Civic Engagement Toolkit Private Foundations

8/6/2019 Civic Engagement Toolkit Private Foundations

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Foundations forCivic ImpactAdvocacy and Civic Engagement Toolkit

for Private Foundations

SEPTEMBER 2010

2010 CENTER FOR LOBBYING IN THE PUBLIC INTEREST


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FOUNDATIONS FOR CIVIC IMPA

Advocacy and Civic Engagement Toolkit or Private Foundatio

Acknowledgments i

How to Use This Toolkit 1

Why Advocacy and Civic Engagement 3

Basic Rules or Private Foundations as Grantmakers 5

Basic Rules or Private Foundations as Advocates 7

Sample Grantmaking Guidelines 9

Sample Grant Agreement Letters 12

Grantee Advocacy Capacity and Evaluation Checklist 14

Success Stories 16

General Resources 18

Appendix A: Glossary o Key Terms 20

Appendix B: IRS Letter to CLPI on Foundations and Advocacy 24

Toolkit Contents

2010 CENTER FOR LOBBYING IN THE PUBLIC INTEREST


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Center for Lobbying in the Public

Interest (CLPI) is a nonprot-sectororganization dedicated to promoting,supporting and protecting nonprotadvocacy and lobbying in orderto advance charitable missionsand strengthen democracy.

The Council on Foundations is anational nonprot association oapproximately 2,000 grantmakingoundations and corporations. As aleader in philanthropy, the Councilstrives to increase the eectiveness,stewardship and accountabilityo our sector while providing ourmembers with the services andsupport they need or success.

Founded in 1940, the RockefellerBrothers Fund encourages socialchange that contributes to a morejust, sustainable and peaceul world.The RBFs grantmaking is organizedaround three themes: DemocraticPractice, Sustainable Development,and Peace and Security.

The above organizations would like to acknowledge the valuable contributions o the ollowing current or ormer sta:

CLPI Rebecca E. Jones, Erin M. Moet, Lawrence S. Ottinger and Matthew SaperstoneCouncil on Foundations Kelly Shipp SimoneRockefeller Brothers Fund Benjamin R. Shute Jr.

Marcus S. Owens, Esq., partner at Caplin & Drysdale, provided a legal review o the content o this toolkit.

Kristen Putnam-Walkerly, MSW, president o Putnam Community Investment, provided project oversight and coordi-nation as a consultant to CLPI.

Diane Hogg, prooreader o 19 years with McNeely Pigott & Fox Public Relations, prooread the toolkit.

Communication Visual oversaw the layout, design and printing o the toolkit. Coqui Marketing assisted CLPI inobtaining photos that were incorporated into the design.

FOUNDATIONS FOR CIVIC IMPA

Advocacy and Civic Engagement Toolkit or Private Foundatio

Acknowledgments

2010 CENTER FOR LOBBYING IN THE PUBLIC INTEREST -


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2010 CENTER FOR LOBBYING IN THE PUBLIC INTEREST - 1

How to UseThis Toolkit

As conrmed by a recent Johns Hopkins University study, oundations through their guidelines, grant agreements and other communications can inadvertently prevent or discourage their own sta and grantees romrelevant and important civic participation.2 To acilitate clear and positivecommunications, this advocacy and civic engagement toolkit covers not onlythe basic legal rules but also how oundations apply these rules in developing

internal and external materials and guidance.

3

This toolkits primary audience is oundation sta, boards and advisers; butit also provides useul inormation or charitable grantees, policymakers andother stakeholders.

The advocacy and civic engagement toolkit is organized into eight inormationsheets that provide:

Easy-to-read legal basics for foundations crafting policy-related guidance,

with citations to relevant resources for those who would like to delve

deeper;

Practical samples of foundation materials that are consistent with IRS

rules and encourage permissible civic engagement, including sample

grant guidelines, agreement letters and an advocacy capacity checklist;

Up-to-date rules and guidance on policy and civic engagement;

Plain-language glossary and resource list; and

Success stories and examples from private foundation colleagues.

The inormation sheets cover the ollowing topics, each with reerences torelevant resources or more in-depth inquiry.

this advocacy and

civic engagement

toolkit covers not

only the basic legal

rules but also how

foundations apply

these rules

ThiS advocacy and civic EngagEMEnT ToolkiT is designed or privateoundations that want to educate and encourage their grantees1 about gettinginvolved in civic and policy activities to increase organizational capacity andimpact. While its primary ocus is on the grantmaking activity o oundations,the toolkit also addresses rules and guidance or policy involvement by

oundation ocials acting on behal o their oundations.


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Advocacy and Civic Engagement Toolkit or Private Foundations


Toolkit Sections

1. Why Advocacy and Civic Engagement our key reasons that oundationsshould und and be involved in advocacy and civic engagement. Founda-tions engage in and support policy involvement by charities and theirconstituents in order to eectively carry out their shared missions andstrengthen democracy.

2. Basic Rules for Private Foundations as Grantmakers a brie overviewo the basic legal rules or unding advocacy. It emphasizes how privateoundations can support grantees that engage in lobbying, election-relatedactivities and general advocacy.

3. Basic Rules for Private Foundations as Advocates a brie overview o the

basic legal rules or permissible policy involvement by private oundationsand their personnel when acting on behal o their oundations.

4. Sample Grantmaking Guidelines six private oundation examples oguidelines and program descriptions that clearly encourage permissibleadvocacy and civic engagement.

5. Sample Grant Agreement Letters two sample letters or oundations toencourage grantee civic engagement and avoid inadvertently preventingpermissible advocacy. One letter omits boilerplate language on lobbyingand political activity restrictions, because it is not legally required and canconuse or discourage grantees. The second letter oers an example ohow to include such boilerplate language while minimizing conusion andencouraging civic engagement.

6. Grantee Advocacy Capacity and Evaluation Checklist a series o ques-tions you can use in evaluating and assisting your potential and existinggrantees concerning their advocacy capacity and progress. The checklistcovers an organizations advocacy capacity, experience, strategy and com-mitment.

7. Success Stories examples o how private oundations, as grantmakersand as advocates themselves, have eectively leveraged advocacy andcivic engagement strategies.

8. General Resources lists the main resources or private oundations onadvocacy and civic engagement rules and practices. In addition, each inor-mation sheet contains reerences to relevant resources or that topic.

Appendix A: Glossary of Key Terms The glossary denes key terms used

throughout the inormation sheets, and seeks to clariy the oten dieringlanguage used in this area by the Internal Revenue Service (IRS), ounda-tions, charities and the public.

Appendix B: IRS Letter to CLPI In response to a request by CLPI rom itsattorneys at Caplin & Drysdale, this 2004 IRS letter answers 16 commonquestions that private oundations have about lobbying and infuencingpublic policy.

1 Most oundation grantees are public charitiesgoverned by Section 501(c)(3) o the InternalRevenue Code. Thus, when this toolkit reersto grantees it is reerring to public charities.While the term nonprot also can reer tothe ull range o tax-exempt organizations,this toolkit uses the terms nonprots andcharities interchangeably as is oten done innontechnical communications. See Glossaryo Key Terms, Appendix A. Dierent rulesmay apply to advocacy by other tax-exemptorganizations that are not charities, likeSection 501(c)(4) social welare organizationsYou should consult your counsel with anyquestions.

2 Salamon, Lester M. and Stephanie Lessans

Geller. Communiqu No. 9 Nonproft America: AForce or Democracy?Johns Hopkins University,2008.

