Casework in a Congressional Office

Order Code 98-878 GOV
CRS Report for Congress
Received through the CRS Web
Casework in a Congressional Office
Updated December 22, 2004
John S. Pontius
Specialist in American National Government
Government and Finance Division
Congressional Research Service ˜ The Library of Congress

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

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

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Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Congressional Research Service Resources on Casework . . . . . . . . . . . . . . . 4
Performing Casework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Assigning Casework Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Privacy Safeguards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Analyzing the Constituent’s Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Worker’s Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Military Personnel Inquiries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Military Hardship Discharge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Social Security (Lost Check) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Social Security Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Congressional Intervention in the Administrative Process . . . . . . . . . . . . . 10
Tracking Casework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Disposition of Casework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Handling Cases When Closing a Congressional Office . . . . . . . . . . . . . . . . 12
Appendix A: Federal Office Contacts for Types of Cases and
Information Required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Civilian Pensions and Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Social Security Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Supplemental Security Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Black Lung Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Medicare . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Civil Service Retirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Railroad Retirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Unemployment Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Workers’ Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Military Affairs and Service Academies . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Military . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Military Academy Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . 15
Selective Service System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Veterans (Department of Veterans Affairs (VA)) . . . . . . . . . . . . . . . . 15
State Department Inquiries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Visas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Passports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Letters of Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Overseas Citizens Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Refugee/Asylum Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

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Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Immigration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Labor Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Higher Education Loans and Assistance . . . . . . . . . . . . . . . . . . . . . . . 17
Farmers’ Loans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Communications Licenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Government Procurement and Property . . . . . . . . . . . . . . . . . . . . . . . . 18
Housing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
American Indians and Alaska Natives . . . . . . . . . . . . . . . . . . . . . . . . . 18
Postal Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Federal Prisoners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Small Business . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Treasury . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
U.S. Commission on Civil Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Recommendations for Federal Employment . . . . . . . . . . . . . . . . . . . . 20
Appendix B: Appointments to U.S. Military Service Academies . . . . . . . . . . . 21
Nominations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Qualifications and Legal Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Additional Types of Nominations for Appointments . . . . . . . . . . . . . 24
U.S. Merchant Marine Academy
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
U.S. Coast Guard Academy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Appendix C: Sample Privacy Act Release Form . . . . . . . . . . . . . . . . . . . . . . . . 27
Appendix D: Legal and Ethical Considerations
of Casework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Agency Intervention Protocol . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Employment Recommendation Restrictions . . . . . . . . . . . . . . . . . . . . . . . . 29
Responsibility to Constituents
(House Ethics Committee Advisory Opinion) . . . . . . . . . . . . . . . . . . . 29
Representations Before Federal Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Principles to be Observed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Guidance for Future Conduct
(Senate Ethics Committee Report) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Representation of Petitioners Before Federal Agencies . . . . . . . . . . . . . . . . 32
Senate Rule XLIII — Representation by Members . . . . . . . . . . . . . . . . . . . 32
Congressional Intervention in the Administrative Process . . . . . . . . . . . . . 34

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Casework in a Congressional Office
Introduction1
Casework generally consists of assistance provided by Members of Congress
and their staff at the request of constituents in their transactions with federal
agencies. It mostly originates from constituent letters, visits, phone calls, voice mail,
faxes, and e-mails.
Casework may involve either individuals or groups with a common concern, and
typically includes a problem, grievance, question of eligibility, need, or other tangible
interest or benefit. Whether it is a delayed Social Security check, a denied veterans’
claim, or a Medicare reimbursement dispute, the constituent’s problem usually has
to do with a federal program, rule, regulation, or administrative decision resulting
from the implementation of a public law. Casework involves “interpreting,
interacting, explaining, distributing, and interceding on behalf of constituents toward
relief of some problem between them and the bureaucracy.”2 Casework may also be
involved with the nominations and appointments of constituents to U.S. military
service academies.3
Members view casework as an important, necessary, and legitimate
congressional function.4 Members put a premium on this service as part of their
representational role, acting as facilitator and intervener between constituents and the
federal government. Members place an extra value on responding to mail in this area,
considering casework assistance a vital part of representing their constituents.5
Sometimes this assistance consists of information only. At other times, Members
facilitate constituent-agency interaction or intervene on behalf of constituents.
A basis for casework can be found in the first sentence of the Constitution: “We
the people of the United States in order to form a more perfect Union ... establish
justice ... promote the general welfare ...”
1 The author wishes to thank Vince Briggeman for his valuable contributions.
2 Joseph Westphal, “The Congressional District Office: Representative-Constituency
Linkages,” Ph.D. diss., University of Missouri, Columbia, 1980, p. 71.
3 CRS Report 98-878, Casework in a Congressional Office, by John Pontius. See Appendix
B: Appointments to U.S. Military Academies.
4 For CRS reports on casework, see Appendix 3: Congressional Research Service Resources
on Casework, Grants and Projects.
5 CRS Report 98-878, Casework in a Congressional Office, by John Pontius; and Lee
Hamilton, “Constituent Service and Representation,” The Public Manager, vol. 21 (Summer
1992), pp. 12-15.

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There is no doubt that the casework function in a congressional office promotes
an individual’s general welfare and often may correct an injustice. There is also no
doubt that the framers of the Constitution could not have envisioned the complexity
of modern government: the scores of agencies, and thousands of regulations that
affect our citizens. Occasionally, an important benefit check is delayed, or a veteran
needs hospital care right away — these are some of the many problems presented to
a caseworker. The representative functions of Members of Congress in this area,
while not so defined, are arguably implicit in the Constitution. Additionally, the first
Article of the Bill of Rights provides that “Congress shall make no law ... abridging
the ... right of the people ... to petition the government for a redress of grievances.”
Casework, or “constituent business” as it was sometimes called, was an early
function for Members of Congress, as noted in the diaries of John Quincy Adams and
James K. Polk. According to Leonard White’s The Jacksonians, Polk wrote of cases
in which he provided assistance in claims for pensions, land claims, writing letters
for appointments to West Point, and a search for a letter in a dead-letter office.6
Legislators did not have any staff to assist them: until well into this century,
Members had to depend solely upon requests to the executive agencies for
information.
By the 1940s, it had become clear that attending to constituents’ needs was
consuming large blocks of Members’ time. A report by the American Political
Science Association’s Committee on Congress, published in 1945 acknowledged this
fact and recommended relief.7 That same year, hearings on the organization of
Congress were held by a joint committee at which a number of Members and
observers testified about this problem. Several witnesses advocated the appointment
of an administrative assistant who would assist Senators and Representatives “in their
office and departmental work.” Members reported spending from 50% to 80% of
their time occupied with non-legislative matters, including handling constituent
requests before departments. Some urged deliverance from the growing burden of
services to constituents, while a few argued that Members should be forbidden
altogether from intervening on behalf of constituents.8
In its 1946 report, the Joint Committee on the Organization of Congress noted
that “expansion of governmental activities during the past 25 years [had] vastly
increased the volume of ... requests for service” from constituents.9 It further stated
that “while it is true that the Constitution does not place this burden directly upon
6 Leonard White, The Jacksonians (New York: MacMillan, 1954), p. 144. See also John
Spencer Bassett, “James K. Polk and His Constituents, 1831-1832,” American Historical
Review, vol. 28, no. 1 (Oct. 1922), pp. 68-77.
7 American Political Science Association, Committee on Congress, The Reorganization of
Congress: A Report of the Committee on Congress of the American Political Science
Association (Washington: Public Affairs Press, 1945), pp. 78-81.
8 U.S. Congress, Joint Committee on the Organization of Congress, Organization of
Congress, summary of hearings, 79th Cong., 1st sess. (Washington: GPO, 1945), p. 3.
9 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.

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Congress, nevertheless service to constituents has long been an accepted part of the
job of a Member of Congress.”10 This contact affords, said the Committee, one of
the few remaining direct links between citizens and their elected representatives.
Furthermore, it continued, no other agency or office of government can perform this
service “so cheaply or with such patience, understanding, and personal interest as
congressional offices.” Despite suggested alternative ways of rendering this service,
the committee concluded that “it is neither possible or advisable” to do so.11
Citing past precedents in which Congress had increased clerical assistance to
Members, the committee recommended that “a competent assistant capable of
assuming a large part of the service burden” be appointed so as to release Members
for the performance of their legislative duties.
When the Senate subsequently enacted the Legislative Reorganization Act of
1946 (P.L. 79-601), it included a provision to this effect. The House, however, acted
last, and its version, which was accepted by the Senate due to the lateness of the
session, did not contain this provision. Nevertheless, it was successfully argued by
Senator Robert LaFollette, Jr., co-chairman of the Joint Committee that drafted the
Legislative Reorganization Act, that funds should be appropriated for these
assistants. Within a short period of time, 91 of the 96 Senators appointed such
assistants. Subsequently, administrative assistants were also authorized for the staffs
of House Members.
These actions were tantamount to statutory authority for caseworkers in
senatorial offices. Since 1946, of course, their number has grown to reflect the
magnitude of constituent requests for assistance in dealing with the many
departments, agencies, and offices of the federal government. It is of both historical
and current importance that casework has been perceived as a legitimate, necessary,
and irreplaceable function of Members and their staffs, and that Congress explicitly
recognized this over four decades ago.

