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 August 29, 2003

John S. Pontius

Specialist in American National Government

Government and Finance Division

Congressional Research Service ˜ The Library of Congress

Casework in a Congressional Office

Summary

This report and its appendices present a general overview of congressional

office procedures associated with handling casework and the assistance provided by

a Member of Congress to help constituents in their dealings with federal agencies.

It discusses options for assisting Members’ constituents and the role of Members and

staff in providing casework services. This report is intended for congressional use

only.

Casework generally consists of assistance provided by Members of Congress

and their staff to constituents in their transactions with federal agencies. Casework

may involve individuals or groups with a common concern, and typically includes

a problem, grievance, question of eligibility, specific need, or other tangible interest

or benefit. Whether it is a delayed Social Security check, a denied veteran’s claim,

or a Medicare reimbursement dispute, the constituent’s problem usually has to do

with a federal program, rule, regulation, or administrative decision resulting from the

implementation of a public law. Casework mostly emanates from constituent letters,

visits, phone calls, faxes, and e-mails.

Casework involves “interpreting, interacting, explaining, distributing, and

interceding on behalf of constituents toward relief of some problem between them

and the bureaucracy.” The constituent may also have another need connected with

government, national or foreign, on which a Member may be of assistance. Members

view casework as an important, necessary, and legitimate congressional function.

Members put a premium on this service as part of their representational role, acting

as facilitator and intervener between constituents.

A Member of Congress usually allocates casework responsibilities to one or

more staff members who review and respond to needs, complaints, or personal

problems posed by constituents. The caseworker represents the Member, both to the

constituents and to the appropriate federal agencies. Identifying the total problem is

the first step for the caseworker. Upon receipt of the inquiry, most caseworkers feel

it is advisable to send an immediate acknowledgment by letter advising the

constituent that the Member is aware of the request and is inquiring into the matter,

and that the constituent will be contacted again when some response is forthcoming.

Every caseworker has to develop a personal approach to analyzing the nature of

the constituent’s problem and how to generate the most expeditious and just

resolution. Adherence to ethical and legal standards is of concern to Members of

Congress and their personal and committee staff when intervening in the

administrative process. Once an agency has been contacted on behalf of the

constituent, the case should be tracked until completion. Responding to constituents’

needs, complaints, or problems gives a Member an opportunity to determine whether

the programs of the executive agencies are functioning in accordance with legislative

mandates and may indicate the need for congressional oversight and new legislation.

Contents

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Congressional Research Service Resources on Casework . . . . . . . . . . . . . . . 3

Performing Casework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Assigning Casework Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Privacy Safeguards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Analyzing the Constituent’s Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Worker’s Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Military Personnel Inquiries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Military Hardship Discharge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Social Security (Lost Check) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Social Security Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Congressional Intervention in the Administrative Process . . . . . . . . . . . . . 10

Tracking Casework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Disposition of Casework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Handling Cases When Closing a Congressional Office . . . . . . . . . . . . . . . . 11

Appendix A: Federal Office Contacts for

Types of Cases and Information Required . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Civilian Pensions and Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Social Security Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Supplemental Security Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Black Lung Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Medicare . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Civil Service Retirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Railroad Retirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Unemployment Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Workers’ Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Military Affairs and Service Academies . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Military . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Military Academy Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . 14

Selective Service System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Veterans (Department of Veterans Affairs (VA)) . . . . . . . . . . . . . . . . 15

State Department Inquiries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Visas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Passports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Letters of Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Overseas Citizens Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Refugee/Asylum Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Immigration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Labor Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Higher Education Loans and Assistance . . . . . . . . . . . . . . . . . . . . . . . 16

Farmers’ Loans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Communications Licenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Government Procurement and Property . . . . . . . . . . . . . . . . . . . . . . . . 17

Housing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

American Indians and Alaska Natives . . . . . . . . . . . . . . . . . . . . . . . . . 17

Postal Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Federal Prisoners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Small Business . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Treasury . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

U.S. Commission on Civil Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Recommendations for Federal Employment . . . . . . . . . . . . . . . . . . . . 18

Appendix B: Appointments to U.S. Military

Service Academies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Nominations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Qualifications and Legal Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Additional Types of Nominations for Appointments . . . . . . . . . . . . . 22

U.S. Merchant Marine Academy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

U.S. Coast Guard Academy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Appendix C: Sample Privacy Act Release Form . . . . . . . . . . . . . . . . . . . . . . . . 25

Appendix D: Legal and Ethical Considerations

of Casework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Agency Intervention Protocol . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Employment Recommendation Restrictions . . . . . . . . . . . . . . . . . . . . . . . . 27

Responsibility to Constituents

(House Ethics Committee Advisory Opinion) . . . . . . . . . . . . . . . . . . . 27

Representations Before Federal Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Principles to be Observed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Guidance for Future Conduct

(Senate Ethics Committee Report) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Representation of Petitioners Before Federal Agencies . . . . . . . . . . . . . . . . 30

Senate Rule XLIII—Representation by Members . . . . . . . . . . . . . . . . . . . . 31

Congressional Intervention in the Administrative Process . . . . . . . . . . . . . 32

Casework in a Congressional Office

Introduction1

Casework generally consists of assistance provided by Members of Congress

and their staff to constituents in their transactions with federal agencies. Casework

may involve individuals or groups with a common concern, and typically includes

a problem, grievance, question of eligibility, specific need, or other tangible interest

or benefit. Whether it is a delayed Social Security check, a denied veteran’s claim,

or a Medicare reimbursement dispute, the constituent’s problem usually has to do

with a federal program, rule, regulation, or administrative decision resulting from the

implementation of a public law. Casework mostly emanates from constituent letters,

visits, phone calls, faxes, and e-mails.

