Counsel or other delegated official will determine whether such reinstatement occurred, whether it remains in effect, and whether he or she is reasonably satisfied that the representative will in the future act in accordance with the provisions of section 206(a) of the Act and our rules and regulations. If the representative proves that reinstatement occurred and remains in effect and the General Counsel or other delegated official is so satisfied, the General Counsel or other delegated official will withdraw those charges. The action of the General Counsel or other delegated official regarding withdrawal of charges is solely that of the General Counsel or other delegated official and is not reviewable, or subject to consideration in decisions made under §§ [416.1570](/cfr/20/416.1570.md) and [416.1590](/cfr/20/416.1590.md). If we withdraw the charges, we will notify the representative by mail at the representative's last known address.


# §416.1565. Hearing on charges.

- (a) **Holding the hearing.** If the General Counsel or other delegated official does not take action to withdraw the charges within 15 days after the date on which the representative filed an answer, we will hold a hearing and make a decision on the charges.
- (b) **Hearing officer.**
  - (1) The Deputy Commissioner for the Office of Hearings Operations or other delegated official will assign an administrative law judge, designated to act as a hearing officer, to hold a hearing on the charges.
  - (2) No hearing officer shall hold a hearing in a case in which he or she is prejudiced or partial about any party, or has any interest in the matter.
  - (3) If the representative or any party to the hearing objects to the hearing officer who has been named to hold the hearing, we must be notified at the earliest opportunity. The hearing officer shall consider the objection(s) and either proceed with the hearing or withdraw from it.
  - (4) If the hearing officer withdraws from the hearing, another one will be named.
  - (5) If the hearing officer does not withdraw, the representative or any other person objecting may, after the hearing, present his or her objections to the Appeals Council explaining why he or she believes the hearing officer's decision should be revised or a new hearing held by another administrative law judge designated to act as a hearing officer.
- (c) **Time and place of hearing.** The hearing officer shall mail the parties a written notice of the hearing at their last known addresses, at least 14 calendar days before the date set for the hearing. The notice will inform the parties whether the appearance of the parties or any witnesses will be in person, by video teleconferencing, or by telephone. The notice will also include requirements and instructions for filing motions, requesting witnesses, and entering exhibits.
- (d) **Change of time and place for hearing.**
  - (1) The hearing officer may change the time and place for the hearing, either on his or her own initiative, or at the request of the representative or the other party to the hearing. 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, we use the standards explained in [§ 416.1411](/cfr/20/416.1411.md).
  - (2) The hearing officer may adjourn or postpone the hearing.
  - (3) Subject to the limitations in [paragraph (g)(2)](#g-2) of this section, the hearing officer may reopen the hearing for the receipt of additional evidence at any time before mailing notice of the decision.
  - (4) The hearing officer shall give the representative and the other party to the hearing reasonable notice of any change in the time or place for the hearing, or of an adjournment or reopening of the hearing.
- (e) **Parties.** The representative against whom charges have been made is a party to the hearing. The General Counsel or other delegated official will also be a party to the hearing.
- (f) **Subpoenas.**
  - (1) The representative or the other party to the hearing may request the hearing officer to issue a subpoena 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, on his or her own, initiative, issue subpoenas for the same purposes when the action is reasonably necessary for the full presentation of the facts.
  - (2) The representative or the other party who wants a subpoena issued shall file a written request with the hearing officer. This must be done at least 5 days before the date set for the hearing. The request must name the documents to be produced, and describe the address or location in enough detail to permit the witnesses or documents to be found.
  - (3) The representative or the other party who wants a subpoena issued shall state in the request for a subpoena the material facts that he or she expects to establish by the witness or document, and why the facts could not be established by the use of other evidence which could be obtained without use of a subpoena.
  - (4) We will pay the cost of the issuance and the fees and mileage of any witness subpoenaed, as provided in [section 205(d)](/cfr/20/205.md?p=d) of the Act.
- (g) **Conduct of the hearing.**
  - (1) The representative or the other party may file a motion for decision on the basis of the record prior to the hearing. The hearing officer will give the representative and the other party a reasonable amount of time to submit any evidence and to file briefs or other written statements as to fact and law prior to deciding the motion. If the hearing officer concludes that there is no genuine dispute as to any material fact and the movant is entitled to a decision as a matter of law, the hearing officer may grant the motion and issue a decision in accordance with the provisions of [§ 416.1570](/cfr/20/416.1570.md).
  - (2) If the representative did not file an answer to the charges, he or she has no right to present evidence at the hearing. The hearing officer may make or recommend a decision on the basis of the record, or permit the representative to present a statement about the sufficiency of the evidence or the validity of the proceedings upon which the suspension or disqualification, if it occurred, would be based.
  - (3) The hearing officer will make the hearing open to the representative, to the other party, and to any persons the hearing officer or the parties consider necessary or proper. The hearing officer will inquire fully into the matters being considered, hear the testimony of witnesses, and accept any documents that are material.
  - (4) The hearing officer has the right to decide the order in which the evidence and the allegations will be presented and the conduct of the hearing.
- (h) **Evidence.** The hearing officer may accept evidence at the hearing, even though it is not admissible under the rules of evidence that apply to Federal court procedure.
- (i) **Witnesses.** Witnesses who testify at the hearing shall do so under oath or affirmation. Either the representative or a person representing him or her may question the witnesses. The other party and that party's representative must also be allowed to question the witnesses. The hearing officer may also ask questions as considered necessary, and shall rule upon any objection made by either party about whether any question is proper.
- (j) **Oral and written summation.**
  - (1) The hearing officer shall give the representative and the other party a reasonable time to present oral summation and to file briefs or other written statements about proposed findings of fact and conclusions of law if the parties request it.
  - (2) The party that files briefs or other written statements shall provide enough copies so that they may be made available to any other party to the hearing who requests a copy.
- (k) **Record of hearing.** In all cases, the hearing officer shall have a complete record of the proceedings at the hearing made.
- (l) **Representation.** The representative, as the person charged, may appear in person and may be represented by an attorney or other representative. The General Counsel or other delegated official will be represented by one or more attorneys from the Office of the General Counsel.
- (m) **Failure to appear.** If the representative or the other party to the hearing fails to appear after being notified of the time and place, the hearing officer may hold the hearing anyway so that the party present may offer evidence to sustain or rebut the charges. The hearing officer shall give the party who failed to appear an opportunity to show good cause for failure to appear. If the party fails to show good cause, he or she is considered to have waived the right to be present at the hearing. If the party shows good cause, the hearing officer may hold a supplemental hearing.
- (n) **Dismissal of charges.** The hearing officer may dismiss the charges in the event of the death of the representative.
- (o) **Cost of transcript.** If the representative or the other party to a hearing requests a copy of the transcript of the hearing, the hearing officer will have it prepared and sent to the party upon payment of the cost, unless the payment is waived for good cause.