The Legislative Reorganization Act of 1970 (P.L. 91-510) provided some
increase in resources for constituent services in its reorganization of the
Congressional Research Service (CRS). Section 203(a)(5) of the Act authorizes
CRS, “upon request, or upon its own initiative in anticipation of requests, to prepare
and provide information, research, and reference materials and services to
committees and Members of the Senate and House of Representatives and joint
committees of Congress to assist them in their legislative and representative
functions ....” The majority of CRS assistance is related to legislation or oversight:
CRS assists in casework only by providing readily available materials to Members
in responding to constituent inquiries.12
10 Ibid.
11 Ibid., p.16.
12 For additional information on casework, see John R. Johannes, To Serve the People
(Lincoln: University of Nebraska Press, 1984). Also see Congressional Management
Foundation, Frontline Management: A Guide for Congressional District/State Offices
(Washington: 1998).

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Congressional Research Service Resources on Casework
The Congressional Research Service (CRS) offers the following products
relating to casework: CRS Report 98-446, Congressional Liaison Offices of Selected
Federal Agencies, by Suzy Platt, for congressional staffers handling casework and
needing to communicate with federal executive offices. Congressional staff can call
the CRS Products line, (202) 707-7132, to request this report. The CRS Office of
Special Programs presents a seminar on casework and grants as part of its three-day
District/State Staff Institute, held periodically in Washington, DC. Congressional
staff should check the CRS website [http://www.crs.gov ] for dates and registration.
Performing Casework
Most federal departments and agencies have regional or state offices. Members
of Congress and federal agency officials often recommend that congressional district
and state offices first seek to resolve constituent problems through these units.13
Nearly every caseworker works in a congressional field office, with a few
working in the Washington, DC office. The volume of casework continues to
increase. The Congressional Management Foundation, a non-profit foundation,
stated that its:
1997 survey of District and State Directors shows that 53% of House offices and
42% of Senate offices receive between 1,000 and 5,000 cases each year, and 32%
of Senate offices report more than 7,500 cases annually. Moreover, 58% of
House offices and 84% of Senate offices report an increase in casework in the
past five years — with an average increase of 35%!14
Assigning Casework Responsibilities
A Member of Congress usually allocates casework responsibilities to one or
more staff members who review and respond to needs, complaints, or personal
problems posed by constituents. The personal communication aspect is very
important. The caseworker should be personable, helpful, and ready to assist an
individual with his or her problem. A caseworker should also be compassionate,
realizing that those in need may be desperate when they contact Members. Finally,
the caseworker must be well organized and know how to follow through.
Casework is rarely an isolated operation in a congressional office: it can involve
the administrative assistant, legislative assistants, grants and projects staff, the office
13 These regional agencies are listed in sources such as: United States Government Manual
(in print) or via the Government Printing Office’s National Archives Internet site
[http://www.gpoaccess.gov/gmanual/browse-gm-00.html] ; Catalog of Federal Domestic
Assistance, Appendix IV: “Federal Agency Contacts in States” (in print), or via the Internet
[http://www.cfda.gov ]; and Carroll’s Federal Regional Directory (in print).
14 Richard H. Shapiro, Frontline Management: A Guide for Congressional District/State
Offices (Washington: Congressional Management Foundation, 1998), p. 89.

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manager, and the press secretary, as well as staff in the field offices. Caseworkers
also contribute to other functions of the office, such as alerting the press secretary of
a noteworthy case or identifying for the legislative staff a law that may need
changing. Typical casework position titles are field representative, caseworker,
regional manager, casework manager, and constituent services representative.
Responding to constituent needs, complaints, or problems gives a Member an
opportunity to determine whether executive agencies’ programs are functioning in
accordance with legislative mandates. Thus, casework has the potential to contribute
to legislative oversight of agencies. Indeed, some offices make it a practice to bring
casework observations to the attention of the pertinent authorizing committee(s),
particularly if a pattern emerges. It may even lead to new legislation.
Most federally assisted casework involves problems regarding social security
checks, benefits, and appeals; workers’ compensation claims, hearings, and appeals;
military service problems, such as a hardship discharge from the service; veterans’
benefits, medical care, and home loan guarantees; immigration problems; and other
appeals for help. Casework is closely related to, but different from, grants and
project work, which usually concerns local governmental units or other organizations
(e.g., corporations, universities, and research firms) that compete for federal
government funds in the form of contracts, grants, loans or other disbursements.
Some congressional offices, however, combine these functions and call them
“constituent services.”15
Privacy Safeguards
Constituent letters sent to a Member’s office are not protected by the Privacy
Act of 1974 (5 U.S.C. § 552a) or any other statute safeguarding personally
identifiable records received and maintained in such offices. However, for a variety
15 For further information on grants, congressional staff may access the CRS Grants
Information Web page at [http://www.crs.gov/reference/general/grantsinfo.shtml]. A
slide/audio program on Grants Work in a Congressional Office may be viewed from that
page. CRS has also produced another Web page entitled Grants and Federal Domestic
Assistance [http://www.crs.gov/reference/general/grants/member-grant.html] that can be
downloaded to a Member’s home page for their constituents and grantseekers in their
district and state. Congressional staff can call the CRS Products line, (202) 707-7132, to
request CA90001, Grants and Federal Domestic Assistance Web Page, by Merete F. Gerli
and Luis DeCastro; CRS Report 97-220, Grants Work in a Congressional Office; CRS
Report RS20514, Grants Information for Constituents, all by Merete F. Gerli; and CRS
Report RS21117, Ethical Considerations in Assisting Constituents with Grant Requests
before Federal Agencies, by Jack Maskell.
The CRS Grants Information Web page hotlinks to other CRS reports on grants,
including CRS Report RL30818, Block Grants: An Overview; CRS Report RS20124,
Community Services Block Grants: Background and Funding; CRS Report 98-79, Federal
Funds: Tracking Their Geographic Distribution; CRS Report; CRS Report RS20669,
Federal Grants to State and Local Governments: Overview and Characteristics; CRS
Report RL30778, Federal Grants to State and Local Governments: Concepts for Legislative
Design and Oversight; and CRS Report RL31227, Terrorism Preparedness: A Catalog of
Federal Assistance Programs.

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of reasons, including the high probability of an expectation of privacy concerning
these communications, a policy safeguarding privacy is advisable for such offices.
Such a policy would include:
! physically safeguarding such correspondence in office files; and
! limiting access to such correspondence, including the drafting of
responses, to office personnel.
Concerning constituent casework correspondence awaiting final disposition at
the time of a Member’s retirement or departure from office, see Handling Cases
When Closing a Congressional Office, later in this report. Most Members of
Congress do not archive case files to a repository not only because both Members and
repositories are concerned about privacy issues but also because repositories cannot
manage the large volume of these files. Some repositories take casework, while
others sample it. This should be discussed with the receiving depository as to what
it is willing and able to do. Most Members destroy case files before they leave office.
Beyond privacy issues, the need to process such records and their volume would
be a heavy burden for a repository, especially since the researcher demands would be
focused on other aspects of the collection. It would be advantageous to include staff
from the repository in the casework transfer process as early as possible to determine
which casework files (if any) should be saved.
In the unlikely case of a Member or repository agreeing to transfer casework
files, the deed of a gift should include provisions for personal information to be
redacted from the case files before the files are released to researchers. Relying upon
a signed form promising not to reveal personal information contained in a case file
released to the researcher is not enough to prevent the release of personal data.
Congressional offices should prepare and file periodic summary reports on their
casework. Such reports should summarize the office’s casework projects and their
status. It should not include any personal identifying information. This approach
would capture the essence of casework activities and allow for the secure destruction
of most casework files.
Casework should be conducted with sensitivity to the constituent’s personal
privacy rights. Although neither the Freedom of Information Act nor the Privacy Act
apply to Congress, they may be used by caseworkers to seek federal department and
agency records on behalf of constituents. The former law allows any person to
request existing unpublished agency records on any subject so long as the materials
are reasonably described and not otherwise restricted. The latter statute permits an
American citizen or permanent resident alien to seek agency records or files
pertaining exclusively to himself or herself.
General guidance on the Privacy Act is provided in an Office of Management
and Budget (OMB) memorandum of October 3, 1975, concerning “congressional
inquiries which entail access to personal information subject to the Privacy Act.”
OMB recommends that, as a matter of policy, each agency administering the Privacy

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Act adhere to the position that disclosure may be made to a congressional office
pursuing personally identifiable information at the request of that individual.
Since most agencies will not release personally identifiable information without
written consent, it is important to have either a letter from the constituent that will
serve as a Privacy Act release or a separate form on file. The form may state, “I
authorize Senator/Representative to check into my case and receive
information connected with it.”16 The form must be sent to the constituent for
signature and returned. When contacting an agency on behalf of a constituent, a
caseworker may say, “This office has Mr./Ms. authorization to
receive information about his/her case.” Many agencies do not require the form and
will accept a verbal authorization, but only with the assurance that a Privacy Act
form will be forthcoming. It is in the interest of a member’s office to secure this
privacy release.
Analyzing the Constituent’s Problem
Frequently, when constituents seek assistance they have done everything they
know how to do and are coming to the Member’s office as a last resort because they
do not know where else to go for help. Often they feel caught in a bureaucratic
labyrinth. Accordingly, they may see their Member as a last chance for relief.
Identifying all elements of the problem is the first step for the caseworker:
sometimes individuals do not provide the whole story, and occasionally, they may
forget or omit crucial information. When caseworkers read a letter, see a referral
from the field office, or receive a phone call from a constituent, they should make
certain that they have all relevant information needed to proceed. For example, a
social security number and the age of the recipient, or time and length of military
service may not only be useful, but necessary in processing a claim.17
Upon receipt of the inquiry, most caseworkers feel it is advisable to send an
acknowledgment letter to the constituent immediately to inform them that the
Member is aware of the request and is inquiring into the matter, and that the
constituent will be contacted again when some response is forthcoming. This method
establishes a basic office file in the name of the constituent, and is also a means of
requesting any additional information from the constituent, if needed.
Every caseworker has to develop a method of analyzing the nature of the
constituent’s problem and conducting the most expeditious resolution of it. Knowing
where to go first can save time; the caseworker, therefore, must have a working
knowledge of federal agencies. This includes a knowledge of the relevant agency
program, as well as keeping abreast of current legislation that might affect the
constituent’s case. Understanding the various sources of assistance, federal and non-
federal, including welfare organizations and charities, can enable the caseworker to
assist more fully and expeditiously. Effective caseworkers develop a telephone list
16 An example of a Privacy Act form used by one Member’s office is provided in Appendix
C: Sample Privacy Act Release Form.
17 See Appendix A: Federal Office Contacts for Types of Cases and Information Required.