3 These inormation sheets ocus on theederal tax laws regulating advocacy activityby Section 501(c)(3) organizations. In somecases, additional registration or reportingrequirements may be imposed by otherederal, state or local agencies. Consult withyour oundations legal counsel about therules regarding specic activities you areconsidering. While there are eorts to simpliand update nonprot advocacy rules, they arebeyond the scope o this toolkit.

This toolkit provides helpul legal inor-mation and guidance, but should not beconstrued as providing specic legal advice.You should consult with your oundationslegal counsel about specic activities orquestions.

Legal Disclaimer


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Why Advocacy &Civic Engagement?

Winter, Spring, Summer or Fall Four Reasons for Year-round Civic

Engagement

1. Its the mission. Whether a oundation seeks to help the homeless or pro-mote the arts, it is critical to understand and leverage public and private re-sources and regulatory decisions. By removing barriers and/or acilitatinginnovative solutions, policy and civic engagement enables oundations toaddress the root causes o social problems and to create lasting, systemicchange.

2. Its enlightened sel-interest. Private oundations are governed by publiclaws, and government can harm or help oundations achieve their mis-sions. In addition, sel-deense work permitted by the IRS allows privateoundations to speak with legislators about issues that would aect certain

aspects o oundations, such as their rights or duties. Remember, i yourenot at the table, you may be on the table.

3. Its solving social problems. The nonprot and philanthropy sector alonecannot solve societys most pressing challenges. It must partner with gov-ernment and businesses, and also hold them accountable, in order to cre-ate systemic change. Whether they relate to human services, civil rights,economic security, education or the environment, nonprot advocacy andcivic engagement activities have been critical to large-scale social progressrom the beginnings o our nation.

4. Its democracy. An inormed and responsive democracy requires that awide range o voices and interests be heard in shaping and implement-ing public policy. Private oundations have knowledge and expertise thatpolicymakers want and need to make government work. Nonprots are

well-positioned to experiment, innovate, evaluate and educate. Nonprotsare among our nations best vehicles or civic participation, which is thecornerstone o our nation o, by and or the people.

To paraphrase Robert F. Kennedy, the real question is not why to engage but

why not.

FoundaTionS EngagE in and SuPPoRT civic and policy involvement by charities and their constituents in order to eectivelycarry out their shared missions and strengthen democracy. Advocacy and civic engagement activities protect a oundations invements and are an important tool in the toolbox o strategic philanthropy.

An informed

and responsive

democracy requires

that a wide range of

voices and interests

be heard in shaping

and implementing

public policy.


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Alliance or Justice and Council on Foundations. Words to Give by:Leading Voices in Funding Advocacy. 2008. http://www.aj.org/or-nonprots-oundations/resources-and-publications/ree-resources/words-to-give by.html

Arons, David F. (Ed.) Power in Policy: A Funders Guide to Advocacyand Civic Participation. St. Paul, Minn.: Fieldstone Alliance, 2007.

Atlantic Philanthropies, The. Investing in Change: Why SupportingAdvocacy Makes Sense or Foundations. 2008. http://www.atlan-ticphilanthropies.org/sites/deault/les/uploads/ATLP_advocacy_re-port.pd

Center or Lobbying in the Public Interest. 10 Reasons toLobby or Your Cause. 2007. http://www.nadsa.org/assets/library/479_10reasonstolobby.pd

Center or Lobbying in the Public Interest. Make a Dierence or YourCause: Strategies or Nonprot Engagement in Legislative Advocacy.2006. http://www.clpi.org/images/stories/content_img/Make_a_Dier-ence_RG[1].pd

Grantcrat. Advocacy Funding: The Philanthropy o ChangingMinds. 2005. http://www.grantcrat.org/index.cm?useaction=Page.viewPage&pageID=734

Leighninger, Matt o Deliberative Democracy Consortium. Fundingand Fostering Local Democracy: What Philanthropy Should Know

About the Emerging Field o Deliberation and Democratic Gover-

nance. PACE (Philanthropy or Active Civic Engagement). April 2009.http://www.paceunders.org/publications/FundingLocalDemocracy.pd

National Committee or Responsive Philanthropy. Strengthening De-mocracy, Increasing Opportunities: Impacts o Advocacy, Organizing

and Civic Engagement in Minnesota (September 2009), New Mexico

(December 2008), North Carolina (May 2009), Los Angeles (2010).

http://www.ncrp.org/campaigns-research-policy/communities/gcip

Northern Caliornia Grantmakers. Public Policy Grantmaking Toolkit.http://www.publicpolicytoolkit.org/home.html

Simone, Kelly Shipp. Top 10 Ways Private Foundations Can Infu-ence Public Policy. Arlington, VA.: Council on Foundations. 2007.

Additional Resources

This toolkit provides helpul legal inormation and guidance, butshould not be construed as providing specic legal advice. Youshould consult with your oundations legal counsel about specicactivities or questions.

Legal Disclaimer
http://www.afj.org/for-nonprofits-foundations/resources-and-publications/free-resources/words-to-give-by.htmlhttp://www.afj.org/for-nonprofits-foundations/resources-and-publications/free-resources/words-to-give-by.htmlhttp://www.afj.org/for-nonprofits-foundations/resources-and-publications/free-resources/words-to-give-by.htmlhttp://www.atlanticphilanthropies.org/sites/default/files/uploads/ATLP_advocacy_report.pdfhttp://www.atlanticphilanthropies.org/sites/default/files/uploads/ATLP_advocacy_report.pdfhttp://www.atlanticphilanthropies.org/sites/default/files/uploads/ATLP_advocacy_report.pdfhttp://www.nadsa.org/assets/library/479_10reasonstolobby.pdfhttp://www.nadsa.org/assets/library/479_10reasonstolobby.pdfhttp://www.clpi.org/images/stories/content_img/Make_a_Difference_RG[1].pdfhttp://www.clpi.org/images/stories/content_img/Make_a_Difference_RG[1].pdfhttp://www.grantcraft.org/index.cfm?fuseaction=Page.viewPage&pageID=734http://www.grantcraft.org/index.cfm?fuseaction=Page.viewPage&pageID=734http://www.pacefunders.org/publications/FundingLocalDemocracy.pdfhttp://www.pacefunders.org/publications/FundingLocalDemocracy.pdfhttp://www.ncrp.org/campaigns-research-policy/communities/gciphttp://www.publicpolicytoolkit.org/home.htmlhttp://www.publicpolicytoolkit.org/home.htmlhttp://www.ncrp.org/campaigns-research-policy/communities/gciphttp://www.pacefunders.org/publications/FundingLocalDemocracy.pdfhttp://www.pacefunders.org/publications/FundingLocalDemocracy.pdfhttp://www.grantcraft.org/index.cfm?fuseaction=Page.viewPage&pageID=734http://www.grantcraft.org/index.cfm?fuseaction=Page.viewPage&pageID=734http://www.clpi.org/images/stories/content_img/Make_a_Difference_RG[1].pdfhttp://www.clpi.org/images/stories/content_img/Make_a_Difference_RG[1].pdfhttp://www.nadsa.org/assets/library/479_10reasonstolobby.pdfhttp://www.nadsa.org/assets/library/479_10reasonstolobby.pdfhttp://www.atlanticphilanthropies.org/sites/default/files/uploads/ATLP_advocacy_report.pdfhttp://www.atlanticphilanthropies.org/sites/default/files/uploads/ATLP_advocacy_report.pdfhttp://www.atlanticphilanthropies.org/sites/default/files/uploads/ATLP_advocacy_report.pdfhttp://www.afj.org/for-nonprofits-foundations/resources-and-publications/free-resources/words-to-give-by.htmlhttp://www.afj.org/for-nonprofits-foundations/resources-and-publications/free-resources/words-to-give-by.htmlhttp://www.afj.org/for-nonprofits-foundations/resources-and-publications/free-resources/words-to-give-by.html


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Basic Rules for PrivateFoundations as Grantmakers

ThE Following iS inTEndEd To PRovidE private oundation sta, board and their advisers with a brie overview o the basiclegal rules or unding advocacy by charity grantees. The two primary areas o nonprot advocacy that are regulated by the IRS alobbying and voter engagement activities. Foundations may generally und unlimited advocacy and civic engagement activities bgrantees that do not all under specic prohibitions or restrictions within these two areas.