# §416.1570. Decision by hearing officer.

- (a) **General.**
  - (1) After the close of the hearing, the hearing officer will issue a decision or certify the case to the Appeals Council. The decision must be in writing, will contain findings of fact and conclusions of law, and be based upon the evidence of record.
  - (2) In deciding whether a person has been, by reason of misconduct, disbarred or suspended by a court or bar, or disqualified from participating in or appearing before any Federal program or Federal agency, the hearing officer will consider the reasons for the disbarment, suspension, or disqualification action. If the action was taken for solely administrative reasons (e.g., failure to pay dues or to complete continuing legal education requirements), that will not disqualify the person from acting as a representative before us. However, this exception to disqualification does not apply if the administrative action was taken in lieu of disciplinary proceedings (e.g., acceptance of a voluntary resignation pending disciplinary action). Although the hearing officer will consider whether the disbarment, suspension, or disqualification action is based on misconduct when deciding whether a person should be disqualified from acting as a representative before us, the hearing officer will not re-examine or revise the factual or legal conclusions that led to the disbarment, suspension, or disqualification. For purposes of determining whether a person has been, by reason of misconduct, disqualified from participating in or appearing before any Federal program or Federal agency, disqualified refers to any action that prohibits a person from participating in or appearing before any Federal program or Federal agency, regardless of how long the prohibition lasts or the specific terminology used.
  - (3) If the hearing officer finds that the charges against the representative have been sustained, he or she will either—
    - (i) Suspend the representative for a specified period of not less than 1 year, nor more than 5 years, from the date of the decision; or
    - (ii) Disqualify the representative from acting as a representative in dealings with us until he or she may be reinstated under [§ 416.1599](/cfr/20/416.1599.md). Disqualification is the sole sanction available if the charges have been sustained because the representative has been disbarred or suspended from any court or bar to which the representative was previously admitted to practice or disqualified from participating in or appearing before any Federal program or Federal agency, or because the representative has collected or received, and retains, a fee for representational services in excess of the amount authorized.
  - (4) The hearing officer shall mail a copy of the decision to the parties at their last known addresses. The notice will inform the parties of the right to request the Appeals Council to review the decision.
- (b) **Effect of hearing officer's decision.**
  - (1) The hearing officer's decision is final and binding unless reversed or modified by the Appeals Council upon review.
  - (2) If the final decision is that a person is disqualified from being a representative in dealings with us, he or she will not be permitted to represent anyone in dealings with us until authorized to do so under the provisions of [§ 416.1599](/cfr/20/416.1599.md).
  - (3) If the final decision is that a person is suspended for a specified period of time from being a representative in dealings with us, he or she will not be permitted to represent anyone in dealings with us during the period of suspension unless authorized to do so under the provisions of [§ 416.1599](/cfr/20/416.1599.md).

