Order Code RL33209
CRS Report for Congress
Received through the CRS Web
Casework in a Congressional Office:
Background, Rules, Laws, and Resources
Updated February 22, 2006
R. Eric Petersen
Analyst in American National Government
Government and Finance Division
Congressional Research Service ˜ The Library of Congress

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Casework in a Congressional Office:
Background, Rules, Laws, and Resources
Summary
The term casework in a congressional office refers to the response or services
that Members of Congress provide to constituents who request assistance. Each year,
thousands of constituents turn to Members of Congress with a wide range of requests,
from the simple to the complex. Members and their staffs help constituents deal with
administrative agencies by acting as facilitators, ombudsmen, and, in some cases,
advocates. In addition to serving individual constituents, some congressional offices
also consider as casework liaison activities between the federal government and local
governments, businesses, communities, and nonprofit organizations.
Members of Congress determine the parameters of their constituent service
activities. Casework is conducted for various reasons, including a broadly held
understanding among Members and staff that casework is integral to the
representational duties of a Member of Congress, and that such activities can be part
of an outreach strategy to build political support. In addition, casework can be
viewed as an evaluative stage of the legislative process. Constituent inquiries about
specific policies, programs, or benefits may suggest areas where programmatic or
policy changes require further legislative consideration.
One challenge to congressional casework is the widely held public perception
that Members of Congress can initiate a broad array of actions resulting in a speedy,
favorable outcome. The rules of the House and Senate, and laws and regulations
governing federal executive agency activities, however, closely limit interventions
made on the behalf of constituents. When performing casework, congressional staff
cannot force an agency to expedite a case or act in favor of a constituent. However,
congressional staff can intervene to facilitate the appropriate administrative
processes, encourage an agency to give a case consideration, and sometimes advocate
for a favorable outcome.
This report, which will be updated as warranted, discusses House and Senate
rules and guidelines, laws, and regulations affecting congressional casework, as well
as the role of caseworkers. It also provides sample outlines and document templates
for implementing and managing congressional casework. Further casework materials
are available at the CRS Casework Resources Web page at [http://www.crs.gov/
reference/general/casework.shtml].

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Contents
House and Senate Rules Governing Casework . . . . . . . . . . . . . . . . . . . . . . . 4
Casework and the Courts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Caseworkers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Case Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Setting Priorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
The Privacy Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
HIPAA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Establishing Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Potential Questions and Issues To Address in a Casework Manual:
A Sample Outline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Introduction to Casework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Office Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Casework Rules and Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Step-by-Step Considerations of Casework Activities . . . . . . . . . . . . . . . . . 10
Intake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Working with Constituents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Working with Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Reference Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
For Each Caseworker . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
For Each Field Office Location . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Agencies and Potential Categories for Which Specific
Casework/Constituent Service Protocols Could Be Developed . . . . . 12
Sample Constituent Guide/Newsletter Piece/Outreach Handout . . . . . . . . . 15
Handout/Letter for Constituents Opening a Case . . . . . . . . . . . . . . . . . . . . 16
Simple Privacy Act Release Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Case Information and Privacy Act Release Form . . . . . . . . . . . . . . . . . . . . 18
Executive Agency Casework Resources Online . . . . . . . . . . . . . . . . . . . . . 19
CRS Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

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Casework in a Congressional Office:
Background, Rules, Laws, and Resources
The First Amendment to the U.S. Constitution guarantees the “right of the
people … to petition the government for a redress of grievances.” In a congressional
office, one of the primary examples of that constitutional guarantee is the provision
of casework services. Casework in a congressional office refers to the response or
services that Members of Congress provide to constituents who request assistance.
Casework appears to be one of the more enduring representational activities;
Members of Congress have been providing such service since the early years of the
American republic.1 In contemporary times, thousands of constituents seek
assistance annually from Members of Congress, with requests ranging from the
simple to the complex. Members and their staffs help individual constituents deal
with administrative agencies by acting as facilitators, ombudsmen, and, in some
cases, advocates. Typical casework requests include the following:
! tracking down a misdirected benefits payment;
! filling out a government form;
! applying for Social Security, veterans’, education, and other federal
benefits;
! explaining government activities or decisions;
! applying to a military service academy;
! seeking relief from a federal administrative decision; and
! emigrating to the United States or applying for U.S. citizenship.
In addition to providing services to individual constituents, some congressional
offices also consider as casework their liaison activities between the federal
1 For example, Representative John Quincy Adams of Massachusetts, who served as
President before his election to the House, noted in his diary that he provided services to a
number of constituents. Requests included corrections of the date on a military pension
certificate, discussions with the Secretary of the Treasury regarding the reappointment of
a collector in Adams’ district, and numerous applications for Post Office appointments. See
Leonard D. White, The Jacksonians: A Study in Administrative History 1829-1861, (New
York: The MacMillan Company, 1954), pp. 143-145. In April and May of 1870,
Representative James A. Garfield of Ohio, who later served as President, received
constituent “requests to search for a miscarried letter, to secure favorable action on pension
claims, to get a decision allowing a patent extension, to obtain payment of a claim ... and to
write a book review.” Leonard D. White, The Republican Era: 1869-1901, A Study in
Administrative History (New York: The Macmillan Company, 1958), pp. 70-73, quote,
pp.70-71. Other early examples may be found in Leonard D. White, The Jeffersonians: A
Study in Administrative History, 1801-1829 (New York: The Macmillan Company,
1951),pp. 106-107, 375-376; and John Spencer Bassett, “James K. Polk and His
Constituents, 1831-1832,” American Historical Review, vol. 28, Oct. 1922, pp. 68-77.