Lobbying

Private foundations may:

Make general support grants to Section 501(c)(3) publiccharities that engage in lobbying.4

Make project-specic grants to Section 501(c)(3) public chari-ties or projects that include lobbying activities so long as:

Thegrantsarenotearmarkedforlobbying(i.e.,notmade

with an oral or written agreement to be used or lobbing);

Thetotalgrantamountdoesnotexceedtheamountbud-geted by the charity or nonlobbying activities as stated in

a signed project budget; and

Theprivatefoundationhasnoreasontodoubttheac-curacy o the project budget. Private oundations need notconcern themselves that the grantee may seek undingrom other oundations or the same project. (See 2004IRS Letter to CLPI, Appendix B.)

Make project-specic grants to Section 501(c)(3) publiccharities or legislative communications comprising specicexceptions to the charitable lobbying rules including:

Nonpartisananalysis,studyorresearch;

Technicalassistancerequestedinwritingbyagovern-

ment body; and

Self-defensecommunicationswithlegislatorsonmatters

aecting the organizations existence (but not its budget),tax-exempt status, powers and duties, or deductibility ocontributions to the organization.

Private foundations may not:

Earmark grants to public charities specically or lobby-ing (i.e., make a written or oral agreement that its grant beused or lobbying) without incurring prohibitive taxableexpenditures.

Voter Engagement Activities


Make general support and project-specic grants to Sec-tion 501(c)(3) public charities that engage in a wide rangeo nonpartisan voter education and engagement activitiesincluding nonpartisan voter registration, get-out-the-vote,voter guides, issue advocacy and candidate orums.5

Earmark grants or nonpartisan voter registration to a pubcharity grantee i the grantee conducts registration in ve more states and over more than one election cycle, alongwith other conditions on the sources o unds and targetin

o registration or impartiality.


Fund charities to engage in partisan political activities (e.gsupporting or opposing a candidate or public oce ora political party). The IRS determines whether particularvoting-related activities are nonpartisan and permissible bexamining the acts and circumstances o each case.6

While this area currently lacks sae harbors and is case-spcic, the ollowing are three general prohibitions on privatoundations and their charitable grantees:

Makingdirectorindirectcommunicationsfororagainst

candidate or public oce or a political party; Supportingoropposingacandidateforpublicofceor

political party; and

Coordinatingactivitieswithacandidateforpublicofce

or a political party.

These rules apply to ederal, state and local elections. Federal, state and local election laws may provide other rulesrelated to registration, disclosure and other activities withtheir jurisdictions.


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General Advocacy is Legal and Unlimited

Advocacy and civic engagement that is not regulated bythe IRS as lobbying or partisan political activity is generallypermissible and unlimited or private oundations and theirgrantees.

Such permissible activities include but not are not limited topublic education, community organizing, grassroots orga-nizing (unlimited without a legislative call to action), issueor policy advocacy (including through media and coali-tions), and nonpartisan voter education and engagement asdiscussed above.

Private oundations may und grantees to support or op-pose ederal administrative regulations, litigation and othernonlegislative governmental action, as well as private-sec-tor decisions.7

Private oundations may support charities to provide orreceive training and technical assistance on permissiblelobbying, voter engagement, and other aspects o advocacyand civic engagement.

Alliance or Justice. Investing in Change: A Funders Guide to Sup-porting Advocacy. May 2007.

Center or Lobbying in the Public Interest. Make a Dierence orYour Cause: Strategies or Nonprot Engagement in Legislative

Advocacy. 2006. http://www.clpi.org/images/stories/content_img/Make_a_Dierence_RG[1].pd

Fei, Rosemary E. and David A. Levitt o Adler & Colvin and Laur-ance E. Gold o Lichtman, Trister & Ross. Rules o the Game: AGuide to Election-related Activities or 501(c)(3) Activities (Second

Edition). Washington, D.C.: Alliance or Justice, 2010.

Kindell, Judith E. and John Francis Reilly. Election Year Issues.IRS Exempt Organization Technical Instruction Program or PY2002. Available at http://www.irs.gov/pub/irs-tege/eotopici02.pd

Kindell, Judith E., and John Francis Reilly. Lobbying Issues. IRSExempt Organization Technical Instruction Program or FY 1997.Available at http://www.irs.gov/pub/irs-tege/eotopicp97.pd

Mayer, Esq., Lloyd H. The Legal Rules or Public Policy andCivic Impact by Foundations in Arons, David F. (Ed.). Power inPolicy: A Funders Guide to Advocacy and Civic Participation(pp.169-205). St. Paul, Minn.: Fieldstone Alliance, 2007.

Nonprot Voter Engagement Network. Nonprots, Voting andElections: Guidelines or 501(c)(3) Organizations on Nonpartisan

Voter Engagement, Revised 2010.

Nonprot Voter Engagement Network. A Voter ParticipationStarter Kit or Nonprots and Social Service Agencies, 2010.

Nonprot Voter Engagement Network. A Nonprots Guide toHosting a Candidate Forum. Revised 2010.

Northern Caliornia Grantmakers. Public Policy Grantmaking Tool-kit. 2005. http://www.publicpolicytoolkit.org/home.html

Simone, Kelly Shipp. Top 10 Ways Private Foundations Can Infu-ence Public Policy. Arlington, VA.: Council on Foundations, 2007.

Simone, Kelly Shipp and Jane C. Nober. Election Year Politics.Foundation News & Commentary. 45, no. 4 (July/August 2004).http://www.oundationnews.org/CME/article.cm?ID=2956

Troyer, Thomas A., Douglas N. Varley and Vivian L. Cavalieri o

Caplin & Drysdale. Voter Education, Registration and Ballot Cam-paigns: A Funders Guide to Legal Issues. Funders Committee orCivic Participation. December 2005. http://underscommittee.org/resource/voter_education_registration_and_ballot_campaigns_a_unders_guide_to_legal_issues


4 Grants to a narrow class o public charities certain Internal RevenueCode Section 509(c)(3) supporting organizations require a privateoundation to ollow the expenditure responsibility rules. In such nar-row cases, the grant agreement should include a prohibition on the

use o grant unds or lobbying or voter registration activity.5 Support to charities working or or against ballot measures is treated

by the IRS as direct lobbying with the public serving as the legislativebody. Thus, the lobbying rules apply to the way private oundationsmay support such charitable activities. In addition, see ootnote 4regarding grants to certain supporting organizations.

6 The 2010 Supreme Court decision in Citizens United v. FECmay requirethe IRS or Congress to adopt some clearer rules in the uture ordetermining permissible political activities.

