Order Code 98-878 GOV
Report for Congress
Received through the CRS Web
Casework in a Congressional Office
Updated January 21, 2003
John S. Pontius
Specialist in American National Government
Government Division
Congressional Research Service ˜ The Library of Congress

Casework in a Congressional Office
Summary
This report and its appendices present a general overview of congressional
office procedures associated with handling casework and the assistance provided by
a Member of Congress to help constituents in their dealings with federal agencies.
It discusses options for assisting Members’ constituents and the role of Members and
staff in providing casework services. This report is intended for congressional use
only.
Casework generally consists of assistance provided by Members of Congress
and their staff to constituents in their transactions with federal agencies. Casework
may involve individuals or groups with a common concern, and typically includes
a problem, grievance, question of eligibility, specific need, or other tangible interest
or benefit. Whether it is a delayed Social Security check, a denied veteran’s claim,
or a Medicare reimbursement dispute, the constituent’s problem usually has to do
with a federal program, rule, regulation, or administrative decision resulting from the
implementation of a public law. Casework mostly emanates from constituent letters,
visits, phone calls, faxes, and e-mails.
Casework involves “interpreting, interacting, explaining, distributing, and
interceding on behalf of constituents toward relief of some problem between them
and the bureaucracy.” The constituent may also have another need connected with
government, national or foreign, on which a Member may be of assistance. Members
view casework as an important, necessary, and legitimate congressional function.
Members put a premium on this service as part of their representational role, acting
as facilitator and intervener between constituents.
A Member of Congress usually allocates casework responsibilities to one or
more staff members who review and respond to needs, complaints, or personal
problems posed by constituents. The caseworker represents the Member, both to the
constituents and to the appropriate federal agencies. Identifying the total problem
is the first step for the caseworker. Upon receipt of the inquiry, most caseworkers
feel it is advisable to send an immediate acknowledgment by letter advising the
constituent that the Member is aware of the request and is inquiring into the matter,
and that the constituent will be contacted again when some response is forthcoming.

Every caseworker has to develop a personal approach to analyzing the nature
of the constituent’s problem and how to generate the most expeditious and just
resolution. Adherence to ethical and legal standards is of concern to Members of
Congress and their personal and committee staff when intervening in the
administrative process. Once an agency has been contacted on behalf of the
constituent, the case should be tracked until completion. Responding to constituents’
needs, complaints, or problems gives a Member an opportunity to determine whether
the programs of the executive agencies are functioning in accordance with legislative
mandates and may indicate the need for congressional oversight and new legislation.

Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Congressional Research Service Resources on Casework . . . . . . . . . . . . . . 3
Performing Casework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Assigning Casework Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Privacy Safeguards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Analyzing the Constituent’s Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Worker’s Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Military Personnel Inquiries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Military Hardship Discharge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Social Security (Lost Check) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Social Security Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Congressional Intervention in the Administrative Process . . . . . . . . . . . . . . 9
Tracking Casework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Disposition of Casework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Handling Cases When Closing a Congressional Office . . . . . . . . . . . . . . . 11
Appendix A: Federal Office Contacts for Types of Cases and
Information Required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Civilian Pensions and Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Social Security Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Supplemental Security Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Black Lung Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Medicare . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Civil Service Retirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Railroad Retirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Unemployment Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Workers’ Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Military Affairs and Service Academies . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Military . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Military Academy Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . 14
Selective Service System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Veterans (Department of Veterans Affairs (VA)) . . . . . . . . . . . . . . . . 15
State Department Inquiries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Visas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Passports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Letters of Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Overseas Citizens Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Refugee/Asylum Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Immigration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Labor Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Higher Education Loans and Assistance . . . . . . . . . . . . . . . . . . . . . . . 16
Farmers’ Loans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Communications Licenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Government Procurement and Property . . . . . . . . . . . . . . . . . . . . . . . 17
Housing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

American Indians and Alaska Natives . . . . . . . . . . . . . . . . . . . . . . . . . 17
Postal Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Federal Prisoners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Small Business . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Treasury . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
U.S. Commission on Civil Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Recommendations for Federal Employment . . . . . . . . . . . . . . . . . . . . 18
Appendix B: Appointments to U.S. Military Service Academies . . . . . . . . . . . 19
U.S. Military, Naval, and Air Force Academies . . . . . . . . . . . . . . . . . . . . . 19
Qualifications and Legal Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Additional Types of Nominations for Appointments . . . . . . . . . . . . . 22
U.S. Merchant Marine Academy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
U.S. Coast Guard Academy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Appendix C: Sample Privacy Act Release Form . . . . . . . . . . . . . . . . . . . . . . . . 25
Appendix D: Legal and Ethical Considerations of Casework . . . . . . . . . . . . . . 26
Agency Intervention Protocol . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Employment Recommendation Restrictions . . . . . . . . . . . . . . . . . . . . . . . . 27
Responsibility to Constituents
(House Ethics Committee Advisory Opinion) . . . . . . . . . . . . . . . . . . . 27
Representations Before Federal Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Principles to be Observed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Guidance for Future Conduct
(Senate Ethics Committee Report) . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Representation of Petitioners Before Federal Agencies . . . . . . . . . . . . . . . 30
Senate Rule XLIII—Representation by Members . . . . . . . . . . . . . . . . . . . . 31
Congressional Intervention in the Administrative Process . . . . . . . . . . . . . 32

Casework in a Congressional Office
Introduction1
Casework generally consists of assistance provided by Members of Congress
and their staff to constituents in their transactions with federal agencies. Casework
may involve individuals or groups with a common concern, and typically includes
a problem, grievance, question of eligibility, specific need, or other tangible interest
or benefit. Whether it is a delayed Social Security check, a denied veteran’s claim,
or a Medicare reimbursement dispute, the constituent’s problem usually has to do
with a federal program, rule, regulation, or administrative decision resulting from the
implementation of a public law. Casework mostly emanates from constituent letters,
visits, phone calls, faxes, and e-mails.
Casework involves “interpreting, interacting, explaining, distributing, and
interceding on behalf of constituents toward relief of some problem between them
and the bureaucracy.”2 The constituent may also have another need connected with
government, national or foreign, on which a Member may be of assistance. Members
view casework as an important, necessary, and legitimate congressional function.
Members put a premium on this service as part of their representational role, acting
as facilitator and intervener between constituents.
A basis for casework can be found in the first sentence of the Constitution: “We
the people of the United States in order to form a more perfect Union ... establish
justice ... promote the general welfare ...”
There is no doubt that the casework function in a congressional office promotes
an individual’s general welfare and often may correct an injustice. There is also no
doubt that the framers of the Constitution could not have envisioned the complexity
of modern government: the scores of agencies, and thousands of regulations that
affect our citizens. Occasionally, an important benefit check is delayed, or a veteran
needs hospital care right away—these are some of the many problems presented to
a caseworker. The representative functions of Members of Congress in this area,
while not so defined, are arguably implicit in the Constitution. Additionally, the first
Article of the Bill of Rights provides that “Congress shall make no law ... abridging
the ... right of the people ... to petition the government for a redress of grievances.”
Casework, or “constituent business” as it was sometimes called, was an early
function for Members of Congress, as noted in the diaries of John Quincy Adams and
1 The author wishes to thank Tammy Hamilton, Jennifer Manning, and Daphne Bigger for
their valuable contributions.
2 JosephWilliam Westphal, “The Congressional District Office: Representative-Constituency
Linkages” (Ph.D. diss., University of Missouri-Columbia, 1980), p.71.

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James K. Polk. According to Leonard White’s The Jacksonians, Polk wrote of cases
in which he provided assistance in claims for pensions, land claims, writing letters
for appointments to West Point, and a search for a letter in a dead-letter office.3
Legislators did not have any staff to assist them: until well into this century,
Members had to depend solely upon requests to the executive agencies for
information.
By the 1940s, it had become clear that attending to constituents’ needs was
consuming large blocks of Members’ time. A report by the American Political
Science Association’s Committee on Congress, published in 1945 acknowledged this
fact and recommended relief.4 That same year, hearings on the organization of
Congress were held by a joint committee at which a number of Members and
observers testified about this problem. Several witnesses advocated the appointment
of an administrative assistant who would assist Senators and Representatives “in
their office and departmental work.” Members reported spending from 50-80% of
their time occupied with non-legislative matters, including handling constituent
requests before departments. Some urged deliverance from the growing burden of
services to constituents, while a few argued that Members should be forbidden
altogether from intervening on behalf of constituents.5
In its 1946 report, the Joint Committee on the Organization of Congress noted
that “expansion of governmental activities during the past 25 years [had] vastly
increased the volume of ... requests for service” from constituents.6 It further stated
that “while it is true that the Constitution does not place this burden directly upon
Congress, nevertheless service to constituents has long been an accepted part of the
job of a Member of Congress.”7 This contact affords, said the Committee, one of
the few remaining direct links between citizens and their elected representatives.
Furthermore, it continued, no other agency or office of government can perform this
service “so cheaply or with such patience, understanding, and personal interest as
congressional offices.” Despite suggested alternative ways of rendering this service,,
the committee concluded that “it is neither possible or advisable” to do so8.
Citing past precedents in which Congress had increased clerical assistance to
Members, the committee recommended that “a competent assistant capable of
3 Leonard White, The Jacksonians (New York: MacMillan, 1954), p. 144. See also John
Spencer Bassett, “James K. Polk and His Constituents, 1831-1832,” American Historical
Review, vol. 28, no. 1 (Oct. 1922), pp. 68-77.
4 American Political Science Association, Committee on Congress, The Reorganization of
Congress: A Report of the Committee on Congress of the American Political Science
Association (Washington: Public Affairs Press, 1945), pp. 78-81.
5 U.S. Congress, Joint Committee on the Organization of Congress, Organization of
Congress, summary of hearings, 79th Cong., 1st sess. (Washington: GPO, 1945), p. 3.
6 U.S. Congress, Joint Committee on the Organization of Congress, Organization of
Congress, H.Rept. 1675, 79th Cong., 2nd sess. (Washington: GPO, 1946), p. 15.
7 Ibid.
8 Ibid., p.16.