# §416.1575. Requesting review of the hearing officer's decision.

- (a) **General.** After the hearing officer issues a decision, either the representative or the other party to the hearing may ask the Appeals Council to review the decision.
- (b) **Time and place of filing request for review.** The party requesting review will file the request for review in writing with the Appeals Council within 14 business days from the date the hearing officer mailed the notice. The party requesting review will certify that a copy of the request for review and of any documents that are submitted have been mailed to the opposing party.

# §416.1576. Assignment of request for review of the hearing officer's decision.


Upon receipt of a request for review of the hearing officer's decision, the matter will be assigned to a panel consisting of three members of the Appeals Council none of whom shall be the Chair of the Appeals Council. The panel shall jointly consider and rule by majority opinion on the request for review of the hearing officer's decision, including a determination to dismiss the request for review. Matters other than a final disposition of the request for review may be disposed of by the member designated chair of the panel.


# §416.1580. Appeals Council's review of hearing officer's decision.

- (a) Upon request, the Appeals Council will give the parties a reasonable time to file briefs or other written statements as to fact and law, and to request to appear before the Appeals Council to present oral argument. When oral argument is requested within the time designated by the Appeals Council, the Appeals Council will grant the request for oral argument and determine whether the parties will appear at the oral argument in person, by video teleconferencing, or by telephone. If oral argument is not requested within the time designated by the Appeals Council, the Appeals Council may deny the request.
- (b) If a party files a brief or other written statement with the Appeals Council, he or she shall send a copy to the opposing party and certify that the copy has been sent.

# §416.1585. Evidence permitted on review.

- (a) **General.** Generally, the Appeals Council will not consider evidence in addition to that introduced at the hearing. However, if the Appeals Council finds the evidence offered is material to an issue it is considering, it may consider that evidence, as described in [paragraph (b)](#b) of this section.
- (b) **Individual charged filed an answer.**
  - (1) When the Appeals Council finds that additional evidence material to the charges is available, and the individual charged filed an answer to the charges, the Appeals Council will allow the party with the information to submit the additional evidence.
  - (2) Before the Appeals Council admits additional evidence into the record, it will mail a notice to the parties, informing them that evidence about certain issues was submitted. The Appeals Council will give each party a reasonable opportunity to comment on the evidence and to present other evidence that is material to an issue it is considering.
  - (3) The Appeals Council will determine whether the additional evidence warrants a new review by a hearing officer or whether the Appeals Council will consider the additional evidence as part of its review of the case.
- (c) **Individual charged did not file an answer.** If the representative did not file an answer to the charges, the representative may not introduce evidence that was not considered at the hearing.