7 State laws may exist with respect to administrative and other ormso advocacy, so you should check with your counsel i you have anyquestions.


Legal Disclaimer
http://www.clpi.org/images/stories/content_img/Make_a_Difference_RG[1].pdfhttp://www.clpi.org/images/stories/content_img/Make_a_Difference_RG[1].pdfhttp://www.irs.gov/pub/irs-tege/eotopici02.pdfhttp://www.irs.gov/pub/irs-tege/eotopicp97.pdfhttp://www.publicpolicytoolkit.org/home.htmlhttp://www.foundationnews.org/CME/article.cfm?ID=2956http://funderscommittee.org/resource/voter_education_registration_and_ballot_campaigns_a_funders_guide_to_legal_issueshttp://funderscommittee.org/resource/voter_education_registration_and_ballot_campaigns_a_funders_guide_to_legal_issueshttp://funderscommittee.org/resource/voter_education_registration_and_ballot_campaigns_a_funders_guide_to_legal_issueshttp://funderscommittee.org/resource/voter_education_registration_and_ballot_campaigns_a_funders_guide_to_legal_issueshttp://funderscommittee.org/resource/voter_education_registration_and_ballot_campaigns_a_funders_guide_to_legal_issueshttp://funderscommittee.org/resource/voter_education_registration_and_ballot_campaigns_a_funders_guide_to_legal_issueshttp://www.foundationnews.org/CME/article.cfm?ID=2956http://www.publicpolicytoolkit.org/home.htmlhttp://www.irs.gov/pub/irs-tege/eotopicp97.pdfhttp://www.irs.gov/pub/irs-tege/eotopici02.pdfhttp://www.clpi.org/images/stories/content_img/Make_a_Difference_RG[1].pdfhttp://www.clpi.org/images/stories/content_img/Make_a_Difference_RG[1].pdf


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Basic Rules for PrivateFoundations as Advocates

ThE Following inFoRMaTion iS inTEndEd to provide private oundation sta, board and their advisers with a brie overviewo the basic legal rules or permissible activities when the oundation and its personnel advocate on behal o the oundation.Foundation personnel may participate in lobbying, politics and other aspects o the democratic process in their personal capacitand time.8

The two primary areas o nonprot advocacy that are regulated by the IRS are lobbying and voter engagement activities.

Foundations and their personnel generally may engage in unlimited advocacy and civic engagement that does not all withinspecic prohibitions or restrictions within these two areas.

Lobbying

Private foundations9 may:

Engage in legislative communications comprising specicexceptions to the charitable lobbying rules, including:

Nonpartisananalysis,studyorresearch;

Technicalassistancerequestedinwritingbyagovernment body; and

Self-defensecommunicationsonmattersaffectingthe

organizations existence (not its budget), tax-exemptstatus, powers and duties, or deductibility o contributionsto the organization; and

Communicationswithgovernmentofcialsaboutprojects

unded jointly by the private oundation and government.


Engage in lobbying as dened by the IRS without incurring

prohibitive taxable expenditures (i.e., supporting oropposing specic legislation directly to a legislative body orindirectly through a public call to action).

Voter Engagement Activities


Engage in a wide range o nonpartisan voter educationand engagement activities, including nonpartisan voterregistration, get-out-the-vote, voter guides, issue advocacand candidate orums. Depending on the type o activity,oundation ocials may be subject to certain conditions toensure impartiality in the democratic process.

Engage in nonpartisan voter registration i it does so in vor more states and over more than one election cycle, alonwith other conditions on the sources o unds and targetino registration or impartiality.


Engage in partisan political activities (e.g., supporting oropposing a candidate or public oce or political party).The IRS determines whether particular voting-relatedactivities are nonpartisan and permissible by examining th

acts and circumstances o each case.10

These rules apply to ederal, state and local elections.Federal, state and local election laws may provide otherrules related to registration, disclosure and politicalactivities within their jurisdictions.


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Alliance or Justice. Investing in Change: A Funders Guide to Sup-porting Advocacy. May 2007.

Council on Foundations. What You Need to Know: GettingInvolved in Public Policy. January 2008. http://www.co.org/tem-plates/311.cm?ItemNumber=16207&navItemNumber=14849

Council on Foundations and Forum o Regional Associations oGrantmakers. Foundations on the Hill. www.oundationsonthehillcom

Fei, Rosemary E. and David A. Levitt o Adler & Colvin; and Laur-ance E. Gold o Lichtman, Trister & Ross. Rules o the Game: AGuide to Election-related Activities or 501(c)(3) Activities (Second

Edition). Washington, D.C.: Alliance or Justice, 2010.

Mayer, Esq., Lloyd H. The Legal Rules or Public Policy and CivicImpact by Foundations in Arons, David F. (Ed.) Power in Policy: AFunders Guide to Advocacy and Civic Participation (pp.169-205).St. Paul, Minn.: Fieldstone Alliance, 2007.

Minnesota Council on Foundations. Advocacy Toolkit: Strategiesor Engaging Foundations in Advocacy. 2007. http://www.mc.org/mc/resource/publicpolicy/advocacy_toolkit.pd


Simone, Kelly Shipp. Top 10 Ways Private Foundations Can Infu-ence Public Policy. Arlington, VA.: Council on Foundations. 2007.


8 Foundation personnel, particularly senior oundation executives andboard members, should be careul to distinguish their actions as indi-viduals rom actions taken as representatives o their oundations.

9 The term private oundation is used or editorial simplicity here andin the rest o this inormation sheet to mean oundations and theirpersonnel when acting on behal o their oundations.

10 The Supreme Court decision in Citizens United v. FECmay require theIRS to adopt some clearer rules in the uture or determining prohib-ited political activities.

11 State laws may exist with respect to administrative and other nonleg-islative orms o advocacy, and you should check with counsel i youhave questions.

General Advocacy is Legal and Unlimited

Advocacy and civic engagement activities that are not regu-lated under the law as lobbying or partisan political activityare generally permissible and unlimited or private ounda-tions and their personnel.

Such permissible activities include but are not limited topublic education, community organizing, grassroots orga-nizing (without a legislative call to action), issue or policyadvocacy (including through media and coalitions), andnonpartisan voter education and engagement (see above inthis inormation sheet).

Private oundations may support or oppose ederal admin-istrative regulations, litigation, and other nonlegislativegovernmental actions, as well as private-sector decisions.11In addition, private oundations can support or oppose leg-islation that alls within one o the specic exceptions to theIRS charitable lobbying rules, which are described above inthis inormation sheet.


Legal Disclaimer
http://www.cof.org/templates/311.cfm?ItemNumber=16207&navItemNumber=14849http://www.cof.org/templates/311.cfm?ItemNumber=16207&navItemNumber=14849http://www.foundationsonthehill.com/http://www.foundationsonthehill.com/http://www.mcf.org/mcf/resource/publicpolicy/advocacy_toolkit.pdfhttp://www.mcf.org/mcf/resource/publicpolicy/advocacy_toolkit.pdfhttp://www.publicpolicytoolkit.org/home.htmlhttp://www.publicpolicytoolkit.org/home.htmlhttp://www.mcf.org/mcf/resource/publicpolicy/advocacy_toolkit.pdfhttp://www.mcf.org/mcf/resource/publicpolicy/advocacy_toolkit.pdfhttp://www.foundationsonthehill.com/http://www.foundationsonthehill.com/http://www.cof.org/templates/311.cfm?ItemNumber=16207&navItemNumber=14849http://www.cof.org/templates/311.cfm?ItemNumber=16207&navItemNumber=14849


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Sample GrantmakingGuidelines

Private oundations can help grantseekers by making it clear in their program descriptions and proposal guidelines that they areinterested in supporting public policy and civic engagement. Below are six examples o helpul language currently being used byprivate oundations in their grantmaking guidelines or on their websites. These examples describe either a distinct civic engage-ment program area or grantee activities that are encouraged and integrated within a oundations substantive issue area. Theserepresent just a sample o instructive oundation guidelines in this arena.