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CRS-2
government and local governments or businesses concerned about the effects of
federal legislation or regulation on their jurisdiction, or interactions with
communities and nonprofit organizations seeking federal grants or other assistance.
All congressional offices carry out some type of casework. Members of
Congress determine the parameters of their constituent service activities;
consequently, the level and intensity of congressional casework varies.2 Casework
is conducted for various reasons , including constituent demand3 and a broadly held
understanding among Members and their staff that casework is integral to the
representational duties of a Member of Congress.4 Others believe that casework
activities can be part of an outreach strategy to build political support among
constituents.5 Finally, casework is seen by some as an evaluative stage of the
2 For example, one study tracked the number of cases in congressional offices in the 95th
(1977-1978) and 97th (1981-1982) Congresses. In the 95th Congress, a sample of
congressional offices was found to receive an average of approximately 93 new cases each
week. The number of cases in individual offices ranged from 10 to 465 new cases per week.
In the 97th Congress, data taken from a different, larger sample of congressional offices
found that the offices received an average of approximately 91 new cases per week. During
that period, the range varied between 4 and 800 cases per office per week. See and John C.
McAdams, “Entrepreneur or Agent: Congressmen and the Distribution of Casework,
1977-1978,” The Western Political Quarterly, vol. 40, Sept. 1987, pp. 535-553 (data quoted
from p. 539), and John R. Johannes, “The Distribution of Casework in the U.S. Congress:
An Uneven Burden,” Legislative Studies Quarterly, vol. 4, Nov. 1980, pp. 517-544.
3 John R. Johannes, “Explaining Congressional Casework Styles,” American Journal of
Political Science, vol. 27, Aug. 1983, pp. 530-547.
4 Dennis F. Thompson, Ethics in Congress: From Individual to Institutional Corruption,
(Washington: The Brookings Institution, 1995), pp. 77-78; David E. Price, The
Congressional Experience: A View From the Hill (Boulder, CO: Westview Press, 1992), pp.
113-119; Rep. Lee H. Hamilton, “Congressional Casework,” Congressional Record, vol.
138, Apr. 29, 1992, p. 9814; Heinz Eulau and Paul D. Karps, “The Puzzle of Representation:
Specifying Components of Responsiveness,” Legislative Studies Quarterly, vol. 2, Aug.
1977, pp. 243-245; and U.S. Congress, Joint Committee on the Organization of Congress,
Organization of Congress, 79th Cong., 2nd sess., H.Rept. 1675 (Washington: GPO, 1946),
p. 15.
5 Kelly Patricia O’Meara, “For Constituents, Help is on the Hill,” Insight on the News, Feb.
22, 1999, p. 32; Bruce Cain, John Ferejohn, and Morris Fiorina, The Personal Vote:
Constituency Service and Electoral Independence (Cambridge, MA: Harvard University
Press, 1987), pp. 63-34; and Richard F. Fenno, Jr., Home Style: House Members in Their
Districts (New York: Harper Collins, 1978), pp.101-113.
Although the perception that casework creates positive political benefits for Members
of Congress is widely held in congressional and some scholarly communities, evidence that
supports that contention directly is not conclusive. Some congressional scholars have done
analyses suggesting that casework activities can serve political ends, such as increasing
name recognition and creating an image of concern, and that such actions can lead to
electoral success. See George Serra, “What’s In It for Me?: The Impact of Congressional
Casework on Constituent Evaluation,” American Politics Quarterly, vol. 22, Oct. 1994, pp.
403-420; George Serra and David Moon, “Casework, Issue Positions, and Voting in
Congressional Elections: A District Analysis,” Journal of Politics, vol. 56, June, 1994, pp.
(continued...)