Casework involves “interpreting, interacting, explaining, distributing, and

interceding on behalf of constituents toward relief of some problem between them

and the bureaucracy.”2 The constituent may also have another need connected with

government, national or foreign, on which a Member may be of assistance. Members

view casework as an important, necessary, and legitimate congressional function.

Members put a premium on this service as part of their representational role, acting

as facilitator and intervener between constituents.

A basis for casework can be found in the first sentence of the Constitution: “We

the people of the United States in order to form a more perfect Union ... establish

justice ... promote the general welfare ...”

There is no doubt that the casework function in a congressional office promotes

an individual’s general welfare and often may correct an injustice. There is also no

doubt that the framers of the Constitution could not have envisioned the complexity

of modern government: the scores of agencies, and thousands of regulations that

affect our citizens. Occasionally, an important benefit check is delayed, or a veteran

needs hospital care right away—these are some of the many problems presented to

a caseworker. The representative functions of Members of Congress in this area,

while not so defined, are arguably implicit in the Constitution. Additionally, the first

Article of the Bill of Rights provides that “Congress shall make no law ... abridging

the ... right of the people ... to petition the government for a redress of grievances.”

Casework, or “constituent business” as it was sometimes called, was an early

function for Members of Congress, as noted in the diaries of John Quincy Adams and

1

2

The author wishes to thank Oluwabusayo Temitope Folarin for his valuable contributions.

Joseph William Westphal, “The Congressional District Office: Representative

Constituency Linkages” (Ph.D. diss., University of Missouri-Columbia, 1980), p. 71.

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James K. Polk. According to Leonard White’s The Jacksonians, Polk wrote of cases

in which he provided assistance in claims for pensions, land claims, writing letters

for appointments to West Point, and a search for a letter in a dead-letter office.3

Legislators did not have any staff to assist them: until well into this century,

Members had to depend solely upon requests to the executive agencies for

information.

By the 1940s, it had become clear that attending to constituents’ needs was

consuming large blocks of Members’ time. A report by the American Political

Science Association’s Committee on Congress, published in 1945 acknowledged this

fact and recommended relief.4 That same year, hearings on the organization of

Congress were held by a joint committee at which a number of Members and

observers testified about this problem. Several witnesses advocated the appointment

of an administrative assistant who would assist Senators and Representatives “in their

office and departmental work.” Members reported spending from 50-80% of their

time occupied with non-legislative matters, including handling constituent requests

before departments. Some urged deliverance from the growing burden of services

to constituents, while a few argued that Members should be forbidden altogether

from intervening on behalf of constituents.5

In its 1946 report, the Joint Committee on the Organization of Congress noted

that “expansion of governmental activities during the past 25 years [had] vastly

increased the volume of ... requests for service” from constituents.6 It further stated

that “while it is true that the Constitution does not place this burden directly upon

Congress, nevertheless service to constituents has long been an accepted part of the

job of a Member of Congress.”7 This contact affords, said the Committee, one of the

few remaining direct links between citizens and their elected representatives.

Furthermore, it continued, no other agency or office of government can perform this

service “so cheaply or with such patience, understanding, and personal interest as

congressional offices.” Despite suggested alternative ways of rendering this service,,

the committee concluded that “it is neither possible or advisable” to do so8.

Citing past precedents in which Congress had increased clerical assistance to

Members, the committee recommended that “a competent assistant capable of

3

Leonard White, The Jacksonians (New York: MacMillan, 1954), p. 144. See also John

Spencer Bassett, “James K. Polk and His Constituents, 1831-1832,” American Historical

Review, vol. 28, no. 1 (Oct. 1922), pp. 68-77.

4

American Political Science Association, Committee on Congress, The Reorganization of

Congress: A Report of the Committee on Congress of the American Political Science

Association (Washington: Public Affairs Press, 1945), pp. 78-81.

5

U.S. Congress, Joint Committee on the Organization of Congress, Organization of

Congress, summary of hearings, 79th Cong., 1st sess. (Washington: GPO, 1945), p. 3.

6

U.S. Congress, Joint Committee on the Organization of Congress, Organization of

Congress, H.Rept. 1675, 79th Cong., 2nd sess. (Washington: GPO, 1946), p. 15.

7

Ibid.

8

Ibid., p.16.

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assuming a large part of the service burden” be appointed so as to release Members

for the performance of their legislative duties.

When the Senate subsequently enacted the Legislative Reorganization Act of

1946 (P.L. 79-601), it included a provision to this effect. The House, however, acted

last, and its version, which was accepted by the Senate due to the lateness of the

session, did not contain this provision. Nevertheless, it was successfully argued by

Senator Robert LaFollette, Jr., co-chairman of the Joint Committee that drafted the

Legislative Reorganization Act, that funds should be appropriated for these

assistants. Within a short period of time, 91 of the 96 Senators appointed such

assistants. Subsequently, administrative assistants were also authorized for the staffs

of House Members.

These actions were tantamount to statutory authority for caseworkers in

senatorial offices. Since 1946, of course, their number has grown to reflect the

magnitude of constituent requests for assistance in dealing with the many

departments, agencies, and offices of the federal government. It is of both historical

and current importance that casework has been perceived as a legitimate, necessary,

and irreplaceable function of Members and their staffs, and that Congress explicitly

recognized this over four decades ago.

The Legislative Reorganization Act of 1970 (P.L. 91-510) provided some

increase in resources for constituent services in its reorganization of the

Congressional Research Service (CRS). Section 203(a)(5) of the Act authorizes

CRS, “upon request, or upon its own initiative in anticipation of requests, to prepare

and provide information, research, and reference materials and services to

committees and Members of the Senate and House of Representatives and joint

committees of Congress to assist them in their legislative and representative

functions ....” The majority of CRS assistance is related to legislation or oversight:

CRS assists in casework only by providing readily available materials to Members

in responding to constituent inquiries.9

Congressional Research Service Resources on Casework

The Congressional Research Service has the following products relating to

casework: CRS Multimedia MM70036, Casework: How and Why, which is

available online (video and audio tape and online video/audio) at

[http://www.crs.gov/products/multimedia/multimedialibrary.shtml]; and 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. CRS Office of Special Programs presents a seminar on

casework and grants as part of its three-day District/State Staff Institute held

quarterly in Washington, DC. Congressional staff should check the CRS Web site

[http://www.crs.gov] for dates and registration.

