Casework in a Congressional Office:
Background, Rules, Laws, and Resources
Updated April 1, 2021
Congressional Research Service
https://crsreports.congress.gov
RL33209

Casework in a Congressional Office: Background, Rules, Laws, and Resources

Summary
In a congressional office, the term casework 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 scope 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. Casework
activities may also be viewed as part of an outreach strategy to build political support, or as an
evaluative stage of the legislative process. Constituent inquiries about specific policies, programs,
or benefits may suggest areas where government programs or policies require institutional
oversight or legislative consideration.
One chal enge 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 discusses House and Senate rules and guidelines, laws, and regulations affecting
congressional casework, as wel 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 https://www.crs.gov/
Resources/Casework.
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Casework in a Congressional Office: Background, Rules, Laws, and Resources

Introduction
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
annual y 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 a misdirected benefits payment;
 fil ing 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;2
 seeking relief from a federal administrative decision; and
 seeking assistance for those immigrating to the United States or applying for U.S.
citizenship.
In addition to providing services to individual constituents, some congressional offices also
consider their liaison activities between the federal government and local governments or
businesses concerned about the effects of federal legislation or regulation to be casework. Other
congressional offices may include interactions with communities and nonprofit organizations
seeking federal grants or other assistance as casework.3
Al congressional offices carry out some type of casework. As part of the process of determining
how to carry out their congressional duties, Members of Congress determine the scope of their
constituent service activities.4 As a consequence, the level and intensity of congressional
casework may vary among Member offices.5 Casework is conducted for various reasons,

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 T reasury rega rding the reappointment of a
collector in Adams’s district, and numerous applications for Post Office appointments. See Leonard D. White, The
Jacksonians: A Study in Adm inistrative History 1829 -1861, (New York: T he 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 Adm inistrative History (New York: T he Macmillan Company, 1958), pp. 70 -
73, quote, pp. 70-71. Other early examples may be found in Leon ard D. White, The Jeffersonians: A Study in
Adm inistrative History, 1801-1829 (New York: T he 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, October
1922, pp. 68-77.
2 See CRS Report RL33213, Congressional Nominations to U.S. Service Academies: An Overview and Resources for
Outreach and Managem ent.
3 Information on grants work in a congressional office is available in CRS Report RL34035, Grants Work in a
Congressional Office; and CRS Report RL34012, Resources for Grantseekers.
4 See CRS Report RL33686, Roles and Duties of a Member of Congress: Brief Overview; and CRS Report R44726,
Constituent Services: Overview and Resources.
5 For example, one study tracked the number of cases in congressional offices in the 95 th (1977-1978) and 97th (1981-
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including constituent demand6 and a broadly held understanding among Members and their staff
that casework is integral to the representational duties of a Member of Congress.7 Others believe
that casework activities can be part of an outreach strategy to build political support among
constituents.8 Casework might also be seen by some as an evaluative stage of the legislative
process. Some observers suggest that casework inquiries can provide Members of Congress with
a micro-level view 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 additional institutional oversight, or further legislative consideration.9