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assuming a large part of the service burden” be appointed so as to release Members
for the performance of their legislative duties.
When the Senate subsequently enacted the Legislative Reorganization Act of
1946 (P.L. 79-601), it included a provision to this effect. The House, however, acted
last, and its version, which was accepted by the Senate due to the lateness of the
session, did not contain this provision. Nevertheless, it was successfully argued by
Senator Robert LaFollette, Jr., co-chairman of the Joint Committee that drafted the
Legislative Reorganization Act, that funds should be appropriated for these
assistants. Within a short period of time, 91 of the 96 Senators appointed such
assistants. Subsequently, administrative assistants were also authorized for the staffs
of House Members.
These actions were tantamount to statutory authority for caseworkers in
senatorial offices. Since 1946, of course, their number has grown to reflect the
magnitude of constituent requests for assistance in dealing with the many
departments, agencies, and offices of the federal government. It is of both historical
and current importance that casework has been perceived as a legitimate, necessary,
and irreplaceable function of Members and their staffs, and that Congress explicitly
recognized this over four decades ago.

The Legislative Reorganization Act of 1970 (P.L. 91-510) provided some
increase in resources for constituent services in its reorganization of the
Congressional Research Service (CRS). Section 203(a)(5) of the Act authorizes
CRS, “upon request, or upon its own initiative in anticipation of requests, to prepare
and provide information, research, and reference materials and services to
committees and Members of the Senate and House of Representatives and joint
committees of Congress to assist them in their legislative and representative
functions ....” The majority of CRS assistance is related to legislation or oversight:
CRS assists in casework only by providing readily available materials to Members
in responding to constituent inquiries.9
Congressional Research Service Resources on Casework
The Congressional Research Service (CRS) has the following products relating
to casework: a one hour video: Casework: How and Why (Video MM70023 or
Audio MM70029). For congressional staffers handling casework and needing to
communicate with federal executive offices, request CRS Report 98-446,
Congressional Liaison Offices of Selected Federal Agencies, by Suzy Platt, for
congressional office use only). CRS Office of Special Programs presents a seminar
on casework and grants as part of its three-day District/State Staff Institute held
quarterly in Washington, DC. Congressional staff should check the CRS Web site
[http://www.crs.gov] for dates and registration.
9 For additional information on casework see John R. Johannes, To Serve the People
(Lincoln: University of Nebraska Press, 1984). Also see Congressional Management
Foundation, Frontline Management: A Guide for Congressional District/State Offices
(Washington: 1998).

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Performing Casework
Most federal departments and agencies have regional or state offices. Members
of Congress and federal agency officials often recommend that congressional district
and state offices first seek to resolve constituent problems through these units.10
Nearly every caseworker works in a congressional field office, with a few
working in the Washington, DC office. The volume of casework continues to
increase. The Congressional Management Foundation, a non-profit foundation,
stated that its:
1997 survey of District and State Directors shows that 53% of House offices and
42% of Senate offices receive between 1,000 and 5,000 cases each year, and 32%
of Senate offices report more than 7,500 cases annually. Moreover, 58% of
House offices and 84% of Senate offices report an increase in casework in the
past five years—with an average increase of 35%!11
Assigning Casework Responsibilities
A Member of Congress usually allocates casework responsibilities to one or
more staff members who review and respond to needs, complaints, or personal
problems posed by constituents. The personal communication aspect is very
important. The caseworker should be personable, helpful, and ready to assist an
individual with his or her problem. A caseworker should also be compassionate,
realizing that those in need may be desperate when they contact Members. Finally,
the caseworker must be well organized and know how to follow through.
Casework is rarely an isolated operation in a congressional office: it can involve
the administrative assistant, legislative assistants, grants and projects staff, the office
manager, and the press secretary, as well as staff in the field offices. Caseworkers
also contribute to other functions of the office, such as alerting the press secretary
of a noteworthy case or identifying for the legislative staff a law that may need
changing.
Responding to constituent needs, complaints, or problems gives a Member an
opportunity to determine whether executive agencies’ programs are functioning in
accordance with legislative mandates. Thus, casework has the potential to contribute
to legislative oversight of agencies. Indeed, some offices make it a practice to bring
casework observations to the attention of the pertinent authorizing committee(s),
particularly if a pattern emerges. It may even lead to new legislation.
10 These regional agencies are listed in sources such as the United States Government
Manual (in print) or via the Government Printing Office’s National Archives Internet site
[http://www.access.gpo.gov/nara/browse-gm-00.html], the Catalog of Federal Domestic
Assistance Appendix IV: “Federal Agency Contacts in States” (in print), or via the Internet
[http://www.cfda.gov], and Carroll’s Federal Regional Directory (in print).
11 Richard H. Shapiro, Frontline Management: A Guide for Congressional District/State
Offices (Washington: Congressional Management Foundation, 1998), p. 89.

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Most federally assisted casework involves problems regarding social security
checks, benefits, and appeals; workers’ compensation claims, hearings, and appeals;
military service problems, such as a hardship discharge from the service; veterans’
benefits, medical care, and home loan guarantees; immigration problems; and other
appeals for help. Casework is closely related to, but different from, grants and
project work, which usually concerns local governmental units or other organizations
(e.g., corporations, universities, and research firms) that compete for federal
government funds in the form of contracts, grants, loans or other disbursements.
Some congressional offices, however, combine these functions and call them
“constituent services.”12
Privacy Safeguards
Constituent letters sent to a Member’s office are not protected by the Privacy
Act of 1974 (5 U.S.C. 552a) or any other statute safeguarding personally identifiable
records received and maintained in such offices. However, for a variety of reasons,
including the high probability of an expectation of privacy concerning these
communications, a policy safeguarding privacy is advisable for such offices. Such
a policy would include:
! physically safeguarding such correspondence in office files; and
! limiting access to such correspondence, including the drafting of
responses, to office personnel.
Concerning constituent casework correspondence awaiting final disposition at
the time of a Member’s retirement or departure from office, see Handling Cases
When Closing a Congressional Office
, later in this report. Most Members of
Congress do not archive case files to a repository not only because both Members
and repositories are concerned about privacy issues but also because repositories
cannot manage the large volume of these files. Some repositories take casework,
while others sample it. This should be discussed with the receiving depository as to
what it is willing and able to do. Most Members destroy case files before they leave
office.
Beyond privacy issues, the need to process such records and their volume would
be a heavy burden for a repository, especially since the researcher demands would
be focused on other aspects of the collection. It would be advantageous to include
12 For further information on grants, congressional staff may access the CRS Grants
Information Web page at [http://www.crs.gov/reference/general/grantsinfo.shtml]. CRS has
also produced another Web page Grants and Federal Domestic Assistance that can be
uploaded to a Member's home page for their constituents and grantseekers in Districts and
States. Congressional staff can call the CRS Products line, 202-707-7132 to request the
CRS Info Pack IP050G, Grants and Foundation Support, CRS Report 97-220, Grants Work
in a Congressional Office, CRS Report RS20514, Grants Information for Constituents, by
Merete Gerli, and CRS Report RS21117, Ethical Considerations in Assisting Constituents
with Grant Requests before Federal Agencies, by Jack Maskell.

