Sec. 460.5. List of authorized agents and attorneys

(a) The board shall maintain lists of lawyers and registered non-lawyer representatives who are available to represent claimants and of agents who represent employers. A lawyer, who is available to represent claimants, shall be included on this list after he/she provides to the board his/her name, business address, telephone number, and email address. A registered non-lawyer representative may represent claimants for a fee and be included on this list when the board confirms that he/she has fulfilled the requirements stated in this section for registration. Lawyers and registered non-lawyer representatives for claimants shall remain on the list until the board suspends or cancels their registration under this section of the rules, or until the lawyer or registered non-lawyer representative requests, in writing, that his/her listing be cancelled. No individual may be listed while employed by the board or the department.

(b) The board shall maintain the lists at its offices. Copies of these lists shall be made available at all the offices of the board and on its website. 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 a non-lawyer representative to represent claimants for a fee, unless he or she shall have met the following requirements:

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

(ii) he or she has, as a minimum, at least 16 hours of experience, either for pay or as a volunteer, in legal or administrative proceedings, or successfully completed an equivalent number of appropriate college credit hours in courses such as administrative law, administrative procedure, labor law, unemployment insurance, or civil practice and procedure including evidence; and

(iii) he or she is of good moral character.

(2) In addition, the board, as a condition for registration or for continued registration, may give examinations to non-lawyers to establish their competence as non-lawyer representatives.

(3) An applicant for registration as a non-lawyer representative for claimants shall file with the board an application, properly signed under oath or affirmation. The board may require the applicant to file any additional information it considers necessary.

(4) The board, if it denies an application for registration, shall inform the applicant, in writing, as to the reason(s) for the denial. The applicant may, within 15 days after the mailing of the notice of denial, file a written appeal stating the reasons for the appeal, by mailing, faxing or emailing it to the board. Upon receipt of such appeal, the chair of the board shall choose a member of the board, or an administrative law judge, or any other person to hold a hearing to consider the appeal from the notice of denial. If someone other than a member of the board holds the hearing, he or she shall conduct the hearing and submit a report to the board, including the recommendation. After reviewing the report and recommendation, the board shall issue a decision which will be the decision of the board when signed by at least one member of the board and when mailed and filed at the board.

(5) If the board approves an application, the applicant shall be registered when he or she submits to the board 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 add the registered representative’s contact information to the list of non-lawyer representatives which it maintains.

(6)

(i) The board, after notice and opportunity for hearing, may suspend or cancel the registration of any non-lawyer representative shown to be incompetent, dishonorable or who refuses to observe 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 orally or in writing.

(ii) Dishonorable conduct for which the registration of a non-lawyer representative 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) knowingly giving false or misleading information or participating in any way in the giving of false or misleading information to the board or the department, or any officer or employee of the board or department, in connection with any matter pending or likely to be pending before them. The term information includes anything 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;

(c) the use of false or misleading representations with intent to deceive a client or prospective client to enter into an agreement for representation implying that the registered non-lawyer representative is able improperly to obtain special consideration or action from the board or the department or any officer or employee of the board or department;

(d) misuse of or failure to properly and promptly return funds received from a client to pay taxes or other obligations due under the law;

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

(f) cancellation or suspension of any admission to practice, license, registration, or enrollment by an agency or 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 contempt of court.

(iii) Complaints of conduct by a registered non-lawyer representative, which could be the basis for a cancellation or suspension of the registration may be filed, in writing, with the board, by any member of the board, any member of its staff, an employee of the department, a claimant, or any other person having an interest in the matter. The complaint shall refer to the specific facts upon which it is based. When such a complaint is received, the board shall consider it and in its discretion, may conduct an investigation. If the board finds no basis for action, it shall inform the party that filed the complaint, in writing, of that fact and the reason(s) for that finding. If the board finds that there might be merit to the complaint, it shall schedule a hearing on notice to all parties. The chair of the board shall choose a member of the board or an administrative law judge, or any other person to hold the hearing. If the hearing is held before someone who is not a member of the board, that person shall conduct the hearing and submit a report to the board including his or her recommendation. The board shall then issue a decision which shall include:

(a) a statement of findings, conclusions and reasons; and

(b) an order of cancellation, suspension, or reprimand or an order of dismissal of the complaint. That order shall be the order of the board when signed by at least one member of the board and when mailed to all parties and filed at the board.

(iv) In case the final order against the non-lawyer representative is for a cancellation of the registration, the non-lawyer representative shall not afterwards be permitted to practice before the board or its administrative law judges unless and until authorized to do so by the board. In case the final order against the non-lawyer representative is for suspension, that person shall not be permitted to practice before the board or its administrative law judges during the period of suspension.

(v) When there is a final order of cancellation or suspension, the board shall revise its lists and shall notify all locations where copies of the list are kept. The board may give notice of its action to courts or governmental departments or agencies by which the non-lawyer representative had also been admitted to practice, licensed, registered or enrolled.

(vi) The board may consider an application for reinstatement after five years from any person whose registration had been cancelled. Reinstatement may not be granted unless the board is satisfied that the applicant is not likely to conduct him/herself contrary to these rules and regulations, and that granting reinstatement would be in the public interest.

(d) All lawyers and registered non-lawyer representatives shall keep 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 lawyers and registered non-lawyer representatives shall submit other reports as the board may require. Each lawyer and registered non-lawyer representative shall file a Notice of Appearance, in a form as required by the board, for each claimant whom he or she represents.