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CRS-3
legislative process. Some observers suggest that casework inquiries can provide
Members of Congress with a micro-level oversight of executive agency activities,
affording Members the opportunity to evaluate whether a program is functioning as
Congress intended. Constituent inquiries about specific policies, programs, or
benefits may also suggest areas in which programmatic or policy changes require
further legislative consideration.6
One challenge to congressional casework is the widely held public perception
that Members of Congress can initiate a broad array of actions resulting in a speedy,
favorable outcome. The rules of the House and Senate, and laws and regulations
governing federal executive agency activities, however, closely limit the extent of an
intervention made on behalf of a constituent. When conducting casework,
congressional staff cannot force an agency to expedite a case or act in favor of a
constituent. However, congressional staff may intervene to facilitate the appropriate
administrative processes involved, encourage an agency to give a case consideration,
and sometimes advocate for a favorable outcome.
Subsequent sections of this report discuss House and Senate rules and
guidelines, laws, and regulations affecting congressional casework, as well as the role
of caseworkers. This report also provides sample outlines and document templates
for establishing and managing congressional casework. Further casework materials
are available at the CRS Casework Resources Web page at [http://www.crs.gov/
reference/general/casework.shtml].
5 (...continued)
2001-213; George Serra and Albert D. Cover, “The Electoral Consequences of Perquisite
Use: The Casework Case,” Legislative Studies Quarterly, vol. 17, Mar. 1992, pp. 233-246;
Morris P. Fiorina, Congress: Keystone of the Washington Establishment 2nd ed. (New
Haven, CT: Yale University Press, 1989); Laurily K Epstein and Kathleen A. Frankovic,
“Casework and the Electoral Margins: Insurance is Prudent,” Polity, vol. 14, Dec. 1982, pp.
691-700; and Diana Evans Yiannakis, “The Grateful Electorate: Casework and
Congressional Elections,” American Journal of Political Science, vol. 25, Sept. 1981,
pp.568-580. Other scholars have been unable to identify a direct connection. See John C.
McAdams, “Congressmen, Perquisites, and Elections,” Journal of Politics, vol. 50, June
1988, pp. 412-439; Jon R. Bond, Cary Covington, and Richard Fleisher, “Explaining
Challenger Quality in Congressional Elections,” Journal of Politics, vol. 47, June 1985, pp.
510-529; John R. Johannes, To Serve the People: Congress and Constituency Service,
(Lincoln, NE: University of Nebraska Press, 1984), pp. 187-212; John R. Johannes and
John McAdams, “The Congressional Incumbency Effect: Is it Casework, Compatibility or
Something Else?,” American Journal of Political Science, vol. 25, June 1981, pp.520-542.
6 Larry P. Ortiz, Cindy Wirz, Kelli Semion, and Ciro Rodriguez, “Legislative Casework:
When Policy and Practice Intersect,” Journal of Sociology and Social Welfare, vol. 31, June
2004, pp. 49-52; Rep. Lee H. Hamilton, “Casework,” Congressional Record, vol. 142, July
24, 1996, p. 19015-19016; and John R. Johannes, “Casework as a Technique of U.S.
Congressional Oversight of the Executive,” Legislative Studies Quarterly, vol. 4, Aug. 1979,
pp. 325-351.

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House and Senate Rules Governing Casework
Each chamber has rules and guidelines regarding its Members’ casework
activities. House rules regarding casework services are discussed in the House Ethics
Manual.7 Senate Rule XLIII8 and the Senate Ethics Manual9 establish parameters for
casework services in that chamber. In each chamber, at the request of a constituent
or petitioner10 for assistance, a Member of Congress may do the following:
7 The House ethics manual notes that
Members and staff of the House often assist constituents in their dealings with
administrative agencies by acting as facilitators or “ombudsmen.” Members may
properly communicate with agencies on behalf of constituents:
! to request information or status reports;
! to urge prompt consideration of a matter based on the merits of the case;
! to arrange for appointments;
! to express judgment on a matter (subject to ex parte communication
rules); and/or
! to ask for reconsideration, based on law and regulation, of an
administrative decision.
Congressional officials should make clear to administrators that action is only
being requested to the extent consistent with governing law and regulations.
U.S. Congress, House, Ethics Manual for Members, Officers, and Employees of the U.S.
House of Representatives, (House Ethics Manual), 102nd Cong. 1st sess., available at
[http://www.house.gov/ethics/ethicschap7.html].
8 Senate Rule XLIII (2) states that
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:
(a) request information or a status report;
(b) urge prompt consideration;
(c) arrange for interviews or appointments;
(d) express judgments;
(e) 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
(f) perform any other service of a similar nature consistent with the provisions of this
rule.
The rule is available on the Senate website at [http://www.senate.gov/legislative/common/
briefing/Standing_Rules_Senate.htm#43].
9 U.S. Congress, Senate, Select Committee on Ethics, Senate Ethics Manual, 108th Cong.,
1st Sess., S. Pub. 108-1 (Washington: GPO, 2003), pp. 177-185, available at [http://ethics.
senate.gov/downloads/pdffiles/manual.pdf].
10 Senate Rule XLIII recognizes that not everyone who seeks assistance from a Senator will
be a constituent of the state the Senator represents, and refers to all who might seek
casework services as a “petitioner.” No such distinction is drawn in the House ethics
manual, which refers generally to constituents as the recipients of casework services.
Examples of nonconstituents who might seek congressional intervention in administrative
proceedings include foreign-born individuals seeking to emigrate to the United States, or a
(continued...)