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CRS-8
of contacts in the various agencies and retain the numbers of other congressional
caseworkers who might be able to assist with a lead, a number, or advice based on
their own casework experience.
Caseworkers may consult Appendix A for contacts and telephone numbers for
various types of cases, such as civilian pensions and benefits, military affairs, and
State Department inquiries. For contacts not listed in Appendix A, the caseworker
could call the appropriate federal department or agency congressional liaison office
for the correct office or person to help with a particular problem. 18 This approach
may save valuable time, rather than guessing who might best be able to help a
constituent. Appendix B refers to contacts at military academies.
Members of Congress also receive inquiries from constituents dealing with
subjects or programs within the jurisdiction of state or local governments. In such
instances, the Member office must decide upon an appropriate response to the
constituent inquiry. Most Member offices routinely respond to constituent inquiries
about local government issues by referring the matter to local officials, and if the
decision is to refer the case to local officials, the constituent must be notified that the
congressional office has done so. However, some Members’ field office staff work
in conjunction with state legislative and local government staff as a means to more
effectively serve the constituency at the federal, state, and local levels.
In communicating with an agency, the caseworker must convey concern and,
if necessary, urgency, communicate clearly, and be reasonable, but persistent. The
caseworker must also decide how best to transmit the case, either by phone, fax,
buck-slip, or letter. The form of contact with the agency usually depends upon the
degree of urgency: sometimes the problem requires an immediate response, but more
often, it is not so urgent. All appeals for help, however, should be dealt with in a
timely and personal way on behalf of the Member. Once an agency has been
contacted, the case is tracked; if no response has been received after a reasonable
amount of time, a follow-up is done. Sometimes an interim response is sent to the
constituent advising that the Member is still working on the case. When the agency
finally renders its determination, caseworkers have to read it as if they were the
constituent and recast it, if necessary: rephrasing “bureaucratese” so that it is simple
and direct is an essential task of casework. Following are examples of several cases:
Worker’s Compensation. With a worker’s compensation case, a constituent
has typically filed a claim, but has not received the payment to which he or she feels
entitled. The Department of Labor, when contacted by a congressional office, will
locate the case, check the status, and determine agency action. It is the Department’s
practice to answer congressional correspondence within 14 calendar days.
18 CRS Report 98-446, Congressional Liaison Offices of Selected Federal Agencies, by
Suzy Platt (congressional office use only). See also CRS Report RL31731, Federal Services
for Constituents Available in Foreign Languages: Selected Sources, by Leneice Wu and
Sherry Shapiro; and CRS Report RL31732, Federal Services for Constituents in Spanish:
Selected Sources, by Leneice Wu and Sherry Shapiro.

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CRS-9
As with most agencies, if the answer is still unsatisfactory, a reconsideration,
hearing, or procedure before the appeals board are all alternatives for a denied
constituent. The appeals process can vary from agency to agency. At the Department
of Labor, an individual may request one of the above or all three, but at the appeals
board level no new information can be entered. While agencies will allow a
caseworker to review the file, this is rarely done.
Military Personnel Inquiries. When contacting a military liaison officer on
behalf of a member of the Armed Services, provide the name, rank, social security
number, location and unit of assignment. Additionally, a military liaison will
probably require an acknowledgment that a Privacy Act clearance has been provided
to the congressional office by the military petitioner. The military petitioner’s unit
is contacted to determine the situation and to verify information provided to the
Member of Congress. If assistance or counseling is appropriate, the military
organization will do so, and express the Member’s interest in the matter. The
Member’s caseworker is then notified of the findings and/or actions taken as a result
of the inquiry.
Military Hardship Discharge. Military liaisons require the individual’s
name, rank, social security number, location and unit to which assigned, and the
circumstances of the request for a hardship discharge. Additionally, liaison officers
also require acknowledgment that a Privacy Act clearance has been submitted to the
congressional office by the requesting military member. The military liaison then
contacts the unit to which the member is assigned to determine his or her status and
to verify the information the military member has provided the Member. If the
military member has not yet filed a request for hardship discharge, the military
liaison asks the military organization to advise the military member regarding the
application, and expressing the Member’s interest in the matter. The military liaison
then notifies the Member’s staff and caseworker of their actions, and the outcome of
the case. The acceptable hardship criteria for a release as well as the steps involved
may differ among services.
Social Security (Lost Check). Typically, a retiree who has not received a
social security check contacts a Member of Congress. A caseworker on that
Member’s staff then contacts the Social Security Administration with the pertinent
information — name, social security number, type of benefit, and a description of the
problem. The agency confirms that the individual has reported the problem to its
district office and determines the check number, amount, and date of issue. This
information is furnished to the congressional office. A caseworker can greatly
expedite the claim by phoning this information to the Department of Treasury,
Congressional Division of Check Claims.
If the check has not been cashed, Treasury will confirm or place a stop order on
the check and reissue it immediately. If the check has been paid, a photostatic copy
and claim form are sent to the payee for endorsement verification. If it is shown that
the beneficiary did not receive or cash the check, a settlement check is issued to the
payee upon receipt of a properly executed claim. Suspicious circumstances
surrounding claims will be investigated, and such investigation can take several
months.

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CRS-10
Social Security Appeal. Most appeals are within the disability area. An
unfavorable decision from the Social Security Administration, either in whole or in
part, may lead to an appeal. After a due process notice (appeals rights) goes out, the
constituent may file for reconsideration. This request for reconsideration must be
filed within 60 days of receiving the notice. The individual’s claim is then again
reviewed by the disability determination service. If a favorable answer is still not
forthcoming, the individual has 60 days to file for a hearing with an administrative
law judge, who will hear the case, in a face-to-face hearing if so desired. If the
judge’s ruling is unfavorable, there is further recourse. A request for further review
must be filed within 60 days. An appeals council may review the decision. After
that, it can be taken outside the purview of the federal agency to the federal district
court in the constituent’s area.
Congressional Intervention in the Administrative Process
Adhering to ethical and legal standards is of concern to Members of Congress
and their personal and committee staff when intervening in the administrative
process. Congressional interventions involve varying degrees of intrusion into
agency decision making processes.19
Tracking Casework
Once an agency has been contacted on behalf of the constituent, the case should
be tracked. Although a letter is usually sent to the agency head from the Member of
Congress, it frequently helps to contact directly key agency staff likely to respond to
a casework request. Sometimes an interim response is sent to the constituent
advising that the Member is still working on the case. If no agency response has been
received after a reasonable amount of time, a follow-up is advised. When the agency
finally renders its determination, a caseworker should read it as if the caseworker
were the constituent. Rephrasing bureaucratic wording and procedures is an essential
task of casework.
Casework and other requests of Members invariably increase over time. In
order to cope with the workload, offices have installed computer and word processing
systems. Such equipment enables offices to retain, in computers, disks or tapes,
casework information, including constituent’s name, the problem, any interim
communications, and final disposition data. Case management software may create
particular problems for repositories unprepared for dealing with such special media.
Over time, the problem with case management software will only grow for members
who serve for many terms.
Disposition of Casework
Successful resolution of a case, more than anything else, will show the
individual that his or her Member, and the government, are really working for the
19 See Appendix D: Legal and Ethical Considerations of Casework. See also CRS Report
RL32113, Congressional Intervention in the Administrative Process: Legal and Ethical
Considerations, by Morton Rosenberg and Jack H. Maskell.

