5.1 Code of Conduct

Question 1

“What is the Code of Conduct for representatives in SSA cases?”

Answer 1

Answer: “Representatives must act honestly, competently, and in the best interests of their clients while adhering to SSA rules.”
Explanation: “The SSA has strict guidelines to ensure ethical behavior and protect claimants from misconduct.”
Source: CFR §404.1740.

Question 2

“What constitutes prohibited conduct for representatives?”

Answer 2

Answer:
“1. Misleading or providing false information to SSA.”
“2. Charging fees without SSA approval.”
“3. Mishandling or misusing claimant funds.”
Explanation: “Representatives who engage in prohibited conduct may face disqualification or suspension.”
Source: CFR §404.1740.

Question 3

“What are the consequences of violating the Code of Conduct?”

Answer 3

“Violations can result in reprimand, suspension, or disqualification from representing claimants before the SSA.”
Explanation: “SSA takes ethical breaches seriously to maintain the integrity of the system.”

Question 4

Case Scenario: Mark, an EDPNA representative, tells a client that he will guarantee approval of their SSI claim if they pay him a $2,000 fee upfront. Mark does not file a fee agreement with the SSA.

Question: Is Mark’s behavior ethical and in compliance with SSA regulations?

Answer 4

Answer: No, Mark’s behavior is unethical and violates SSA rules. He cannot guarantee outcomes, and all fee agreements must be filed with and approved by SSA.

Legal Explanation: SSA representatives must adhere to the SSA Code of Conduct, which prohibits:

Making misleading statements or guaranteeing outcomes.
Charging fees without SSA approval.
Violations can result in reprimand, suspension, or disqualification.

Question 5

Case Scenario: Lisa, an EDPNA representative, fails to notify her client about the deadline for submitting evidence before an ALJ hearing. The evidence is excluded, and the client’s claim is denied.

Question: Did Lisa breach her ethical responsibilities?

Answer 5

Answer: Yes, Lisa breached her duty of competent representation by failing to meet procedural requirements.

Legal Explanation: Representatives must:

Act diligently and competently.
Understand and comply with procedural rules, such as the SSA Five-Day Rule for evidence submission.
Neglecting these duties harms clients and violates SSA ethical standards.

Question 6

Code of Conduct:

Answer 6

Representatives must act honestly, competently, and in their client’s best interests.