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CRS-5
! request information or a status report;
! urge prompt consideration;
! arrange for interviews or appointments;
! express judgments;
! call for reconsideration of an administrative response that 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 the rules of the House or Senate.
Senate Rule XLIII (3)11 prohibits the provision of casework assistance on the
basis of contributions or services to organizations in which the Senator has a
political, personal, or financial interest. Guidelines in the House Ethics Manual12
suggest that when contacting a federal agency on behalf of a constituent, a
Representative’s officer or employee of the House should not make prohibited
comments, receive things of value for providing casework assistance, or improperly
pressure agency officials. Further, the guidance indicates that a House employee may
not represent anyone before the government, except in the performance of their
official duties.
10 (...continued)
family or other interested parties who live outside a Member’s constituency on behalf of a
resident constituent. In the House, guidance issued by the Committee on Standards of
Official Conduct suggests that “particular care should be exercised when providing
assistance to individuals who are not from the Member’s congressional district.” The
guidance also indicates that a Member should not use official resources to provide casework
for individuals who live outside the district the Member represents. When a Representative
is unable to assist a nonconstituent, the Member may refer the person to his or her own Rep.
or Sen. (House Ethics Manual, at [http://www.house.gov/ ethics/ethicschap7.html].
11 Senate Rule 43 (3) states that “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.”
12 The House Ethics Manual states that
in communicating with a federal agency on behalf of a constituent, a Member,
officer, or employee of the House should not:
! make prohibited, off-the-record comments to an official considering a
matter in a formal proceeding;
! receive money or things of value (other than congressional salary) in
return for or because of official help; or
! exert undue or improper pressure on agency officials, such as by
suggestions of favoritism or threats of reprisals.
A House employee may not privately represent someone before the government
other than in the performance of official duties.

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CRS-6
Casework and the Courts. Casework is generally not something that draws
Members of Congress or their staff, acting in their official capacity, into a judicial
proceeding before the courts. The Senate Ethics Manual describes constituent
service as something that occurs in the executive branch and is silent on service
before the courts.13 Guidelines in the House Ethics Manual note that judicial
interaction should occur in the same manner as activities within the executive
branch.14
Caseworkers
Decisions regarding staff employment in congressional offices rest with each
Member of Congress, subject to applicable law and chamber rules.15 Some chamber
administrative documents, such as the Member’s Congressional Handbook (for the
House) or the U.S. Senate Handbook (for the Senate) provide guidelines regarding
what procedures must be followed to provide compensation, credentials, and general
benefits such as health care and retirement programs to House or Senate employees.
Those documents provide no guidance on how a congressional hiring entity might
determine the necessity of, or criteria for, a position or the fitness of an applicant for
employment. Experienced congressional staff and other observers, however, suggest
that a successful congressional caseworker is primarily a problem solver. To carry
out their duties, congressional caseworkers typically
! communicate clearly with constituents about what can and cannot be
done on their behalf;
! learn the laws and regulations affecting a constituent’s case;
! build relationships with federal agency personnel; and
! serve as a neutral facilitator between the constituent and agency.
No specialized training is required to become a congressional caseworker.
Individuals who have become caseworkers come from a variety of backgrounds,
13 In the Senate Ethics Manual:
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
principle behind such advice is that the judicial system is the appropriate forum
for the resolution of legal disputes and, therefore, the system should be allowed
to function without interference from outside sources.
U.S. Senate, Select Committee on Ethics, Senate Ethics Manual, p. 178, available at
[http://ethics.senate.gov/downloads/pdffiles/manual.pdf].
14 In the House Ethics Manual, committee guidance suggests that “the standards applicable
to federal agency contacts may also apply when a Member makes communications on behalf
of constituents to courts, other governments, or private entities.” U.S. House, Ethics
Manual, [http://www.house.gov/ethics/ethicschap7.html].
15 In the House, the Member’s Congressional Handbook notes that “each Member is the
employing authority [for their office]; the Member determines the terms and conditions of
employment and service for their staff. These terms and conditions must be consistent with
applicable federal laws and House Rules” [http://www.house.gov/cha/mchandbook.html].