1. hyaMS FoundaTion: civic EngagEMEnT

iniTiaTivE12

Voter engagement, public policy advocacy and community

organizing

Voting is the undamental way or people to exercise theirindividual and collective power and ensure that public policiesare refective o and responsive to diverse communities. The oundation supports a unders collaborative at a com-munity oundation which unds an intermediary organization,MassVOTE. MassVOTE re-grants and provides technical assis-tance to community-based organizations that:

Incorporate eective voter registration and Get Out TheVote (GOTV) eorts to increase voter engagement in tar-geted low-income communities o color;

Work collaboratively to hold candidate orums in the com-munities to encourage candidates to address issues oconcern to community residents; and

Work with MassVOTE to train sta on eective GOTV strate-gies and track the actual work and eectiveness in turningout the vote.

Public policies can promote or inhibit the civic engagemento teens and adults rom low-income communities o color. Anumber o public policy issues are o particular concern. These

include racial proling by public agencies, eorts to increaseidentication requirements and other barriers or voting andregistration, the escalation o anti-immigrant sentiment, andthe increasing number o ederal Immigration and CustomsEnorcement raids in immigrant communities. These and otheractions contribute to an escalation o ear, civic disengage-ment and disenranchisement within communities o color. Tohelp counter this, the Foundation will support advocacy andorganizing that have the potential to change public policy andincrease resources to maintain civil rights and promote greatercivic engagement. Some examples o possible public policy

goals include but are not limited to: same-day registrationand voting; lowering the voting age to 16 or local elections texpand the civic engagement o teens; allowing immigrants tvote in municipal elections and reerendums; increasing unding or citizenship education unding; and incorporating civicengagement curricula in public education.

Civic engagement/public policy/community organizing gran

will be made to organizations that have:

A demonstrated commitment to broad-based constituentengagement, mobilization and coalition building;

An understanding o the legislative process; and

Relationships with key allies in elected oce that will helpto pursue public policy changes.

2. ThE JaMES iRvinE FoundaTion: dEMocRacy

PRogRaM aREa13

Governance Reform and Civic Innovation

To reach our goal, we believe two kinds o change are neededFirst, the governing system must be reormed to better ensurthat policy decisions are made airly, with a long-term view abased on sound inormation. ... Second, a more representativset o Caliornians must actively participate in decision-makin

processes. ... Throughout our work, we emphasize a nonpartsan, problem-solving approach and engagement with a diverarray o populations.

Governance Reorm We make grants to improve state anlocal governance in three areas: budget and scal systemselection policies and practices, and the state redistrictingprocess. In these areas, we support policy development,strategic communications, outreach, coalition building andother activities.


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Civic Engagement We make grants to increase opportu-nities or civic engagement among historically underrep-resented communities, including low-income, ethnic andimmigrant populations. We support innovative approachesand new mechanisms or involving diverse communitiesin public decision making. And we have a special ocus oncivic engagement in the San Joaquin Valley and Inland Em-pire.

Democracy program area

Grantee: Liberty Hill Foundation

Amount: $1,200,000

Project: To support re-granting and capacity building or

civic engagement projects designed to improvesocial and economic conditions within Los Angelesdisadvantaged communities.

3. anniE E. caSEy FoundaTion: FoR all PRogRaM

aREaS14

Demonstrating policy innovations

In general, the grantmaking o the Annie E. Casey Foundationis limited to initiatives in the United States that have signicantpotential to demonstrate innovative policy, service delivery,and community supports or disadvantaged children and

amilies. Most grantees have been invited by the Foundation toparticipate in these projects.

4. chaRlES STEwaRT MoTT FoundaTion:

EducaTion PRogRaM aREa15

Policy development and advocacy to increase sustainability of

programs

Our rst unding strategy [in Learning Beyond the Classroom]is to generate and disseminate inormation about promisingpractices and programs ocused on improving outcomes orchildren and youth.

The second strategy is to increase the sustainability o ater-school programs through policy development, communica-tions, advocacy and support or communities. Grantmakingocuses on aterschool programs as a means toward expand-ing and sustaining community/school partnerships in supporto improved outcomes or children and youth. Grants areclustered in:

policy development and advocacy helping decisionmakers develop and implement local, state and nationalaterschool policies that emphasize sustainable systems osupport; and

communications building public awareness about theimportance o expanded resources or aterschool programand raising public will to support them nancially.

5. FoRd FoundaTion: EducaTion PRogRaM aREa

Policy reform and the creation of new policies

Despite some progress worldwide over the past ew decades

in making higher education more accessible, disparities persin students access to and graduation rom two- and our-yeacolleges and universities. These disparities limit the work oropportunities, democratic participation and lie chances ostudents rom poor, marginalized backgrounds. Our work seeto generate policy and institutional reorms that improve standards o teaching and learning and remove the barriers to sucessul participation in higher education in the United States,the Andean Region and Southern Cone, Brazil, China, Egypt,and Southern Arica. In the United States, it will ocus on estalishing stronger links between two- and our-year colleges;creating robust tuition and nancial aid policies geared to theneeds o disadvantaged and working students; and scaling ueective remedial and developmental education programs.

Similarly, our work in other parts o the world supports reormthat make higher education institutions more accessible tostudents rom excluded backgrounds and that provide nancand academic support.

Education program area

Grantee: Advocates or Children and Youth, Inc.

Amount: $125,000

Project: To engage in public education and advocacy eortto support juvenile justice reorm.

Our work seeks to generatepolicy and institutional reforms

that improve standards of

teaching and learning


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6. oPEn SociETy inSTiTuTEBalTiMoRE: cRiMinal

and JuvEnilE JuSTicE17

Public education, advocacy and the development of new poli-

cies to improve systems

The Criminal Justice Program seeks to und programs that willencourage policies and practices that reduce juvenile crimeand incarceration. To provide constructive alternatives tojuvenile incarceration, the Program will und organizationsthat advocate or the development o a network o appropri-ate community-based programs or juveniles. Projects couldinclude eorts to study the cost-eectiveness and availability

o community-based programs and to publicize model pro-grams. The Program will also und public education and policyadvocacy to ensure that the juvenile justice system oersmore diversion programs or juvenile oenders. Appropriatecommunity-based programs will provide the treatment andother vital support services juveniles need to help them avoidcontinued involvement with the criminal justice system.

Grants ocus on organizations that engage in public educa-tion and advocacy to encourage systemic reorm that reducesincarceration. For instance, reorms could include increasingthe use o diversion or community-based alternatives to incar-ceration, or improving parole policies and practices in order toshorten certain prison terms and reduce re-incarceration. Asopportunities arise, the Program also assists public agencies in

their eorts to design and implement systemic reorm eorts.Other initiatives seek to inuse public debate on crime with abroader discussion o the causes o incarceration and eectivestrategies to reduce crime and recidivism.