# §416.1590. Appeals Council's decision.

- (a) The Appeals Council will base its decision upon the evidence in the hearing record and any other evidence it may permit on review. The Appeals Council will affirm the hearing officer's decision if the action, findings, and conclusions are supported by substantial evidence. If the hearing officer's decision is not supported by substantial evidence, the Appeals Council will either:
  - (1) Reverse or modify the hearing officer's decision; or
  - (2) **Return a case to the hearing officer for further proceedings.**
- (b) The Appeals Council, in changing a hearing officer's decision to suspend a representative for a specified period, shall in no event reduce the period of suspension to less than 1 year. In modifying a hearing officer's decision to disqualify a representative, the Appeals Council shall in no event impose a period of suspension of less than 1 year. Further, the Appeals Council shall in no event impose a suspension when disqualification is the sole sanction available in accordance with [§ 416.1570(a)(3)(ii)](/cfr/20/416.1570.md?p=a-3-ii).
- (c) If the Appeals Council affirms or changes a hearing officer's decision, the period of suspension or the disqualification is effective from the date of the Appeals Council's decision.
- (d) If the hearing officer did not impose a period of suspension or a disqualification, and the Appeals Council decides to impose one or the other, the suspension or disqualification is effective from the date of the Appeals Council's decision.
- (e) The Appeals Council shall make its decision in writing and shall mail a copy of the decision to the parties at their last known addresses.
- (f) The Appeals Council may designate and publish certain final decisions as precedent for other actions brought under its representative conduct provisions. Prior to making a decision public, we will remove or redact personally identifiable information from the decision.

# §416.1595. When the Appeals Council will dismiss a request for review.


The Appeals Council may dismiss a request for the review of any proceeding to suspend or disqualify a representative in any of the following circumstances:

- (a) **Upon request of party.** The Appeals Council may dismiss a request for review upon written request of the party or parties who filed the request, if there is no other party who objects to the dismissal.
- (b) **Death of party.** The Appeals Council may dismiss a request for review in the event of the death of the representative.
- (c) **Request for review not timely filed.** The Appeals Council will dismiss a request for review if a party failed to file a request for review within the 14 business day time period set forth in [§ 404.1775(b)](/cfr/20/404.1775.md?p=b) and the Appeals Council does not extend the time for good cause.

# §416.1597. Reinstatement after suspension—period of suspension expired.


We shall automatically allow a person to serve again as a representative in dealings with us at the end of any suspension.


# §416.1599. Reinstatement after suspension or disqualification—period of suspension not expired.

- (a) After more than one year has passed, a person who has been suspended or disqualified may ask the Appeals Council for permission to serve as a representative again. The Appeals Council will assign and process a request for reinstatement using the same general procedures described in [§ 416.1576](/cfr/20/416.1576.md).
- (b) The suspended or disqualified person must submit any evidence the person wishes to have considered along with the request to be allowed to serve as a representative again.
- (c) The General Counsel or other delegated official, upon notification of receipt of the request, will have 30 days in which to present a written report of any experiences with the suspended or disqualified person subsequent to that person's suspension or disqualification. The Appeals Council will make available to the suspended or disqualified person a copy of the report.
- (d)
  - (1) The Appeals Council shall not grant the request unless it is reasonably satisfied that the person will in the future act according to the provisions of section 206(a) of the Act, and to our rules and regulations.
  - (2) If a person was disqualified because he or she had been disbarred, suspended, or removed from practice for the reasons described in [§ 416.1545(d) through (f)](/cfr/20/416.1545.md?p=d..f), the Appeals Council will grant a request for reinstatement as a representative only if the criterion in [paragraph (d)(1)](#d-1) of this section is met and the disqualified person shows that he or she has been admitted (or readmitted) to and is in good standing with the court, bar, Federal program or agency, or other governmental or professional licensing authority from which he or she had been disbarred, suspended, or removed from practice.
  - (3) If a person was disqualified because the person had been disqualified from participating in or appearing before a Federal program or Federal agency, the Appeals Council will grant the request for reinstatement only if the criterion in [paragraph (d)(1)](#d-1) of this section is met and the disqualified person shows that the person is now qualified to participate in or appear before that Federal program or Federal agency.
  - (4) If the person was disqualified as a result of collecting or receiving, and retaining, a fee for representational services in excess of the amount authorized, the Appeals Council will grant the request only if the criterion in [paragraph (d)(1)](#d-1) of this section is met and the disqualified person shows that full restitution has been made.
- (e) The Appeals Council will mail a notice of its decision on the request for reinstatement to the suspended or disqualified person. It will also mail a copy to the General Counsel or other delegated official.
- (f) If the Appeals Council decides not to grant the request, it will not consider another request before the end of 3 years from the date of the notice of the previous denial.