Advocacy 101 : How Foundations Can/ Cannot Engage in Public Policy and Advocacy

1. Advocacy 101:How Foundations Can/ Cannot Engage in Public Policy and Advocacy Andrew Schulz VP Legal & Public Policy Council on Foundations

2. Agenda • Legal Issues • Public Policy as a Strategy • Readiness for Public Policy Work

3. Legal Issues

4. Lobbying • Private Foundations may: • Engage in legislative communications • Nonpartisan analysis, study or research • Self-defense communications • Communicate with government officials about projects funded jointly

5. 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.

6. Direct Lobbying • Communication • With a legislator • Expressing a view • About specific legislation

7. Grassroots Lobbying • Communication • With the general public • Expressing a view • About specific legislation • Including a call to action

8. 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)

9. Advocacy • Non-lobbying • Regulatory work • Litigation • Talking to legislators about your foundation’s work • Lobbying • Asking legislative staff to support funding for local homeless shelter • Asking public to ask County Council members to support increased taxes for education

10. 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

11. 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 toaction • Appropriate distribution

12. 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

13. 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

14. 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

15. Public Policy as a Strategy

16. 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

17. 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

18. Benefits • Advances mission • Leverages grant funds • Increases impact • Solidifies relationships • Builds credibility & legitimacy • Distinguishes from the crowd

19. Readiness for Policy Work

20. Building Blocks A. Values, culture, and will B. Relationships C. Resources D. Understanding and skills

21. 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

22. Relationships • Trusted, perceived as credible source • Well-connected board and staff • Established relationships in the community • Relationships with policymakers

23. Resources • Decision-making process • Staff time • Communication systems • Internal knowledge management system • Recordkeeping system • Assessment process

24. Skills and Knowledge • Facilitation skills • Relationship-building skills • Knowledge about policy context and players • Policy skills • Strategy development • IRS rules • Issue expertise

25. Getting Policy Expertise • Hire experienced staff • Develop in-house capacity through training, TA, mentoring, on-the-job experience • Collaboration • Grantees

26. 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

27. Choosing Issues • Consider positions when: • Aligned with your mission. • You care about (passion). • Important to the community. • Foundation has expertise on the issues.

28. 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?

30. Resources - Publications

31. Questions?

32. Thank you!