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CRS-7
including recently completed study or work experience in education, law, teaching,
social work, political campaigns, government service, and the private sector.
Observers suggest that most caseworkers enjoy working with people and have an
interest in public service.
Case Management
Matters regarding the management of casework activities are at the discretion
of individual congressional offices, subject to the rules of their respective chambers,
described above, and relevant law and the priorities of that office. Two laws, the
Privacy Act of 197416 and the Health Insurance Portability and Accountability Act
of 1996 (HIPAA),17 affect casework. The Privacy Act affects all constituents with
casework inquiries that require interaction with a federal agency. HIPAA may affect
constituents with casework inquiries that involve medical or other health-care
information.
Setting Priorities. Each congressional office establishes its own policies and
procedures regarding the provision of casework services. These policies and
procedures are typically based on a number of factors, which may be weighed
differently in each congressional office. The factors include
! the demands or needs of constituents for casework services;
! the type and nature of cases;
! the manner in which the office defines casework;
! office strategy for outreach, including decisions regarding the
solicitation of casework; and
! Member priorities.
The Privacy Act. Under the Privacy Act, each agency that maintains records
containing an individual’s personally identifiable information must have a release
from that individual to share information with any other entity. In general, executive
branch agencies cannot reply to a congressional inquiry without a Privacy Act release
signed by the constituent requesting assistance. Most agencies will accept any signed
document from a constituent stating that the constituent grants a Member of Congress
access to any record held by an agency that will help resolve the constituent’s
inquiry.18 (Sample authorizations are included below.) Some agencies, however,
issue their own forms and prefer to have that form filed with them when a
congressional office initiates a case inquiry. For example, the Internal Revenue
Service (IRS) typically requests that congressional caseworkers ask constituents to
return a signed copy of IRS form 8821, Tax Information Authorization.19
16 P.L. 93-579, 5 U.S.C. 552a.
17 P.L. 104-191, 42 U.S.C. 201 note.
18 Some congressional offices also provide casework services related to non-federal issues.
In these circumstances, state or municipal regulations related to privacy protection may need
to be addressed to provide assistance to constituents.
19 The form is available electronically from the IRS website, [http://www.irs.gov].

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CRS-8
Constituent correspondence sent to a Member’s office does not fall under the
protections provided by the Privacy Act or any other statute safeguarding personally
identifiable records received and maintained in such offices. However, due to the
high probability of an expectation of privacy concerning these communications, and
Member interest in maintaining the confidentiality of office activities, many
congressional offices develop a policy for safeguarding the privacy of casework-
related documents. Such a policy could include
! safeguarding casework correspondence and documentation in the
office’s physical and electronic files;
! securing electronic files through password protection and automatic
backup procedures; and
! limiting access to casework correspondence files, including working
drafts of correspondence, to office personnel.
HIPAA. Rules promulgated under HIPAA20 give patients the right of access to
their medical information and prohibit health plans and health-care providers from
using or disclosing identifiable information to most individuals or entities without
a patient’s written authorization. Examples of constituent inquiries that might
involve medical information include claims for benefits under the following
programs:
! Social Security disability;
! veterans’ programs;
! Medicare;
! disaster relief;
! medical services to military members injured on active duty, or to
military members, their dependents, and retirees through
TRICARE;21
! workmens’ compensation; and
! immigration.
Some agencies have determined that congressional requests for medical
information related to casework inquiries require a HIPAA release. HIPAA rules
also require health plans and providers to give individuals the opportunity to object
to the disclosure. Each agency has different procedures for securing patient consent
to release information and distributing information to third parties. Consequently,
no generic form is available. When medical or other health-care information must
be released for a casework inquiry, the agency involved will forward the appropriate
release to the congressional office for endorsement by the constituent.
20 45 C.F.R. Parts 160, 164. For more information on HIPAA and medical records privacy,
see CRS Report RS20500, Medical Records Privacy: Questions and Answers on the HIPAA
Rule, by C. Stephen Redhead.
21 TRICARE is a managed health care program provided by the Department of Defense
(DOD) for active duty military, active duty service families, retirees and their families, and
other beneficiaries; available at [http://www.tricare.osd.mil/].

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CRS-9
Establishing Procedures. Based on the priorities identified in individual
congressional offices, many offices compile documentation to clarify policies related
to casework. Such documentation could specify casework goals, management
procedures, and expectations of staff. This type of document is not required, nor is
a congressional standard regarding its format or contents. All decisions regarding
activities and operations in a Member’s office are within the discretion of the
Member, subject to chamber rules and relevant statute. Consequently, procedures are
typically developed by modifying standardized outlines and protocols to a particular
office, based on the priorities and goals of that office and the preferences and needs
of the Member’s constituents. The outline below suggests questions to help develop
an office casework manual addressing those demands. Sample documents, which
may be used in whole or in part, are also provided.
Potential Questions and Issues To Address in a
Casework Manual: A Sample Outline
Introduction to Casework. This section of the manual could be where
congressional offices propound their approach to constituent service. Information
could include a consideration of the role of representation, casework as micro-level
oversight, and political issues related to casework. This section could also explain
the the role of casework in relation to broader office goals and the caseworker’s role
in meeting those goals.
Questions that might be addressed in this section include the following:
! What are the goals of the office?
! How does casework support or facilitate the achievement of those
goals?
! Where does casework fit in terms of office priorities?
Office Organization. This section could provide an overview of office
organization and operations.
Questions that might be addressed in this section include the following:
! What do caseworkers do?
! Are caseworkers liaisons between the constituent and agency, or are
they advocates for the constituent?
! Who supervises caseworkers?
! What is the extent of that supervision?
! To whom does that supervisor report?
! Where does casework fit in the office organization?
Casework Rules and Practices. This section could incorporate the rules
and guidelines regarding casework of the House or Senate, as appropriate. Such
documents could include Senate Rule XLIII and the Senate Ethics Manual, Chapter
8, “Constituent Services,” available at [http://ethics.senate.gov/downloads/
pdffiles/manual.pdf], and the Ethics Manual for Members, Officers, and Employees

