PDF(PDF provides a complete and accurate display of this text.)Tip?
115th Congress } { Report
HOUSE OF REPRESENTATIVES
2d Session } { 115-826
======================================================================
CREATING ADVANCED STREAMLINED ELECTRONIC SERVICES FOR CONSTITUENTS ACT
OF 2018
_______
July 16, 2018.--Committed to the Committee of the Whole House on the
State of the Union and ordered to be printed
_______
Mr. Gowdy, from the Committee on Oversight and Government Reform,
submitted the following
R E P O R T
[To accompany H.R. 3076]
[Including cost estimate of the Congressional Budget Office]
The Committee on Oversight and Government Reform, to whom
was referred the bill (H.R. 3076) to amend section 552a of
title 5, United States Code (commonly referred to as the
Privacy Act) to require agencies to accept electronic release
forms, and for other purposes, having considered the same,
report favorably thereon with amendments and recommend that the
bill as amended do pass.
CONTENTS
Page
Summary and Purpose of the Legislation........................... 3
Background and Need for Legislation.............................. 3
Statement of Oversight Findings and Recommendations of the
Committee...................................................... 4
Statement of General Performance Goals and Objectives............ 4
Legislative History.............................................. 4
Committee Consideration.......................................... 4
Roll Call Votes.................................................. 4
Explanation of Amendments........................................ 4
Application of Law to the Legislative Branch..................... 5
Duplication of Federal Programs.................................. 5
Disclosure of Directed Rule Makings.............................. 5
Federal Advisory Committee Act................................... 5
Unfunded Mandates Statement...................................... 5
Earmark Identification........................................... 5
Committee Estimate............................................... 5
New Budget Authority and Congressional Budget Office Cost
Estimate....................................................... 6
Section-by-Section Analysis...................................... 7
Changes in Existing Law Made by the Bill, as Reported............ 8
The amendments are as follows:
Strike all after the enacting clause and insert the
following:
SEC. 1. SHORT TITLE.
This Act may be cited as the ``Creating Advanced Streamlined
Electronic Services for Constituents Act of 2018'' or the ``CASES
Act''.
SEC. 2. SENSE OF CONGRESS.
It is the sense of Congress that--
(1) congressional offices provide crucial services to
constituents by acting as a liaison between the constituents
and the respective agencies;
(2) this includes assisting constituents by making inquiries
and working toward resolutions on behalf of the constituent
with the respective agencies; and
(3) this process should be simplified through the creation of
electronic forms that may be submitted under section 552a of
title 5, United States Code (commonly referred to as the
Privacy Act), thus modernizing the process for constituents and
improving access and efficiency of Government services and
agencies in order to expedite the resolution of the problem for
which constituents sought help.
SEC. 3. OMB GUIDANCE ON ELECTRONIC CONSENT FORMS.
(a) Guidance.--Not later than 1 year after the date of the enactment
of this Act, the Director shall issue guidance that does the following:
(1) Establishes--
(A) standards for each agency to develop an
electronic identity proofing and authentication process
for allowing an individual to provide a prior written
electronic consent form for the disclosure of the
individual's record under section 552a(b) of title 5,
United States Code, or for individual access to a
record under section 552a(d) of such title; or
(B) a method by which each agency can electronically
identity proof and authenticate an individual
submitting an electronic consent form through a central
online portal.
(2) Creates a template for an electronic consent form that
can be properly identity proofed and authenticated in
accordance with paragraph (1).
(3) Requires each agency to accept the electronic consent
form described in paragraph (2) that provides consent from any
individual properly identity proofed and authenticated in
accordance with paragraph (1) from the individual providing
consent or an entity other than the individual, including a
congressional office, on behalf of the individual for the
purpose of authorizing the disclosure of the individual's
record in accordance with section 552a(b) or 552a(d) of title
5, United States Code.
(4) Authorizes each agency to provide an online link to the
consolidated online portal described under subsection (b)(1).
(b) Portal; Consent Identifier; Congressional Function.--
(1) Consolidated online portal.--
(A) Operation of portal.--The Director (or a
designee) shall operate (or designate the head of an
agency to operate) a consolidated online portal that
allows a member of the public to submit an electronic
consent form in accordance with the guidance issued
pursuant to subsection (a) to any agency from a single
website.
(B) Privacy and other features.--The portal shall
include features to protect the privacy of individuals
using the portal and may include any additional
functions the Director finds will improve the
implementation of this section.
