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Advocacy 101: How Foundations Can/ Cannot Engage in Public Policy and Advocacy Andrew Schulz VP Legal & Public Policy Council on Foundations Agenda • Legal Issues • Public Policy as a Strategy • Readiness for Public Policy Work Legal Issues Lobbying • Private Foundations may: – – – – Engage in legislative communications Nonpartisan analysis, study or research Self-defense communications Communicate with government officials about projects funded jointly Lobbying continued • Private Foundations may not: – Engage in lobbying as defined by the IRS without incurring prohibitive taxable expenditures – i.e., supporting or opposing specific legislation directly to a legislative body or indirectly through a public call to action. Direct Lobbying • • • • 6 Communication With a legislator Expressing a view About specific legislation Grassroots Lobbying • • • • • 7 Communication With the general public Expressing a view About specific legislation Including a call to action Legislators Defined • Federal, state & local level representatives and their staff • Executive officials when participating in formulation of legislation • The public, if it is a ballot measure • Not members of special purpose boards (planning commissions, zoning commissions, school board) 8 Advocacy • Non-lobbying – Regulatory work – Litigation – Talking to legislators about your foundation’s work 9 • Lobbying – Asking legislative staff to support funding for local homeless shelter – Asking public to ask County Council members to support increased taxes for education What is not lobbying? • Activity that does not meet the definition (direct or grassroots) • Regulatory exceptions: – Examinations and discussions of broad social, economic, and similar problems – Nonpartisan analysis, study, or research – Requests for technical advice or assistance – Self-defense 10 Nonpartisan Research/Analysis • Required elements: – Full and fair discussion of the facts – Report may advocate a position on an issue – May discuss legislative issues – May not directly call the recipient to action – Appropriate distribution 11 Self-Defense • May express a view to legislators about issues affecting the charity’s: – – – – existence tax-exempt status powers and duties the deductibility of contributions • Can be used proactively • Not applicable to grassroots lobbying 12 Funding Advocacy • Not required to prohibit the use of grant funds for lobbying unless grant requires “expenditure responsibility”* • General support grants to public charities not considered lobbying expenses unless earmarked for lobbying 13 Funding Advocacy • Specific project grants to public charities that lobby are not lobbying if: – Fund up to the non-lobbying amount of the project budget – Reasonable reliance on budget from grantee is permitted – Grant not earmarked for the lobbying activity 14 Public Policy as a Strategy Why Engage in Public Policy? • • • • • It’s the mission It’s enlightened self-interest It’s solving social problems It’s democracy It’s relationship building Resistance • • • • • • • It can’t be legal Inappropriate for us, too public Can’t make a difference Lack capacity, time, expertise or resources Reputation Takes too long Results aren’t measurable Benefits • • • • • • 18 Advances mission Leverages grant funds Increases impact Solidifies relationships Builds credibility & legitimacy Distinguishes from the crowd Readiness for Policy Work Building Blocks A. B. C. D. Values, culture, and will Relationships Resources Understanding and skills 20 Values, Culture, and Will • Dedicated to long-term and broadly-shared solutions • Willing to use position of influence • In for the long haul • Willing to commit resources 21 Relationships • • • • 22 Trusted, perceived as credible source Well-connected board and staff Established relationships in the community Relationships with policymakers Resources • • • • • • 23 Decision-making process Staff time Communication systems Internal knowledge management system Recordkeeping system Assessment process Skills and Knowledge • • • • • • • 24 Facilitation skills Relationship-building skills Knowledge about policy context and players Policy skills Strategy development IRS rules Issue expertise Getting Policy Expertise • Hire experienced staff • Develop in-house capacity through training, TA, mentoring, on-the-job experience • Collaboration • Grantees 25 Role of CEO, Board Members • CEO’s set the tone for policy avenues • Board members serve in the following advocacy roles: – – – – Ambassadors Door-openers Cultivators Closers Choosing Issues • Consider positions when: – – – – Aligned with your mission. You care about (passion). Important to the community. Foundation has expertise on the issues. Timing • Is a policy issue ripe for action? – – – – – What is the political context? Do we have potential partners? What is public sentiment? Is there a viable solution? Is the policy making window open? Resources - Publications Questions? Thank you!