9

For additional information on casework see John R. Johannes, To Serve the People

(Lincoln: University of Nebraska Press, 1984). Also see Congressional Management

Foundation, Frontline Management: A Guide for Congressional District/State Offices

(Washington: 1998).

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Performing Casework

Most federal departments and agencies have regional or state offices. Members

of Congress and federal agency officials often recommend that congressional district

and state offices first seek to resolve constituent problems through these units.10

Nearly every caseworker works in a congressional field office, with a few

working in the Washington, DC office. The volume of casework continues to

increase. The Congressional Management Foundation, a non-profit foundation,

stated that its:

1997 survey of District and State Directors shows that 53% of House offices and

42% of Senate offices receive between 1,000 and 5,000 cases each year, and 32%

of Senate offices report more than 7,500 cases annually. Moreover, 58% of

House offices and 84% of Senate offices report an increase in casework in the

past five years—with an average increase of 35%!11

Assigning Casework Responsibilities

A Member of Congress usually allocates casework responsibilities to one or

more staff members who review and respond to needs, complaints, or personal

problems posed by constituents. The personal communication aspect is very

important. The caseworker should be personable, helpful, and ready to assist an

individual with his or her problem. A caseworker should also be compassionate,

realizing that those in need may be desperate when they contact Members. Finally,

the caseworker must be well organized and know how to follow through.

Casework is rarely an isolated operation in a congressional office: it can involve

the administrative assistant, legislative assistants, grants and projects staff, the office

manager, and the press secretary, as well as staff in the field offices. Caseworkers

also contribute to other functions of the office, such as alerting the press secretary of

a noteworthy case or identifying for the legislative staff a law that may need

changing.

Responding to constituent needs, complaints, or problems gives a Member an

opportunity to determine whether executive agencies’ programs are functioning in

accordance with legislative mandates. Thus, casework has the potential to contribute

to legislative oversight of agencies. Indeed, some offices make it a practice to bring

casework observations to the attention of the pertinent authorizing committee(s),

particularly if a pattern emerges. It may even lead to new legislation.

10

These regional agencies are listed in sources such as: United States Government Manual

(in print) or via the Government Printing Office’s National Archives Internet site

[http://www.access.gpo.gov/nara/browse-gm-00.html]; Catalog of Federal Domestic

Assistance, Appendix IV: “Federal Agency Contacts in States” (in print), or via the Internet

[http://www.cfda.gov]; and Carroll’s Federal Regional Directory (in print).

11

Richard H. Shapiro, Frontline Management: A Guide for Congressional District/State

Offices (Washington: Congressional Management Foundation, 1998), p. 89.

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Most federally assisted casework involves problems regarding social security

checks, benefits, and appeals; workers’ compensation claims, hearings, and appeals;

military service problems, such as a hardship discharge from the service; veterans’

benefits, medical care, and home loan guarantees; immigration problems; and other

appeals for help. Casework is closely related to, but different from, grants and

project work, which usually concerns local governmental units or other organizations

(e.g., corporations, universities, and research firms) that compete for federal

government funds in the form of contracts, grants, loans or other disbursements.

Some congressional offices, however, combine these functions and call them

“constituent services.”12

Privacy Safeguards

Constituent letters sent to a Member’s office are not protected by the Privacy

Act of 1974 (5 U.S.C. 552a) or any other statute safeguarding personally identifiable

records received and maintained in such offices. However, for a variety of reasons,

including the high probability of an expectation of privacy concerning these

communications, a policy safeguarding privacy is advisable for such offices. Such

a policy would include:

!

physically safeguarding such correspondence in office files; and

!

limiting access to such correspondence, including the drafting of

responses, to office personnel.

Concerning constituent casework correspondence awaiting final disposition at

the time of a Member’s retirement or departure from office, see Handling Cases

When Closing a Congressional Office, later in this report. Most Members of

Congress do not archive case files to a repository not only because both Members and

12

For further information on grants, congressional staff may access the CRS Grants

Information Web page at [http://www.crs.gov/reference/general/grantsinfo.shtml]. 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/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 Info Pack IP050G, Grants and Foundation Support; 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; 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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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

Act adhere to the position that disclosure may be made to a congressional office

pursuing personally identifiable information at the request of that individual.

Since most agencies will not release personally identifiable information without

written consent, it is important to have either a letter from the constituent that will

serve as a Privacy Act release or a separate form on file. The form may state, “I

authorize Senator/Representative

to check into my case and receive

information connected with it.”13 The form must be sent to the constituent for

signature and returned. When contacting an agency on behalf of a constituent, a

authorization to

caseworker may say, “This office has Mr./Ms.

13

An example of a Privacy Act form used by one Member’s office is provided in Appendix

C: Sample Privacy Act Release Form.

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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.14

Upon receipt of the inquiry, most caseworkers feel it is advisable to send an

acknowledgment letter to the constituent immediately to inform them that the

Member is aware of the request and is inquiring into the matter, and that the

constituent will be contacted again when some response is forthcoming. This method

establishes a basic office file in the name of the constituent, and is also a means of

requesting any additional information from the constituent, if needed.