(C) Use of existing website or portal.--The Director
may use any existing website or portal to satisfy the
requirements of this subsection, including the portal
established under section 552(m) of title 5, United
States Code.
(2) Consent identifier.--The Director, or a designee, shall
assign each consent form submitted through the portal described
in paragraph (1) a consent identifier, which shall be provided
to the agency and the individual or entity submitting the
consent form. The agency shall track the consent form with the
consent identifier.
(3) Congressional assistance function.--
(A) In general.--The Director, or a designee, shall
ensure the operation of a function that allows a
congressional office to provide a publicly available
online link to the portal described in paragraph (1),
which shall auto-populate information about such
congressional office, including an indication of
consent for such office to access a record in
accordance with section 552a(b) of title 5, United
States Code, in the consent form accessed through the
portal.
(B) Notification of consent identifier required.--
The Director, or a designee, shall ensure the function
sends the consent identifier to the congressional
office when a consent form is submitted to an agency
through the portal as accessed through the function.
(c) Agency Compliance.--Each agency shall comply with the guidance
issued pursuant to subsection (a) not later than 1 year after the date
on which such guidance is issued.
(d) Definitions.--In this section:
(1) Agency; individual; record.--The terms ``agency'',
``individual'', and ``record'' have the meanings given those
terms in section 552a(a) of title 5, United States Code.
(2) Consent identifier.--The term ``consent identifier''
means a nonproprietary, unique identification number.
(3) Director.--The term ``Director'' means the Director of
the Office of Management and Budget.
Amend the title so as to read:
A bill to require the Director of the Office of Management
and Budget to issue guidance on electronic consent forms, and
for other purposes.
SUMMARY AND PURPOSE OF LEGISLATION
The Creating Advanced Streamlined Electronic Services for
Constituents Act of 2018, or CASES Act, facilitates
congressional casework by requiring federal agencies to accept
electronic privacy release forms.
BACKGROUND AND NEED FOR LEGISLATION
H.R. 3076 allows members of Congress to better fulfill an
important duty of their office. Since the early American
republic, constituents have requested Congress's assistance in
their interactions with the Executive Branch. In 1794, the
House established a select committee for private claims to help
sort out requests related to Revolutionary War pensions.\1\
Today, individual Members and congressional staff handle
constituent services or casework. Though Members have
significant flexibility in resources they devote to casework,
most see it as a one of their most important responsibilities.
As one former Congressman recalled, ``you learn more about the
job by doing constituent service work than anything else.''\2\
---------------------------------------------------------------------------
\1\Sarah J. Eckman, Cong. Research Serv., R44726, Constituent
Services: Overview and Resources (2017).
\2\Id.
---------------------------------------------------------------------------
When casework involves personally-identifiable information
at an executive agency, the Privacy Act of 1974 prohibits the
agency from providing access to an individual member of
Congress without a release form signed by the constituent.\3\
Under the current process, a constituent cannot complete and
submit a release form entirely online. Instead, a constituent
must print the form, sign it, and then deliver or fax it or
scan and email it to the congressional office. Once received by
the congressional office, a staff member in the office submits
the form to the individual agency with which a constituent is
requesting assistance.
---------------------------------------------------------------------------
\3\R. Eric Petersen and Sarah J. Eckman, Cong. Research Serv.,
RL33209, Casework in a Congressional Office: Background, Rules, Laws,
and Resources (2017).
---------------------------------------------------------------------------
The process works, but it is slow and cumbersome, often to
the point of frustrating constituents. It can present
particular challenges for constituents without access to
printing or scanning services, but who would be able to
complete and submit the release if it were entirely online,
such as during the aftermath of a natural disaster.
H.R. 3076 addresses this problem by allowing constituents
to complete and submit a Privacy Act release online directly to
each agency. Under the proposed system, agencies will notify
the respective congressional office when a constituent
successfully submits a release form. After receiving the
notification, the Member office can then submit a casework
request to the agency.
STATEMENT OF OVERSIGHT FINDINGS AND RECOMMENDATIONS OF THE COMMITTEE
In compliance with clause 3(c)(1) of rule XIII and clause
(2)(b)(1) of rule X of the Rules of the House of
Representatives, the Committee's oversight findings and
recommendations are reflected in the previous section.