1982) Congresses. In the 95th Congress, a sample of congressional offices was found to receive an average of
approximately 93 new cases each week. T he 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 John R. Johannes and John C. McAdams, “ Entrepreneur or Agent: Congressmen and the
Distribution of Casework, 1977-1978,” The Western Political Quarterly, vol. 40, September 1987, pp. 535-553 (data on
p. 539), and John R. Johannes, “T he Distribution of Casework in the U.S. Congress: An Uneven Burden,” Legislative
Studies Quarterly, vol. 4, November 1980, pp. 517-544.
6 John D. Griffin and Patrick Flavin, “How Citizens and T heir Legislators Prioritize Spheres of Representation,”
Political Research Quarterly, vol. 64, no. 3 (September 2011), pp. 520 -533; J. T obin Grant and T homas J. Rudolph,
“T he Job of Representation in Congress: Public Expectations and Representative Approval,” Legislative Studies
Quarterly, vol. 29, no. 3 (August 2004), pp. 431 -445; and John R. Johannes, “ Explaining Congressional Casework
Styles,” American Journal of Political Science, vol. 27, August 1983, pp. 530-547.
7 Dennis F. T hompson, Ethics in Congress: From Individual to Institutional Corruption , (Washington: T he 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, April 29, 1992, p. 9814; Heinz Eulau and Paul D. Karps, “ T he Puzzle of Representation: Specifying Components
of Responsiveness,” Legislative Studies Quarterly, vol. 2, August 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.
8 Kelly Patricia O’Meara, “For Constituents, Help is on the Hill,” Insight on the News, February 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., Hom e Style: House Mem bers
in Their Districts (New York: Harper Collins, 1978), pp. 101-113. Although the perception that casework creates
positive political benefits for Members of Congress appears 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 those actions can lead to electoral success. See George Serra, “ What’s In It for Me?: T he
Impact of Congressional Casework on Constituent Evaluation,” American Politics Quarterly, vol. 22, October 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. 200-213; George Serra and Albert D. Cover, “T he
Electoral Consequences of Perquisite Use: T he Casework Case,” Legislative Studies Quarterly, vol. 17, March 1992,
pp. 233-246; Morris P. Fiorina, Congress: Keystone of the Washington Establishm ent 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, December 1982, pp. 691-700; and Diana Evans Yiannakis, “T he Grateful
Electorate: Casework and Congressional Elections,” American Journal of Political Science, vol. 25, September 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, “ T he Congressional Incumbency Effect: Is
it Casework, Compatibility or Something Else?,” American Journal of Political Science, vol. 25, June 1981, pp. 520-
542.
9 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, pp. 19015 -19016; and John R. Johannes, “ Casework as a T echnique of
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Casework in a Congressional Office: Background, Rules, Laws, and Resources

One chal enge 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. 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 wel 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
https://www.crs.gov/Resources/Casework.
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.10 Senate Rule XLIII11 and
the Senate Ethics Manual12 establish parameters for casework services in that chamber. In each
chamber, at the request of a constituent or petitioner13 for assistance, a Member of Congress may
do the following:

U.S. Congressional Oversight of the Executive,” Legislative Studies Quarterly, vol. 4, August 1979, pp. 325-351.
10 T he House Ethics Manual notes that
[p]ursuant to long-standing guidance, it is generally permissible for Members (and staff acting on
their behalf) to: request information or status reports; urge prompt consideration of a matter based
on the merits of the case; arrange appointments; express judgment on a matter —subject to the ex
parte communication rules; and ask for reconsideration, based on law and regulation, or
administrative and other decisions.
U.S. Congress, House, Committee on Standards of Official Conduct, House Ethics Manual, 110th Cong. 2nd sess.
(Washington: GPO, 2008), pp. 299-300, available at http://ethics.house.gov/Media/PDF/
2008_House_Ethics_Manual.pdf. T he Committee on Standards of Official Conduct was renamed the Committee on
Ethics in 2011.
11 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 o ther service of a similar nature consistent with the
provisions of this rule.
T he rule is available at https://www.rules.senate.gov/rules-of-the-senate.
12 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.
13 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 anyone 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 family or other interested part y 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 (now known as the Committee on Ethics) suggests that “ particular care should be
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 request information or a status report;
 urge prompt consideration;
 arrange for interviews or appointments;
 express judgments;
 cal 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)14 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 Manual say that when contacting a federal
agency on behalf of a constituent, a Member, officer, or employee of the House should not make
prohibited, off the record comments, receive things of value for providing casework assistance, or
improperly pressure agency officials.15
Final y, federal statute prohibits Members of Congress, chamber officers, and congressional staff
from representing anyone before the federal government, except in the performance of their
official duties.16
Casework and the Courts
Casework is general y not something that draws Members of Congress or their staff, acting in
their official capacity, into a 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.17 Guidelines in the House Ethics Manual provide a range of options to
Members who might choose to participate in judicial proceedings.18