Every caseworker has to develop a method of analyzing the nature of the

constituent’s problem and conducting the most expeditious resolution of it. Knowing

where to go first can save time; the caseworker, therefore, must have a working

knowledge of federal agencies. This includes a knowledge of the relevant agency

program, as well as keeping abreast of current legislation that might affect the

constituent’s case. Understanding the various sources of assistance, federal and nonfederal, including welfare organizations and charities, can enable the caseworker to

assist more fully and expeditiously. Effective caseworkers develop a telephone list

of contacts in the various agencies and retain the numbers of other congressional

caseworkers who might be able to assist with a lead, a number, or advice based on

their own casework experience.

Caseworkers may consult Appendix A for contacts and telephone numbers for

various types of cases, such as civilian pensions and benefits, military affairs, and

State Department inquiries. For contacts not listed in Appendix A, the caseworker

could call the appropriate federal department or agency congressional liaison office

for the correct office or person to help with a particular problem. 15 This approach

14

15

See Appendix A: Federal Office Contacts for Types of Cases and Information Required.

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

(continued...)

CRS-8

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.

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

15

(...continued)

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.

CRS-9

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.

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

CRS-10

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.

Tracking Casework

Once an agency has been contacted on behalf of the constituent, the case should

be tracked. Although a letter is usually sent to the agency head from the Member of

Congress, it frequently helps to contact directly key agency staff likely to respond to

a casework request. Sometimes an interim response is sent to the constituent

advising that the Member is still working on the case. If no agency response has been

received after a reasonable amount of time, a follow-up is advised. When the agency

finally renders its determination, a caseworker should read it as if the caseworker

were the constituent. Rephrasing bureaucratic wording and procedures is an essential

task of casework.

Casework and other requests of Members invariably increase over time. In

order to cope with the workload, offices have installed computer and word processing

systems. Such equipment enables offices to retain, in computers, disks or tapes,

casework information, including constituent’s name, the problem, any interim

communications, and final disposition data. Case management software may create

particular problems for repositories unprepared for dealing with such special media.

Over time, the problem with case management software will only grow for members

who serve for many terms.

Disposition of Casework

Successful resolution of a case, more than anything else, will show the

individual that his or her Member, and the government, are really working for the

constituent. There are times, however, when it is not possible to achieve what an

individual has requested. A caseworker has to know when the case is no longer

worth pursuing. On the other hand, a caseworker must know when to persist in the

face of perceived agency resistance, and to do the utmost to assure as complete an

effort on behalf of the constituent as possible. If advisable, a negative decision from

an agency can be appealed to the appropriate agency office.16

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

16

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.

CRS-11

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.17

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

17

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, 105th Cong., 2nd

sess, S.Pub. 105-54 by Karen Dawley Paul (Washington: Secretary of the Senate, Senate

Historical Office, 1998).

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.

CRS-12

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.

CRS-13

Appendix A: Federal Office Contacts for

Types of Cases and Information Required

For a list of congressional liaison offices in over 150 federal agencies, call CRS

Products Line at 202-707-7132 and request CRS Report 98-446, Congressional

Liaison Offices of Selected Agencies, a report to aid congressional offices in placing

telephone calls and addressing correspondence to government agencies. The most

common requests for assistance are noted here, including the type of information

usually needed, and a contact name and phone number.

Civilian Pensions and Benefits

1.

Social Security Benefits. Retirement, disability, and survivors. Provide

social security number, nature of the problem, name and address, type of

benefit.

410-965-3929 Ms. Sharon A. Wilson (Social Security Administration)

2.

Supplemental Security Insurance. Name, address (each state has different

rules), social security number and nature of impairment: aged, blind, or

disabled.

410-965-3929 Ms. Sharon A. Wilson (Social Security Administration)

3.

Black Lung Benefits. Administered by the Department of Labor. Social

security number, name, city, nature of the problem, claim number, and date of

claim.

202-693-4600 Ms. Jana Hoisington (Department of Labor)

4.

Medicare. Name, address, medicare claim number, social security number,

and description of problem.

202-690-8220 Ms. Carleen Talley (Center for Medicare and Medicaid Services)

5.

Civil Service Retirement. The Office of Personnel Management administers

both the Civil Service Retirement System and the Federal Employees

Retirement System. Applicants include those seeking regular and disability

retirements, or their surviving spouses and children. Other categories of

inquiry: lost checks; change of address for correspondence and direct deposit for

checks; refunds of retirement contributions; voluntary contributions; federal

employees health benefits program; federal employees group life insurance

program; federal and state income tax withholding; federal long-term care; court

orders and tax levies; and deposits and redeposits.

For each inquiry it is necessary to have either the civil service annuity number,

survivor number, or a social security number, and date of birth of the person

receiving benefits.

CRS-14

202-225-4955 Mr. Frank Titus (Office of Personnel Management)

6.

Railroad Retirement. For benefits and unemployment benefits, provide

name, address, social security number.

312-751-4974 Mr. Rich Konopka (Railroad Retirement Board)

7.

Unemployment Benefits. Name, social security number, place of last

employment, reason for termination. In general, cases should be handled

through the local unemployment office first.

202-693-4600 Mr. Anthony Bedell (Department of Labor)

8.

Workers’ Compensation. Name, address, social security number, claim

number, date of injury, and status of care. (Could cover, for example, long

shore and harbor workers, F.E.C.A., or black lung programs).

202-693-4600 Ms. Jana Hoisington (Department of Labor)

Military Affairs and Service Academies

9.

Military. Hardship and retirement cases. Name, rank, social security number,

location, unit to which assigned, nature of the problem.

Army:

(Senate) 202-224-2881 Col. John Schorsch

(House) 202-225-6818 Col. Michael DeYoung

Navy:

(Senate) 202-685-6003 Capt. Mark Ferguson

(House) 202-685-6079 Capt. Dale Lumme

Air Force:

(Senate) 202-685-2573 Col. David Edmonds

(House) 202-685-4531 Col. Laura Shoaf

Coast Guard: (Senate) 202-224-2913 Cdr. Tim Cook

(House) 202-225-4775 Cdr. Bill Milne

10. Military Academy Recommendations. Name, address, desired

appointment, indication of credentials and brief history requested for a letter of

recommendation.18

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.