Grantee: Campaign or College Opportunity

Amount: $400,000

Project: For public education and policy research and tobuild a bipartisan statewide coalition o business,labor, education, community and higher educationto promote expanded college access in Caliornia.

12 Hyams Foundation http://www.hyamsoundation.org/2009%20Ad-dition%20to%20website/New%20Grantmaking%20Guidelines%20&%20Chart%202009%20v2.pd

13 The James Irvine Foundation http://www.irvine.org/grantmaking/ourprograms/caliorniademocracy

14 Annie E. Casey Foundation http://www.aec.org/AboutUs.aspx15 Charles Stewart Mott Foundation http://mott.org/about/programs/

pathwaysoutopoverty/improvingcommunityeducation.aspx16 Ford Foundation http://www.ordoundation.org/issues/educational-

opportunity-and-scholarship17 Open Society InstituteBaltimore http://www.soros.org/initiatives/ba

timore/ocus_areas/a_criminal_justice/guidelines

Grants will focus on

organizations that engage in

public education and advocacy

to encourage systemic reform

that reduces incarceration.


Legal Disclaimer
http://www.hyamsfoundation.org/2009%20Addition%20to%20website/New%20Grantmaking%20Guidelines%20&%20Chart%202009%20v2.pdfhttp://www.hyamsfoundation.org/2009%20Addition%20to%20website/New%20Grantmaking%20Guidelines%20&%20Chart%202009%20v2.pdfhttp://www.hyamsfoundation.org/2009%20Addition%20to%20website/New%20Grantmaking%20Guidelines%20&%20Chart%202009%20v2.pdfhttp://www.irvine.org/grantmaking/our-programs/californiademocracyhttp://www.irvine.org/grantmaking/our-programs/californiademocracyhttp://www.aecf.org/AboutUs.aspxhttp://mott.org/about/programs/pathwaysoutofpoverty/improvingcommunityeducation.aspxhttp://mott.org/about/programs/pathwaysoutofpoverty/improvingcommunityeducation.aspxhttp://www.fordfoundation.org/issues/educational-opportunity-and-scholarshiphttp://www.fordfoundation.org/issues/educational-opportunity-and-scholarshiphttp://www.soros.org/initiatives/baltimore/focus_areas/a_criminal_justice/guidelineshttp://www.soros.org/initiatives/baltimore/focus_areas/a_criminal_justice/guidelineshttp://www.soros.org/initiatives/baltimore/focus_areas/a_criminal_justice/guidelineshttp://www.soros.org/initiatives/baltimore/focus_areas/a_criminal_justice/guidelineshttp://www.fordfoundation.org/issues/educational-opportunity-and-scholarshiphttp://www.fordfoundation.org/issues/educational-opportunity-and-scholarshiphttp://mott.org/about/programs/pathwaysoutofpoverty/improvingcommunityeducation.aspxhttp://mott.org/about/programs/pathwaysoutofpoverty/improvingcommunityeducation.aspxhttp://www.aecf.org/AboutUs.aspxhttp://www.irvine.org/grantmaking/our-programs/californiademocracyhttp://www.irvine.org/grantmaking/our-programs/californiademocracyhttp://www.hyamsfoundation.org/2009%20Addition%20to%20website/New%20Grantmaking%20Guidelines%20&%20Chart%202009%20v2.pdfhttp://www.hyamsfoundation.org/2009%20Addition%20to%20website/New%20Grantmaking%20Guidelines%20&%20Chart%202009%20v2.pdfhttp://www.hyamsfoundation.org/2009%20Addition%20to%20website/New%20Grantmaking%20Guidelines%20&%20Chart%202009%20v2.pdf


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Sample Grant Agreement

Letter (without IRS language)

The ollowing is a sample grant agreement letter rom a private oundation to a Section 501(c)(3) public charity.18 Many ounda-tions mistakenly believe that they are legally required to state IRS lobbying and political activity restrictions. In doing so, ounda-tions can inadvertently conuse, intimidate or even legally restrict grantees rom engaging in lawul and important advocacy ortheir constituents and causes. This is not necessary. See 2004 IRS Letter to CLPI, Appendix B.

The below sample grant agreement letter does not include IRS language on advocacy-related restrictions, just the basic require-ments or a general support grant.19 [Specic language or a project or restricted grant is in brackets.] As with any sample or tem

plate, this is designed to serve as a starting place. Foundations should work with their advisers to tailor the template to meet theiparticular needs.

Dear Ms. Grantee:

I am pleased to inorm you that the ABC Foundation approved a granto $60,000 to the XYZ charity designated as a contribution to generalsupport [or or the purpose o the project as described in your attachedproposal and budget]. The grant period will be 12 months, and the awardwill be made in a single payment upon the execution o this agreement.By signing this letter, the grantee agrees to the ollowing terms:

Thatallgrantfundswillbeusedsolelyforcharitable,religious,sci-entifc or educational purposes as described in Section 170(c)(2)(B)o the Internal Revenue Code.

Tocontinuetoqualifyasatax-exemptorganizationundersec-tion 501(c)(3) o the Internal Revenue Code and not as a privateoundation as defned in section 509(a) o the Code and that it willnotiy the Foundation immediately i the Internal Revenue Serviceproposes to revoke or change the grantees exempt status.

[Foraprojectspecicallyforvoterregistration,theactivitiesmust

be nonpartisan and the charitable grantee must conduct registrationin fve or more states and over more than one election cycle, alongwith other conditions on the sources o unds and ensuring impar-

tiality in any targeting o registration.] (Anyotherdesiredconditions,suchasreportingrequirements;re-

payment o unds not used in compliance with either o the frst twoconditions;oraccesstonancialrecords)

Please return the signed letter to the Foundation in order to indicateyour acceptance o the terms o this agreement.

Best Wishes,

18 This letter would not be sucient in the caseo a grant to a supporting organization whichrequires expenditure responsibility. Seewww.co.org/ppa or more inormation.

19 This letter was adapted with permission romsample letters by Lloyd H. Mayer, Esq., inPower in Policy: A Funders Guide to Advocacy andCivic Participation, Appendix A at pp. 228-231.

Mayer, Esq., Lloyd H. in Arons, David F.(Ed.). Power in Policy: A Funders Guide toAdvocacy and Civic Participation (AppendixA, pp.228-231). St. Paul, Minn.: FieldstoneAlliance, 2007.

Setterberg, Fred and Colburn S. Wilbur. TheComplete Guide to Grantmaking Basics:

A Field Guide or Funders. Arlington, VA.:Council on Foundations and The David andLucile Packard Foundation, 2008.


This toolkit provides helpul legal inor-mation and guidance, but should not beconstrued as providing specic legal advice.You should consult with your oundationslegal counsel about specic activities orquestions.

Legal Disclaimer
http://www.cof.org/ppahttp://www.cof.org/ppa


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FOUNDATIONSFORCIV

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Sample Grant Agreement

Letter (with IRS language)

The ollowing is a sample grant agreement letter rom a private oundation to a Section 501(c)(3) public charity. Some oundationexecutives, boards or counsel may eel more comortable with grant agreements that state specic IRS lobbying and political activ-ity restrictions. At the same time, these oundations may not want to inadvertently prohibit or discourage lawul advocacy and civicengagement by their grantees.

