Casework 101

By the time a constituent reaches out to their congressional office for help on a particular issue, it is often as a last resort. In addition to making a connection with a constituent in their time-sensitive moment of need, caseworkers must be diligent with their process for case intake, management, and communication.

One of (if not the) most important steps is for a caseworker to have the constituent sign a Privacy Release Form. Regardless of how dire a situation may be, or how dedicated a caseworker is in supporting a constituent, without a signed privacy release form, a caseworker's actions will be for naught. Agencies will not interact with a caseworker or be able to help without the consent of the constituent.

You will learn the following in this article:

• What is the Privacy Act
• How constituent correspondence is treated
• What you need to know about HIPAA
• Other helpful tips (and an example Privacy Release Form)

First - The Privacy Act

"Under the Privacy Act, each executive branch agency that maintains records containing an individual's personally identifiable information must have a release from that individual to share information with any other entity. In general, agencies cannot reply to a congressional inquiry without a Privacy Act release signed by the constituent requesting assistance. Most agencies will accept any signed document from a constituent stating that the constituent grants a Member of Congress access to any record held by an agency that will help resolve the constituent's inquiry." - Casework in a Congressional Office: Background, Rules, Laws, and Resources

Second - The Deal with Constituent Correspondence

Constituent correspondence sent to a Member's office does not fall under the protections provided by the Privacy Act or any other statute safeguarding personally identifiable records. Though it isn't protected in the same way, most offices assume privacy as an important safeguard for constituent's safety and trust, and so treat casework materials as sensitive documents.

Some casework correspondence office policies could include the following:

• Safeguarding casework correspondence and documentation in the office's physical and electronic files
• Securing electronic files through password protection and automatic backup procedures;
• Limiting access to casework correspondence files, including working drafts of correspondence, to office personnel

Third - The Basics on HIPAA

There are a variety of cases which may require a caseworker to understand the perameters and requirements of HIPAA. Rules promulgated under HIPAA31 give patients the right of access to their medical information and prohibit health plans and health-care providers from using or disclosing identifiable information to most individuals or entities without a patient's written authorization.

Some examples of constituent inquiries that might involve medical information include claims for benefits under the following programs:

• Social Security Disability Veterans' programs
• Medicare
• Disaster relief
• Medical services to military members injured on active duty, or to military members, their dependents, and retirees through TRICARE
• Workmens' compensation
• Immigration

HIPAA rules also require health plans and providers to give individuals the opportunity to object to the disclosure. It is important to know that procedures for securing patient consent to release information or to provide information to third parties may vary from agency to agency. If in doubt, research similar cases and ensure whether a particular case falls under HIPAA regulation.

Fourth - A Few Final Tips

Though many constituents come to their congressional office to ask for legitimate help with an agency issue, there are plenty of inquiries that are not serious or require a caseworker to step in. Asking constituents to sign a Privacy Release Form is a professional way a caseworker can ensure a constituent is serious about their problem and willing to provide the necessary information to pursue a solution.

It is important to note that in addition to the required Privacy Release Form, some agencies also issue their own forms and might prefer to have those form additionally filed when a congressional office initiates a case inquiry. For example, the Internal Revenue Service (IRS) typically requests that congressional caseworkers ask constituents to return a signed copy of IRS form 8821, Tax Information Authorization.

Much like with HIPAA, if a caseworker is unsure, they should do some research or connect with more senior caseworkers to discover if additional documents are required. If you are managing the casework operation for your congressional office, additional agency form requirements is excellent information to include in your Casework Manual.

Example of Privacy Release Form:

(The following is from Tom Tillet's Congressional Casework Guide. Mr. Tillet is a former District Chief of Staff of Congressman Joe Pitts, and a knowledgeable expert in casework management.)

Agency: Generic term that can mean a department, agency, commission, or other office of the federal executive branch.

