I-1-1-11.Processing the Claimant's Appointment of a Representative
Last Update: 12/9/24 (Transmittal I-1-107)
A. General
Staff in the Office of Hearings Operations (OHO) and the Office of Appellate Operations (OAO) must review all incoming cases or case materials to determine whether a claimant has a representative(s). In addition to the procedures described in the following subsections, Program Operations Manual System (POMS) GN 03910.040 provides more information about processing an appointment of a representative.
For an appointment to be valid, per 20 CFR 404.1707 and 416.1507, the claimant or representative must file with the Social Security Administration (SSA) completed and properly signed Form SSA-1696 (Claimant's Appointment of a Representative) or the electronic version of the Form SSA-1696 (e1696). For more information on signature requirements and proper filing methods see Hearings, Appeals, and Litigation Law (HALLEX) manual I-1-1-10 A.
If a Form SSA-1696 is incomplete, OHO and OAO staff will send a notice to the claimant informing them that the form cannot be processed and asking them to submit a complete Form SSA-1696 if they still want to appoint that individual as their representative. OHO and OAO staff will destroy the invalid Form SSA-1696 but will associate a copy of the notice sent to the claimant in the claim(s) file. Refer to HALLEX I-1-1-10 A, for guidance on what information is required for a Form SSA-1696 to be considered complete.
B. Document the System(s) and the Claim(s) File
Upon receiving a Form SSA-1696, OHO or OAO staff must annotate the appropriate case processing system(s) and properly associate the form with the claim(s) file. OHO or OAO staff must also update the record when representation information changes, such as when a new or updated Form SSA-1696 is submitted changing the principal representative, or when a representative's fee arrangement changes (e.g., when a representative submits a fee agreement, direct payment assignment, or a fee waiver).
1. Process the Appointment in the applicable case processing system(s)
Staff will process a new Form SSA-1696 or updated representation information, for all representatives, in Registration, Appointment, and Services for Representatives (RASR) application. For principal representatives only, staff will also update the applicable OHO or OAO case processing system(s) to reflect.
OHO staff should refer to Standard Hearings Operations Procedure (SHOP) section 1.3.5.6 for hearing-level instructions on entering and updating representative information, and documenting fee waivers, terminations, and reinstatements in RASR for both fully electronic and paper cases. OAO staff should refer to the instructions in OAO Practices and Applications (PANDA) and the OAO RASR reference site.
NOTE 1:
All representatives must register with SSA before they can be appointed on a claim (see 20 CFR 404.1705(c) and 416.1505(c)). OHO and OAO staff cannot register or update a representative's contact information in RASR. Representatives must register and update their information by submitting a Form SSA-1699. If OHO or OAO staff receive a Form SSA-1696 from an unregistered individual, they will contact the submitter, remind them of the requirement to register by submitting a Form SSA-1699, and instruct them to resubmit the Form SSA-1696 appointing the individual as a representative once registration is complete or with the Form SSA-1699. OHO and OAO staff will generally not process any updates to a principal representative's contact information in their respective case processing system(s) unless it is first updated in RASR.
NOTE 2:
Representatives already appointed before September 30, 2024 do not need to register to maintain any prior appointment(s), but must register to accept new appointment(s) entered on or after September 30, 2024. OHO and OAO staff may receive updated contact information from representatives appointed prior to September 30, 2024 on a document other than a Form SSA-1699. OHO and OAO staff will ensure that such principal representative contact information is updated in their respective case processing system(s).
2. Document the Claim(s) File
OHO or OAO staff will add SSA forms changing or updating representation information to the claim(s) file.
For fully electronic cases: OHO staff will follow the instructions in SHOP section 1.3.5.6 to send an assistance request to the FO about any changes in representation that they are unable to process. OHO staff will follow the instructions in SHOP section 1.3.5.8 to notify the FO about updates to the claimant's or representative's contact information after a case has closed. OAO staff will notify the FO about any updates in representation information via e-mail only when it concerns a principal representative appointed before September 30, 2024 who does not appear in RASR.
NOTE:
For cases linked to eView, if an Form SSA-1696 is processed by the FO, the FO's system updates will cause the electronic folder to display a “Representative Involved” flag in eView.