18

See Appendix B: Appointments to U.S. Military Service Academies.

CRS-15

703-605-4100 Mr. Dick Flahavan (Selective Service System)

12. Veterans (Department of Veterans Affairs (VA)). VA benefits include,

but are not limited to, disability, education and training, home loan, life

insurance, burial, survivor benefits, and health care benefits. Eligibility for

most VA benefits is based upon discharge from active military service other

than from training under honorable conditions for a minimum period specified

by law.

Provide veteran’s name, social security number, claim number, policy number

(for insurance), date of birth and period of service. Evidence of honorable

discharge may be necessary.

202-224-5351 Ms. Patricia Covington (Senate) (VA)

202-225-2280 Ms. Patricia Covington (House) (VA)

State Department Inquiries

13. Visas. Name, date, place of birth, type of visa (visitors, working, student,

immigrant); where they applied; nature of the problem, if applicable.

202-663-1516 Ms. Jeanette Toaobert (State Department)

14. Passports. On an emergency basis, may be completed on same day. Name,

address, certified birth certificate, driver’s license, previous U.S. passport or

naturalization certificate, two passport photos, fee, flight tickets, pertinent

application form.

202-955-0198 Ms. Patience Tait (State Department)

15. Letters of Introduction. To American embassy abroad. Congressional

office may contact State Department or embassy directly. Provide name of

constituent, date of visit to foreign country. Suggested clause to be included in

letter: “Within appropriate laws and regulations, please extend appropriate

courtesies to my constituent.”

16. Overseas Citizens Services. Deaths, arrests, missing persons, child

custody, injured relatives—name, relevant information on itinerary or location.

202-647-5226 Ms. Dianne Andruch (State Department)

17. Refugee/Asylum Cases. 202-663-1056 Ms. Pam Lewis (State Department)

Other

18. Immigration. Name, place and date of birth, immigration file number or

receipt number if known, type of case, location, alien number (if applicable),

CRS-16

and date of filing. If the case was denied, find out if and when an appeal has

been filed.

202-514-5231 Mr. Tim Haugh (Immigration and Naturalization Service)

19. Labor Certification. Employees who have applied for certification. Provide

employee name, employer name, type of job, case number, last action, date of

application or appeal. Employers (former) who are being investigated. Provide

name of employer or person being investigated, location, name of individual

making the inquiry.

202-693-4600 Mr. Anthony Bedell (Department of Labor)

20. Higher Education Loans and Assistance. Student financial assistance,

grants, budget and legislative proposals.

(a) Student financial assistance and related issues including repayment,

defaults, consolidation.

202-401-1028 Ms. Libby Upshur (Department of Education)

(b) Budget and general program questions

202-401-1028 Ms. Camille Welborn (Department of Education)

(c) Legislative proposals

202-401-1028 Clayton Boothby (request appropriate specialists)

(d) Grant funding

202-401-1028 Ms. Elnora Walker; Ms. Barbara Dorsey (Department of

Education)

(e) Correspondence

202-401-1028 Ms. Theresa Toye (Department of Education)

21. Farmers’ Loans. Farm Credit Administration. Knowledge of whether

application has already been made, name, address, county and state in which

property is located.

703-883-4056 Mr. E.B. Coggin; Mr. Hal DeCell III (Farm Credit

Administration)

22. Communications Licenses. The information needed depends on the nature

of the inquiry. For example, for status queries about pending applications, the

agency needs the name of the applicant, file number, call number of station, and

city of license.

CRS-17

202-418-1903 Ms. Martha Johnston (Federal Communications Commission)

23. Government Procurement and Property.

General Services

Administration (GSA) provides the following assistance regarding government

procurement and property: how to obtain surplus personal/donation property;

how to do business with the federal government; federal travel regulations/per

diem rates for federal employees; child care in the federal workplace;

regulations on smoking in federal buildings; GSA owned/leased space; and

disposal of surplus real property (land/structures).

202-501-0563 Ms. Brenda Short (General Services Administration)

24. Housing. Name, address, property address, indications of need, case or file

number. Specify public or FHA assisted or insured housing. Programs cover:

housing for the elderly and handicapped; Section 8 voucher and certificate

assistance; Fair Housing; FHA insurance; manufactured housing; home equity

conversion mortgages; and home ownership assistance for low-income and

moderate-income families. May also require contact with local public housing

agency or regional Department of Housing and Urban Development (HUD)

program.

202-708-0380 Mr. William Himpler (HUD)

25. American Indians and Alaska Natives. To be eligible for most Bureau

of Indian Affairs programs, an individual must be a member of a federally

recognized tribe living on or near a reservation.

202-208-5706 Ms. Jacquelyn Cheek (Bureau of Indian Affairs)

26. Postal Service. Employee problems, job opportunities, mail delivery,

provide name, address, Post Office involved.

202-268-3429 Ms. Kim Weaver (U.S. Postal Service)

27. Federal Prisoners. All matters related to the care, treatment, and

programming of federal prisoners.

(a) All matters regarding incarceration to include transfers, medical care,

furloughs and halfway house placement. (Provide either name or register

number.)

202-514-9663 Mr. Matthew Bronick (Federal Bureau of Prisons)

(b) Prisoner paroles: provide name, register number, name of prison.

301-492-5990 Mr. William Paul Ketchpaw (U.S. Parole Commission)

28. Small Business. Small business loans and contract assistance. For a Small

Business Administration (SBA) loan, provide name of business, location where

filed, amount, if possible, other pertinent information. For SBA contract

CRS-18

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.

