Rules of Conduct and Standards of Responsibility for Appointed Representatives

Forms and Documents

Document Name	Status
Supporting Statement - 0804.docx Supporting Statement A	2021-06-07

IC Document Collections

IC ID	Document Title	Status
223061	20 CFR 404.1740(b)(9) and 416.1540(b)(9)	Modified
223059	20 CFR 404.1740(b)(8) and 416.1540(b)(8)	Modified
223058	20 CFR 404.1740(b)(7) and 416.1540(b)(7)	Modified
223057	20 CFR 404.1740(b)(6) and 416.1540(b)(6)	Modified
223056	20 CFR 404.1740(b)(5) and 416.1540(b)(5)	Modified

ICR Details

OMB Control No: 0960-0804	ICR Reference No: 202101-0960-007
Status: Received in OIRA	Previous ICR Reference No: 201807-0960-001
Agency/Subagency: SSA	Agency Tracking No:
Title: Rules of Conduct and Standards of Responsibility for Appointed Representatives
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 06/07/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	07/31/2021
Responses	43,672	43,720
Time Burden (Hours)	3,639	3,643
Cost Burden (Dollars)	0	0

---

Abstract: Individuals appointed to represent claimants before SSA must report to SSA in writing whenever one of the following situations in our revised regulations occurs: • 20 CFR 404.1740(b)(5) and 416.1540(b)(5) – This regulatory section requires representatives to disclose to SSA in writing, at the time a medical or vocational opinion is submitted to SSA, or as soon as the representative is aware of the submission to us, if the representative’s employee or any individual contracting with the representative drafted, prepared, or issued a medical or vocational opinion about a claimant’s disability, or if the representative referred or suggested that the claimant seek an examination from, treatment by, or the assistance of the individual providing opinion evidence; • 20 CFR 404.1740(b)(6) and 416.1540(b)(6) – This regulatory section requires representatives to disclose to SSA immediately if the representative discovers that his or her services are or were used by the claimant to commit fraud against SSA; • 20 CFR 404.1740(b)(7) and 416.1540(b)(7) – This regulatory section requires representatives to disclose to SSA 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; If the disbarment or suspension occurs after the appointment of the representative, the representative will immediately disclose the disbarment or suspension to SSA; • 20 CFR 404.1740(b)(8) and 416.1540(b)(8) – This regulatory section requires representatives to disclose to SSA 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. If the disqualification occurs after the appointment of the representative, the representative will immediately disclose the disqualification to SSA; and • 20 CFR 404.1740(b)(9) and 416.1540(b)(9) – This regulatory section requires representatives to disclose to SSA whether the representative has been removed from practice or suspended by a professional licensing authority for reasons that reflect on the representative’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 SSA. A representative’s obligation to report these events is ongoing, and a representative must report any time one or more of these events occurs. We consider this information essential to ensure the integrity of our administrative process and to safeguard the rights of all claimants. Representatives must notify SSA in writing, but there is no prescribed format for these reports. The respondents are individuals appointed to represent claimants before SSA.

---

Authorizing Statute(s): US Code: 42 USC 1386 Name of Law: Social Security Act
   US Code: 42 USC 405 Name of Law: Social Security Act
   US Code: 42 USC 406 Name of Law: Social Security Act
  

Citations for New Statutory Requirements: US Code: 42 USC 405 Name of Law: Social Security Act
US Code: 42 USC 406 Name of Law: Social Security Act
US Code: 42 USC 1386 Name of Law: Social Security Act

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 12068	03/01/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 29348	06/01/2021
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 5

IC Title	Form No.	Form Name
20 CFR 404.1740(b)(5) and 416.1540(b)(5)
20 CFR 404.1740(b)(6) and 416.1540(b)(6)
20 CFR 404.1740(b)(7) and 416.1540(b)(7)
20 CFR 404.1740(b)(8) and 416.1540(b)(8)
20 CFR 404.1740(b)(9) and 416.1540(b)(9)

---

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	43,672	43,720	0	0	-48	0
Annual Time Burden (Hours)	3,639	3,643	0	0	-4	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: When we last cleared this IC in 2018, the burden was 3,643 hours. However, we are currently reporting a burden of 3,639 hours. This change stems a decrease in the number of responses from 43,720 to 43,672. There is no change to the burden time per response. Although the number of responses changed, SSA did not take any actions to cause this change. These figures represent current Management Information data.

---

Annual Cost to Federal Government: $104,839

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 06/07/2021

---