exercised when providing assistance to individuals who are not from the Member’s congressional district.” T he
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 non -constituent, the Member
may refer the person to his or her own Representative or Senator. See House Ethics Manual, pp. 309-310, available at
https://ethics.house.gov/sites/ethics.house.gov/files/documents/2008_House_Ethics_Manual.pdf.
14 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.”
15 House Ethics Manual, pp. 185, 300-302, 307, 314-315.
16 18 U.S.C. 203, 205; Also, see House Ethics Manual, p. 185, available at https://ethics.house.gov/sites/
ethics.house.gov/files/documents/2008_House_Ethics_Manual.pdf.
17 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. T he principle behind such advice is that the judicial system is the appropriate forum fo r 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.
18 T he House Ethics Manual says that
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Constituent Service Staff
Decisions regarding staff employment in congressional offices rest with each Member of
Congress, subject to applicable law and chamber rules.19 Some chamber administrative materials,
such as the Member’s Handbook (for the House)20 or the U.S. Senate Handbook (for the
Senate),21 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. Recently, when seeking staff, Members of Congress have specified a
number of job titles related to constituent service and casework, including, but not limited to,
Caseworker; Constituent Services Representative; District, Field, or Regional Representative;
Field Representative/Caseworker; or Regional Coordinator.22 Members of Congress have ascribed
the following duties to staff in those positions:
 respond to casework inquiries from constituents;
 act as a liaison with federal, state, and/or local agencies on behalf of constituents;
 respond to casework correspondence; and
 monitor and update the Member and district or state director on issues within the
staffer’s areas of responsibility.
To carry out their duties, congressional caseworkers typical y
 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.
It appears that no specialized training is required to become a congressional constituent service
worker. Individuals who work as caseworkers come from a variety of backgrounds, including

[w]hen a Member believes it necessary to attempt to affect the outcome in a pending case, the
Member has a variety of options. A Member who has relevant information could provide it to a
party’s counsel, who could then file it with the court and notify all parties. Alternatively, the
Member could seek to file an amicus curiae, or friend of the court, brief. Yet another option, in an
appropriate case, might be to seek to intervene as a formal party to the proceeding. A Member
could also make a speech on the House floor or place a statement in the Congressional Record as to
the legislative intent behind the law. A Member should refrain, however, from making an off-the-
record communication to the presiding judge, as it could cause the judge to recuse from further
consideration of the case.
House Ethics Manual, pp. 311-312, available at http://ethics.house.gov/Media/PDF/2008_House_Ethics_Manual.pdf.
19 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. T hese terms and
conditions must be consistent with applicable federal laws and House Rules,” see http://cha.house.gov/handbooks/
members-congressional-handbook#Members-Handbook-Staff-General.
20 U.S. Congress, House Committee on House Administration, Member’s Congressional Handbook,
http://cha.house.gov/handbooks/members-congressional-handbook.
21 U.S. Congress, Senate Committee on Rules and Administration, United States Senate Handbook, October 2010.
22 See CRS Report R46262, Congressional Staff: Duties, Qualifications, and Skills Identified by Members of Congress
for Selected Positions.
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recently completed study or work experience in education, law, teaching, social work, political
campaigns, government service, and the private sector. Members seeking constituent service staff
seek out applicants who are motivated, patient, and adaptable, and who demonstrate good
organizational skil , discretion, and a sense of humor.23 Observers suggest that most caseworkers
enjoy working with people and have an interest in public service, but also note that the work can
be chal enging. Caseworkers typical y learn the policies and procedures through which agencies
operate to provide services or benefits, and work with constituents whose requests are sometimes
made with a high level of personal and emotional engagement.
Case Management
Setting Priorities
Each congressional office establishes its own policies and procedures regarding the provision of
casework services. These are typical y based on a number of factors, which may be weighed
differently in each congressional office, and include
 the demands or needs of constituents for casework services;
 the type and nature of cases;
 the manner in which an office defines casework;
 office strategy for outreach, including decisions regarding the solicitation of
casework; and
 Member priorities.
Constituent Privacy Protections
Two laws, the Privacy Act of 197424 and the Health Insurance Portability and Accountability Act
of 1996 (HIPAA),25 as wel as agency regulations regarding the protection of information in
certain agency records, affect congressional access to casework-related information held by
executive branch agencies. The Privacy Act affects most 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. Regulations issued by the Department of
Homeland Security (DHS) may affect constituents with immigration questions. These laws and
regulations prohibit a federal agency from sharing an individual’s personal y identifiable and
other sensitive information with a congressional office without the individual’s express
permission.
The Privacy Act
Under the Privacy Act, each executive branch agency that maintains records containing an
individual’s personal y identifiable information must have a release from that individual to share
information with any other entity. In general, agencies cannot reply to a congressional inquiry
without a Privacy Act release signed by the constituent requesting assistance. Most agencies wil