202-205-6700 Mr. Richard Spence (Small Business Administration)

29. Treasury.

Department of Treasury, Internal Revenue Service: All

Congressional activities and legislative proposals that enhance tax

administration, are provisions of newly-enacted tax legislation, and

GAO/TIGTA reviews.

202-622-9590 Mr. Floyd Williams (Department of Treasury)

30. U.S. Commission on Civil Rights. Civil Rights Complaints

202-376-7700 Ms. Kim Alton (U.S. Commission on Civil Rights)

31. Recommendations for Federal Employment. Nature of the situation,

whether school or job, relationship with Member of Congress.

Members of Congress and their employees may make recommendations

regarding federal employment. However, appointing personnel in the executive

branch may consider recommendations from a Member of Congress only as to

the character and residence of that person.19

19

See “Employment Recommendation Restrictions,” Appendix D, Legal and Ethical

Considerations of Casework. See also U.S. Congress, House Committee on Standards of

Official Conduct, [http://www.house.gov/ethics]; House Ethics Manual, 102nd Cong., 2nd

sess., (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. 185-188; and Senate Ethics Manual, 108th Cong.

[http://ethics.senate.gov].

CRS-19

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. 20

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 [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

20

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.

CRS-20

one year that a Member of Congress may fill two vacancies without being closed out

for an upcoming class. Being closed out means that a Member may not make any

nominations for the class entering that year. Congressional staff should contact each

academy to confirm vacancies prior to submitting nominations.

Three methods of nominee selection can be used by Members:

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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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:

a

Military Academy

Naval Academy

Air Force Academyb

SAT-1

560 Verbal; 560 Math

600 Verbal; 600 Math

580 Verbal; 610 Math

ACT

23 English; 24 Math

26 English; 26 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.

CRS-22

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

Attn: Cpt. Robert Imbriale

Telephone 1-800-832-2769

845-938-5723/5754/5747

Fax: 845-938-7608

U.S. Air Force Academy Liaison Office

USAFA/RRA

Pentagon Room 5E-152

1040 Air Force Pentagon

Washington, DC 20330-1040

Ms. Karen Parker, Chief

Telephone: 703-695-4005

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Fax: 703-695-7999

U.S. Naval Academy

Nomination and Appointments Office

117 Decatur Road

Annapolis, MD 21402

Ms. Cathy Trebelhorn

Telephone: 410-293-1820

Fax: 410-293-1828

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 Capt. James M. Skinner,

Director of Admissions, Merchant Marine Academy, 300 Steamboat Road, Kings

Point, N.Y., 11024 or call 516-773-5391 or 1-866-546-4778; or fax 516-773-5390;

CRS-24

or by e-mail at admissions@usmma.edu. The Merchant Marine Academy’s web site

is [http://www.usmma.edu].

U.S. Coast Guard Academy

The U.S. Coast Guard’s mission is to protect the public, the environment, and

U.S. economic interests—in the nation’s ports and waterways, along the coast, on

international waters, and any maritime region as required to support homeland

security.

The U.S. Coast Guard Academy is the only one of the service academies that

offers appointments solely on the basis of a annual nationwide competition. No

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

[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 1-800-883-8724 or fax 860-701-6700.

CRS-25

Appendix C: Sample Privacy Act Release Form

PLEASE RETURN THIS FORM TO:

Senator/Representative

United States Senate (House of Representatives)

Washington, D.C. 20510 (20515)

(Date)

TO WHOM IT MAY CONCERN:

I am aware that the Privacy Act of 1974 prohibits the release of information in my

file without my approval. I authorize the (name of federal agency or Department) to

provide information on my claim/case to (Senator/Representative)

.

(Signature)

(Address)

(Social Security or claim number)

(Telephone Number)

If you wish information to be provided to parent, child, attorney, or other

interested party, please indicate below.

I authorize

Senator/Representative

to receive information from

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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Appendix D: Legal and Ethical Considerations

of Casework

Title 5 United States Code Section 3303 prohibits appointing officers of the

federal government from considering or receiving a recommendation other than as

to character or residency.

Title 18 United States Code Sections 201(b) and 201(c) forbids Members of

Congress and their staff from soliciting or receiving a bribe or anything of value for

or because of any official act performed.

Title 18 United States Code Section 203(a) states that Members and their staff

may not be privately remunerated for casework interventions on behalf of any person;

it sets forth penalties for any person who:

... directly or indirectly demands, seeks, receives, accepts or agrees to receive or

accept any compensation for any services rendered or to be rendered personally

or by another

1.

At a time when such person is a Member of Congress; or

Member of Congress Elect ...; or

2.

At a time when such person is an officer or employee of

the United States in the legislative ... branch of the

government ...

in relation to any proceeding, application, request for a ruling or other

determination, contract, claim, controversy, charge, accusation, arrest, or other

particular matter in which the United States is a party or has a direct and

substantial interest, before any department, agency, court-martial, officer, or any

civil, military, or naval commission ...

Shall be fined not more than $10,000 or imprisoned for not more than two years

or both; and shall be incapable of holding any office of honor, trust, or profit

under the United States.

Title 18 United States Code Section 205 forbids government officials from

privately handling cases before government tribunals on behalf of an individual, but

allows Members of Congress to do so without compensation. There are, however,

limits on Member representation; for example, they are prohibited from appearing

in maritime cases and before the Court of Claims and the now defunct Indian Claims

Commission.

Agency Intervention Protocol

Members of Congress are prohibited from ex parte communications concerning

formal adjudications (off-the-record communications by one person concerning some

agency action), and must abide by the rules which apply to all citizens making

inquiries to federal agencies (5 U.S.C. 557(d)). This does not mean that they cannot

contact agencies, but their communications may be made public under the ex parte

CRS-27

rules of a particular agency. The prohibition only applies to formal agency

adjudications (hearings on the record), and not to regular casework.