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CRS-11
constituent. There are times, however, when it is not possible to achieve what an
individual has requested. A caseworker has to know when the case is no longer
worth pursuing. On the other hand, a caseworker must know when to persist in the
face of perceived agency resistance, and to do the utmost to assure as complete an
effort on behalf of the constituent as possible. If advisable, a negative decision from
an agency can be appealed to the appropriate agency office.20
Closed cases are kept on file for future reference. The files provide a Member
with examples of service to constituents and can be brought to the Member’s
attention for possible use when communicating with constituents. If the situation is
newsworthy, the Member’s press aide should be involved. Successful cases are
sometimes included in newsletters, press releases, and in human interest feature
stories. The constituent’s permission, of course, is required.21
20 If the case is taken through the administrative process and the constituent feels that he or
she has unjustly been denied recourse or benefits, they have the right to take their grievance
to federal court, but only after the administrative process and appeals have been completed.
21 The House Office of History and Preservation, Legislative Resource Center, Office of the
Clerk of the House of Representatives ([202] 226-5200), and the Senate Historical Office,
Secretary of the Senate ([202] 224-3351) provide assistance and guidelines to Members on
records management issues, particularly for those who are leaving Congress. See their
documents: U. S. Congress, House, Office of the Clerk, Closing a Congressional Office: A
Guide to the Disposition of Official Papers and Records (Washington: Office of the Clerk,
U.S. House of Representatives, Sept. 2000), and U.S. Congress, Senate, Records
Management Handbook for U.S. Senators and Their Archival Repositories, 108th Cong. 1st
sess., S. Pub. 108-10 and Senators’ Papers: Management and Preservation Guidelines, both
by Karen Dawley Paul (Washington: Secretary of the Senate, Senate Historical Office,
2003).
Courtesy storage facilities are available to Members of Congress at the Washington
National Records Center of the National Archives and Records Administration (NARA) in
Suitland, Maryland (Phone 301-778-1650). Many Member offices store closed case files
in courtesy storage. If an office uses courtesy storage, they must keep on file Standard Form
135 (Guide to Courtesy Storage of Official Papers of Members of Congress at the
Washington National Records Center [National Archives and Records Administration,
Suitland, MD: April, 2002] to allow staff to keep track of these files. When a Member is
aware that he or she will not be returning to Congress, staff should consult their SF 135 to
determine whether courtesy storage files should be returned to the office, sent to the
repository, or destroyed by the records center.

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CRS-12
Handling Cases When Closing a Congressional Office
Archivists recommend preserving case files that relate to particular issues (black
lung disease and disaster relief in the district/state, for example), only if the office has
maintained these files separately or can retrieve them easily. If one wishes a special
restriction on personal information in case files, it should be written into the deed of
the gift. Possible restrictions on case files include that the files be used for statistical
purposes only or be closed for a longer time than other sections of the office records.
Another alternative is that the depository or library require researchers to sign an
agreement that they will not use names or quote from particular documents. The
requirement both allows researchers to use the case files and gain information from
them but also discourages publication that would embarrass any specific individual.
Some casework files may be vital to understanding the activities of the Member.
Such files may initiate ideas for legislation or policy advocacy. In other cases, these
files may reflect the policy record or a particular interest of the Member. Such
casework files should be maintained separately or filed among the Member’s
legislative or personal files. The House and Senate do not recommend keeping case
files, but do suggest keeping samples of files. Such a strategy allows for redacting
individual files. Case files should be kept if the case led to agency or legislative
oversight investigation or if the case is of particular interest to a Member of
Congress.
To reduce the number of open case files, it is advisable for departing Members
to set a date beyond which they will not accept new case files. The constituent’s
request is returned with a letter recommending that the request be resubmitted to the
Member’s successor or a Senator whose term is not expiring.
Open cases are those that are unresolved or not concluded by the time the
Member leaves office. Representatives have a number of options with regard to
these cases. They may pass on open cases to their successor, assuming the successor
is willing, and the constituent has granted approval. Sometimes, however, this is not
politically desirable. A retiring Member of the House may transfer open cases to one
of the state’s Senators, assuming a Senator and the constituent are agreeable to this
arrangement. If not, the active file is returned to the constituent.
When Senators leave office, active files are customarily transferred to the
succeeding Senator, or to the other Senator representing the same state, so that work
can continue on the problem. In some offices, however, Senators who are leaving
will return the active file to the constituent, with a letter explaining that they are
leaving office and are no longer able to follow the case to a conclusion.

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CRS-13
Appendix A: Federal Office Contacts for
Types of Cases and Information Required
For a list of congressional liaison offices in over 150 federal agencies, call CRS
Products Line at 202-707-7132 and request CRS Report 98-446, Congressional
Liaison Offices of Selected Agencies, a report to aid congressional offices in placing
telephone calls and addressing correspondence to government agencies. The most
common requests for assistance are noted here, including the type of information
usually needed, and a contact name and phone number.
Civilian Pensions and Benefits
1.
Social Security Benefits. Retirement, disability, and survivors. Provide
social security number, nature of the problem, name and address, type of
benefit.
Ms. Sharon A. Wilson
Tel. (410) 965-3929
Social Security Administration
2.
Supplemental Security Insurance. Name, address (each state has different
rules), social security number and nature of impairment: aged, blind, or
disabled.
Ms. Sharon A. Wilson
Tel. (410) 965-3929
Social Security Administration
3.
Black Lung Benefits. Administered by the Department of Labor. Social
security number, name, city, nature of the problem, claim number, and date of
claim.
Ms. Jana Hoisington
Tel. (202) 693-4600
Department of Labor
hoisington.jana@dol.gov
4.
Medicare. Name, address, Medicare claim number, social security number,
and description of problem.
Ms. Carleen Talley
Tel. (202) 690-8220
Center for Medicare and Medicaid
Services
5.
Civil Service Retirement. The Office of Personnel Management administers
both the Civil Service Retirement System and the Federal Employees
Retirement System. Applicants include those seeking regular and disability
retirements, or their surviving spouses and children. Other categories of
inquiry: lost checks; change of address for correspondence and direct deposit for
checks; refunds of retirement contributions; voluntary contributions; federal

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CRS-14
employees health benefits program; federal employees group life insurance
program; federal and state income tax withholding; federal long-term care; court
orders and tax levies; and deposits and redeposits.
For each inquiry it is necessary to have either the civil service annuity number,
survivor number, or a social security number, and date of birth of the person
receiving benefits.
Ms. Charlene Luskey
Tel. (202) 225-4955
Office of Personnel Management
6.
Railroad Retirement. For benefits and unemployment benefits, provide
name, address, social security number.
Mr. Rich Konopka
Tel. (312) 751-4974
Railroad Retirement Board
richard.konopka@rrb.gov
7.
Unemployment Benefits. Name, social security number, place of last
employment, reason for termination. In general, cases should be handled
through the local unemployment office first.
Mr. Blake Hanlon
Tel. (202) 693-4600
Department of Labor
hanlon-blake@dol.gov
8.
Workers’ Compensation. Name, address, social security number, claim
number, date of injury, and status of care. (Could cover, for example, longshore
and harbor workers, F.E.C.A., or black lung programs).
Ms. Jana Hoisington
Tel. (202) 693-4600
Department of Labor
hoisington.jana@dol.gov
Military Affairs and Service Academies
9.
Military. Hardship and retirement cases. Name, rank, social security
number, location, unit to which assigned, nature of the problem.
Army
(Senate) Col. John Schorsch
Tel. (202) 224-2881
schorsch.john@hqda.army.mil
(House) Col. Michael DeYoung
Tel. (202) 225-6818
deyoung.michael@hqda.army.mil

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CRS-15
Navy
(Senate) Capt. Mike Vitale
Tel. (202) 685-6003
michael.c.vitale@navy.mil
(House) Capt. Dale Lumme
Tel. (202) 685-6079
dale.lumme@navy.mil
Air Force
(Senate) Col. Darren McDew
Tel. (202) 685-2573
darren.mcdew@pentagon.af.mil
(House) Col. Randy O’Boyle
Tel. (202) 685-4531
thomas.oboyle@pentagon.af.mil
Coast Guard
(Senate) Cdr. Tim Cook
Tel. (202) 224-2913
(House) Cdr. Bill Milne
Tel. (202) 225-4775
10. Military Academy Recommendations. Name, address, desired
appointment, indication of credentials and brief history requested for a letter of
recommendation.22
11. Selective Service System. For those born on or after January 1, 1960:
name and social security number; selective service number is helpful. For those
born prior to January 1, 1960: name, date of birth, and address at time of
registration; selective service number is helpful. For approval or disapproval
of educational loans under Title IV of the Higher Education Act — name, social
security number, and/or selective service number.
Mr. Dick Flahavan
Tel. (703) 605-4100
Selective Service System
richard.flahavan@sss.gov
12. Veterans (Department of Veterans Affairs (VA)). VA benefits include,
but are not limited to, disability, education and training, home loan, life
insurance, burial, survivor benefits, and health care benefits. Eligibility for
most VA benefits is based upon discharge from active military service other
than from training under honorable conditions for a minimum period specified
by law.
Provide veteran’s name, social security number, claim number, policy number
(for insurance), date of birth and period of service. Evidence of honorable
discharge may be necessary.
22 See Appendix B: Appointments to U.S. Military Service Academies.