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staff from the repository in the casework transfer process as early as possible to
determine which casework files (if any) should be saved.
In the unlikely case of a Member or repository agreeing to transfer casework
files, the deed of a gift should include provisions for personal information to be
redacted from the case files before the files are released to researchers. Relying upon
a signed form promising not to reveal personal information contained in a case file
released to the researcher is not enough to prevent the release of personal data.
Congressional offices should prepare and file periodic summary reports on their
casework. Such reports should summarize the office’s casework projects and their
status. It should not include any personal identifying information. This approach
would capture the essence of casework activities and allow for the secure
destruction of most casework files.
Casework should be conducted with sensitivity to the constituent’s personal
privacy rights. Although neither the Freedom of Information Act nor the Privacy Act
apply to Congress, they may be used by caseworkers to seek federal department and
agency records on behalf of constituents. The former law allows any person to
request existing unpublished agency records on any subject so long as the materials
are reasonably described and not otherwise restricted. The latter statute permits an
American citizen or permanent resident alien to seek agency records or files
pertaining exclusively to himself or herself.
General guidance on the Privacy Act is provided in an Office of Management
and Budget (OMB) memorandum of October 3, 1975, concerning “congressional
inquiries which entail access to personal information subject to the Privacy Act.”
OMB recommends that, as a matter of policy, each agency administering the Privacy
Act adhere to the position that disclosure may be made to a congressional office
pursuing personally identifiable information at the request of that individual.
Since most agencies will not release personally identifiable information without
written consent, it is important to have either a letter from the constituent that will
serve as a Privacy Act release or a separate form on file. The form may state, “I
authorize Senator/Representative to check into my case and receive
information connected with it.”13 The form must be sent to the constituent for
signature and returned. When contacting an agency on behalf of a constituent, a
caseworker may say, “This office has Mr./Ms. authorization to
receive information about his/her case.” Many agencies do not require the form and
will accept a verbal authorization, but only with the assurance that a Privacy Act
form will be forthcoming. It is in the interest of a member’s office to secure this
privacy release.
Analyzing the Constituent’s Problem
Frequently, when constituents seek assistance they have done everything they
know how to do and are coming to the Member’s office as a last resort because they
13 An example of a Privacy Act form used by one Member’s office is provided in Appendix
C: Sample Privacy Act Release Form.

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do not know where else to go for help. Often they feel caught in a bureaucratic
labyrinth. Accordingly, they may see their Member as a last chance for relief.
Identifying all elements of the problem is the first step for the caseworker:
sometimes individuals do not provide the whole story, and occasionally, they may
forget or omit crucial information. When caseworkers read a letter, see a referral
from the field office, or receive a phone call from a constituent, they should make
certain that they have all relevant information needed to proceed. For example, a
social security number and the age of the recipient, or time and length of military
service may not only be useful, but necessary in processing a claim.14
Upon receipt of the inquiry, most caseworkers feel it is advisable to send an
acknowledgment letter to the constituent immediately to inform them that the
Member is aware of the request and is inquiring into the matter, and that the
constituent will be contacted again when some response is forthcoming. This
method establishes a basic office file in the name of the constituent, and is also a
means of requesting any additional information from the constituent, if needed.
Every caseworker has to develop a method of analyzing the nature of the
constituent’s problem and conducting the most expeditious resolution of it. Knowing
where to go first can save time; the caseworker, therefore, must have a working
knowledge of federal agencies. This includes a knowledge of the relevant agency
program, as well as keeping abreast of current legislation that might affect the
constituent’s case. Understanding the various sources of assistance, federal and non-
federal, including welfare organizations and charities, can enable the caseworker to
assist more fully and expeditiously. Effective caseworkers develop a telephone list
of contacts in the various agencies and retain the numbers of other congressional
caseworkers who might be able to assist with a lead, a number, or advice based on
their own casework experience.
Caseworkers may consult Appendix A for contacts and telephone numbers for
various types of cases, such as civilian pensions and benefits, military affairs, and
State Department inquiries. For contacts not listed in Appendix A, the caseworker
could call the appropriate federal department or agency congressional liaison office
for the correct office or person to help with a particular problem. 15 This approach
may save valuable time, rather than guessing who might best be able to help a
constituent. Appendix B refers to contacts at military academies.
Members of Congress also receive inquiries from constituents dealing with
subjects or programs within the jurisdiction of state or local governments. In such
instances, the Member office must decide upon an appropriate response to the
constituent inquiry. Most Member offices routinely respond to constituent inquiries
about local government issues by referring the matter to local officials, and if the
decision is to refer the case to local officials, the constituent must be notified that the
congressional office has done so. However, some Members’ field office staff work
14 See Appendix A: Federal Office Contacts for Types of Cases and Information Required.
15 Congressional Liaison Offices of Selected Federal Agencies, CRS Report 98-446C, by
Suzy Platt (for congressional office use only).

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in conjunction with state legislative and local government staff as a means to more
effectively serve the constituency at the federal, state, and local levels.
In communicating with an agency, the caseworker must convey concern and,
if necessary, urgency, communicate clearly, and be reasonable, but persistent. The
caseworker must also decide how best to transmit the case, either by phone, fax,
buck-slip, or letter. The form of contact with the agency usually depends upon the
degree of urgency: sometimes the problem requires an immediate response, but
more often, it is not so urgent. All appeals for help, however, should be dealt with
in a timely and personal way on behalf of the Member. Once an agency has been
contacted, the case is tracked; if no response has been received after a reasonable
amount of time, a follow-up is done. Sometimes an interim response is sent to the
constituent advising that the Member is still working on the case. When the agency
finally renders its determination, caseworkers have to read it as if they were the
constituent and recast it, if necessary: rephrasing “bureaucratese” so that it is simple
and direct is an essential task of casework. Following are examples of several cases:
Worker’s Compensation. With a worker’s compensation case, a constituent
has typically filed a claim, but has not received the payment to which he or she feels
entitled. The Department of Labor, when contacted by a congressional office, will
locate the case, check the status, and determine agency action. It is the Department’s
practice to answer congressional correspondence within 14 calendar days.
As with most agencies, if the answer is still unsatisfactory, a reconsideration,
hearing, or procedure before the appeals board are all alternatives for a denied
constituent. The appeals process can vary from agency to agency. At the
Department of Labor, an individual may request one of the above or all three, but at
the appeals board level no new information can be entered. While agencies will
allow a caseworker to review the file, this is rarely done.
Military Personnel Inquiries. When contacting a military liaison officer on
behalf of a member of the Armed Services, provide the name, rank, social security
number, location and unit of assignment. Additionally, a military liaison will
probably require an acknowledgment that a Privacy Act clearance has been provided
to the congressional office by the military petitioner. The military petitioner’s unit
is contacted to determine the situation and to verify information provided to the
Member of Congress. If assistance or counseling is appropriate, the military
organization will do so, and express the Member’s interest in the matter. The
Member’s caseworker is then notified of the findings and/or actions taken as a result
of the inquiry.
Military Hardship Discharge. Military liaisons require the individual’s
name, rank, social security number, location and unit to which assigned, and the
circumstances of the request for a hardship discharge. Additionally, liaison officers
also require acknowledgment that a Privacy Act clearance has been submitted to the
congressional office by the requesting military member. The military liaison then
contacts the unit to which the member is assigned to determine his or her status and
to verify the information the military member has provided the Member. If the
military member has not yet filed a request for hardship discharge, the military
liaison asks the military organization to advise the military member regarding the

CRS-9
application, and expressing the Member’s interest in the matter. The military liaison
then notifies the Member’s staff and caseworker of their actions, and the outcome of
the case. The acceptable hardship criteria for a release as well as the steps involved
may differ among services.
Social Security (Lost Check). Typically, a retiree who has not received a
social security check contacts a Member of Congress. A caseworker on that
Member’s staff then contacts the Social Security Administration with the pertinent
information—name, social security number, type of benefit, and a description of the
problem. The agency confirms that the individual has reported the problem to its
district office and determines the check number, amount, and date of issue. This
information is furnished to the congressional office. A caseworker can greatly
expedite the claim by phoning this information to the Department of Treasury,
Congressional Division of Check Claims.
If the check has not been cashed, Treasury will confirm or place a stop order on
the check and reissue it immediately. If the check has been paid, a photostatic copy
and claim form are sent to the payee for endorsement verification. If it is shown that
the beneficiary did not receive or cash the check, a settlement check is issued to the
payee upon receipt of a properly executed claim. Suspicious circumstances
surrounding claims will be investigated, and such investigation can take several
months.
Social Security Appeal. Most appeals are within the disability area. An
unfavorable decision from the Social Security Administration, either in whole or in
part, may lead to an appeal. After a due process notice (appeals rights) goes out, the
constituent may file for reconsideration. This request for reconsideration must be
filed within 60 days of receiving the notice. The individual’s claim is then again
reviewed by the disability determination service. If a favorable answer is still not
forthcoming, the individual has 60 days to file for a hearing with an administrative
law judge, who will hear the case, in a face-to-face hearing if so desired. If the
judge’s ruling is unfavorable, there is further recourse. A request for further review
must be filed within 60 days. An appeals council may review the decision. After
that, it can be taken outside the purview of the federal agency to the federal district
court in the constituent’s area.
Congressional Intervention in the Administrative Process
Adhering to ethical and legal standards is of concern to Members of Congress
and their personal and committee staff when intervening in the administrative
process. Congressional interventions involve varying degrees of intrusion into
agency decision making processes.16
16 See Appendix D: Legal and Ethical Considerations of Casework. See also CRS Report
90-440, Congressional Intervention in the Administrative Process: Legal and Ethical
Considerations, by Morton Rosenberg and Jack H. Maskell.