STATEMENT OF GENERAL PERFORMANCE GOALS AND OBJECTIVES
In accordance with clause 3(c)(4) of rule XIII of the Rules
of the House of Representatives, the Committee's performance
goal or objective for this bill is to require federal agencies
to accept Privacy Act release forms electronically from
constituents.
LEGISLATIVE HISTORY
On June 27, 2017, Representative Garret Graves (R-LA)
introduced H.R. 3076, the Creating Advanced Streamlined
Electronic Services (CASES) for Constituents Act of 2017, with
Representative Joseph P. Kennedy, III (D-MA). H.R. 3076 was
referred to the Committee on Oversight and Government Reform.
The Committee considered H.R. 3076 at a business meeting on
February 6, 2018 and ordered the bill favorably reported, as
amended, by voice vote.
COMMITTEE CONSIDERATION
On February 6, 2018, the Committee met in open session and,
with a quorum being present, ordered the bill favorably
reported, as amended, by voice vote.
ROLL CALL VOTES
There were no roll call votes requested or conducted during
Committee consideration of H.R. 3076.
EXPLANATION OF AMENDMENTS
During Committee consideration of the bill, Representative
Mark Meadows (R-NC), Chair of the Subcommittee on Government
Operations, offered an amendment in the nature of a substitute.
The amendment in the nature of a substitute included a Sense of
Congress, expressing the importance of the congressional office
in casework. In addition, it required the Office of Management
and Budget to issue guidance to federal agencies to accept
electronically submitted Privacy Act waivers. Agencies can
either use a single portal created and maintained by the Office
of Management and Budget or a designee, such as the General
Services Administration, to accept these forms or another
mechanism to authenticate individuals. Each submission will
receive a consent identifier in order to track requests through
the casework process.
APPLICATION OF LAW TO THE LEGISLATIVE BRANCH
Section 102(b)(3) of Public Law 104-1 requires a
description of the application of this bill to the legislative
branch where the bill relates to the terms and conditions of
employment or access to public services and accommodations. The
purpose of this bill is to require federal agencies to accept
Privacy Act release forms electronically from constituents. As
such, this bill does not relate to employment or access to
public services and accommodations.
DUPLICATION OF FEDERAL PROGRAMS
In accordance with clause 2(c)(5) of rule XIII no provision
of this bill establishes or reauthorizes a program of the
Federal Government known to be duplicative of another Federal
program, a program that was included in any report from the
Government Accountability Office to Congress pursuant to
section 21 of Public Law 111-139, or a program related to a
program identified in the most recent Catalog of Federal
Domestic Assistance.
DISCLOSURE OF DIRECTED RULE MAKINGS
This bill directs the Office of Management and Budget to
promulgate guidance on federal agencies' implementation of the
requirement of this bill within one year of enactment.
FEDERAL ADVISORY COMMITTEE ACT
The Committee finds that the legislation does not establish
or authorize the establishment of an advisory committee within
the definition of Section 5(b) of the appendix to title 5,
United States Code.
UNFUNDED MANDATES STATEMENT
Pursuant to section 423 of the Congressional Budget and
Impoundment Control Act (Pub. L. 113-67) the Committee has
included a letter received from the Congressional Budget Office
below.
EARMARK IDENTIFICATION
This bill does not include any congressional earmarks,
limited tax benefits, or limited tariff benefits as defined in
clause 9 of rule XXI of the House of Representatives.
COMMITTEE ESTIMATE
Pursuant to clause 3(d)(2)(B) of rule XIII of the Rules of
the House of Representatives, the Committee includes below a
cost estimate of the bill prepared by the Director of the
Congressional Budget Office under section 402 of the
Congressional Budget Act of 1974.
NEW BUDGET AUTHORITY AND CONGRESSIONAL BUDGET OFFICE COST ESTIMATE
Pursuant to clause 3(c)(3) of rule XIII of the House of
Representatives, the cost estimate prepared by the
Congressional Budget Office and submitted pursuant to section
402 of the Congressional Budget Act of 1974 is as follows:
U.S. Congress,
Congressional Budget Office,
Washington, DC, May 4, 2018.
Hon. Trey Gowdy,
Chairman, Committee on Oversight and Government Reform,
House of Representatives, Washington, DC.
Dear Mr. Chairman: The Congressional Budget Office has
prepared the enclosed cost estimate for H.R. 3076, the CASES
Act.