Ask: Exactly what the constituent wants from the Member. The caseworker and constituent should be very clear what the ask is. The meeting should never end until the ask is clearly and mutually agreed on.

Casework: Contacting a federal agency on behalf of a constituent to resolve an issue, problem, or to obtain information. Typical casework would be asking for expeditious or expedited handling, expressing the Member‟s interest in the issue, or asking for a favorable decision within the rules and regulations of the particular agency. To be considered a case, an agency must be contacted in some manner. This is more important in office‟s that have a formal evaluation process so the supervisor is comparing apples to apples. Simply answering a question, providing an explanation, or directions is not a case.

Congressional: An inquiry or case, usually referring to a letter from the Member. As in – "yes, we sent in a congressional."

Constituent Service: Casework is a sub-set of constituent service that is more narrowly defined as helping an individual experiencing some type of issue with a federal executive branch agency. Constituent service is a broad term encompassing virtually everything a Member does for his constituents.

Congressional Research Service (CRS): Created in 1970. Operates as an "in-house think tank" for Congress. CRS is an incredible resource for caseworkers. Get used to using CRS. There is an entire Section in this Guide on CRS. Keep CRS in mind when you have a particularly complicated, nuanced, or unusual case. They are very prompt and very helpful. CRS is an important tool in your tool-box.

Final: The agency letter, e-mail (or possibly call) responding to the inquiry (case). As in -- ".....hey, did the final come in yet for that "MIC" case?"

Frequent Flyer (FF): A constituent who contacts, usually by phone, the office (most likely district) on a very regular basis. Some FFs do send in letters. Happily for the district staff, most FF letters get answered by the DC staff. A staffer (or always the intern) who is relatively low on the office food chain gets the FFs.

In the Barrel: Not being able to end the touch (contact with constituent) no matter what you try. If you work for a "never hang up" policy Member, good luck!

Legislative Liaison (LL): – Designated office for congressional inquiries in federal agencies. The staff there do the intake, and then go into the bowels of the bureaucracy to address your ask. Can also be called Governmental Affairs or Legislative Affairs. Almost all federal agencies have a LL office. Please note that it is possible certain smaller states or regional offices might not have a formally designated LL office, but except in very rare cases, there will be someone on the staff who wears the LL hat.

Member Interest in Case (MIC). Pronounced like "Mick."

Office Culture: A somewhat un-definable, nebulous, and informal list of unwritten rules, customs, and practices that sets the tone of the office; and inform behaviors, expectations, and relationships. A certain "office culture" might assume that agencies are always wrong, mendacious, and cannot be trusted; ergo, caseworkers are more aggressive, edgy, and direct with their LL contacts. In other words, is there an adversarial relationship, versus one of a "team" mutually trying to help the constituent? New caseworkers need to figure this out as soon as possible. The Member and senior staff of course have a huge impact on the office culture. The casework shop often reflects the Member.

PACF: Privacy Act Consent Form. Must obtain from the constituent in order to open a case. Agencies have become increasingly strict about getting one. Can be used by good caseworkers to determine how serious a constituent is regarding their problem.

Point of Contact (POC): Should include name, title, phone number, and e-mail address.

Shop: The staffer(s) who specialize in a certain aspects of the operation. Usually there is a Legislative (Leg) Shop, Casework Shop, and Communication (Comms) Shop. The Legislative Director (LD) runs the leg shop, and the Press Secretary honchos the Comms shop. The Comms shop is most likely a shop of one, unless the Member sees himself a Governor, Senator, or President, then there might be a Press Assistant too. Leg. Shop is most likely three to five staff, based in DC.

Standard Operating Procedure (SOP): Accepted, common office practices understood by all. Examples of SOP: (1) whenever an elected official calls, the DD takes the call, (2) at the end of every call the staffer says "....please feel free to contact me again if you feel Congressman ___________ can be of assistance."

Read In: Briefed on the case, made aware of the details.

Run/Ran the case: Open a case, can be past tense. "I ran a case for him."

