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Policy/Advocacy Guidelines on the u se of W.K. Kellogg Foundation Funds

Policy/Advocacy Guidelines on the u se of W.K. Kellogg Foundation Funds. Annie Sherzer . Overview. As a tax-exempt private foundation, the W.K. Kellogg Foundation is prohibited from supporting any direct or grassroots lobbying. With that understanding, we encourage grantees and

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Policy/Advocacy Guidelines on the u se of W.K. Kellogg Foundation Funds

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  1. Policy/Advocacy Guidelines on the use of W.K. Kellogg Foundation Funds Annie Sherzer

  2. Overview As a tax-exempt private foundation, the W.K. Kellogg Foundation is prohibited from supporting any direct or grassroots lobbying. With that understanding, we encourage grantees and potential grantees to use every public advocacy tool at their disposal.

  3. Some Legal Considerations • Federal Tax Code • State lobbying laws • Lobbying Disclosure Act

  4. Today’s Presentation • About 501(c)(3) Tax-Exempt Organizations • What is Advocacy? • What is Lobbying? • Safe Harbors • Examples • Sources and Resources

  5. About 501(c)(3) Tax-Exempt Organizations…

  6. Schools/Universities • Hospitals • Community Foundations • Publicly Supported Organizations (e.g., United Way, American Red Cross) • W.K. Kellogg Foundation • Ford Foundation • Robert Wood Johnson Foundation • Con Alma Health Foundation

  7. Methods for Tracking/ReportingLobbying Expenditures 501(h) Expenditure Tests • Clear definitions of lobbying • Lobbying limits up to 20% of annual expenditures • Elect method by filing IRS Form 5768 Discuss with your legal counsel/ accountant best method for your organization. Insubstantial Part Test • Default method • Subjective test, no clear definition of lobbying • Lobbying restricted to approximately 5% of activities/expenditures

  8. What is Advocacy?

  9. Advocacy is the Promotion of Policy Change “Advocacy is an appropriate way to educate and even influence government and has resulted in many important policies from clean air to civil rights, labor laws, foster care, and recognition for arts and culture.” Center for Lobbying in the Public Interest

  10. Types of Policy Policy Manual & Standards Codes of Ethics Tenure & Appointments Articulation Agreements Administrative Rules Regulations Executive Orders Bills Laws Referenda Constitution Appropriations Federal or State Budgets Legislative Court Decisions Regulatory Organizational Fiscal Judicial

  11. (Cannot Use WKKF Funds)

  12. What is Lobbying?

  13. Two Types of Lobbying 1. Direct Communication with alegislatorexpressing a view about specific legislation 2. Grassroots Communication with the general public expressing a view about specific legislation that includes a call to action

  14. Broadcasts Podcasts Op-Ed columns Blogs Presentations Interviews by media Public service announcements Webinars “Communication” • Phone calls • Emails • Meetings • Letters • Listserv messages • Websites • Paid advertisements • Newsletters • E-newsletters • News releases

  15. “Legislators” Most elected officials and staff • City Councils • County Commissioners • Tribal Council Members • State Representatives and Senators • U.S. Representatives and Senators • General public (ballot measures)

  16. Not Legislators • Executive branch departments • Dept of Education • Dept of Labor • Dept of Agriculture • Administrative agencies • FDA • EPA • School boards • Zoning commissions • Ad hoc special purpose bodies

  17. “Specific Legislation” • Anything on which a legislature or committee can vote • Bills, resolutions, appointments, and vetoes • Legislation that has been introduced • Specific legislative proposals not yet introduced • Proposing “the” solution or “a” model • Ballot initiatives and referenda • …not issues of broad social concern • …not actions by administrative bodies

  18. “Calls to Action” • Urging recipient to contact legislator or staffer (“Tell Congress what you think” or “Call your state representative”) • Providing address or telephone number of legislator • Providing petition or tear-off postcard addressed to a legislator • Identifying legislator’s position (opposed, in favor, undecided) on legislation your organization supports or opposes • Website links - “2 click rule”

  19. Mass Media Rule Must meet all of the following: • Paid mass media communication • Highly publicized legislation • Within two weeks of a vote

  20. Lobbying Exceptions • Examinations and discussions of broad social, economic, or similar problems • Nonpartisan analysis, study, or research • Technical advice or assistance • Self-defense

  21. Technical Assistance • Testimony or other assistance in response to • A written invitation • From a governmental body or committee (not from individual legislator, staff member, or informal body, e.g. caucus)

  22. It Isn’t Lobbying If You… • Comment on rules and regulations • Litigate • Ask for an executive order • Ask for enforcement of existing laws • Leave out one of the elements needed to constitute lobbying And for grassroots lobbying… • Leave out the call to action

  23. About Safe Harbors

  24. What is a Safe Harbor? A sheltered place that offers protection

  25. Safe Harbors for Private Foundations WKKF can fund grantees that lobby and projects that include lobbying

  26. Examples

  27. Could Grantees Use WKKF Funds for This? Call your legislator today:

  28. Could Grantees Use WKKF Funds for This? Advertisement Let’s make history. Let’s get America’s kids covered.

  29. Could a grantee send a letter like this to policymakers using WKKF funds? Letter from foundation CEOs to public and congressional leadership “It is time to scale up these efforts by including robust financial support for community prevention in any health systems reform.”

  30. Could Grantees Use WKKF Funds for This? • A coalition meeting to help plan a grassroots lobbying communication addressing pending legislation • A meeting with legislative staff to discuss the content of potential legislation • A letter to the President or a governor urging a veto

  31. A Reminder • This presentation was prepared to provide guidance to WKKF grantees on WKKF funding policy regarding advocacy work. It is not a comprehensive review of all of the laws and regulations concerning lobbying by foundations and other charitable organizations. • This presentation does not contain legal advice and should not be relied upon as such. For legal advice regarding advocacy and lobbying regulations, grantees should consult their own counsel. • As a tax-exempt private foundation, the W.K. Kellogg Foundation is prohibited from supporting any direct or grassroots lobbying. • With that understanding, we encourage grantees and potential grantees to use every public advocacy tool at their disposal.

  32. Sources Thank you to… • Caplin & Drysdale • Douglas N. Varley, Esq. (outside counsel for WKKF) • Robert Wood Johnson Foundation • Alliance for Justice • Native American Community Health Center, Inc.

  33. Resources • Center for Lobbying in the Public Interest (CLPI) • http://www.clpi.org/ • WKKF/CLPI Advocacy Handbook on WKKF website • http://ww2.wkkf.org/advocacyhandbook/index.html • Alliance for Justice • http://www.afj.org/ • Grantee’s Legal Council

  34. Questions?

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