For cases involving paper claim(s) files: OHO or OAO staff will send a copy of the updated contact information to the servicing FO by email with a short message explaining that it relates to a fully non-electronic case only when it is a principal representative appointed before September 30, 2024 who does not appear in RASR. If there is no electronic folder and OHO or OAO has access to the paper folder, staff must attach a completed Form SSA-1128 (Representative Involved) flag, to the outside lower, right corner of the folder. See POMS GN 03910.040 for specific information needed on the Form SSA-1128. For cases in the Electronic Non-Medical (ENM) application, OHO and OAO staff do not need to complete this form or flag the ENM file.
C. Multiple Representatives
A claimant may appoint more than one representative on any claim. OHO or OAO staff will process information for each representative appointed to the claim in RASR. However, if a claimant appoints more than one individual to serve as a representative, the claimant must designate a principal representative because the agency will make contact with and send non-fee related notices or requests for development only to the principal representative. The principal representative is responsible for distributing case information, including copies of notices or requests, to the other representative(s). See POMS GN 03910.040C. OHO and OAO staff will not send notices to non-principal representatives and must not remove electronic cases from eSign for this purpose.
On receipt of a Form SSA-1696, OHO or OAO staff will ensure that the representative designated as the principal representative appears as 'such in RASR and reflected in OHO and OAO's case processing system(s).
If a claimant appoints more than one representative at different times and has not designated a principal representative on any Form SSA-1696 submitted, when feasible and appropriate OHO and OAO staff will contact the claimant to find out who the claimant designates as the principal representative. If contact is not feasible or appropriate, OHO and OAO will consider the most recently appointed representative to be the claimant's principal representative. If the claimant orally indicates an intent to terminate any representative's appointment, OHO or OAO staff will inform the claimant that the revocation must be in writing, dated, and signed by the claimant. See HALLEX I-1-1-30 B and POMS GN 03910.060B.3.
NOTE:
OHO staff should refer to SHOP section 1.3.5.6 for technical guidance on processing and documenting the principal representative.
D. Other Representation Forms
The following are other forms used to document a representative's registration to serve as a representative and to receive direct payment of any authorized fees, if eligible.
Form SSA-1694, Entity Registration and Taxpayer Information
This form is used to register firms, organizations, or other entities. This form is required for entities that want to receive direct payment of fees authorized to an assigning representative. This form is optional for entities that do not want to receive direct payment of any fees. See POMS GN 03920.021 for more information about assigning direct payment of fees.
All entities requesting to receive direct payment of representative fees must designate a point of contact (POC) on this form. The POC must be registered as an individual representative before being named on this form. The POC is designated and authorized by the entity to resolve fee-related issues on behalf of the entity. For more information about the roles and responsibilities of the POC see POMS GN 03920.021.
SSA encourages all entities to submit this form because it allows SSA to send a copy of the individual representative's Form IRS 1099-MISC (Miscellaneous Income) to the affiliated entity for correct and efficient reconciliation of employees' fees.
Representatives or entities must submit this form to Employer Reporting Specialists (ERS) in the Office of Earnings and International Operations (OEIO) by facsimile (fax) at 1-833-597-1429. Inquiries about registration can be directed to OEIO at the following telephone number: 1-800-772-6270 (TTY 1-800-325-0778). See POMS GN 03913.050.
If an OHO or OAO office receives this form, staff should fax the form to OEIO at 1-833-597-1429. See also POMS GN 03913.050.
Form SSA-1699, Representative Registration
All representatives must register with SSA by completing and submitting this form prior to being appointed on any claim. Individuals must also use this form to register as a representative prior to being named as a POC for an entity. SSA uses this form for general representative registration, and it is not case specific. A representative may also affiliate with one or more entities during registration.
Representatives submit this form only once when initially registering by faxing the completed form to OEIO at 1-877-268-3827. See POMS GN 03913.005. Subsequently, representatives are responsible for updating any changes in their personal, professional, or business affiliation information by submitting an updated Form SSA-1699 using the Representative Identification (Rep ID) number obtained during their initial registration. See POMS GN 03913.010. OEIO is responsible for reviewing this form for completeness.
If OHO or OAO receives a new or updated Form SSA-1699, staff will follow instructions in POMS GN 03913.012A to forward the Form SSA-1699 to OEIO at 1-877-268-3827.
OHO also uses the Form SSA-1699 to enroll representatives, who have already registered, for online access to electronic folders. This process is by invitation only.