23 CRS Report R46262, Congressional Staff: Duties, Qualifications, and Skills Identified by Members of Congress for
Selected Positions.
24 P.L. 93-579, 5 U.S.C. 552a.
25 P.L. 104-191, 42 U.S.C. 201 note.
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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 wil help resolve the constituent’s inquiry.26
(Sample authorizations are included below.) Some agencies, however, issue their own forms and
might prefer to have that form filed with them when a congressional office initiates a case inquiry.
For example, the Internal Revenue Service (IRS) typical y requests that congressional
caseworkers ask constituents to return a signed copy of IRS form 8821, Tax Information
Authorization.27
Constituent correspondence sent to a Member’s office does not fal under the protections
provided by the Privacy Act or any other statute safeguarding personal y identifiable records.
Nevertheless, 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 HIPAA28 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;29
 workers’ 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. Procedures for securing patient

26 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 assistan ce to constituents.
27 T he form is available electronically from the IRS website, http://www.irs.gov.
28 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.
29 T RICARE is a managed health care program provided by the Department of Defense (DOD) for active duty military,
active duty service families, ret irees and their families, and other beneficiaries, available at http://www.tricare.mil/.
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consent to release information or to provide information to third parties may vary from agency to
agency. When medical or other health-care information must be released for a casework inquiry,
the agency involved might accept a signed request from the constituent to the Member as a
sufficient release, or it might forward a formal release form of its own design to the congressional
office for endorsement by the constituent.
Immigration Casework
Access to information related to immigration cases may be governed by the Privacy Act, HIPAA,
or regulations of DHS. Constituents with cases before DHS entities, including United States
Citizenship and Immigration Services (USCIS) and United States Immigration and Customs
Enforcement (USICE), might be requested to complete an agency-specific form instead of or in
addition to a Privacy Act release before DHS immigration-related entities wil communicate with
congressional offices.30
Establishing Procedures: A Casework Manual
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. Having a manual or
established protocol can help offices ensure consistency in their casework practices. This type of
document is not required, and there is no congressional standard regarding its format or contents.
Al decisions regarding activities and operations in a Member’s office are within the discretion of
the Member, subject to chamber rules and relevant statute. Procedures are typical y 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.
A Sample Outline
Introduction to Casework
This section of the manual could be where congressional offices explain their approach to
constituent service. Information might 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 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:

30 Further information for congressional offices is available from USCIS at https://www.uscis.gov/congress/.
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 What do caseworkers do?
 Wil caseworkers work on specific agency/issue areas or wil they al be
generalists?
 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 of the U.S.
House of Representatives (House Ethics Manual), Chapter 8, “Casework,” available at
http://ethics.house.gov/Media/PDF/2008_House_Ethics_Manual.pdf.
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 Ethics Committee, as
appropriate;
 practices for storing casework records (paper-based and/or digital);
 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
(see “Sample Documents and Release 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?
 Wil the office open a case file on the basis of a phone cal , email, or a
constituent visit to an office?
 How wil case requests made during outreach and other public events be
incorporated into the casework system?
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Constituent Verification, Delegation, 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?
 Wil the office open a case on behalf of constituents represented by family
members or other individuals who hold a power of attorney, or are legal y
appointed as a guardian to act on their behalf?
 Wil the office open a case on behalf of a constituent represented by an attorney
or other paid representative?
 If so, wil the office work with the attorney, the constituent, or both?
 What procedures need to be in place to address potential y high-profile cases?
Case Management and Scheduling
 How much time wil the office al ow between a constituent inquiry and a
response by the office, such as an acknowledgment or a request for more
information?
 How much time wil the office al ow for a constituent to reply to follow up?
 After that time has elapsed, wil the office send a reminder letter or close the case
file?
 How long wil incomplete case files due to missing privacy release or other
documentation from constituent remain active?
 What sort of casework/constituent correspondence management system (CMS)
wil be used? (Although a CMS likely has been chosen by the office, explain how
it wil be integrated, if at al , 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 general y 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:
 Wil the office take original documents from constituents, or are copies
sufficient?
 How wil the office communicate with constituents?
 How wil nonwritten contact be documented?
 How frequently wil the office communicate with constituents to provide updates,
status checks, or other information?
 How wil the office communicate these expectations to the constituent? (See the
samples below.)
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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 congressional offices maintain lists of the executive
branch agencies they work with. If such lists are not available, preliminary information on
agencies with congressional liaison offices can be obtained from CRS’s directory of
Congressional Liaison Offices of Selected Federal Agencies, at http://www.crs.gov/resources/
liaisonoffices/. Questions that might be addressed in developing procedures for working with
executive branch agencies include the following:
 How much time wil the office al ow between establishing complete constituent
information and contact with the agency?
 How much time wil the office al ow between initial agency contact and
subsequent follow up?
 How much time wil the office al ow between receiving the agency’s response
and communicating the response to the constituent?
 What types of contacts (phone, email, written, face-to-face) are acceptable to
make inquiries from the office and to receive responses from the agencies?
 Wil 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 wil 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.)
Casework Records
A common concern regarding casework records is their maintenance while cases are open, and
their disposition when cases are concluded. The House and Senate consider the records generated
in a Member’s office to be the personal property of the Member.31 As a consequence, policies
regarding casework records are at the discretion of individual Member offices. The House
Records Management Manual for Members notes that to “safeguard personal information, most
Members wil not transfer case files to a repository.” The Manual notes that offices could keep
permanently “reports summarizing the types of casework generated by the office as long as they
contain no personal information about constituents (e.g., names or Social Security numbers).”
When individual casework files are removed from office files, they “should be destroyed in a
secure manner.”32 In the Senate, records management guidelines suggest that al documents
pertaining to a case should be kept together. Routine cases could be kept in the office as long as
they are open, and for two years after they are closed, after which they may be destroyed. Cases
that might be kept permanently include those with bearing on agency oversight or matters of
interest to the Senator or state. Those records could be retained in the office as long as they are

31 U.S. Congress, House, Office of the Clerk, Office of Art and Archives, Records Management Manual for Members,
January 2021, p. 1, available at https://housenet.house.gov/sites/housenet.house.gov/files/documents/member-records-
management -manual.pdf; and U.S. Senate, Secretary of the Senate, Records Managem ent Handbook for United States
Senators and Their Archival Repositories, S.Pub. 109-19 (Washington: GPO, 2006), p. 5.
32 U.S. House, Records Management Manual for Members, p. 7.
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open, and for one year after they are closed, after which they may be transferred to an archival
repository.33
Reference Materials
For Each Caseworker
 Office casework manual.
 Chamber-appropriate ethics manual chapter on casework.
 Congressional Liaison Offices of Selected Federal Agencies list, at
http://www.crs.gov/resources/liaisonoffices.
 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
Consumer Credit Matters
Copyright Information—Library of Congress
Copyright Office
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)