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CRS-16
Ms. Patricia Covington
Tel. (202) 224-5351 (for Senate)
Veterans Administration
Tel. (202) 225-2280 (for House)
pat.covington@mail.va.gov
State Department Inquiries
13. Visas. Name, date, place of birth, type of visa (visitors, working, student,
immigrant); where they applied; nature of the problem, if applicable.
Ms. Jeanette Toaobert
Tel. (202) 663-1516
State Department
14. Passports. On an emergency basis, may be completed on same day. Name,
address, certified birth certificate, driver’s license, previous U.S. passport or
naturalization certificate, two passport photos, fee, flight tickets, pertinent application
form.
Ms. Patience Tait
Tel. (202) 955-0198
State Department
15. Letters of Introduction. To American embassy abroad. Congressional office
may contact State Department or embassy directly. Provide name of constituent,
date of visit to foreign country. Suggested clause to be included in letter: “Within
appropriate laws and regulations, please extend appropriate courtesies to my
constituent.”
16. Overseas Citizens Services. Deaths, arrests, missing persons, child custody,
injured relatives — name, relevant information on itinerary or location.
Ms. Dianne Andruch
Tel. (202) 647-5226
State Department

17. Refugee/Asylum Cases.
Ms. Pam Lewis
Tel. (202) 663-1056
State Department
Other
18. Immigration. Name, place and date of birth, immigration file number or receipt
number if known, type of case, location, alien number (if applicable), and date of
filing. If the case was denied, find out if and when an appeal has been filed.
Ms. Karen V. Lang
Tel. (202) 514-5232
Immigration and Customs Enforcement

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CRS-17
Ms. Sarah Taylor
Tel. (202) 514-5231
Citizenship and Immigration
Services
19. Labor Certification. Employees who have applied for certification. Provide
employee name, employer name, type of job, case number, last action, date of
application or appeal. Employers (former) who are being investigated. Provide
name of employer or person being investigated, location, name of individual
making the inquiry.
Mr. Blake Hanlon
Tel. (202) 693-4600
Department of Labor
hanlon-blake@dol.gov
20. Higher Education Loans and Assistance. Student financial assistance,
grants, budget and legislative proposals.
(a) Student financial assistance and related issues including repayment,
defaults, consolidation.
Ms. Libby Upshur
Tel. (202) 401-1028
Department of Education
libby.upshur@ed.gov
(b) Budget and general program questions
Ms. Karen Kurles
Tel. (202) 401-1028
Department of Education
karen.kurles@ed.gov
(c) Legislative proposals
Ms. Karen Kurles
Tel. (202) 401-1028
(request appropriate specialists)
karen.kurles@ed.gov
(d) Grant funding
Ms. Elnora Walker
Tel. (202) 401-1028
Ms. Barbara Dorsey
elnora.walker@ed.gov
Department of Education
barbara.dorsey@ed.gov
(e) Correspondence
Ms. Theresa Toye
Tel. (202) 401-1028
Department of Education
theresa.toye@ed.gov

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CRS-18
21. Farmers’ Loans. Farm Credit Administration. Knowledge of whether
application has already been made, name, address, county and state in which property
is located.
Mr. Hal DeCell III
Tel. (703) 883-4056
Farm Credit Administration
decell.hal@sca.gov
22. Communications Licenses. The information needed depends on the nature
of the inquiry. For example, for status queries about pending applications, the
agency needs the name of the applicant, file number, call number of station, and
city of license.
Ms. Joy Medley
Tel. (202) 418-1907
Federal Communications Commission
23. Government Procurement and Property. General Services Administration
(GSA) provides the following assistance regarding government procurement and
property: how to obtain surplus personal/donation property; how to do business
with the federal government; federal travel regulations/per diem rates for federal
employees; child care in the federal workplace; regulations on smoking in federal
buildings; GSA-owned/leased space; and disposal of surplus real property
(land/structures).
Ms. Brenda Short
Tel. (202) 501-0563
General Services Administration
brendaashort@gsa.gov
24. Housing. Name, address, property address, indications of need, case or file
number. Specify public or FHA assisted or insured housing. Programs cover:
housing for the elderly and handicapped; Section 8 voucher and certificate
assistance; Fair Housing; FHA insurance; manufactured housing; home equity
conversion mortgages; and home ownership assistance for low-income and
moderate-income families. May also require contact with local public housing
agency or regional Department of Housing and Urban Development (HUD)
program.
Mr. Mark Studdert
Tel. (202) 708-0380
HUD
mark_studdert@hud.gov
25. American Indians and Alaska Natives. To be eligible for most Bureau of
Indian Affairs programs, an individual must be a member of a federally
recognized tribe living on or near a reservation.
Ms. Jacquelyn Cheek
Tel. (202) 208-5706
Bureau of Indian Affairs

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CRS-19
26. Postal Service. Employee problems, job opportunities, mail delivery; provide
name, address, Post Office involved.
U.S. Postal Service
27. Federal Prisoners. All matters related to the care, treatment, and
programming of federal prisoners.
(a) All matters regarding incarceration to include transfers, medical care,
furloughs and halfway house placement. (Provide either name or
register number.)
Mr. Matthew Bronick
Tel. (202) 514-9663
Federal Bureau of Prisons
(b) Prisoner paroles: provide name, register number, name of prison.
Mr. Thomas H. Hutcheson
Tel. (301) 492-5990
U.S. Parole Commission
28. Small Business. Small business loans and contract assistance. For a Small
Business Administration (SBA) loan, provide name of business, location where filed,
amount, if possible, other pertinent information. For SBA contract assistance, give
name of contract, type of contract, which government agency provides contract, name
of contracting officer, if possible. For SBA 8(A) certification: provide company name,
date the company filed for certification, name of any SBA contact person with whom
they have worked, and what they have heard from that person.
Mr. Anthony Bedell
(202) 205-6700
Small Business Administration
anthony.bedell@sba.gov
29. Treasury. Department of Treasury, Internal Revenue Service: All Congressional
activities and legislative proposals that enhance tax administration, are provisions
of newly enacted tax legislation, and GAO/TIGTA reviews.
Mr. Floyd Williams
Tel. (202) 622-9590
IRS/Department of Treasury
floyd.l.williams@irs.gov
30. U.S. Commission on Civil Rights. Civil Rights Complaints
Mr. Alex T. Sun
Tel. (202) 376-7700
U.S. Commission on Civil Rights

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CRS-20
31. Recommendations for Federal Employment. Nature of the situation,
whether school or job, relationship with Member of Congress.
Members of Congress and their employees may make recommendations regarding
federal employment. However, appointing personnel in the executive branch may
consider recommendations from a Member of Congress only as to the character
and residence of that person.23
23 See “Employment Recommendation Restrictions,” Appendix D, Legal and Ethical
Considerations of Casework. See also U.S. Congress, House Committee on Standards of
Official Conduct, House Ethics Manual, 102nd Cong., 2nd sess. (Washington: GPO, 1992);
available at [http://www.house.gov/ethics] visited August 27, 2004; CRS Congressional
Distribution Memorandum, Advisory Memoranda: Employment Recommendations, by Jack
H. Maskell; U.S. Congress, Senate Select Committee on Ethics, Senate Ethics Manual, S.
Pub. 108-1, 108th Cong., 1st sess. (Washington: GPO, 2003), pp. 185-191; and Senate Ethics
Manual, 108th Cong.,1st sess. [http://ethics.senate.gov] visited December 23, 2004.

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CRS-21
Appendix B: Appointments to U.S. Military
Service Academies
Nominations
Nominations for appointments to U.S. military academies made by Members of
Congress are accepted by the U.S. Military Academy at West Point, the U.S. Naval
Academy, and the U.S. Air Force Academy. The quota for appointments to these three
academies is five cumulative per Senator and five cumulative per Representative to
each academy at any one time. Appointments made by a predecessor are considered
part of the quota of a newly elected Member.
Nominations by Members are made when a vacancy in the appointment quota
occurs, i.e., when an appointed member graduates or for any reason leaves an academy.
Announcements of vacancies in the U.S. Naval Academy, the U.S. Military Academy
at West Point, and U.S. Air Force Academy are made by July of the preceding year.
Additional announcements are made as vacancies occur due to separations from the
academies. Notification of vacancies in an individual Member’s quota is made at the
beginning of a newly elected Member’s term of office. Unfilled vacancies are carried
over from one year to the next.
Nomination forms for the U. S. Military and Air Force Academies (DD Form
1870) are supplied to each Member with the notification of a vacancy in an academy
quota. Additional forms can be obtained on request from academy liaison offices.
Members may use the Senate [http://webster.senate.gov] and House
[http://intranet.house.gov] Intranet programs to access the nomination form. Once
the form has been completed, it should be printed and signed by the Representative or
Senator. The original is then submitted to the appropriate service academy. 24
The following information should be typed on a nomination form: full name (no
nicknames); date of birth; social security number; permanent address; temporary
address; type of nomination; alternate’s numerical rank, if applicable; and signature of
the Member of Congress.
In addition to requesting nomination by a Member of Congress, the individual
must complete a preliminary application form for each academy to which the candidate
is applying. Application form request cards are supplied by the academies to either
Members of Congress or applicants. The U. S. Naval Academy requests that
candidates access their website [http://www.usna.edu/admissions] to complete the
preliminary application.
A maximum of up to ten applicants may be nominated for each vacancy. Since
five vacancies are available over the four class years at each academy, there is only one
24 The United States Naval Academy (USNA) no longer accepts the DD Form 1870, and
requests that Members utilize the online form or a letter to submit nominations; in the case
of the latter, the USNA will provide the Member with a sample letter. The letter must be
written on official letterhead and signed by the Member.