Employment Recommendation Restrictions21

There is now no specific prohibition on Members recommending or referring

applicants for federal positions or for other federal personnel actions; hiring officials

are instructed only to receive and consider such “recommendations” from a Member

as to the character or residence of the applicant, however. Additionally, hiring

officials may consider and receive statements from a Member based on personal

knowledge or records, related to an applicant’s work performance, ability, aptitude,

qualifications, or suitability (P.L. 104-197, Section 315).

Current law prohibits officials in the executive branch from receiving and

considering any recommendations from a Member of Congress of an applicant for

a federal position except as to the character and/or residency of the applicant. A

Member of Congress is not expressly prohibited, however, from making such

recommendations (5 U.S.C. 3303). Current law protects against any potential

political abuses in civil service hiring by prohibiting the consideration of political

factors by appointing officials in referrals from Members or in any referrals (5 U.S.C.

3303 and 2302(b)), and prohibits anyone in the federal service from considering

recommendations or statements other than those that evaluate work performance,

ability, qualifications and suitability (5 U.S.C. 2302(b)(2)).

Responsibility to Constituents

(House Ethics Committee Advisory Opinion)

In its first advisory opinion, issued on January 26, 1970, the House Committee

on Standards of Official Conduct (the Ethics Committee) concluded that the exercise

of the First Amendment right applies not only to petition by groups of citizens with

common objectives, but increasingly by people with problems or complaints

involving their personal relationship with the federal government. The Committee

reasoned that:

As the population has grown and as the government has enlarged in scope and

complexity, an increasing number of citizens finds it more difficult to obtain

redress by direct communication with administrative agencies. As a result, the

individual turns increasingly to his most proximate connection with the

government, his representative in the Congress, as evidenced by the fact that

congressional offices devote more time to constituent requests than to any other

single duty.

21

This section was written by Jack H. Maskell, American Law Division, Congressional

Research Service. See also U.S. Congress, House Committee on Standards of Official

Conduct, [http://www.house.gov/ethics]; House Ethics Manual, 102nd Cong., 2nd sess.,

(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; and Senate Ethics Manual, 108th Cong.,1st sess.

[http://ethics.senate.gov].

CRS-28

The reasons individuals sometimes fail to find satisfaction from their petitions

are varied. At the extremes, some grievances are simply imaginary rather than

real, and some with merit are denied for lack of thorough administrative

consideration.

Sheer numbers impose requirements to standardize responses. Even if

mechanical systems function properly and timely, the stereotyped responses they

produce suggest indifference. At best, responses to grievances in form letter or

by other automated means leave much to be desired.

Another factor which may lead to petitioner dissatisfaction is the occasional

failure of legislative language, or the administrative interpretation of it, to cover

adequately all the merits the legislation intended. Specific cases arising under

these conditions test the legislation and provide valuable oversight disclosure to

the Congress.

Further, because of the complexity of our vast federal structure, often a citizen

simply does not know the appropriate office to petition.

For these, or similar reasons, it is logical and proper that the petitioner seek

assistance of his Congressman for early and equitable resolution of his problem.22

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.

22

U.S. Congress, House Committee on Standards of Official Conduct, “Advisory Opinion

No. 1: The Role of a Member of the House of Representatives in Communicating with

Executive and Independent Federal Agencies,” Congressional Record, vol. 116, Jan. 26,

1970, p. 1077.

CRS-29

Principles to be Observed

The Committee concluded that the “overall public interest, naturally, is primary

to any individual matter and should be so considered. There are also other selfevident standards of official conduct which Members should uphold with regard to

these communications.” The Committee recommended that Members observe the

following three basic principles of official conduct:

1.

A Member’s responsibility in this area is to all his constituents

equally and should be pursued with diligence regardless of

political or other considerations.

2.

Direct or implied suggestion of either favoritism or reprisal in

advance of, or subsequent to, action taken by the agency

contacted is unwarranted abuse of the representative role.

3.

A Member should make every effort to assure that

representations made in his name by any staff employee conform

to his instruction.

The Committee noted that “subsequent legislation, regulation or rules may affect

part or all of this advisory opinion.”23

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?

23

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].

CRS-30

The kind of agency involved and the nature of its proceedings. Is the

agency performing in a quasi-judicial, adjudicative or enforcement

function?

If the Senator or staff member knows that an individual is a

contributor, the following issues should also be considered. (If the

Senator or staff member does not know if an individual is a

contributor, he or she is not required or encouraged to find out. Most

Senate staff members are not provided with information regarding

contributions and are unaware of whether an individual seeking

assistance is a contributor.)

The amount of money contributed. Has the contributor given or

raised more than an average contribution?

The history of donations by a contributor. Has the constituent made

contributions to the Senator previously?

The nature and degree of the action taken by the Senator. To what

extent does the action or pattern of action deviate from that Senator’s

normal conduct?

The proximity of money and action. How close in time is the

Senator’s action to his or her knowledge of or receipt of the

contribution(s)?

In its consideration of this case, the Committee has referred to or quoted from

sources which may be largely unknown to Senators, such as the writings of

Senator Paul Douglas and Advisory Opinion No. 1 of the House. The Committee

believes that these sources have value as helpful guidance to Senators and to the

Committee in analyzing the established norms of behavior in the Senate.

However, these sources, in and of themselves, are not precedential and should

not be considered as established Senate norms for purposes of discipline.24

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.25 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

24

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. See also U.S.

Congress, U.S. Congress, Senate Select Committee on Ethics, Senate Ethics Manual, 108th

Congress [http://ethics.senate.gov], and House Committee on Standards of Official Conduct,

[http://www.house.gov/ethics], House Ethics Manual, 102nd Cong., 2nd sess., (Washington:

GPO, 1992).

25

For a section by section analysis of S.Res. 273, see Congressional Record, vol. 138 (July

2, 1992), pp. 17954-17957.