33 T he National Archives and Records Administration (NARA) provides courtesy storage facilities to Members of
Congress for records created in Capitol Hill offices at the Washington National Records Center (WNRC) in Suitland,
Maryland, and at regional storage facilities around the country for records generated in state or district offices. WNRC
can be reached at 301-778-1650. Contact information for NARA regional facilities is available at
http://www.archives.gov/locations/.
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Department of Labor (DOL)
Department of State (DOS)
Department of the Interior (DOI)
Department of Transportation (DOT)
Department of the Treasury (Treasury)
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’
Home Mortgages
Homeland Security/Federal Emergency Management Agency (FEMA)
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 A
Medicare Part B
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
Mortgages
National Forests
Office of Personnel Management (OPM)
Passports
Patent Information
Patent and Trademark Office
Post Office
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Prisons
Rural Development
Scheduling
Service Academy Appointments
Service Academy Appointments, U.S. Air Force Academy (Colorado Springs)
Service Academy Appointments, U.S. Coast Guard Academy (New London)
Service Academy Appointments, U.S. Merchant Marine Academy (King’s Point)
Service Academy Appointments, U.S. Military Academy (West Point)
Service Academy Appointments, U.S. Naval Academy (Annapolis)
Smal Business Administration (SBA)
Social Programs
Social Security
Student Education Financing
Student Loans
Travel
Tricare
U.S. Citizenship and Immigration Services (USCIS)
U.S. Customs and Border Protection (CBP)
U.S. Immigration and Customs Enforcement (USICE)
Unemployment
United States Forest Service
Veterans’ Clinics
Veterans’ Hospitals
Veterans’ Services
Veterans’ Service Organizations (VSO)
Visas/Entry Permits, Education
Visas/Entry Permits, Emergency
Visas/Entry Permits, Work
Washington Visitors
CRS Resources
The CRS Casework Resources Webpage, available at https://www.crs.gov/resources/casework,
provides a number of reports, links to websites, and other materials that may be of assistance to
congressional constituent service staff.
Sample Documents and Release Forms
Sample Constituent Guide/Newsletter Piece/Outreach Handout34
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

34 T his 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.
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
military awards and commendations;

veterans’ benefits;

Social Security and Medicare benefits;

immigration matters;

federal worker injury compensation;

smal -business concerns;

tax matters and the Internal Revenue Service;

housing;

student loans; and

military academy applications.35
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
al ow me to intervene in or influence the outcome of cases that are under the jurisdiction of any court. Final y, my
office cannot intervene in matters under the jurisdiction of local or state governments.36 Although I cannot
guarantee a particular outcome, my staff and I wil 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.
Initial Correspondence with Constituents Opening a Case37
Dear <CONSTITUENT>:
Thank you for contacting me about your concerns with <AGENCY> and its actions regarding <BRIEF SUMMARY
OF PROBLEM>. I appreciate the opportunity to assist you.
My office can frequently intervene to facilitate the processes involved, encourage an agency to give your case
consideration, and sometimes advocate for a favorable outcome. As my staff address your concerns and work to
secure a response from <AGENCY>, please bear in mind that the rules of the <HOUSE/SENATE> do not allow
me to 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, or intervene in, or influence the outcome of, cases that are under the jurisdiction of any
court. Final y, our office cannot intervene in matters under the jurisdiction of local or state governments.38
To begin the process, please sign and return the enclosed form al owing <AGENCY> to release information about
your case to my office. This requirement fal s under the provisions of the Privacy Act of 1974. The release must
be signed by the person directly affected, unless the person is a minor, or a third party has a notarized power of
attorney. 39 Once we have the release, we can begin to work on your case.
If you have any questions, please contact <STAFFER> at <PHONE>. My staff and I look forward to working with
you.
Sincerely,