CRS-10
Tracking Casework
Once an agency has been contacted on behalf of the constituent, the case should
be tracked. Although a letter is usually sent to the agency head from the Member of
Congress, it frequently helps to contact directly key agency staff likely to respond
to a casework request. Sometimes an interim response is sent to the constituent
advising that the Member is still working on the case. If no agency response has
been received after a reasonable amount of time, a follow-up is advised. When the
agency finally renders its determination, a caseworker should read it as if the
caseworker were the constituent. Rephrasing bureaucratic wording and procedures
is an essential task of casework.
Casework and other requests of Members invariably increase over time. In
order to cope with the workload, offices have installed computer and word
processing systems. Such equipment enables offices to retain, in computers, disks
or tapes, casework information, including constituent’s name, the problem, any
interim communications, and final disposition data. Case management software may
create particular problems for repositories unprepared for dealing with such special
media. Over time, the problem with case management software will only grow for
members who serve for many terms.
Disposition of Casework
Successful resolution of a case, more than anything else, will show the
individual that his or her Member, and the government, are really working for the
constituent. There are times, however, when it is not possible to achieve what an
individual has requested. A caseworker has to know when the case is no longer
worth pursuing. On the other hand, a caseworker must know when to persist in the
face of perceived agency resistance, and to do the utmost to assure as complete an
effort on behalf of the constituent as possible. If advisable, a negative decision from
an agency can be appealed to the appropriate agency office.17
Closed cases are kept on file for future reference. The files provide a Member
with examples of service to constituents and can be brought to the Member’s
attention for possible use when communicating with constituents. If the situation is
newsworthy, the Member’s press aide should be involved. Successful cases are
sometimes included in newsletters, press releases, and in human interest feature
stories. The constituent’s permission, of course, is required.18
17 If the case is taken through the administrative process and the constituent feels that he or
she has unjustly been denied recourse or benefits, they have the right to take their grievance
to federal court, but only after the administrative process and appeals have been completed.
18 The Legislative Resource Center, Office of the Clerk of the House (202-226-5200), the
Office of Historian, Secretary of the Senate (202-224-3351), and the Senate Sergeant at
Arms (202-224-2341) provide assistance and guidelines to Members on records management
issues, particularly for those who are leaving Congress. See their documents: Closing a
Congressional Office: A Guide to the Disposition of Official Papers and Records (House
Clerk) and Records Management Handbook for U.S. Senators and Their Archival
Repositories (S. Pub. 102-17), Secretary of the Senate.
(continued...)

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Handling Cases When Closing a Congressional Office
Archivists recommend preserving case files that relate to particular issues (black
lung disease and disaster relief in the district/state, for example), only if the office
has maintained these files separately or can retrieve them easily. If one wishes a
special restriction on personal information in case files, it should be written into the
deed of the gift. Possible restrictions on case files include that the files be used for
statistical purposes only or be closed for a longer time than other sections of the
office records. Another alternative is that the depository or library require
researchers to sign an agreement that they will not use names or quote from
particular documents. The requirement both allows researchers to use the case files
and gain information from them but also discourages publication that would
embarrass any specific individual.
Some casework files may be vital to understanding the activities of the Member.
Such files may initiate ideas for legislation or policy advocacy. In other cases, these
files may reflect the policy record or a particular interest of the Member. Such
casework files should be maintained separately or filed among the Member’s
legislative or personal files. The House and Senate do not recommend keeping case
files, but do suggest keeping samples of files. Such a strategy allows for redacting
individual files. Case files should be kept if the case led to agency or legislative
oversight investigation or if the case is of particular interest to a Member of
Congress.
To reduce the number of open case files, it is advisable for departing Members
to set a date beyond which they will not accept new case files. The constituent’s
request is returned with a letter recommending that the request be resubmitted to the
Member’s successor or a Senator whose term is not expiring.
Open cases are those that are unresolved or not concluded by the time the
Member leaves office. Representatives have a number of options with regard to
these cases. They may pass on open cases to their successor, assuming the successor
is willing, and the constituent has granted approval. Sometimes, however, this is not
politically desirable. A retiring Member of the House may transfer open cases to one
of the state’s Senators, assuming a Senator and the constituent are agreeable to this
arrangement. If not, the active file is returned to the constituent.
When Senators leave office, active files are customarily transferred to the
succeeding Senator, or to the other Senator representing the same state, so that work
can continue on the problem. In some offices, however, Senators who are leaving
18 (...continued)
Courtesy storage facilities are available to Members of Congress at the Washington
National Records Center of the National Archives and Records Administration (NARA) in
Suitland, Maryland. Many Member offices store closed case files in courtesy storage. If an
office uses courtesy storage, they must keep on file Standard Form 135 to allow staff to keep
track of these files. When a Member is aware that he or she will not be returning to
Congress, staff should consult their SF 135 to determine whether courtesy storage files
should be returned to the office, sent to the repository, or destroyed by the records center.

CRS-12
will return the active file to the constituent, with a letter explaining that they are
leaving office and are no longer able to follow the case to a conclusion.

CRS-13
Appendix A: Federal Office Contacts for
Types of Cases and Information Required
For a list of congressional liaison offices in over 150 federal agencies, call CRS
Products Line at 202-707-7132 and request CRS Report 98-446, Congressional
Liaison Offices of Selected Agencies
, a report to aid congressional offices in placing
telephone calls and addressing correspondence to government agencies. The most
common requests for assistance are noted here, including the type of information
usually needed, and a contact name and phone number.
Civilian Pensions and Benefits
1.
Social Security Benefits. Retirement, disability, and survivors. Provide
social security number, nature of the problem, name and address, type of
benefit.
410-965-3929 Mr. Marlow L. Mitchell (Social Security Administration)
2.
Supplemental Security Insurance. Name, address (each state has
different rules), social security number and nature of impairment: aged, blind,
or disabled.
410-965-3929 Mr. Marlow L. Mitchell (Social Security Administration)
3.
Black Lung Benefits. Administered by the Department of Labor. Social
security number, name, city, nature of the problem, claim number, and date of
claim.
202-693-4600 Mr. Blair Palmer (Department of Labor)
4.
Medicare. Name, address, medicare claim number, social security number,
and description of problem.
202-690-8220 Ms. Carleen Talley (Center for Medicare and Medicaid Services)
5.
Civil Service Retirement. The Office of Personnel Management administers
both the Civil Service Retirement System and the Federal Employees
Retirement System. Applicants include those seeking regular and disability
retirements, or their surviving spouses and children. Other categories of
inquiry: lost checks; change of address for correspondence and direct deposit
for checks; refunds of retirement contributions; voluntary contributions; federal
employees health benefits program; federal employees group life insurance
program; federal and state income tax withholding; federal long-term care;
court orders and tax levies; and deposits and redeposits.
For each inquiry it is necessary to have either the civil service annuity number,
survivor number, or a social security number, and date of birth of the person
receiving benefits.
202-225-4955 Ms. Charlene Luskey (Office of Personnel Management)

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6.
Railroad Retirement. For benefits and unemployment benefits, provide
name, address, social security number.
312-751-4974 Mr. Rich Konopka (Railroad Retirement Board)
7.
Unemployment Benefits. Name, social security number, place of last
employment, reason for termination. In general, cases should be handled
through the local unemployment office first.
202-693-4600 Ms. Miriam Hedgcock (Department of Labor)
8.
Workers’ Compensation. Name, address, social security number, claim
number, date of injury, and status of care. (Could cover, for example, long
shore and harbor workers, F.E.C.A., or black lung programs).
202-693-4600 Mr. Blair Palmer (Department of Labor)
Military Affairs and Service Academies
9.
Military. Hardship and retirement cases. Name, rank, social security number,
location, unit to which assigned, nature of the problem.
Army:
(Senate) 202-224-2881 Col. John Schorsch
(House) 202-225-6818 Col. Michael DeYoung
Navy:
(Senate) 202-685-6003 Capt. Mark Ferguson
(House) 202-685-6079 Capt. Dale Lumme
Air Force:
(Senate) 202-685-2573 Col. David Edmonds
(House) 202-685-4531 Col. David Scott

Coast Guard: (Senate) 202-224-2913 Cdr. Tim Cook
(House) 202-225-4775 Cdr. Karl Schultz
10. Military Academy Recommendations. Name, address, desired
appointment, indication of credentials and brief history requested for a letter of
recommendation.19
11. Selective Service System. For those born on or after January 1, 1960:
name and social security number; selective service number is helpful. For those
born prior to January 1, 1960: name, date of birth, and address at time of
registration; selective service number is helpful. For approval or disapproval
of educational loans under Title IV of the Higher Education Act—name, social
security number, and/or selective service number.
703-605-4100 Mr. Dick Flahavan (Selective Service System)
19 See Appendix B: Appointments to U.S. Military Service Academies.