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CRS-22
year that a Member of Congress may fill two vacancies without being closed out for
an upcoming class. Being closed out means that a Member may not make any
nominations for the class entering that year. Congressional staff should contact each
academy to confirm vacancies prior to submitting nominations.
Three methods of nominee selection can be used by Members:
Competitive Method — ten nominees are submitted for one vacancy; most
qualified nominee is appointed by the academy.
Principal with Competing Alternates Method — A Member’s first choice is
designated as the principal nominee. If fully qualified, the nominee will receive an
appointment; if disqualified, the other nominees compete for the vacancy. The most
qualified person receives the appointment.
Principal with Numbered Alternates Method — The principal nominee is
designated by a Member; alternates are numbered in order of preference. If fully
qualified, the principal receives the appointment. If disqualified, alternates are
considered in order of preference until one is fully qualified and offered an
appointment.
A combination of methods can be used if two or more vacancies exist. For
example, in the case of two vacancies, one principal with nine alternates and ten
competitors can be nominated, or 20 competitive nominees can compete for the two
vacancies.
Admission to the academies can also be obtained through the following
appointment procedure: a qualified alternate can be appointed to bring academies to
maximum strength. All fully qualified nominees not receiving an appointment are
eligible. Appointments are granted in order of merit and are charged against quotas of
the secretaries of the military services.
Nominations to more than one academy can be made for an applicant. Applicants
can be nominated by both a Senator and a Representative; if appointed, the applicant’s
appointment will be charged to one Member, as determined by the academy.
The deadline for submission of nominations by Members is January 31 of the year
for which July entrance is desired. Nominations will be accepted at the U.S. Military
and Naval Academies from July 1 of the previous year to January 31, and at the Air
Force Academy from May 1 of the previous year to January 31.
Members are informed of the status of nominees throughout the selection process.
Notification of a nominee’s appointment is made to a Member of Congress by
telephone or e-mail about three days (military academy — two days) in advance of the
Academy mailing the letter of appointment. Advance notice to a Member allows time
for personal congratulations by the Member prior to academy notification to nominee.

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CRS-23
Qualifications and Legal Requirements
Qualifications for admissions to the academies include a consideration of
scholastic examination scores, physical aptitude scores, class rank, extracurricular
activities, athletics and medical examinations, and are determined on an individual
basis through evaluation of the “whole person.” An academy looks at the whole person
to determine whether a candidate is qualified scholastically. Although the SAT-1/ACT
are a good guideline, class rank, a student’s transcript, teacher recommendations, and
extra-curricular activities (both athletic and non-athletic) are all carefully considered
by the admissions board. A congressional office should review each academy’s most
recent class profile for specific information on scores and class ranks of admitted
students.
Scholastic Assessment Test-1 or American College Testing examinations are
required of all applicants. Guideline scores required generally (check specific
requirements with Academy in which interested) are:
SAT-1
ACT
Military Academya
560 Verbal; 560 Math
23 English; 24 Math
Naval Academy
600 Verbal; 600 Math
26 English; 26 Math
Air Force Academyb
580 Verbal; 610 Math
26 English; 26 Math
a. In addition, the Military Academy requires ACT scores of 24 in Reading and 23 in Science
Reasoning.
b. In addition, the Air Force Academy requires ACT scores of 26 in Reading and 26 in Science
Reasoning.
Test scores will be sent directly to a Member on the request of a nominee.
Nominees financially unable to take College Boards can do so, free of charge, with a
verification of need from a high school official. Members of Congress may contact the
Educational Testing Service (609-771-7091) to be assigned a SAT code number so that
SAT-1 scores are sent directly to the Member of Congress. Extra copies of ACT scores
are obtained when the applicant indicates a request for them on the ACT application
form. The applicant must then send an extra copy to the Member from whom a
nomination is being requested. Most students rank in the top 40% of their high school
classes.
Physical aptitude examination is required of all nominees. A medical examination
is required of all applicants; exams are given at various locations around the country.
Evaluation of all medical examinations is made by the Department of Defense Medical
Examination Review Board.
20/20 vision uncorrected is required of 65% of the applicants for the U.S. Naval
Academy. Vision must be correctable to 20/20 for applicants to the U.S. Military
Academy. U.S. Air Force Academy applicants must have uncorrected distant visual
acuity no worse than 20/50 for (pilot), 20/200 (navigator), correctable to 20/20 in each
eye. Uncorrected near visual acuity worse than 20/20 (pilot) and 20/40 (navigator),
must be correctable to 20/20 in each eye.

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CRS-24
The program at all academies is physically challenging. Candidates should consult
each academy’s website for specific information on medical qualifications.
Requirements vary at each academy.
Candidates must be: citizens of the United States; at least 17 and not more than
23 years of age by July 1 of the year of entry; unmarried, not pregnant, and have no
legal requirement to provide support to a dependent; of good moral character; and be
a resident and legally domiciled in the state/district from which they are nominated.
Additional Types of Nominations for Appointments.
Presidential Nominations to Academies can be given to sons and daughters of
career or retired military parents, active or reserve. Applications by eligible applicants
are made directly to the academies. Appointments are competitive.
Vice Presidential Nominations for appointment can be made by the Vice President
of the United States as the President of the Senate. Nominations are made from the
nation at large; quota is five appointments to each academy. Applicants must write to
the Vice President for consideration.
Sons and Daughters of Medal of Honor winners can be appointed to the
academies. Applications by eligible applicants are made directly to the academies.
Applicants must only meet qualifications for admission. Qualified children of current
POWs and MIAs, and of deceased or 100% disabled veterans, may compete for one of
a total of 65 at large appointments to the academies by applying directly to the
academies.
Nominations for Active Duty Enlisted Members can be made by the secretaries of
the Army, Navy, and Air Force. Honor military schools, JROTC and ROTC units also
have limited nominating authority.
Liaison Offices
U. S. Military Academy
USMA Directorate of Admissions
Official Mail and Distribution Center
646 Swift Road
West Point, NY 10996
Cpt. Robert Imbriale, Congressional Liaison
Telephone: (800) 832-2769, (845) 938-5723/5754/5747
Fax: (845) 938-7608
U.S. Air Force Academy Liaison Office
USAFA/RRA
Pentagon Room 5E-152
1040 Air Force Pentagon
Washington, DC 20330-1040
Ms. Karen Parker, Chief
Telephone: (703) 695-4005
Fax: (703) 695-7999

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CRS-25
U.S. Naval Academy
Nomination and Appointments Office
117 Decatur Road
Annapolis, MD 21402
Ms. Cathy Trebelhorn
Telephone: (410) 293-1820
Fax: (410) 293-1828
Email: trebelho@usna.edu
Additional information, services, and assistance in making nominations are
provided by the academy liaison offices. Services include personal visits to Members’
offices by academy representatives; dissemination of information for applicants to
Members’ offices; and providing assistance, on request, in forming selection
committees to assist a Member in making nominations to the academies.
The U.S. Military Academy sponsors one trip a year for congressional staff to visit
the academy and periodic visits for educators. The U.S. Naval Academy hosts periodic
orientation visits for congressional staff and educators. The Air Force Academy Group
conducts two to three orientation tours to the academy each year for congressional staff
who are responsible for the academy program. Workshops are conducted annually in
major U.S. cities.
U.S. Merchant Marine Academy
Each Member of Congress may nominate 10 candidates to the U.S. Merchant
Marine Academy annually. Nominees must be (a) U.S. Citizens or a national of the
United States; and (b) a resident of the state represented by the Member. Nominees
then compete for appointment to the academy based upon their competitiveness and
state and national vacancies.
Factors considered in the admissions process include a candidate’s academic
record, class rank, and test scores (ACT or SAT-1). Also candidates must meet
specific medical and physical requirements as well as Naval Reserve midshipmen
standards. Congressional staff should submit the nomination form (MA 423) to the
academy.
During their four years at the academy, midshipmen serve abroad on U.S. flag
merchant vessels for at least 300 days as they prepare for their licensing as either third-
mate or third-assistant engineer. Upon completion of their four years at the academy,
graduates may enter any branch of the armed forces (Army, Navy, Air Force, Marine
Corps, Coast Guard) or the National Oceanic and Atmospheric Administration. Or,
they may serve in any branch of Reserve or Guard forces while also satisfying their
obligation through service in select positions in the marine and transportation
industries.
Additional information can be obtained by contacting Lcdr. Michael DeRosa,
Director of Admissions, Merchant Marine Academy, 300 Steamboat Road, Kings
Point, N.Y., 11024 or call (516) 773-5391 or (866) 546-4778; or fax (516) 773-5390;
or by e-mail at admissions@usmma.edu. The Merchant Marine Academy’s website
is [http://www.usmma.edu].

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CRS-26
U.S. Coast Guard Academy
The U.S. Coast Guard’s mission is to protect the public, the environment, and
U.S. economic interests — in the nation’s ports and waterways, along the coast, on
international waters, and any maritime region as required to support homeland security.
The U.S. Coast Guard Academy is the only one of the service academies that
offers appointments solely on the basis of a annual nationwide competition. No
congressional nominations or geographic quotas are involved. Applicants must be U.S.
citizens between 17 and 22 years of age upon entering the Academy. Eighty seven
percent of the Coast Guard Academy corps of cadets graduated in the top 25% of their
high school class. Applicants must have taken the SAT-1 or ACT by December of their
senior year. Mean SAT-I scores are math-640, verbal-620; mean ACT scores are
math-28, verbal-28. Competitive candidates should have a strong college preparatory
program, including four years of English, mathematics (including algebra II or pre-
calculus), and four years of sciences (including chemistry and physics).
Essential factors considered in the admissions process are academic preparation
(reflected by class rank, standardized test scores, and secondary school record) and
interest in technical studies. Additionally, weight is placed on character and personal
qualities, athletic accomplishment, leadership potential, essays and recommendations.
Applicants are required to submit a final application no later than January 30 for
appointment to the incoming class. Applicants can also opt to apply for early
admission. If the application is submitted before November 1, the applicant will be
notified of his/her status by December 15. Coast Guard Academy admissions are a
rolling process that allows candidate applications to be reviewed as soon as a complete
application is received. Students can apply online at no charge at
[http://www.cga.edu].
A Coast Guard Academy medical examination must be passed before a candidate
can receive an appointment. The most frequently encountered medical problem areas
are visual acuity (all candidates accepted shall have an uncorrected visual acuity no
poorer than 20/400 in either eye and must be correctable to 20/20 in each eye); color
vision (color blindness, complete or partial, is cause for disqualification) and asthma.
Applications should be made directly to the U. S. Coast Guard Academy, Office
of the Director of Admissions, 31 Mohegan Ave, New London, CT. 06320. For
additional information, the website is [http://www.cga.edu], or call Captain Susan
Bibeau at (800) 883-8724 or fax (860) 701-6700.