35 T he list of possible services is an example and does not represent the entire range of potential constituent services.
36 Some congressional offices offer limited assistance on matters related to state or municipal policies and services.
37 T his 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.
38 Some congressional offices offer assistance on matters related to state or municipal policies and services. If a
congressional office does not address these matters, an office might choose to provide contact information for t he
appropriate local or state officials here.
39 Some congressional offices do not accept cases through a power of attorney. Some agencies may or may not accept a
power of attorney provided through a congressional office.
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<MEMBER OF CONGRESS>
Additional Text Related to Opening a Case
Some offices may wish to provide or request additional information to facilitate case management. Examples of
sample text for selected purposes might include specifying methods of communication, agency-specific information
that might be helpful, or how to manage health care information.
Supplement 1 to Initial Correspondence: Preferred Contact
For us to better assist you, please provide, in writing, a summary of the problem you are facing with <FEDERAL
AGENCY>. A written statement helps ensure that we have a record of al the pertinent details that the agency
wil need. Please mail your information to <OFFICE MAILING ADDRESS>, or you can e-mail it to <STAFF
NAME> at <STAFF E-MAIL ADDRESS>.
Supplement 2 to Initial Correspondence: Provide Information (Generic)
In order for us to better work with the agency on your behalf, please provide my office with any pertinent
information or claim numbers in your correspondence, such as
- your Social Security number, if your case involves the Social Security Administration;
- your A# or case number, if your case involves immigration or visa matters;
- your service number from the military, if your case involves military member benefits; or
- your claim number from the Department of Veterans Affairs, if your case involves veterans’ benefits.
If you have received any related correspondence or documents from the agency involved, please send those to us
as wel . My office conducts most of its correspondence via <EMAIL/MAIL>, and it would help us work most
efficiently if you would communicate with us this way. Please send your materials to <STAFF NAME> a t
<EMAIL/MAILING ADDRESS>.
Supplement 3 to Initial Correspondence: Agency-Specific Requests
For the <AGENCY NAME> to process your case, you must complete a <FORM NAME> from the agency. The
<AGENCY NAME> wil not respond to any inquiries from my office without it. This form is available online at
<AGENCY WEBSITE>, or you may request one through my office.
Supplement 4 to Initial Correspondence: Healthcare Information
Since your case involves medical or healthcare information, we also ask that you complete the enclosed release
specifical y authorizing access to the medical records necessary to resolve your case, as required by the Health
Insurance Portability and Accountability Act of 1996 (HIPPA).

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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>
Sample Privacy Act and HIPAA 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>. Pursuant to the Health
Insurance Portability and Accountability Act of 1996 (HIPAA), as amended, 42 U.S.C. 1320d, I authorize the
release to <MEMBER OF CONGRESS> of any protected health information related to my case that may be held
by<FEDERAL DEPARTMENT OR AGENCY> to assist in resolving my case.

<CONSTITUENT SIGNATURE>
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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. Specific protections of health care information are established in the
Health Insurance Portability and Accountability Act of 1996 (HIPAA). Some agencies might require additional
protections to ensure that your personal information is protected. Family members, friends, or other interested
parties general y may not authorize on your behalf the release of information covered by the Privacy Act , HIPAA
or agency practices.
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.40
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):____________

Response Correspondence 1: Completed Response from Agency
Dear <CONSTITUENT>,

The attached <LETTER/E-MAIL> was received from <AGENCY> in response to my recent inquiry on your behalf.
I hope the information provided is helpful.

If I may be of further assistance, please contact me.

Sincerely,

<MEMBER OF CONGRESS> or <CONGRESSIONAL STAFF>

40 Some congressional offices require constituents to certify that their case requests are lawful. T his 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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Response Correspondence 2: Partial/Interim Response from
Agency
Dear <CONSTITUENT>,

The attached <LETTER/E-MAIL> was received from <AGENCY> in response to my recent inquiry on your behalf.
While this is not a final resolution to your case, I do hope this information wil be helpful to you.

Should you not hear from the <AGENCY> by <DATE>, please contact <CONGRESSIONAL STAFF> at my
<STATE/DISTRICT/WASHINGTON> congressional office.

If I may be of further assistance, please contact me.

Sincerely,

<MEMBER OF CONGRESS> or <CONGRESSIONAL STAFF>

Author Information

R. Eric Petersen
Sarah J. Eckman
Specialist in American National Government
Analyst in American National Government

Disclaimer
This document was prepared by the Congressional Research Service (CRS). CRS serves as nonpartisan
shared staff to congressional committees and Members of Congress. It operates solely at the behest of and
under the direction of Congress. Information in a CRS Report should n ot be relied upon for purposes other
than public understanding of information that has been provided by CRS to Members of Congress in
connection with CRS’s institutional role. CRS Reports, as a work of the United States Government, are not
subject to copyright protection in the United States. Any CRS Report may be reproduced and distributed in
its entirety without permission from CRS. However, as a CRS Report may include copyrighted images or
material from a third party, you may need to obtain the permission of the copyright holder if you wish to
copy or otherwise use copyrighted material.

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