The ollowing is a sample general support grant agreement letter that includes IRS language on lobbying and political activity restrictions while at the same time minimizing conusion and encouraging permissible advocacy and civic engagement.20 [Specic languagor a project or restricted grant is in brackets.]21

Dear Ms. Grantee:

I am pleased to inorm you that the ABC Foundation approved a grant o $60,000 to the XYZ public charity designatedas a contribution to general support [or or the purpose o the project as described in your attached proposal and

budget]. The grant period will be 12 months, and the award will be made in a single payment upon the execution o thisagreement. By signing this letter, the grantee agrees to the ollowing terms:

Thatallgrantfundswillbeusedsolelyforcharitable,religious,scienticoreducational

purposes as described in Section 170(c)(2)(B) o the Internal Revenue Code.

Tocontinuetoqualifyasatax-exemptorganizationundersection501(c)(3)oftheInternalRevenueCode--and

not as a private oundation as defned in section 509(a) o the Code -- and that it will notiy the Foundationimmediately i the Internal Revenue Service (IRS) proposes to revoke or change the grantees exempt status.

Thereisnoagreement,oralorwritten,thatdirectsthatthegrantfundsbeusedforlobbyingactivities.The

grantee has the right to engage in lobbying that does not exceed limits imposed by Internal Revenue Code Section501(c)(3) or, i applicable, Sections 501(h) and 4911. Grantee also may engage in unlimited, nonpartisan policyactivities that are not lobbying or that constitute an exception to lobbying as defned by Section 501(c)(3).

Nofundsmaybeusedforpartisanpoliticalactivities,whichareprohibitedunderSection501(c)(3).However,

grantee may engage in unlimited nonpartisan voter education and engagement activities consistent with the law.

[Foraprojectspecicallyforvoterregistration,theactivitiesmustbenonpartisanandthecharitable

grantee must conduct registration in fve or more states and over more than one election cycle, along withother conditions on the sources o unds and ensuring impartiality in any targeting o registration.]

(Anyotherdesiredconditions,suchasreportingrequirements;repaymentoffundsnotusedin

compliancewithanyofthepreviousconditionsortheproject;oraccesstonancialrecords)

Please return the signed letter to the Foundation in order to indicate your acceptance o the terms o this agreement.

Best wishes,

20 Grants made to certain supporting organizations may require theoundation to exercise expenditure responsibility. For any suchgrant, a oundation should consult its counsel concerning the grantagreement language.

21 This letter was adapted with permission rom sample letters by LloydH. Mayer, Esq., in Power in Policy: A Funders Guide to Advocacy and CivicParticipation, Appendix A at pp. 228-231.


Legal Disclaimer


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Grantee Advocacy Capacity& Evaluation Checklist

When considering or evaluating a grant to a nonprot to engage in advocacy or civic engagement, it is important to be able to assess a nonprot organizations capacity, experience and commitment in this strategic area. Below is a series o questions that staand other relevant organization representatives, can use in discussions and site visits with potential and existing grantees concering their advocacy capacity and progress.

Not all questions will be applicable, and many qualied grantees will be at varying stages o advocacy activity both within andoutside o their organizations. We hope these questions encourage dialogue between you and your grantees, as well as help to

identiy areas where your support can build grantee advocacy capacity to meet your shared goals or change.

Advocacy Goals and Agenda

To what extent is advocacy a clear part o your organiza-tions mission, goals and strategy?

Do you have a written advocacy agenda?

Isthisagendabasedonresearchandpolicyanalysis,

including stakeholder interviews?

Didyouinvolveyourconstituency(thecommunityim-pacted by this policy) in its development?

What are your advocacy goals and objectives?

Do you have a plan or achieving your advocacy agenda?

How will you measure progress?

Leadership and Will

To what extent is your board engaged in and committed toadvocacy?

Istheboardsroleinadvocacyclearlydened?

Hasitapprovedyouradvocacyagenda?

To what extent is executive leadership engaged in and com-mitted to advocacy?

Whatroledoestheexecutivedirectorplay?

What organizational structures are in place to support advo-cacy (e.g., a public policy committee, an advisory commit-tee, a board committee, etc.)?

What is your decision-making process or public policy is-sues?

How long has your organization been engaged in policyadvocacy eorts?

What board, sta and other organizational resources arecommitted to your advocacy plan?

Management

Which employees are responsible or advocacy?

Whataretheirqualications?

Are sta advocacy roles clearly dened?

Do you have a rapid response team in place to makequick decisions in response to rapidly changing condition

What percentage o your operating budget is designated policy advocacy?

In what ways are you challenged rom a stang or resour

standpoint?

Strategy, Strategic Partnerships and Networks

What strategic partnerships, networks or coalitions are yoinvolved with?

Howdothesenetworkshelpyoumeetyouradvocacy

goals?

Whatkindsoftraining,technicalassistanceandcoordin

tion do these networks provide to you?

Whatroledoesyourorganizationplayinthesenetworks

Howdoesyourpolicyagendatintothebroadergoals

these networks? What gives your organization standing to work eectively

on this issue?

What are your short-term and long-term policy goals?

What is your (and your partners) policy strategy to achievthese goals?

How do you engage and mobilize your constituents andother members o the community that are aected by or cinfuence this issue/policy?

How do you build and maintain working relationships witrelevant policymakers (e.g., legislators and their sta, ad-ministrators, etc.)


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Technical Knowledge and Skills

Do you understand the IRS rules governing Section 501(c)(3) lobbying and reporting?

Howdoyoutrackandmonitorthis?

Howdoyoumonitorcompliancewiththeserules?

Hasyourorganization,ifanonreligiouspubliccharity,

elected to use the 501(h) expenditure test to provide asae harbor or lobbying and simpler tracking and report-ing o lobbying based only on expenditures?

How do you assess and monitor the policy environment,opportunities, risks, threats and resource needs?

What training does sta receive on policy issues, advocacy,lobbying, nonpartisan voter engagement, etc.?

What is your knowledge o the policy issue and processes?This includes:

Policychangeprocess Issueexpertise

Politicalknowledgeandskills

Policyanalysisandresearch

Communitymobilizationskills

Legalknowledge

Do you have a media strategy and plan?

Whichstaffpersonisresponsibleforcarryingoutthe

media plan?

Haveyoudevelopedclearmessagesandacommunica-

tions plan to advance your advocacy agenda?

Project Specific

How was the project identied as a community need?

What other organizations are also working on this issue?Are you planning on collaborating with them? I not, whyI so, in what way(s)?

What policy options have been proposed or addressing thneed, and what, i any, analysis have you done o possiblesupport and opposition to dierent policy proposals?

What are the risks associated with this project?

Forthegrantee Forthefoundation

Foryourconstituents

Forotherstakeholders

What will our grant help you accomplish with respect toyour advocacy plan?

Alliance or Justice. Build Your Advocacy Grantmaking: AdvocacyCapacity Assessment Tool. 2005. See www.aj.org or descriptionand purchase inormation.

Avner, Marcia. The Lobbying and Advocacy Handbook or NonprotOrganizations: Shaping Public Policy at the State and Local Level. St.