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CRS-27
Appendix C: Sample Privacy Act Release Form
PLEASE RETURN THIS FORM TO:
Senator/Representative
United States Senate (House of Representatives)
Washington, D.C. 20510 (20515)
(Date)
TO WHOM IT MAY CONCERN:
I am aware that the Privacy Act of 1974 prohibits the release of information in my file
without my approval. I authorize the (name of federal agency or Department) to
provide information on my claim/case to (Senator/Representative) .
(Signature)
(Address)

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

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CRS-28
Appendix D: Legal and Ethical Considerations
of Casework
Title 5 United States Code Section 3303 prohibits appointing officers of the
federal government from considering or receiving a recommendation other than as to
character or residency.
Title 18 United States Code Sections 201(b) and 201(c) forbid Members of
Congress and their staff from soliciting or receiving a bribe or anything of value for or
because of any official act performed.
Title 18 United States Code Section 203(a) states that Members and their staff
may not be privately remunerated for casework interventions on behalf of any person;
it sets forth penalties for any person who:
... directly or indirectly demands, seeks, receives, accepts or agrees to receive or
accept any compensation for any services rendered or to be rendered personally or
by another
1.
At a time when such person is a Member of Congress; or
Member of Congress Elect ...; or
2.
At a time when such person is an officer or employee of the
United States in the legislative ... branch of the government
...
in relation to any proceeding, application, request for a ruling or other
determination, contract, claim, controversy, charge, accusation, arrest, or other
particular matter in which the United States is a party or has a direct and substantial
interest, before any department, agency, court-martial, officer, or any civil,
military, or naval commission ...
Shall be fined not more than $10,000 or imprisoned for not more than two years or
both; and shall be incapable of holding any office of honor, trust, or profit under
the United States.
Title 18 United States Code Section 205 forbids government officials from
privately handling cases before government tribunals on behalf of an individual, but
allows Members of Congress to do so without compensation. There are, however,
limits on Member representation; for example, they are prohibited from appearing in
maritime cases and before the Court of Claims and the now defunct Indian Claims
Commission.
Agency Intervention Protocol
Members of Congress are prohibited from ex parte communications concerning
formal adjudications (off-the-record communications by one person concerning some
agency action), and must abide by the rules which apply to all citizens making inquiries
to federal agencies (5 U.S.C. 557(d)). This does not mean that they cannot contact
agencies, but their communications may be made public under the ex parte rules of a

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CRS-29
particular agency. The prohibition only applies to formal agency adjudications
(hearings on the record), and not to regular casework.25
Employment Recommendation Restrictions26
Members of Congress are often asked by constituents to provide a reference,
referral, or recommendation for employment in the federal government. There is no
current statutory prohibition on Members of Congress providing a recommendation or
referral letter for an applicant for a federal position; however, hiring officials in the
federal government are expressly instructed by law only to receive and consider such
“recommendations” from a Member as to the “character or residence” of the applicant.
Additionally, hiring officials may consider and receive “statements” based on a
Member’s personal knowledge or records, which evaluate such things as an applicant’s
work performance, ability, aptitude, qualifications and suitability.
Responsibility to Constituents
(House Ethics Committee Advisory Opinion)
In its first advisory opinion, issued on January 26, 1970, the House Committee on
Standards of Official Conduct (the Ethics Committee) concluded that the exercise of
the First Amendment right applies not only to petition by groups of citizens with
common objectives, but increasingly by people with problems or complaints involving
their personal relationship with the federal government. The Committee reasoned that:
As the population has grown and as the government has enlarged in scope and
complexity, an increasing number of citizens finds it more difficult to obtain
redress by direct communication with administrative agencies. As a result, the
individual turns increasingly to his most proximate connection with the
government, his representative in the Congress, as evidenced by the fact that
congressional offices devote more time to constituent requests than to any other
single duty.
The reasons individuals sometimes fail to find satisfaction from their petitions are
varied. At the extremes, some grievances are simply imaginary rather than real,
and some with merit are denied for lack of thorough administrative consideration.
25 For further explanation, see CRS Report RL32113, Congressional Intervention in the
Administrative Process: Legal and Ethical Considerations, by Morton Rosenberg and Jack
H. Maskell.
26 This section is drawn from CRS Report RL32113, Congressional Intervention in the
Administrative Process: Legal and Ethical Considerations, by Morton Rosenberg and Jack
H. Maskell, p. 77. See also U.S. Congress, House Committee on Standards of Official
Conduct, House Ethics Manual, 102nd Cong., 2nd sess., [http://www.house.gov/ethics]
visited August 27, 2004; (Washington: GPO, 1992); CRS Congressional Distribution
Memorandum, Advisory Memoranda: Employment Recommendations, by Jack H. Maskell;
U.S. Congress, Senate Select Committee on Ethics, Senate Ethics Manual, S. Pub. 108-1,
108th Cong., 1st sess. (Washington: GPO, 2003), pp. 185-191; [http://ethics.senate.gov]
visited August 27, 2004.

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CRS-30
Sheer numbers impose requirements to standardize responses. Even if mechanical
systems function properly and timely, the stereotyped responses they produce
suggest indifference. At best, responses to grievances in form letter or by other
automated means leave much to be desired.
Another factor which may lead to petitioner dissatisfaction is the occasional failure
of legislative language, or the administrative interpretation of it, to cover
adequately all the merits the legislation intended. Specific cases arising under
these conditions test the legislation and provide valuable oversight disclosure to the
Congress.
Further, because of the complexity of our vast federal structure, often a citizen
simply does not know the appropriate office to petition.
For these, or similar reasons, it is logical and proper that the petitioner seek
assistance of his Congressman for early and equitable resolution of his problem.27
The Committee on Standards of Official Conduct issued House Advisory Opinion
No. 1 because it had received a number of requests on what “actions a Member of
Congress may properly take in discharging his representative function with respect to
communications on constituent matters.” The advisory opinion was written to provide
guidelines that would be of assistance to Members in dealing with such matters.
Representations Before Federal Agencies
The Committee expressed its opinion:
that a Member of the House of Representatives, either on his own initiative or at
the request of a petitioner, may properly communicate with an Executive or
Independent Agency on any matter to request information or a status report; urge
prompt consideration; arrange for interviews or appointments; express judgment;
call for the reconsideration of an administrative response which he believes is not
supported by established law; federal regulation or legislative intent; or perform
any other service of a similar nature in this area compatible with the criteria
hereinafter expressed in this Advisory Opinion.
Principles to be Observed
The Committee concluded that the “overall public interest, naturally, is primary
to any individual matter and should be so considered. There are also other self-evident
standards of official conduct which Members should uphold with regard to these
communications.” The Committee recommended that Members observe the following
three basic principles of official conduct:
27 U.S. Congress, House Committee on Standards of Official Conduct, “Advisory Opinion
No. 1: The Role of a Member of the House of Representatives in Communicating with
Executive and Independent Federal Agencies,” Congressional Record, vol. 116, Jan. 26,
1970, p. 1077.

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CRS-31
1.
A Member’s responsibility in this area is to all his constituents
equally and should be pursued with diligence regardless of
political or other considerations.
2.
Direct or implied suggestion of either favoritism or reprisal in
advance of, or subsequent to, action taken by the agency contacted
is unwarranted abuse of the representative role.
3.
A Member should make every effort to assure that representations
made in his name by any staff employee conform to his
instruction.
The Committee noted that “subsequent legislation, regulation or rules may affect
part or all of this advisory opinion.”28
Guidance for Future Conduct
(Senate Ethics Committee Report)
The Senate Ethics Committee in the final report on its investigation of five
Senators who intervened on behalf of Lincoln Saving and Loan Association presented
the following guidelines for future conduct:
During the time that the Committee has had the Keating matter before it, the
Committee has had the opportunity to review the sources discussed above and to
consider at length the issue of the propriety of interventions with a federal agency
on behalf of an individual who has made or raised significant political
contributions. Based on this experience, the Committee suggests that until written
guidelines have been adopted, a Member who has any reasonable doubt about
whether to proceed in a particular matter consider the following issues:
The merits of the constituent’s case.
The continuing viability of the constituent’s claim. If the constituent’s
claim initially appeared to have merit, has the Senator acted despite
facts or circumstances that later undermined the merits of that claim?
The kind of agency involved and the nature of its proceedings. Is the
agency performing in a quasi-judicial, adjudicative or enforcement
function?
If the Senator or staff member knows that an individual is a contributor,
the following issues should also be considered. (If the Senator or staff
member does not know if an individual is a contributor, he or she is not
required or encouraged to find out. Most Senate staff members are not
provided with information regarding contributions and are unaware of
whether an individual seeking assistance is a contributor.)
28 U.S. Congress, House Committee on Standards of Official Conduct, “Casework
Considerations,” House Ethics Manual, 102nd Cong., 2nd sess. (Washington: GPO, 1992)
pp. 239-266, [http://www.house.gov/ethics].