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of the U.S. House of Representatives (House Ethics Manual), Chapter 7, “Casework
Considerations,” available at [http://www.house.gov/ethics/ethicschap7.html].
In addition, this section could detail rules or procedures specific to the particular
congressional office. Questions that might be addressed in this section include
! how to contact the Senate Ethics Committee or the House
Committee on Standards of Official Conduct, as appropriate;
! a review of office security and personal safety procedures; and
! strategies for dealing with people who may be uncooperative, scared,
angry, etc.
Step-by-Step Considerations of Casework Activities
Intake. Intake describes the process by which constituents request casework
services and a congressional office prepares to respond. Intake procedures could
define the information and materials needed from constituents, including the release
of personal information under the Privacy Act of 1974 (sample forms below) and
HIPAA, if necessary.
Questions that might be addressed in developing procedures for the intake
process include the following:
Office Procedures.
! Who is responsible in your office for intake (caseworkers, outreach
or reception staff, everyone)?
! What training or protocols are necessary so that everyone charged
with intake can do the job effectively?
! Will the office open a case file on the basis of a phone call or a
constituent visit to an office, or will a written request be required?
! Will e-mailed requests for services be accepted?
! How will case requests made during outreach and other public
events be incorporated into the casework system?
Intake, Constituent Verification, and Privacy.
! Does the office establish verification procedures to positively
identify constituents?
! If so, what constitutes acceptable identification?
! What procedures must be established if constituents cannot produce
appropriate documentation of their identity?
! What procedures might be necessary to obtain a privacy release from
constituents who cannot read English or sign their own name?
! Will the office open a case on behalf of constituents represented by
family members or other individuals who hold a power of attorney
to act on their behalf?
! Will the office open a case on behalf of a constituent represented by
an attorney or other paid representative?
! If so, will the office work with the attorney, the constituent, or both?
! What procedures need to be in place to address potentially high-
profile cases?

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CRS-11
Case Management and Scheduling.
! How much time will the office allow between a constituent inquiry
and a response by the office, such as an acknowledgment or a
request for more information?
! How much time will the office allow for a constituent to reply to
follow up?
! After that time has elapsed, will the office send a reminder letter or
close the case file?
! How long will incomplete case files due to missing privacy release
or other documentation from constituent remain active?
! What sort of casework/constituent management system (CMS) will
be used? (Although a CMS likely has been chosen by the office,
explain how it will be integrated, if at all, with casework
management.)
! Who has access to the CMS for reviewing cases, updating records,
and closing and archiving files?
Working with Constituents. Following the intake process, it is generally
necessary to determine the scope of the constituent’s case and to set expectations
between the caseworker and the constituent.
Questions that might be addressed in developing procedures for working with
constituents include the following:
! Will the office take original documents from constituents, or are
copies sufficient?
! How will the office communicate with constituents?
! How will nonwritten contact be documented?
! How frequently will the office communicate with constituents to
provide updates, status checks, or other information?
! How will the office communicate these expectations to the
constituent? (See the samples below.)
Working with Agencies. At the end of the intake process, it is necessary to
identify and contact the appropriate agency to address the constituent’s concerns.
Many offices maintain lists of the executive branch agencies they work with. If such
information is not available, preliminary information on agencies with congressional
liaison offices can be obtained from CRS Report 98-446, Congressional Liaison
Offices of Selected Federal Agencies, by Walter S. Albano.
Questions that might be addressed in developing procedures for working with
executive branch agencies include the following:
! How much time will the office allow between establishing complete
constituent information and contact with agency?
! How much time will the office allow between initial agency contact
and subsequent followup?
! How much time will the office allow between receiving the agency’s
response and communicating the response to the constituent?