CRS-15
12. Veterans (Department of Veterans Affairs (VA)). VA benefits include,
but are not limited to, disability, education and training, home loan, life
insurance, burial, survivor benefits, and health care benefits. Eligibility for
most VA benefits is based upon discharge from active military service other
than from training under honorable conditions for a minimum period specified
by law.
Provide veteran’s name, social security number, claim number, policy number
(for insurance), date of birth and period of service. Evidence of honorable
discharge may be necessary.
202-224-5351 Ms. Patricia Covington (Senate) (VA)
202-225-2280 Mr. Paul Downs (House) (VA)
State Department Inquiries
13. Visas. Name, date, place of birth, type of visa (visitors, working, student,
immigrant); where they applied; nature of the problem, if applicable.
202-663-1516 Ms. Luisa Hahn (State Department)
14. Passports. On an emergency basis, may be completed on same day. Name,
address, certified birth certificate, driver’s license, previous U.S. passport or
naturalization certificate, two passport photos, fee, flight tickets, pertinent
application form.
202-955-0198 Ms. Patience Tait (State Department)
15. Letters of Introduction. To American embassy abroad. Congressional
office may contact State Department or embassy directly. Provide name of
constituent, date of visit to foreign country. Suggested clause to be included in
letter: “Within appropriate laws and regulations, please extend appropriate
courtesies to my constituent.”
16. Overseas Citizens Services. Deaths, arrests, missing persons, child
custody, injured relatives—name, relevant information on itinerary or location.
202-647-5226 Ms. Dianne Andruch (State Department)
17. Refugee/Asylum Cases. 202-663-1056 Ms. Pam Lewis (State Department)
Other
18. Immigration. Name, place and date of birth, immigration file number or
receipt number if known, type of case, location, alien number (if applicable),
and date of filing. If the case was denied, find out if and when an appeal has
been filed.
202-514-5231 Ms. Sarah Taylor (Immigration and Naturalization Service)

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19. Labor Certification. Employees who have applied for certification. Provide
employee name, employer name, type of job, case number, last action, date of
application or appeal. Employers (former) who are being investigated.
Provide name of employer or person being investigated, location, name of
individual making the inquiry.
202-693-4600 Mr. Andrew Coats (Department of Labor)
20. Higher Education Loans and Assistance. Student financial assistance,
grants, budget and legislative proposals.
(a) Student financial assistance and related issues including repayment,
defaults, consolidation.
202-401-1028 Ms. Libby Upshur (Department of Education)
(b) Budget and general program questions
202-401-1028 Ms. Cynthia Wetmore (Department of Education)
(c) Legislative proposals
202-401-1028 (request appropriate specialists)
(d) Grant funding
202-401-1028 Ms. Elnora Walker; Ms. Barbara Dorsey (Department of
Education)
(e) Correspondence
202-401-1028 Ms. Theresa Toye (Department of Education)
21. Farmers’ Loans. Farm Credit Administration. Knowledge of whether
application has already been made, name, address, county and state in which
property is located.
703-883-4056 Mr. Mark McBeth; Mr. Hal DeCell III (Farm Credit
Administration)
22. Communications Licenses. The information needed depends on the nature
of the inquiry. For example, for status queries about pending applications, the
agency needs the name of the applicant, file number, call number of station, and
city of license.
202-418-1903 Ms. Martha Johnston (Federal Communications Commission)
23. Government Procurement and Property. General Services
Administration (GSA) provides the following assistance regarding government
procurement and property: how to obtain surplus personal/donation property;

CRS-17
how to do business with the federal government; federal travel regulations/per
diem rates for federal employees; child care in the federal workplace;
regulations on smoking in federal buildings; GSA owned/leased space; and
disposal of surplus real property (land/structures).
202-501-0563 Ms. Brenda Short (General Services Administration)
24. Housing. Name, address, property address, indications of need, case or file
number. Specify public or FHA assisted or insured housing. Programs cover:
housing for the elderly and handicapped; Section 8 voucher and certificate
assistance; Fair Housing; FHA insurance; manufactured housing; home equity
conversion mortgages; and home ownership assistance for low-income and
moderate-income families. May also require contact with local public housing
agency or regional Department of Housing and Urban Development (HUD)
program.
202-708-0380 Mr. Christopher Lord (HUD)
25. American Indians and Alaska Natives. To be eligible for most Bureau
of Indian Affairs programs, an individual must be a member of a federally
recognized tribe living on or near a reservation.
202-208-5706 Ms. Jaqueline Cheek (Bureau of Indian Affairs)
26. Postal Service. Employee problems, job opportunities, mail delivery,
provide name, address, Post Office involved.
202-268-3429 Ms. Kim Weaver (U.S. Postal Service)
27. Federal Prisoners. All matters related to the care, treatment, and
programming of federal prisoners.
(a) All matters regarding incarceration to include transfers, medical care,
furloughs and halfway house placement. (Provide either name or register
number.)
202-514-9663 Mr. Matthew Bronick (Federal Bureau of Prisons)
(b) Prisoner paroles: provide name, register number, name of prison.
301-492-5990 Mr. William Paul Ketchpaw (U.S. Parole Commission)
28. Small Business. Small business loans and contract assistance. For a Small
Business Administration (SBA) loan, provide name of business, location where
filed, amount, if possible, other pertinent information. For SBA contract
assistance, give name of contract, type of contract, which government agency
provides contract, name of contracting officer, if possible. For SBA 8(A)
certification: provide company name, date the company filed for certification,
name of any SBA contact person with whom they have worked, and what they
have heard from that person.

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202-205-6700 Mr. Richard Spence (Small Business Administration)
29. Treasury. Department of Treasury, Internal Revenue Service: All
Congressional activities and legislative proposals that enhance tax
administration, are provisions of newly-enacted tax legislation, and
GAO/TIGTA reviews.
202-622-9590 Mr. Floyd Williams (Department of Treasury)
30. U.S. Commission on Civil Rights. Civil Rights Complaints
202-376-7700 Ms. Kim Alton (U.S. Commission on Civil Rights)
31. Recommendations for Federal Employment. Nature of the situation,
whether school or job, relationship with Member of Congress.
Members of Congress and their employees may make recommendations
regarding federal employment. However, appointing personnel in the executive
branch may consider recommendations from a Member of Congress only as to
the character and residence of that person.20
20 See “Employment Recommendation Restrictions,” Appendix D, Legal and Ethical
Considerations of Casework. See also U.S. Congress, House Committee on Standards of
Official Conduct, [http://www.house.gov/ethics] Employment Recommendations Memo and
U.S. Congress, and U.S. Congress, Senate Select Committee on Ethics, Senate Ethics
Manual, S. Pub. 106-40, 106th Cong., 2nd sess. (Washington: GPO, 2000), pp. 230-235.] and
Senate Ethics Manual, 108th Congress [http://ethics.senate.gov].

CRS-19
Appendix B: Appointments to U.S. Military
Service Academies
U.S. Military, Naval, and Air Force Academies
Nominations for appointments to U.S. military service academies made by
Members of Congress are accepted by the U.S. Military Academy, the U.S. Naval
Academy, and the U.S. Air Force Academy. The following nominating procedures
apply to the U.S. Military, Naval, and Air Force Academies: The quota for
appointments is five cumulative per Senator and five cumulative per Representative
to each academy at any one time. Appointments made by a predecessor are
considered part of the quota of a newly elected Member.
Nominations by Members are made when a vacancy in the appointment quota
occurs, i.e., when an appointed member graduates or for any reason leaves an
academy. Announcements of vacancies in the U.S. Naval Academy, the U.S.
Military Academy, and U.S. Air Force Academy are made by July of the preceding
year. Additional announcements are made as vacancies occur due to separations
from the academies. Notification of vacancies in an individual Member’s quota is
made at the beginning of a newly elected Member’s term of office. Unfilled
vacancies are carried over from one year to the next.
Tri-service nomination forms (DD Form 1870) are supplied to each Member
with the notification of a vacancy in an academy quota. Additional forms can be
obtained on request from academy liaison offices. Members may use the Senate
[http://webster.senate.gov] and House [http://intranet.house.gov] Intranet programs
to access the nomination form. Once the form has been completed, it should be
printed and signed by the Representative or Senator. The signed original is then
submitted to the appropriate service academy.
The following information should be typed on a nomination form: full name (no
nicknames); date of birth; social security number; permanent address; temporary
address; identification of candidate as constituent; type of nomination; alternate’s
numerical rank, if applicable; and signature of the Member of Congress.
In addition to requesting nomination by a Member of Congress, the individual
must complete an application form for each academy to which the candidate is
applying. Application form request cards are supplied by the academies to either
Members of Congress or applicants.
A maximum of up to ten applicants may be nominated for each vacancy. Since
five vacancies are available over the four class years at each academy, there is only
one year that a Member of Congress may fill two vacancies without being closed out
for an upcoming class. Being closed out means that a Member may not make any
nominations for the class entering that year. Congressional staff should contact each
academy to confirm vacancies prior to submitting nominations.
Three methods of nominee selection can be used by Members:

CRS-20
Competitive Method—ten nominees are submitted for one vacancy; most
qualified nominee is appointed by the academy.
Principal with Competing Alternates Method—Member’s first choice of
nominees is designated as principal nominee. If fully qualified, the nominee will
receive an appointment; if disqualified, the other nominees compete for the vacancy.
The most qualified person receives the appointment.
Principal with Numbered Alternates Method—The principal nominee is
designated by a Member; alternates are numbered in order of preference. If fully
qualified, the principal receives the appointment. If disqualified, alternates are
considered in order of preference until one is fully qualified and offered an
appointment.
A combination of methods can be used if two or more vacancies exist. For
example, in the case of two vacancies, one principal with nine alternates and ten
competitors can be nominated, or 20 competitive nominees can compete for the two
vacancies.
Admission to the academies can also be obtained through the following
appointment procedure: a qualified alternate can be appointed to bring academies to
maximum strength. Qualified nominees who did not receive appointments for which
they were nominated are eligible. Appointments are granted in order of merit and
are charged against quotas of the secretaries of the military services.
Nominations to more than one academy can be made for one applicant.
Applicants can be nominated by both a Senator and a Representative; if appointed,
the applicant’s appointment will be charged against only one vacancy.
The deadline for submission of nominations by Members is January 31 of the
year for which July entrance is desired. Nominations will be accepted at the U.S.
Military and Naval Academies from July 1 of the previous year to January 31, and
at the Air Force Academy from May 1 of the previous year to January 31.
Members are informed of the status of nominees throughout the selection
process. Notification of a nominee’s appointment is made to a Member of Congress
by telephone or e-mail about three days (military academy—two days) in advance
of the Academy mailing the letter of the appointment. Advance notice to a Member
allows time for personal congratulations by the Member prior to academy
notification to nominee.
Qualifications and Legal Requirements
Qualifications for admissions to the academies include a consideration of
scholastic examination scores, physical aptitude scores, class rank, extracurricular
activities, athletics and medical examinations, and are determined on an individual
basis through evaluation of the “whole person.” An academy looks at the whole
person to determine whether a candidate is qualified scholastically. Although the
SAT-1/ACT are a good guideline, class rank, a student’s transcript, teacher
recommendations, and extra-curricular activities (both athletic and non-athletic) are

CRS-21
all carefully considered by the admissions board. A congressional office should
review each academy’s most recent class profile for specific information on scores
and class ranks of admitted students.
Scholastic Assessment Test-1 or American College Testing examinations are
required of all applicants. Guideline scores required generally (check specific
requirements with Academy in which interested) are:
SAT-1
ACT
Military Academya
560 Verbal; 560 Math
23 English; 24 Math
Naval Academy
600 Verbal; 600 Math
26 English; 26 Math
Air Force Academyb
580 Verbal; 610 Math
26 English; 26 Math
a In addition, the Military Academy requires ACT scores of 24 in Reading and 23 in Science
Reasoning.
b In addition, the Air Force Academy requires ACT scores of 26 in Reading and 26 in Science
Reasoning.
Test scores will be sent directly to a Member on the request of a nominee.
Nominees financially unable to take College Boards can do so, free of charge, with
a verification of need from a high school official. Members of Congress may contact
the Educational Testing Service (609-771-7091) to be assigned a SAT code number
so that SAT-1 scores are sent directly to the Member of Congress. Extra copies of
ACT scores are obtained when the applicant indicates a request for them on the ACT
application form. The applicant must then send an extra copy to the Member from
whom a nomination is being requested. Most students rank in the top 40% of their
high school classes.
Physical aptitude examination is required of all nominees. A medical
examination is required of all applicants; exams are given at various locations around
the country. Evaluation of all medical examinations is made by the Department of
Defense Medical Examination Review Board.
20/20 vision uncorrected is required of 65 % of the applicants for the U.S.
Naval Academy. Vision must be correctable to 20/20 for applicants to the U.S.
Military Academy. U.S. Air Force Academy applicants must have uncorrected
distant visual acuity no worse than 20/50 for (pilot), 20/200 (navigator), correctable
to 20/20 in each eye. Uncorrected near visual acuity worse than 20/20 (pilot) and
20/40 (navigator), must be correctable to 20/20 in each eye.
Minor disqualifying defects subject to medical or dental correction can be
waived. Disqualifying illnesses include chronic skin disease; asthma; organic heart
diseases; uncorrected hernias; and loss of either thumb or great toe.
Candidates must be: citizens of the United States; at least 17 and no more than
23 years of age by July 1 of the year of entry; unmarried, not pregnant, and have no
legal requirement to provide support to a dependent; of good moral character; and
be a resident and legally domiciled in the state/district from which they are
nominated.

CRS-22
Additional Types of Nominations for Appointments.
Presidential Nominations to Academies can be given to sons and daughters of
career or retired military parents. Applications by eligible applicants are made
directly to the academies. Appointments are competitive.
Vice Presidential Nominations for appointment can be made by the Vice
President of the United States as the President of the Senate. Nominations are made
from the nation at large; quota is five appointments to each academy. Applicants
must write to the Vice President for consideration.
Sons and Daughters of Medal of Honor winners can be appointed to the
academies. Applications by eligible applicants are made directly to the academies.
Applicants must only meet qualifications for admission. Qualified children of POWs
and MIAs and of deceased or disabled veterans may compete for one of 65
appointments by applying directly to the academies.
Nominations for Active Duty Enlisted Members can be made by the secretaries
of the Army, Navy, and Air Force. Honor military schools, JROTC and ROTC units
also have limited nominating authority.
Liaison Offices
U. S. Military Academy
USMA Directorate of Admissions
Official Mail and Distribution Center
646 Swift Road
West Point, NY 10996
Attn: Cpt. Bruce Ryba
Telephone 1-800-832-2769
845-938-5723/5754/5747
Fax: 845-938-7608
U.S. Air Force Academy Liaison Office
USAFA/RRA
Pentagon Room 5E-152
1040 Air Force Pentagon
Washington, DC 20330-1040
Ms. Karen Parker, Chief
Telephone: 703-695-4005
Fax: 703-695-7999
U.S. Naval Academy
Nomination and Appointments Office
117 Decatur Road
Annapolis, MD 21402
Ms. Cathy Trebelhorn
Telephone: 410-293-1820
Fax: 410-293-1828

CRS-23
Additional information, services, and assistance in making nominations are
provided by the academy liaison offices. Services include personal visits to
Members’ offices by academy representatives; dissemination of information for
applicants to Members’ offices; and providing assistance, on request, in forming
selection committees to assist a Member in making nominations to the academies.
The U.S. Military Academy sponsors one trip a year for congressional staff to
visit the academy and periodic visits for educators. The U.S. Naval Academy hosts
periodic orientation visits for congressional staff and educators. The Air Force
Academy Group conducts two to three orientation tours to the academy each year for
congressional staff who are responsible for the academy program. Workshops are
conducted annually in major U.S. cities.
U.S. Merchant Marine Academy
Each Member of Congress may nominate 10 candidates to the U.S. Merchant
Marine Academy annually. Nominees must be (a) U.S. Citizens or a national of the
United States; and (b) a resident of the state/district represented by such Member.
Nominees then compete for appointment to the academy based upon their
competitiveness and state and national vacancies.
Factors considered in the admissions process include a candidate’s academic
record, class rank, and test scores (ACT or SAT-1). Also candidates must meet
specific medical and physical requirements as well as Naval Reserve midshipmen
standards. Congressional staff should submit the nomination form (MA 423) to the
academy.
During their four years at the academy, midshipmen serve abroad on U.S. flag
merchant vessels for at least 300 days as they prepare for their licensing as either
third-mate or third-assistant engineer. Upon completion of their four years at the
academy, graduates may enter any branch of the armed forces (Army, Navy, Air
Force, Marine Corps, Coast Guard) or the National Oceanic and Atmospheric
Administration. Or, they may serve in any branch of Reserve or Guard forces while
also satisfying their obligation through service in select positions in the marine and
transportation industries.
Additional information can be obtained by calling Capt. James M. Skinner,
director of admissions at 516-773-5391 or 1-866-546-4778; or fax 516-773-5390;
or by e-mail at admissions@usmma.edu. The Merchant Marine academy’s web site
is [http://www.usmma.edu].
U.S. Coast Guard Academy
The U.S. Coast Guard’s mission is to protect the public, the environment, and
U.S. economic interests—in the nation’s ports and waterways, along the coast, on
international waters, and any maritime region as required to support homeland
security.
The U.S. Coast Guard Academy is the only one of the service academies that
offers appointments solely on the basis of a annual nationwide competition. No

CRS-24
congressional nominations or geographic quotas are involved. Applicants must be
U.S. citizens between 17 and 22 years of age upon entering the Academy. Eighty
seven percent of the Coast Guard Academy corps of cadets graduated in the top 25%
of their high school class. Applicants must have taken the SAT-1 or ACT by
December of their senior year. Mean SAT-I scores are math-640, verbal-620; mean
ACT scores are math-27, verbal-27. Competitive candidates should have a strong
college preparatory program, including four years of english, mathematics
(including algebra II or pre-calculus), and four years of sciences (including chemistry
and physics).
Essential factors considered in the admissions process are academic preparation
(reflected by class rank, standardized test scores, and secondary school record) and
interest in technical studies. Additionally, weight is placed on character and personal
qualities,athletic accomplishment, leadership potential, essays and recommendations.
Applicants are required to submit a preliminary application no later than December
15, the fall semester of their senior year and a final application no later than January
30 for appointment to the incoming class the following year. Coast Guard Academy
admissions are a rolling process that allows candidate applications to be reviewed as
soon as a complete application is received.
A Coast Guard Academy medical examination must be passed before a
candidate can receive an appointment. The most frequently encountered medical
problem areas are visual acuity (all candidates accepted shall have an uncorrected
visual acuity no poorer than 20/400 in either eye and must be correctable to 20/20
in each eye); color vision (color blindness, complete or partial, is cause for
disqualification) and asthma.
Applications should be made directly to the Coast Guard Academy, Office of
the Director of Admissions, New London, CT. 06320. For additional information,
the web site is [http://www.cga.edu], or call Captain Susan Bibeau at 1-800-883-
8724 or fax 860-701-6700.