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CRS-32
The amount of money contributed. Has the contributor given or raised
more than an average contribution?
The history of donations by a contributor. Has the constituent made
contributions to the Senator previously?
The nature and degree of the action taken by the Senator. To what
extent does the action or pattern of action deviate from that Senator’s
normal conduct?
The proximity of money and action. How close in time is the Senator’s
action to his or her knowledge of or receipt of the contribution(s)?
In its consideration of this case, the Committee has referred to or quoted from
sources which may be largely unknown to Senators, such as the writings of Senator
Paul Douglas and Advisory Opinion No. 1 of the House. The Committee believes
that these sources have value as helpful guidance to Senators and to the Committee
in analyzing the established norms of behavior in the Senate. However, these
sources, in and of themselves, are not precedential and should not be considered
as established Senate norms for purposes of discipline.29
Representation of Petitioners Before Federal Agencies
On July 2, 1992, the Senate passed S.Res. 273, establishing a new rule of the
Senate pertaining to representation of petitioners before federal agencies.30 Section 2,
which lists various actions that a Member may properly take in assisting a petitioner
in dealings with government officials or agencies, is drawn substantially from House
Advisory Opinion No. 1 (above). The Senate Select Committee on Ethics can provide
advice and guidance to Members and staff on this rule.
Senate Rule XLIII — Representation by Members
Senate Rule 43, Representation by Members, states:
1.
In responding to petitions; for assistance, a Member of the Senate,
acting directly or through employees, has the right to assist petitioners
before executive and independent government officials and agencies.
2.
At the request of a petitioner, a Member of the Senate, or a Senate
employee, may communicate with an executive or independent
29 U.S. Congress, Senate Select Committee on Ethics, Investigation of Senator Alan
Cranston, S. Rept.102-223, 102nd Cong., 1st sess. (Washington: GPO, 1991), pp. 13-14.
See also U.S. Congress, Senate Select Committee on Ethics, Senate Ethics Manual, S. Pub.
108-1, 108th Cong., 1st sess. (Washington: GPO, 2003), pp. 177-191, available at
[http://ethics.senate.gov] visited August 27, 2004; and House Committee on Standards of
Official Conduct, House Ethics Manual, 102nd Cong., 2nd sess., (Washington: GPO, 1992),
available at [http://www.house.gov/ethics] visited August 27, 2004.
30 For a section-by-section analysis of S.Res. 273, see Congressional Record, vol. 138 (July
2, 1992), pp. 17954-17957.

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CRS-33
government official or agency on any matter to: request information or
a status report; urge prompt consideration; arrange for interviews or
appointments; express judgments; call for reconsideration of an
administrative response which the Member believes is not reasonably
supported by statutes, regulations or considerations of equity or public
policy; or perform any other service of a similar nature consistent with
the provisions of this rule.
3.
The decision to provide assistance to petitioners may not be made on
the basis of contributions or services, or promises of contributions or
services, to the Member’s political campaigns or to other organizations
in which the Member has a political, personal, or financial interest.
4.
A Member shall make a reasonable effort to assure that representations
made in the Member’s name by any Senate employee are accurate and
conform to the Member’s instructions and to this rule.
5.
Nothing in this rule shall be construed to limit the authority of
Members, and Senate employees, to perform legislative, including
committee, responsibilities.
Rule 43 is intended as general guidance on permissible contacts with federal
agencies and officials on behalf of petitioners, who may or may not be constituents.
The central provision of the rule prohibits Senators from basing the decision to assist
a petitioner before a federal agency or official on whether the petitioner has contributed
to the Senator’s campaign or causes. Rule 43 does not, and was not intended to,
govern the entire range of issues that might arise with respect to interventions with
other government agencies. Because each situation is unique on its facts, each Senator
should review a proposed intervention in its entirety.
The Senate Ethics Committee has recommended that prior to intervention with a
government agency, a Senator consider both the merits of the constituent’s case, as
well as the kind of agency involved and the nature of the agency proceedings. A
review of the case might include consideration of whether the Senator’s office would
perform the same service for any constituent similarly situated; the extent to which the
proposed action or pattern of action deviates from normal office practice; and, if the
Senator or staff member knows that an individual is a contributor, the history of
donations by a contributor and the proximity of money and action, i.e. how close in
time the Senator’s official action would be to his or her knowledge of or receipt of
contribution(s).
In reviewing the type and nature of agency proceedings, the Senate Ethics
Committee has recommended that a Senator consider whether the agency is performing
a quasi-judicial, adjudicative, or enforcement function. Such formal agency
adjudications and rulemaking proceedings require that the agency’s decision to be
based only upon a record developed during a trial-like hearing. Ex parte
communications (oral or written communications made without notice and off the
public record) are generally prohibited during formal adjudication periods and,
typically, are placed on the public record. Absent a formal adjudicative proceeding, a
Senate office that seeks to communicate with a federal agency may find it useful to

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contact the agency congressional liaison or similar functionary to determine with
respect to the matter in question whether the agency is operating under any internal
restrictions on outside communications.
The general advice of the Senate Ethics Committee concerning pending court
actions is that Senate offices should refrain from intervening in such legal actions
(unless the office becomes a party to the suit, or seeks leave of court to intervene as
amicus curiae) until the matter has reached a resolution in the courts. The principal
behind such advice is that the judicial system should be allowed to function without
interference from outside sources. See, for example, the Senate Ethics Committee’s
Interpretative Ruling 237 (March 21, 1979) in Appendix A of the Senate Ethics
Manual.31 Because the rules governing judicial proceedings vary widely from
jurisdiction to jurisdiction, and from case to case, and because the nature of an
intervention with a court cannot be known in advance, a final determination as to the
propriety of a particular intervention with a court in a legal matter will depend upon the
totality of the circumstances in a given case.
Notwithstanding these limitations respecting court interventions, the Committee
has ruled that communications with an agency with respect to a matter that may be the
subject of litigation in court is, nevertheless, generally permitted, where the
communication is with the agency and not directed at the court, where the agency is not
engaged in an ongoing enforcement, investigative, or other quasi-judicial proceeding
with respect to the matter, and where the communication is based upon public policy
considerations and is otherwise consistent with Rule 43.
Congressional Intervention in the Administrative Process32
When congressional committees engage in oversight of the administrative
bureaucracy, or when Members of Congress intervene in agency proceedings on behalf
of private constituents or other private entities with interests affecting the Members’s
constituency, such interventions involve varying degrees of intrusion into agency
decisionmaking processes. CRS Report RL32113 on congressional intervention in the
administrative process briefly examines the currently applicable legal and ethical
considerations and standards that mark the limits of such intercessions.
The report initially reviews the judicial development and application of standards
for determining whether congressional pressure or influence will be deemed to have
tainted an agency proceeding. It concludes that the courts, in balancing Congress’s
performance of its constitutional and statutory obligations to oversee the actions of
agency officials against the rights of parties before agencies, have shown a decided
predilection for protecting the congressional prerogatives. Thus where informal
rulemaking or other forms of informal decisionmaking are involved, the courts will
look to the nature and impact of the political pressure on the agency decision maker
31 Senate Ethics Manual, S. Pub. Doc. 109-1, 108th Cong., 1st sess., pp. 237-238,
[http://ethics.senate.gov] visited December 23, 2004.
32 This section is drawn from CRS Report RL32113, Congressional Intervention in the
Administrative Process: Legal and Ethical Considerations, by Morton Rosenberg and Jack
H. Maskell.

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and will intervene only where that pressure has had the actual effect of forcing the
consideration of factors Congress did not intend to make relevant. Where agency
adjudication is involved a stricter standard is applied and the finding of an appearance
of impropriety can be sufficient to taint the proceeding. But even here the courts have
required that the pressure or influence be directed at the ultimate decision maker with
respect to the merits of the proceeding and that it does not involve legitimate oversight
and investigative functions, before they will intervene.
The report next examines the conduct of Members of Congress and their staffs
intervening in administrative matters from the perspective of ethics and conflict of
interest rules, statutes and guidelines bearing upon a Member’s and staffer’s official
duties. It notes that since congressional intervention and expressions of interest in
administrative matters from a Member’s office are recognized as legitimate, official
representational and oversight functions and duties of Members of Congress, the
primary focus of the ethical and statutory conduct restraints is limited to(1) any
improper enrichment or financial benefit accruing to the Member in return for, or
because of, his or her official actions and influences, including the receipt of gifts or
payments, or existing financial interests in, or relating to the matter under
consideration; and (2) any overt coercion or threats of reprisals, or promises of
favoritism or reward to administrators from the Member’s office which could indicate
an arguable abuse of a Member’s official representational or oversight role.
Additionally, ethical guidelines in Congress incorporate an “appearance” standard for
Members which would counsel a Member to adopt office procedures and systems
which would prevent an appearance of a “linkage” between interventions and the
receipt of things of value, particularly legitimate campaign contributions, and which
would ensure that decisions to intervene are based on the merits of a particular matter.

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