If you wish further details on this estimate, we will be
pleased to provide them. The CBO staff contact is Matthew
Pickford.
Sincerely,
Keith Hall,
Director.
Enclosure.
H.R. 3076--CASES Act
H.R. 3076 would require the Office of Management and Budget
to create an electronic form that would allow individual users
to consent to have a Member of Congress act on their behalf in
matters concerning any federal agency. Under current law, most
constituent services performed by federal agencies are provided
using a paper process.
CBO is unaware of any electronic authentication program
currently under development or planned in the near term that
features three-person authentication (constituent, agency, and
Congressional staff). In addition, CBO is unaware of any
comprehensive information on the amount of work that
legislative branch employees provide for constituent services.
Login.gov--an online system that offers about 4 million
users secure, private access to 10 participating federal
programs--cost about $15 million to develop. On that basis, CBO
estimates that implementing H.R. 3076 by adding another secure
access point to login.gov would cost less than $1 million per
major federal agency. Estimated costs over the 2019-2023
period, most of which would be subject to the availability of
appropriated funds, would total about $15 million.
Enacting H.R. 3076 could affect direct spending by some
agencies because they are authorized to use receipts from the
sale of goods and from fees and other collections to cover
operating costs. Therefore, pay-as-you-go procedures apply.
Because most agencies can adjust the amounts collected as their
operating costs change, CBO estimates any net changes in direct
spending by those agencies would be insignificant. Enacting the
bill would not affect revenues.
CBO estimates that enacting H.R. 3076 would not increase
net direct spending or on-budget deficits in any of the four
consecutive 10-year periods beginning in 2029.
H.R. 3076 contains no intergovernmental or private-sector
mandates as defined in the Unfunded Mandates Reform Act.
The CBO staff contact for this estimate is Matthew
Pickford. The estimate was reviewed by H. Samuel Papenfuss,
Deputy Assistant Director for Budget Analysis.
SECTION-BY-SECTION ANALYSIS
Section 1. Short title
Section 1 establishes the short title of the bill.
Sec. 2. Sense of Congress
Section 2 provides a sense of congress related to the
intent of the bill.
Sec. 3. OMB guidance on electronic consent forms
Section 3 directs the Office of Management and Budget
(OMB), within one year of enactment, to issue guidance
establishing either standards for agencies to create electronic
identity proofing and authentication processes or a central
online consent portal through which agencies can electronically
identity proof and authenticate individuals.
If OMB chooses to establish standards for agencies to
develop electronic identity proofing and authentication
processes, then OMB will create a template consent form in
accordance with the set standards. Agencies will accept consent
forms from the individuals or other entities, including
congressional offices, on behalf of the individual in
accordance with the Privacy Act of 1974.
Additionally, OMB or a designated agency such as the
General Services Administration will ensure the operation of a
consolidated online portal that allows individuals to submit
consent forms that meet the OMB standards for identity proofing
and authentication to any agency. This portal can be the
existing portal, including the portal established for Freedom
of Information Act requests. The portal will assign each
consent form submitted through the portal a nonproprietary,
unique identification number to be called a consent identifier.
The consent identifier will be provided to the agency,
individual, and entity submitting the identifier on behalf of
the individual. Agencies will track the consent form with the
consent identifier. The portal will include features to protect
the privacy of individuals using the portal.
OMB will ensure that the portal has an operational tool to
allow congressional offices to link to the portal with
information about the congressional office auto-populating the
fields to indicate consent for such office to access the
records in accordance with the Privacy Act. The tool will
ensure the consent identifier is sent to the congressional
office.
To the extent user authentication is necessary to achieve
the requirements of this bill, the Committee intends the Office
of Management and Budget or its designee to comply with section
225(b)(1)(D) of the Federal Cybersecurity Enhancement Act of
2015 in implementing this requirement, namely by utilizing the
General Services Administration's single-sign on platform,
login.gov.\4\
---------------------------------------------------------------------------
\4\Pub. L. 114-113 (2015), Div. N, Title II, Subtitle B, Sec. 225,
129 Stat. 2242, 2968 (6 U.S.C. Sec. 1523).
---------------------------------------------------------------------------
Agencies have one year to implement the form after guidance
is issued.
CHANGES IN EXISTING LAW MADE BY THE BILL, AS REPORTED
H.R. 3076 would make no changes to existing law.
[all]