Run the Trap: Make a phone call, send an e-mail, almost any type of contact with another person, most likely asking for a favor, information, or asking a question. As in – "Hey Bob, run a trap and find out when Speaker Ryan‟s bill on Members getting a 20% raise is gonna drop?"

Touch: Constituent call, walk-in, fax, letter, e-mail, web contact with Member. Can also be used as a noun to denote the constituent.

You have been communicating with a constituent who is having some issue with the federal government. It is likely their issue is time-sensitive, complicated, and emotionally taxing. Before getting too far, there are just three simple questions a caseworker should ask when determining whether or not to open a case– is the person a constituent (find out quickly), is the issue a federal one, and is your boss being asked to do anything illegal, or unethical?

Is the person a constituent?

At the very beginning of the touch, make sure they are a constituent. House rules require Members to use resources and staff to help constituents with a domicile and address within the district. If you are not sure, there are several resources to quickly determine residency. There is nothing worse than talking to a constituent for 20 minutes, and then discovering they are not a constituent. If the caller (or walk-in) is not a constituent, it is your job to get them off the phone expeditiously (30-60 seconds) so you can assist actual constituents. Be courteous, but be diligent.

Is it a federal issue?

If you have in-fact determined the individual is a constituent, the next step is to confirm their issue is a federal one and would require the Member's assistance. For new Caseworkers you should do your homework to determine some relevant questions to ask in determining if the issue falls within federal jurisdiction. Some offices (we would encourage all) will have priority questions and resources to support caseworkers in determining this as soon as possible. Another benefit of asking the right questions is to demonstrate your sincere interest in their problem, and to give them confidence in your abilities.

Are they asking for something illegal or unethical?

This final ask is pretty straight forward, and obviously essential. Asking relevant and clear questions will help you in determining the true nature of what a constituent is looking for from their Representative. Don't be afraid to challenge the constituent (always in a courteous manner) if you feel they are wanting something that the Member would find unethical, or worse would be considered illegal. If you are a new caseworker and you are unsure, ask a more seasoned member of your team or reach out to support services like CRS.

After you have determined that all three parameters have been met, you must essentially interview the constituent almost like a lawyer or a reporter. As we have stated above, good caseworkers ask good questions. As you become more experienced and understand the issues better, that will lead to better questions. Some offices likely have some type of issue/question template to follow.

If the touch is a letter, e-mail, or via the Member‟s website, a similar process is followed, but you already of course have some of the information you need. In fact, you "triage" the situation, determining the best course of action. In the age of e-mail, ask them if they prefer e-mail, phone, or mail for communication purposes before moving forward.

If the decision is to open a case, then you will need to do the following.

• Obtain the necessary information to submit to the correct agency
• Have a Privacy Act Consent Form (PACF) completed
• Make copies of the relevant documents
• Get a written confirmation that you agree upon the "ask"
• Contact the appropriate agency

This information is from Tom Tillet's Congressional Casework Guide. Mr. Tillet is a former District Chief of Staff of Congressman Joe Pitts, and a knowledgeable expert in casework management.

CMF is pleased to offer House and Senate staff a new resource on congressional casework. Written by a District Chief of Staff with more than three decades of experience, the title for this how-to guide for casework explains it all: "The Good, The Bad, And The Ugly: What Works, What Doesn't, And Everything In Between: Process, Procedures, Common Sense, Advice, Conundrums, And Best Practices."

Our friends over at the American Psychological Association recently brought to our attention a publication created by their affiliate, the California Psychological Association, entitled ''A Legislator's Guide: Communicating with Distressed Constituents.' (PDF-418 KB) The document was authored by clinical psychologist Sandra R. Harris, Ph.D. and was originally created and distributed to members of the California State Legislature. The information that it provides, however, translates well to the challenges Members of Congress and congressional staff face at the federal level when assisting constituents with casework requests, taking constituent comments over the phone, or answering constituent letters or emails.