CRS-31

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

government official or agency on any matter to: request information

or a status report; urge prompt consideration; arrange for interviews

or appointments; express judgments; call for reconsideration of an

administrative response which the Member believes is not reasonably

supported by statutes, regulations or considerations of equity or

public policy; or perform any other service of a similar nature

consistent with the provisions of this rule.

3.

The decision to provide assistance to petitioners may not be made on

the basis of contributions or services, or promises of contributions or

services, to the Member’s political campaigns or to other

organizations in which the Member has a political, personal, or

financial interest.

4.

A Member shall make a reasonable effort to assure that

representations made in the Member’s name by any Senate employee

are accurate and conform to the Member’s instructions and to this

rule.

5.

Nothing in this rule shall be construed to limit the authority of

Members, and Senate employees, to perform legislative, including

committee, responsibilities.

Rule 43 is intended as general guidance on permissible contacts with federal

agencies and officials on behalf of petitioners, who may or may not be constituents.

The central provision of the rule prohibits Senators from basing the decision to assist

a petitioner before a federal agency or official on whether the petitioner has

contributed to the Senator’s campaign or causes. Rule 43 does not, and was not

intended to, govern the entire range of issues that might arise with respect to

interventions with other government agencies. Because each situation is unique on

its facts, each Senator should review a proposed intervention in its entirety.

The Committee has recommended that prior to intervention with a government

agency, a Senator consider both the merits of the constituent’s case, as well as the

kind of agency involved and the nature of the agency proceedings. A review of the

case might include consideration of whether the Senator’s office would perform the

same service for any constituent similarly situated; the extent to which the proposed

CRS-32

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 Committee has

recommended that a Senator consider whether the agency is performing a quasijudicial, adjudicative, or enforcement function. Such formal agency adjudications

and rulemaking proceedings require that the agency’s decision to be based only upon

a record developed during a trial-like hearing. Ex parte communications (oral or

written communications made without notice and off the public record) are generally

prohibited during formal adjudication periods and, typically, are placed on the public

record. Absent a formal adjudicative proceeding, a Senate office that seeks to

communicate with a federal agency may find it useful to contact the agency

congressional liaison or similar functionary to determine with respect to the matter

in question whether the agency is operating under any internal restrictions on outside

communications.

The general advice of the Ethics Committee concerning pending court actions

is that Senate offices should refrain from intervening in such legal actions (unless the

office becomes a party to the suit, or seeks leave of court to intervene as amicus

curiae) until the matter has reached a resolution in the courts. The principal behind

such advice is that the judicial system should be allowed to function without

interference from outside sources. See, for example, the Committee’s Interpretative

Ruling 237 (March 21, 1979) in Appendix A. Because the rules governing judicial

proceedings vary widely from jurisdiction to jurisdiction, and from case to case, and

because the nature of an intervention with a court cannot be known in advance, a

final determination as to the propriety of a particular intervention with a court in a

legal matter will depend upon the totality of the circumstances in a given case.

Notwithstanding these limitations respecting court interventions, the Committee

has ruled that communications with an agency with respect to a matter that may be

the subject of litigation in court is, nevertheless, generally permitted, where the

communication is with the agency and not directed at the court, where the agency is

not engaged in an on-going enforcement, investigative, or other quasi-judicial

proceeding with respect to the matter, and where the communication is based upon

public policy considerations and is otherwise consistent with Rule 43.

Congressional Intervention in the Administrative Process26

When congressional committees engage in oversight of the administrative

bureaucracy, or when Members of Congress intervene in agency proceedings on

behalf of private constituents or other private entities with interests affecting the

Member’s constituency, such interventions involve varying degrees of intrusion into

26

This section is drawn from archived CRS Report 90-440, Congressional Intervention in

the Administrative Process: Legal and Ethical Considerations, by Morton Rosenberg and

Jack H. Maskell (no longer available).

CRS-33

agency decision making processes. CRS Report 90-440 (archived) 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 reviews the judicial development and application of standards for

determining when congressional pressure or influence has been deemed to have

tainted an agency proceeding. It concludes that the courts, in balancing Congress’s

performance of its constitutional and statutory obligations to oversee the actions of

agency officials against the rights of parties before agencies, have shown a decided

predilection for protecting the congressional prerogatives. Where informal rule

making or other forms of informal decision making are involved, the courts look to

the nature and impact of the political pressure on the agency decision maker, and

intervene only where that pressure has had the effect of forcing the consideration of

factors Congress did not intend to make relevant. Where agency adjudication is

involved, a stricter standard is applied, and the finding of an appearance of

impropriety can be sufficient to taint the proceeding. Even here, however, the courts

have required that the pressure or influence be directed at the ultimate decision maker

before they will intervene.

The report also examines the conduct of Members of Congress intervening in

administrative matters from the perspective of ethics or conflict of interest rules and

statutes which may bear upon a Member’s official duties. Since congressional

intervention and expressions of interest in administrative matters from a Member’s

office are recognized as legitimate, official representational and oversight functions

and duties of Members of Congress, the primary focus of these ethical and statutory

conduct restraints is limited: (1) any improper enrichment or financial benefit

accruing to the Member in return for or because of his or her official actions, that is,

any illegal or corrupt bargain or payment for such activities, sale of influence, or

personal financial conflicts of interest in such matters; and (2) any overt coercion or

threats of reprisals, or promises of favoritism or reward to administrators from the

Member’s office which could indicate an arguable abuse of a Member’s official

representational or oversight role in such matters. Additionally, ethical guidelines

in Congress may incorporate broad “appearance of impropriety” standards for

Members which could raise ethical concerns in relation to the acceptance of gifts,

favors, donations, and benefits by Members from those who are directly affected by

the Member’s official duties, even in the absence of a showing of a corrupt bargain,

an express payment, or other specific connection to an official act.