(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.