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CRS-12
! What types of contacts (phone, e-mail, written, face-to-face) are
acceptable to make inquiries from the office and to receive responses
from the agencies?
! Will individual caseworkers, a coordinator, or a supervisor maintain
lists of agency contacts?
! In the event that the person responsible for maintaining those lists of
contacts is not available, how will other staff contact the agencies?
! Is it necessary to establish specific protocols for working with
individual agencies ? (A list of agencies for which protocols might
be developed is provided below.)
Reference Materials
For Each Caseworker.
! Office casework manual.
! Chamber-appropriate ethics manual chapter on casework.
! CRS Report 98-446, Congressional Liaison Offices of Selected
Federal Agencies, by Walter S. Albano.
! Casework manuals and constituent services guides issued by the
agencies for which the caseworker is responsible.
! Office-developed contact lists.
For Each Field Office Location.
! Casework intake protocols.
! Instructions for accessing casework materials in physical or
electronic files.
! Caseworker contact information.
! General agency contact information.
Agencies and Potential Categories for Which Specific
Casework/Constituent Service Protocols Could Be Developed
Americans with Disabilities Act (ADA)
Bankruptcy
Child Support
Copyright Information — Library of Congress
Customs
Department of Agriculture (USDA)
Department of Commerce
Department of Education (ED)
Department of Health and Human Services (HHS)
Department of Homeland Security (DHS)
Department of Housing and Urban Development (HUD)
Department of Justice (DOJ)
Department of Labor (DOL)
Department of State (DOS)
Department of the Interior (DOI)
Department of Transportation (DOT)
Department of the Treasury (Treasury)

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CRS-13
Department of Veterans Affairs (VA)
Environment
Environmental Protection Agency (EPA)
Equal Employment Opportunity Commission (EEOC)
Federal Communications Commission (FCC)
Federal Emergency Management Agency (FEMA)
Federal Trade Commission (FTC)
Flag Requests
General Services Administration (GSA)
Government Auctions
Grants
Greetings, Anniversary
Greetings, Birthday
Greetings, Marking Achievement
Healthcare
Healthcare, Military, Tricare
Healthcare, Veterans’
Homeland Security/Military, Coast Guard
Housing
Immigration
Immigration, U.S. Citizenship and Immigration Services (CIS)
Immigration, U.S. Immigration and Customs Enforcement (ICE)
Information Requests, general
Internal Revenue Service (IRS)
Legal Issues
Legislation, Constituent Opinion
Legislation, Constituent Proposals
Medicare
Medicare, Part D, Prescription Drug Coverage
Military/Homeland Security, Coast Guard
Military/National Guard, Air Force
Military/National Guard, Army
Military/National Guard, Navy
Military/Marine Corps
National Forests
Office of Personnel Management (OPM)
Passports
Patent Information
Post Office
Prisons
Rural Development
Scheduling
Service Academy Appointments
Service Academy Appointments, United States Air Force Academy (Colorado
Springs)
Service Academy Appointments, United States Coast Guard Academy (New London)
Service Academy Appointments, United States Merchant Marine Academy (King’s
Point)
Service Academy Appointments, United States Military Academy (West Point)
Service Academy Appointments, United States Naval Academy (Annapolis)

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CRS-14
Small Business Administration (SBA)
Social Programs
Social Security
Travel
Tricare
U.S. Citizenship and Immigration Services (CIS)
U.S. Customs and Border Protection (CBP)
U.S. Immigration and Customs Enforcement (ICE)
Unemployment
United States Forest Service
Visas/Entry Permits, Education
Visas/Entry Permits, Emergency
Visas/Entry Permits, Work
Washington Visitors

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CRS-15
Sample Constituent Guide/Newsletter Piece/Outreach
Handout22
As a Member of Congress, one of my most important responsibilities is to help
constituents interact with the many agencies and offices of the federal
government. Staff in my office can provide you with basic information, such as
a federal agency phone number, and help you with governmental procedures,
such as applying for a passport or visa. In addition, my staff can help with
matters involving other government agencies and programs, including

! military awards and commendations;
! veterans’ benefits;
! Social Security and Medicare benefits;
! immigration matters;
! federal worker injury compensation;
! small-business concerns;
! tax matters and the Internal Revenue Service;
! housing;
! student loans; and
! military academy applications.23

Although we cannot force an agency to expedite your case or act in your favor,
we can frequently intervene to facilitate the processes involved, encourage an
agency to give your case consideration, and sometimes advocate for a favorable
outcome.

My office is unable to offer legal advice or recommend an attorney. The rules
of the <HOUSE/SENATE> do not allow me to intervene in or influence the
outcome of cases that are under the jurisdiction of any court. Finally, my office
cannot intervene in matters under the jurisdiction of local or state
governments.24 Although I cannot guarantee a particular outcome, my staff and
I will do our best to help you receive a fair and timely response regarding your
problem.

If I may be of assistance to you, please contact my ______ office at _______. I
look forward to hearing from you.
22 This is a sample document and is not intended to be definitive. Any information may be
deleted or modified as appropriate to specific Member office policies and procedures.
23 The list of possible services is an example and does not represent the entire range of
potential constituent services.
24 Some congressional offices offer limited assistance on matters related to state or
municipal policies and services.