CRS-25
Appendix C: Sample Privacy Act Release Form
PLEASE RETURN THIS FORM TO:
Senator/Representative
United States Senate (House of Representatives)
Washington, D.C. 20510 (20515)
(Date)
TO WHOM IT MAY CONCERN:
I am aware that the Privacy Act of 1974 prohibits the release of information in my
file without my approval. I authorize the (name of federal agency or Department)
to provide information on my claim/case to (Senator/Representative) .
(Signature)
(Address)

(Social Security or claim number)
(Telephone Number)
If you wish information to be provided to parent, child, attorney, or other
interested party, please indicate below.
I authorize to receive information from
Senator/Representative relative to my claim/case.
(Signature)
Note: To expedite delivery to congressional offices, constituents should use the Zip
Code plus four digits in addressing correspondence. Mark envelope: “Privacy Act
Request.”

CRS-26
Appendix D: Legal and Ethical Considerations
of Casework
Title 5 United States Code Section 3303 prohibits appointing officers of the
federal government from considering or receiving a recommendation other than as
to character or residency.
Title 18 United States Code Sections 201(b) and 201(c) forbids Members of
Congress and their staff from soliciting or receiving a bribe or anything of value for
or because of any official act performed.
Title 18 United States Code Section 203(a) states that Members and their staff
may not be privately remunerated for casework interventions on behalf of any
person; it sets forth penalties for any person who:
... directly or indirectly demands, seeks, receives, accepts or agrees to receive or
accept any compensation for any services rendered or to be rendered personally
or by another
1.
At a time when such person is a Member of Congress; or
Member of Congress Elect ...; or
2.
At a time when such person is an officer or employee of
the United States in the legislative ... branch of the
government ...
in relation to any proceeding, application, request for a ruling or other
determination, contract, claim, controversy, charge, accusation, arrest, or other
particular matter in which the United States is a party or has a direct and
substantial interest, before any department, agency, court-martial, officer, or any
civil, military, or naval commission ...
Shall be fined not more than $10,000 or imprisoned for not more than two years
or both; and shall be incapable of holding any office of honor, trust, or profit
under the United States.
Title 18 United States Code Section 205 forbids government officials from
privately handling cases before government tribunals on behalf of an individual, but
allows Members of Congress to do so without compensation. There are, however,
limits on Member representation; for example, they are prohibited from appearing
in maritime cases and before the Court of Claims and the now defunct Indian Claims
Commission.
Agency Intervention Protocol
Members of Congress are prohibited from ex parte communications concerning
formal adjudications (off-the-record communications by one person concerning some
agency action), and must abide by the rules which apply to all citizens making
inquiries to federal agencies (5 U.S.C. 557(d)). This does not mean that they cannot
contact agencies, but their communications may be made public under the ex parte

CRS-27
rules of a particular agency. The prohibition only applies to formal agency
adjudications (hearings on the record), and not to regular casework.21
Employment Recommendation Restrictions22
There is now no specific prohibition on Members recommending or referring
applicants for federal positions or for other federal personnel actions; hiring officials
are instructed only to receive and consider such “recommendations” from a Member
as to the character or residence of the applicant, however. Additionally, hiring
officials may consider and receive statements from a Member based on personal
knowledge or records, related to an applicant’s work performance, ability, aptitude,
qualifications, or suitability (P.L. 104-197, Section 315).
Current law prohibits officials in the executive branch from receiving and
considering any recommendations from a Member of Congress of an applicant for
a federal position except as to the character and/or residency of the applicant. A
Member of Congress is not expressly prohibited, however, from making such
recommendations (5 U.S.C. 3303). Current law protects against any potential
political abuses in civil service hiring by prohibiting the consideration of political
factors by appointing officials in referrals from Members or in any referrals (5
U.S.C. 3303 and 2302(b)), and prohibits anyone in the federal service from
considering recommendations or statements other than those that evaluate work
performance, ability, qualifications and suitability (5 U.S.C. 2302(b)(2)).
Responsibility to Constituents
(House Ethics Committee Advisory Opinion)

In its first advisory opinion, issued on January 26, 1970, the House Committee
on Standards of Official Conduct (the Ethics Committee) concluded that the exercise
of the First Amendment right applies not only to petition by groups of citizens with
common objectives, but increasingly by people with problems or complaints
involving their personal relationship with the federal government. The Committee
reasoned that:
As the population has grown and as the government has enlarged in scope and
complexity, an increasing number of citizens finds it more difficult to obtain
redress by direct communication with administrative agencies. As a result, the
individual turns increasingly to his most proximate connection with the
government, his representative in the Congress, as evidenced by the fact that
21 For a further explanation, see CRS Report 90-440, Congressional Intervention in the
Administrative Process: Legal and Ethical Considerations, by Jack H. Maskell and Morton
Rosenberg.
22 This section was written by Jack H. Maskell, American Law Division, Congressional
Research Service. See also U.S. Congress, House Committee on Standards of Official
Conduct, [http://www.house.gov/ethics] Employment Recommendations Memo and U.S.
Congress, Senate Select Committee on Ethics, and Senate Ethics Manual, S. Pub. 106-40,
106th Cong., 2nd sess. (Washington: GPO, 2000), pp. 230-235 and Senate Ethics Manual,
108th Congress [http://ethics.senate.gov].

CRS-28
congressional offices devote more time to constituent requests than to any other
single duty.
The reasons individuals sometimes fail to find satisfaction from their petitions are
varied. At the extremes, some grievances are simply imaginary rather than real,
and some with merit are denied for lack of thorough administrative consideration.
Sheer numbers impose requirements to standardize responses. Even if
mechanical systems function properly and timely, the stereotyped responses they
produce suggest indifference. At best, responses to grievances in form letter or
by other automated means leave much to be desired.
Another factor which may lead to petitioner dissatisfaction is the occasional
failure of legislative language, or the administrative interpretation of it, to cover
adequately all the merits the legislation intended. Specific cases arising under
these conditions test the legislation and provide valuable oversight disclosure to
the Congress.
Further, because of the complexity of our vast federal structure, often a citizen
simply does not know the appropriate office to petition.
For these, or similar reasons, it is logical and proper that the petitioner seek
assistance of his Congressman for early and equitable resolution of his problem.23
The Committee on Standards of Official Conduct issued House Advisory
Opinion No. 1 because it had received a number of requests on what “actions a
Member of Congress may properly take in discharging his representative function
with respect to communications on constituent matters.” The advisory opinion was
written to provide guidelines that would be of assistance to Members in dealing with
such matters.
Representations Before Federal Agencies
The Committee expressed its opinion:
that a Member of the House of Representatives, either on his own initiative or at
the request of a petitioner, may properly communicate with an Executive or
Independent Agency on any matter to request information or a status report;
urge prompt consideration; arrange for interviews or appointments; express
judgment; call for the reconsideration of an administrative response which he
believes is not supported by established law; federal regulation or legislative
intent; or perform any other service of a similar nature in this area compatible
with the criteria hereinafter expressed in this Advisory Opinion.
23 U.S. Congress, House Committee on Standards of Official Conduct, “Advisory Opinion
No. 1: The Role of a Member of the House of Representatives in Communicating with
Executive and Independent Federal Agencies,” Congressional Record, vol. 116, Jan. 26,
1970, p. 1077.

CRS-29
Principles to be Observed
The Committee concluded that the “overall public interest, naturally, is primary
to any individual matter and should be so considered. There are also other self-
evident standards of official conduct which Members should uphold with regard to
these communications.” The Committee recommended that Members observe the
following three basic principles of official conduct:
1.
A Member’s responsibility in this area is to all his constituents
equally and should be pursued with diligence regardless of
political or other considerations.
2.
Direct or implied suggestion of either favoritism or reprisal in
advance of, or subsequent to, action taken by the agency
contacted is unwarranted abuse of the representative role.
3.
A Member should make every effort to assure that
representations made in his name by any staff employee
conform to his instruction.
The Committee noted that “subsequent legislation, regulation or rules may
affect part or all of this advisory opinion.”24
Guidance for Future Conduct
(Senate Ethics Committee Report)

The Senate Ethics Committee in the final report on its investigation of five
Senators who intervened on behalf of Lincoln Saving and Loan Association
presented the following guidelines for future conduct:
During the time that the Committee has had the Keating matter before it, the
Committee has had the opportunity to review the sources discussed above and to
consider at length the issue of the propriety of interventions with a federal agency
on behalf of an individual who has made or raised significant political
contributions. Based on this experience, the Committee suggests that until writ-
ten guidelines have been adopted, a Member who has any reasonable doubt about
whether to proceed in a particular matter consider the following issues:
The merits of the constituent’s case.
The continuing viability of the constituent’s claim. If the
constituent’s claim initially appeared to have merit, has the Senator
acted despite facts or circumstances that later undermined the merits
of that claim?
24 U.S. Congress, House Committee on Standards of Official Conduct, “Casework
Considerations,” House Ethics Manual, 102nd Cong., 2nd sess., April 1992 (Washington:
GPO, 1992), pp. 239-266.

