N.Y. Comp. Codes R. & Regs. tit. 12 § 460.5

Current through Register Vol. 46, No. 50, December 11, 2024

Section 460.5 - List of authorized agents and attorneys

(a) The board shall maintain lists of authorized agents and attorneys who are available to represent claimants in New York City and of agents who represent employers. An agent shall be registered as authorized to represent an employer by providing the board with a letter of authorization from the employer. An attorney, who is available to represent claimants, shall be included on this list upon providing to the board his name, business address and telephone number. Agents, authorized to represent claimants for a fee, shall be included on this list upon the certification of the board that the individual has complied with the requirements hereinafter set forth for the registration of representatives of claimants in New York City. Attorneys and authorized agents following their registration shall continue to be listed until such time as the board shall, upon due notice and in compliance with the procedures herein set forth, revoke or suspend such registration, or until such time as the attorney or agent requests, in writing, that his listing be canceled. No individual may be listed as an authorized agent or attorney while employed by the New York State Department of Labor.

(b) The board shall maintain such lists at its offices. Copies of these lists shall be made available for inspection at the offices of the board, or the administrative law judge section in New York City, and in each local unemployment insurance office in New York City. The list shall be made available at these locations to any claimant requesting information or assistance with regard to obtaining representation at any hearing before the board or before an administrative law judge.

(c)

(1) No person shall be registered as an agent to represent claimants in New York City for a fee, unless he shall have met the following requirements:

(i) he is a high school graduate or has received a high school equivalency diploma from an authority recognized by the Education Department of the State of New York;

(ii) he has, as a minimum, at least 16 hours of experience, either for pay or as a volunteer, in legal or administrative proceedings. In lieu of the required hours of experience, an applicant may substitute credit hours for appropriate post-secondary courses which the applicant has successfully completed. Such appropriate courses shall include, but not be limited to, courses in administrative law, administrative procedure, labor law, unemployment insurance, or civil practice and procedure including evidence;

(iii) in addition, the board, in its discretion, as a condition for registration or for continued registration, may administer examinations to non-attorneys to establish their competence as representatives; and

(iv) he is of good moral character.

(2) An applicant for registration as an authorized agent shall file with the board an application, properly executed under oath or affirmation. The board may require the applicant to file any additional information it considers necessary.

(3) The board, if it denies an application for registration, shall inform the applicant, in writing, as to the reason(s) therefor. The applicant may, within 15 days after the mailing of the notice of denial, file a written appeal therefrom, together with his reasons in support thereof, by mailing such appeal to the board. Upon receipt of such appeal, the chairman of the board shall designate a member of the board, or an administrative law judge, or any other person to hold a hearing for the purpose of considering the applicant's appeal from the notice of denial. If the hearing is held before an administrative law judge or an individual who is not a member of the board, such designee shall conduct the hearing and submit a report to the board, including his recommendations on the appeal. Thereafter, the board shall issue a decision. Such decision shall be deemed the decision of the board when signed by at least one member of the board and when duly mailed and filed with the Department of Labor.

(4) Should the board approve an application, the applicant shall be registered upon submission to the board of a corporate surety bond in the amount of $500, in a form approved by the board, for the benefit of claimants. Upon such registration, the board shall issue to the agent a registration card.

(5)

(i) The board, after due notice and opportunity for hearing, may suspend or revoke the registration of any authorized agent shown to be incompetent, disreputable or who refuses to comply with these rules and regulations or who shall, with intent to defraud, in any manner willfully and knowingly deceive, mislead or threaten a claimant or prospective claimant, by word, circular, letter, or by advertisement.