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CRS-16
Handout/Letter for Constituents Opening a Case25
Dear <CONSTITUENT>:
Thank you for allowing me to assist with your case. Although I cannot
guarantee a particular outcome, I want you to know that my staff and I will do
our best to help you receive a fair and timely response.
As my staff address your concerns, please bear in mind that they cannot force
an agency to expedite your case or to act in your favor. My office is not able to
offer legal advice or recommend an attorney. The rules of the <HOUSE/
SENATE> do not allow me to intervene in, or influence the outcome of, cases
that are under the jurisdiction of any court. Finally, our office cannot intervene
in matters under the jurisdiction of local or state governments.26
My staff and I are able to facilitate the processes involved, gain a fair hearing
for your case, and sometimes advocate for a favorable outcome. To begin the
process, federal agencies require that I have a written and signed letter when
intervening on behalf of a constituent. This requirement falls under the
provisions of the Privacy Act of 1974. The letter must be signed by the person
directly affected, unless the person is a minor, or a third party has a notarized
Power of Attorney.27 Once we have the release, we can begin to work on your
case. If your case involves medical or health-care information, my office may
ask you to complete a release specifically authorizing access to medical
information necessary to resolve your case.
If you have any questions, please contact <STAFFER> at <PHONE>. My staff
and I look forward to working with you.
Sincerely,
<MEMBER OF CONGRESS>
25 This is a sample document and is not intended to be definitive. Any information may be
deleted or modified as appropriate to individual Member office policies and procedures.
26 Some congressional offices offer limited assistance on matters related to state or
municipal policies and services.
27 Some congressional offices do not accept cases through a power of attorney.

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CRS-17
Simple Privacy Act Release Form
<CONSTITUENT>
<CONSTITUENT ADDRESS>
[Date]
To Whom It May Concern:
Pursuant to the Privacy Act of 1974, as amended, 5 U.S.C. 552a, I authorize the
<FEDERAL DEPARTMENT OR AGENCY> to provide information regarding
my records to <MEMBER OF CONGRESS>.
<CONSTITUENT SIGNATURE>

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CRS-18
Case Information and Privacy Act Release Form
Information Release
The Privacy Act of 1974 is a federal law designed to protect you from any
unauthorized use and exchange of personal information by federal agencies. Any
information that a federal agency has on file regarding your dealings with the United
States government may not, with a few exceptions, be given to another agency or
Member of Congress without your written permission. Family members, friends, or
other interested parties generally may not authorize on your behalf the release of
information covered by the Privacy Act.
Please describe the situation for which you are requesting assistance:
I hereby request the assistance of the Office of <REPRESENTATIVE/SENATOR> to
resolve the matter described above. I authorize <REPRESENTATIVE/SENATOR>
and <HIS/HER> staff to receive any information that they might need to provide this
assistance.
The information I have provided to <SENATOR/REPRESENTATIVE> is true and
accurate to the best of my knowledge and belief. The assistance I have requested from
<MEMBER>’s office is in no way an attempt to evade or violate any federal, state, or
local law.28
SIGNED:__________________________________________DATE:____________
Name: (please print)________________________________Date of Birth:_________
Address:_____________________________________________________________
City:________________ State:_______________ Zip:__________
Day Telephone:____________________ Evening Telephone:________________
E-mail Address:_________________________
Federal Agency Involved:____________
Case Number (if applicable):____________
28 Some congressional offices require constituents to certify that their case requests are
lawful. This certification is not required under the Privacy Act. Some agencies may pursue
civil or criminal remedies against constituents who do not provide truthful information when
seeking public benefits or assistance.

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CRS-19
Executive Agency Casework Resources Online
Centers for Medicare and Medicaid Services
[http://www.cms.hhs.gov/center/legislative.asp]
U.S. Citizenship and Immigration Services
[http://uscis.gov/graphics/aboutus/congress/index.htm]
Department of Veterans Affairs
[http://www.va.gov/oca/casework_USA.htm]
U.S. Army
[http://www.hqda.army.mil/ocll/]
Casework Guide
[http://www.hqda.army.mil/ocll/108CaseWorkGuide/Casework%202004%20web
linkpdf.pdf]
U.S. Marine Corps
[http://hqinet001.hqmc.usmc.mil/OLA/constituent%20issues.htm]
Tricare
[http://www.tricare.osd.mil/planning/congress/casework.cfm]
CRS Resources
CRS Casework Web page, [http://www.crs.gov/reference/general/casework.shtml].
CRS Report 98-446. Congressional Liaison Offices of Selected Federal Agencies,
by Zina Watkins and Carla Berry.
CRS Report RL32113. Congressional Intervention in the Administrative Process:
Legal and Ethical Considerations, by Morton Rosenberg and Jack H. Maskell.
CRS Report RL33213. Congressional Nominations to U.S. Service Academies: An
Overview and Resources for Outreach and Management, by. R. Eric Petersen.
CRS Report RS20500. Medical Records Privacy: Questions and Answers on the
HIPAA Rule, by C. Stephen Redhead.
CRS Report RL33024. Private Immigration Legislation, by Margaret Mikyung Lee
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