CRS-30
The kind of agency involved and the nature of its proceedings. Is the
agency performing in a quasi-judicial, adjudicative or enforcement
function?
If the Senator or staff member knows that an individual is a
contributor, the following issues should also be considered. (If the
Senator or staff member does not know if an individual is a
contributor, he or she is not required or encouraged to find out. Most
Senate staff members are not provided with information regarding
contributions and are unaware of whether an individual seeking
assistance is a contributor.)
The amount of money contributed. Has the contributor given or
raised more than an average contribution?
The history of donations by a contributor. Has the constituent made
contributions to the Senator previously?
The nature and degree of the action taken by the Senator. To what
extent does the action or pattern of action deviate from that Senator’s
normal conduct?
The proximity of money and action. How close in time is the
Senator’s action to his or her knowledge of or receipt of the
contribution(s)?
In its consideration of this case, the Committee has referred to or quoted from
sources which may be largely unknown to Senators, such as the writings of
Senator Paul Douglas and Advisory Opinion No. 1 of the House. The Committee
believes that these sources have value as helpful guidance to Senators and to the
Committee in analyzing the established norms of behavior in the Senate.
However, these sources, in and of themselves, are not precedential and should not
be considered as established Senate norms for purposes of discipline.25
Representation of Petitioners Before Federal Agencies
On July 2, 1992, the Senate passed S. Res. 273, establishing a new rule of the
Senate pertaining to representation of petitioners before federal agencies.26 Section
2, which lists various actions that a Member may properly take in assisting a
petitioner in dealings with government officials or agencies, is drawn substantially
from House Advisory Opinion No. 1 (above). The Senate Select Committee on
Ethics can provide advice and guidance to Members and staff on this rule.
25 U.S. Congress, Senate Select Committee on Ethics, Investigation of Senator Alan
Cranston, S.Rept.102-223, 102nd Cong., 1st sess. (Washington: GPO, 1991), pp. 13-14. See
also U.S. Congress, Senate Select Committee on Ethics, Senate Ethics Manual, S. Pub. 106-
40, 106th Cong., 2nd sess. (Washington: GPO, 2000), pp. 177-191. See also U.S. Congress,
U.S. Congress, Senate Select Committee on Ethics, Senate Ethics Manual, 108th Congress
[http://ethics.senate.gov], and House Committee on Standards of Official Conduct,
[http://www.house.gov/ethics].
26 For a section by section analysis of S.Res. 273, see Congressional Record, vol. 138, July
2, 1992, pp. 17954-17957.

CRS-31
Senate Rule XLIII—Representation by Members
Senate Rule 43, Representation by Members, states:
1.
In responding to petitions; for assistance, a Member of the Senate,
acting directly or through employees, has the right to assist
petitioners before executive and independent government officials
and agencies.
2.
At the request of a petitioner, a Member of the Senate, or a Senate
employee, may communicate with an executive or independent
government official or agency on any matter to: request information
or a status report; urge prompt consideration; arrange for interviews
or appointments; express judgments; call for reconsideration of an
administrative response which the Member believes is not reasonably
supported by statutes, regulations or considerations of equity or
public policy; or perform any other service of a similar nature
consistent with the provisions of this rule.
3.
The decision to provide assistance to petitioners may not be made on
the basis of contributions or services, or promises of contributions or
services, to the Member’s political campaigns or to other
organizations in which the Member has a political, personal, or
financial interest.
4.
A Member shall make a reasonable effort to assure that
representations made in the Member’s name by any Senate employee
are accurate and conform to the Member’s instructions and to this
rule.
5.
Nothing in this rule shall be construed to limit the authority of
Members, and Senate employees, to perform legislative, including
committee, responsibilities.
Rule 43 is intended as general guidance on permissible contacts with federal
agencies and officials on behalf of petitioners, who may or may not be constituents.
The central provision of the rule prohibits Senators from basing the decision to assist
a petitioner before a federal agency or official on whether the petitioner has
contributed to the Senator’s campaign or causes. Rule 43 does not, and was not
intended to, govern the entire range of issues that might arise with respect to
interventions with other government agencies. Because each situation is unique on
its facts, each Senator should review a proposed intervention in its entirety.
The Committee has recommended that prior to intervention with a government
agency, a Senator consider both the merits of the constituent’s case, as well as the
kind of agency involved and the nature of the agency proceedings. A review of the
case might include consideration of whether the Senator’s office would perform the
same service for any constituent similarly situated; the extent to which the proposed
action or pattern of action deviates from normal office practice; and, if the Senator
or staff member knows that an individual is a contributor, the history of donations

CRS-32
by a contributor and the proximity of money and action, i.e. how close in time the
Senator’s official action would be to his or her knowledge of or receipt of
contribution(s).
In reviewing the type and nature of agency proceedings, the Committee has
recommended that a Senator consider whether the agency is performing a quasi-
judicial, adjudicative, or enforcement function. Such formal agency adjudications
and rulemaking proceedings require that the agency’s decision to be based only upon
a record developed during a trial-like hearing. Ex parte communications (oral or
written communications made without notice and off the public record) are generally
prohibited during formal adjudication periods and, typically, are placed on the public
record. Absent a formal adjudicative proceeding, a Senate office that seeks to
communicate with a federal agency may find it useful to contact the agency
congressional liaison or similar functionary to determine with respect to the matter
in question whether the agency is operating under any internal restrictions on outside
communications.
The general advice of the Ethics Committee concerning pending court actions
is that Senate offices should refrain from intervening in such legal actions (unless the
office becomes a party to the suit, or seeks leave of court to intervene as amicus
curiae) until the matter has reached a resolution in the courts. The principal behind
such advice is that the judicial system should be allowed to function without
interference from outside sources. See, for example, the Committee’s Interpretative
Ruling 237 (March 21, 1979) in Appendix A. Because the rules governing judicial
proceedings vary widely from jurisdiction to jurisdiction, and from case to case, and
because the nature of an intervention with a court cannot be known in advance, a
final determination as to the propriety of a particular intervention with a court in a
legal matter will depend upon the totality of the circumstances in a given case.
Notwithstanding these limitations respecting court interventions, the Committee
has ruled that communications with an agency with respect to a matter that may be
the subject of litigation in court is, nevertheless, generally permitted, where the
communication is with the agency and not directed at the court, where the agency is
not engaged in an on-going enforcement, investigative, or other quasi-judicial
proceeding with respect to the matter, and where the communication is based upon
public policy considerations and is otherwise consistent with Rule 43.
Congressional Intervention in the Administrative Process27
When congressional committees engage in oversight of the administrative
bureaucracy, or when Members of Congress intervene in agency proceedings on
behalf of private constituents or other private entities with interests affecting the
Member’s constituency, such interventions involve varying degrees of intrusion into
agency decision making processes. A CRS Report on congressional intervention in
27 This section is drawn from U.S. Library of Congress, Congressional Research Service,
Congressional Intervention in the Administrative Process: Legal and Ethical
Considerations, by Morton Rosenberg and Jack H. Maskell, CRS Report 90-440 A summary
page.

CRS-33
the administrative process (90-440A) briefly examines the currently applicable legal
and ethical considerations and standards that mark the limits of such intercessions.
The report reviews the judicial development and application of standards for
determining when congressional pressure or influence has been deemed to have
tainted an agency proceeding. It concludes that the courts, in balancing Congress’s
performance of its constitutional and statutory obligations to oversee the actions of
agency officials against the rights of parties before agencies, have shown a decided
predilection for protecting the congressional prerogatives. Where informal rule
making or other forms of informal decision making are involved, the courts look to
the nature and impact of the political pressure on the agency decision maker, and
intervene only where that pressure has had the effect of forcing the consideration of
factors Congress did not intend to make relevant. Where agency adjudication is
involved, a stricter standard is applied, and the finding of an appearance of
impropriety can be sufficient to taint the proceeding. Even here, however, the courts
have required that the pressure or influence be directed at the ultimate decision
maker before they will intervene.
The report also examines the conduct of Members of Congress intervening in
administrative matters from the perspective of ethics or conflict of interest rules and
statutes which may bear upon a Member’s official duties. Since congressional
intervention and expressions of interest in administrative matters from a Member’s
office are recognized as legitimate, official representational and oversight functions
and duties of Members of Congress, the primary focus of these ethical and statutory
conduct restraints is limited: (1) any improper enrichment or financial benefit
accruing to the Member in return for or because of his or her official actions, that is,
any illegal or corrupt bargain or payment for such activities, sale of influence, or
personal financial conflicts of interest in such matters; and (2) any overt coercion or
threats of reprisals, or promises of favoritism or reward to administrators from the
Member’s office which could indicate an arguable abuse of a Member’s official
representational or oversight role in such matters. Additionally, ethical guidelines
in Congress may incorporate broad “appearance of impropriety” standards for
Members which could raise ethical concerns in relation to the acceptance of gifts,
favors, donations, and benefits by Members from those who are directly affected by
the Member’s official duties, even in the absence of a showing of a corrupt bargain,
an express payment, or other specific connection to an official act.