(ii) Disreputable conduct for which the registration of an authorized agent may be suspended or revoked includes, but is not limited to:

(a) conviction of any criminal offense under the laws of the United States, or of any state or territory, involving dishonesty or breach of trust;

(b) giving false or misleading information or participating in any way in the giving of false or misleading information to the Department of Labor or any officer or employee thereof in connection with any matter pending or likely to be pending before them, knowing such information to be false or misleading. Facts or other matters contained in testimony, applications for registration, affidavits, declarations, reports, records kept in compliance with these rules and regulations, or any other document or statement, written or oral, are included in the term information;

(c) the use of false or misleading representations with intent to deceive a client or prospective client in order to procure employment or intimating that the authorized agent is able improperly to obtain special consideration or action from the board or officer or employee thereof;

(d) misappropriation of or failure to properly and promptly remit funds received from a client for the purpose of payment of taxes or other obligations due under the Labor Law;

(e) directly or indirectly attempting to influence, or offering or agreeing to attempt to influence the official action of any officer or employee of the Department of Labor by the use of threats, false accusations, duress or coercion;

(f) revocation or suspension of any admission to practice, license, registration, or enrollment by a duly constituted authority of any state, possession, territory, commonwealth, the District of Columbia, any Federal or State court of record, or any Federal or State agency, body or board; and

(g) such conduct at a hearing before the board or an administrative law judge which, if committed in a court of record, would be deemed contempt of court.

(iii) Allegations of conduct by an authorized agent, which could be the basis for a revocation or suspension of the registration of such agent, may be filed, in writing, with the board, by any member of the board, any member of its staff, an administrative law judge, an employee of the Department of Labor, a claimant, or any other person having an interest in the matter. The allegation shall contain reference to the specific facts upon which it is based. Upon receipt, the board shall consider the allegations. In its discretion, it may conduct such investigation as it deems appropriate. If the board finds no basis for action, it shall inform the complainant, in writing, of that fact and the reason(s) therefor. If the board finds that there might be merit to the allegations, it shall schedule a hearing on due notice to all parties. The chairman of the board shall designate a member of the board or an administrative law judge, or any other person to hold such hearing. If the hearing is held before an administrative law judge or an individual who is not a member of the board, such designee shall conduct the hearing and submit a report to the board including his recommendation. The board shall then issue a decision with regard to the allegations. The decision shall include:

(a) a statement of findings and conclusions, as well as the reasons or basis therefor, upon all the material issues of fact, law, or discretion presented on the record; and

(b) an order or revocation, suspension, or reprimand or an order of dismissal of the complaint.

Such decision shall be deemed the decision of the board when signed by at least one member of the board and when duly mailed and filed in the Department of Labor. A copy of said decision shall be mailed to all parties in these proceedings.

(iv) In case the final order against the registrant is for a revocation of the registration, the registrant shall not thereafter be permitted to practice before the board or the administrative law judge section unless and until authorized to do so by the board as hereinafter provided. In case the final order against the registrant is for suspension, the registrant shall not thereafter be permitted to practice before the board or the administrative law judge section during the period of suspension. If a registration is revoked or suspended, the agent shall surrender his registration card to the board for cancellation, in the case of revocation, or for retention during the period of suspension.

(v) Upon the issuance of a final order of revocation or suspension, the board shall revise its lists and the copies thereof and shall notify all locations where copies of the list may be kept. The board may give notice of its action to any appropriate courts or governmental departments or agencies by which the registrant had also been admitted to practice, licensed, registered or enrolled.

(vi) The board may entertain an application for reinstatement from any person whose registration had been revoked after the expiration of five years following such revocation. Reinstatement may not be granted unless the board is satisfied that the applicant, thereafter, is not likely to conduct himself contrary to these rules and regulations, and that granting of such reinstatement would be in the public interest.

(d) All attorneys and registered representatives shall keep such records as the board may require. Such records shall include, but not be limited to, claimant's name, the case number(s), the benefits allowed, if any, the fee requested and the fee approved. All attorneys and registered representatives shall submit such other reports to the board as it may require. Each attorney and registered agent shall file a Notice of Appearance, in such form as designated by the board, with regard to each claimant whom he represents before the administrative law judge section or the board.

N.Y. Comp. Codes R. & Regs. Tit. 12 § 460.5