Paul, Minn.: Fieldstone Alliance, 2002. http://clpi.org/press-publica-tions/publications-sale

Avner, M. and K. Nielsen. The Nonprot Board Members Guideto Lobbying and Advocacy(Worksheet 1: Public Policy ReadinessInventory). Minnesota Council o Nonprots and Fieldstone Alliance,2004. http://clpi.org/press-publications/publications-sale

Building Movement Project. Evidence o Change: Exploring CivicEngagement Evaluation. 2010. http://www.buildingmovement.org/news/entry/160

Caliornia Endowment, The; and TCC Group. What Makes an E-ective Advocacy Organization? A Framework or Determining

Advocacy Capacity. January 2009. http://www.calendow.org/Article.aspx?id=3756

Center or Lobbying in the Public Interest. Make a Dierence or YourCause: Strategies or Nonprot Engagement in Legislative Advocacy.2006. www.clpi.org

Center or Lobbying in the Public Interest. Smart and Ethical Princi-ples and Practices or Public Interest Lobbying. January 2008. http://www.clpi.org/images/pd/SEPP_ReportFINAL.pd

Coman, Julia o Center or Evaluation Innovation. Overview o Cur-rent Advocacy Evaluation Practice. Center or Evaluation Innovation.October 2009.

Grantmakers or Eective Organizations (geo) and Council on Foun-dations. Evaluation in Philanthropy: Perspectives rom the Field. geo,2009.

Guthrie, K., J. Louie, T. David and C. Foster. The Challenge o As-sessing Policy and Advocacy Activities: Strategies or a Prospective

Evaluation Approach. The Caliornia Endowment. October 2005.

Innovation Network, Inc. Advocacy Evaluation Update Newsletter(ree quarterly newsletter). www.innonet.org and Point K Learn-

ing Center (ree online evaluation tools). http://www.innonet.org/resources/

Innovation Network. Inc. Pathnder: A Practical Guide to AdvocacyEvaluation (Funders Edition). The Atlantic Philanthropies, 2009.

Northern Caliornia Grantmakers. Evaluating Public Policy Grantmaking: A Resource or Funders. June, 2004.

Okubo, Derek. The Community Visioning and Strategic PlanningHandbook. Denver, Colo.: National Civic League Press. Third Print-ing. 2000. http://ncl.org/publications/online/VSPHandbook.pd

Raynor, J., P. York, S. Sim o TCC Group. What Makes An EectiveAdvocacy Organization? A Framework or Determining Advocacy Ca

pacity. The Caliornia Endowment. January 2009. www.calendow.org

Stachowiak, Sarah. Pathways or Change: 6 Theories About How

Policy Change Happens. Organizational Research Services, 2009.www.organizationalresearch.com


This toolkit provides helpul legal inormation and guid-ance, but should not be construed as providing speciclegal advice. You should consult with your oundationslegal counsel about specic activities or questions.

Legal Disclaimer
http://www.afj.org/http://clpi.org/press-publications/publications-salehttp://clpi.org/press-publications/publications-salehttp://clpi.org/press-publications/publications-salehttp://www.buildingmovement.org/news/entry/160http://www.buildingmovement.org/news/entry/160http://www.calendow.org/Article.aspx?id=3756http://www.calendow.org/Article.aspx?id=3756http://www.clpi.org/http://www.clpi.org/images/pdf/SEPP_ReportFINAL.pdfhttp://www.clpi.org/images/pdf/SEPP_ReportFINAL.pdfhttp://www.innonet.org/http://www.innonet.org/resources/http://www.innonet.org/resources/http://ncl.org/publications/online/VSPHandbook.pdfhttp://www.calendow.org/http://www.organizationalresearch.com/http://www.organizationalresearch.com/http://www.calendow.org/http://ncl.org/publications/online/VSPHandbook.pdfhttp://www.innonet.org/resources/http://www.innonet.org/resources/http://www.innonet.org/http://www.clpi.org/images/pdf/SEPP_ReportFINAL.pdfhttp://www.clpi.org/images/pdf/SEPP_ReportFINAL.pdfhttp://www.clpi.org/http://www.calendow.org/Article.aspx?id=3756http://www.calendow.org/Article.aspx?id=3756http://www.buildingmovement.org/news/entry/160http://www.buildingmovement.org/news/entry/160http://clpi.org/press-publications/publications-salehttp://clpi.org/press-publications/publications-salehttp://clpi.org/press-publications/publications-salehttp://www.afj.org/


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Success Stories

The ollowing are just a ew stories that exempliy how private oundations have empowered organizations and individuals toengage in public policy and advocacy. Their activities range rom unding policy initiatives to legal eorts to nonpartisan voterengagement and education. They show the social rate o return and impact that consistent unding o advocacy and civic engagement can yield or underserved communities and causes.

RoBERT wood JohnSon FoundaTionS advocacySuPPoRT aSSiSTEd noRTh caRolina SEnioRS wiTh

PREScRiPTion coSTS

The Robert Wood Johnson Foundations (RWJF) CommunityHealth Leadership Program (CHLP) Award honors commu-nity leaders with innovative approaches to health care. WhenSenior PharmAssist an organization providing direct nancialassistance and help with Medicare Part D to seniors in DurhamCounty, N.C. received the award, they used a portion o thegrant or strategic planning and coaching. Recognizing theimportant role they could play as advocates, Senior PharmAs-sist joined with other advocates to infuence the North CarolinaHealth and Wellness Trust and their leader, current GovernorBev Perdue, to provide almost $20 million in grants or medica-tion therapy management and patient assistance programs.

The RWJF Community Health Leadership Program advocacygrant was also used to co-host a statewide summit, whereattendees ormed the Advocates or a North Carolina Pre-scription Drug Assistance Program. In 2006, this broad-basedcoalition was able to push or the creation o two programsthat help seniors with limited incomes pay their monthly pre-scription premiums and reimburse pharmacists or providingmedication therapy management to Medicare beneciaries.

gEoRgE gund FoundaTionS SuPPoRT FoRchildREnS law cEnTER BRoughT unPREcEdEnTE

JuvEnilE JuSTicE REFoRMS in ohio

The George Gund Foundation has been unding inrastructursupport or public policy activities or well over a decade. Eacyear, the Foundation distributes more than $2 million or suchactivities, including support or new or existing public policysta positions. One organization, the Northern Kentucky Childrens Law Center, is a prime example o the power o philanthropys engagement in public policy.

The Gund Foundation rst unded the Center seven years agoto research and investigate dangerous conditions at certainstate juvenile detention acilities operated by the Ohio Depart

ment o Youth Services. This support led to the Centers linga series o lawsuits against the state and subsequent litigatioA landmark ederal court ruling in 2008 outlined a sweepingmandate to reorm the states juvenile justice system, includ-ing shiting to a more community-based model that requiresevidence-based practices and new juvenile release and re-enprocedures. The Center is now monitoring and overseeing thcourt settlement while also working on accompanying legislation. Thanks to Gunds support, the Center has grown in itsinfuence, expertise and understanding o the policy process.

The opportunity to drive reorm and positive change throughpublic policy is always changing, and nonprots must havethe fexibility to react to these opportunities. Providing capac

ity support or a broad range o public policy advocacy activi-ties is critical to keeping nonprots at the table when publipolicy is being crated and promotes greater ulllment o themission. For the Center, advocacy is an essential priority; itcomplements its direct service and urthers achievement oits goals.


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oTTo BREMER FoundaTion SuPPoRTSnonPaRTiSan voTER PaRTiciPaTion To EMPowER

naTivE aMERicanS in MinnESoTa

The Otto Bremer Foundation recognized the importance o sup-porting increased civic engagement by Native Americans inMinnesota and has provided general operating support since2005. Native Americans only gained United States citizenshipand the vote in 1924, and it was important that their voices beheard more in the policy process. In 2004, the rst statewideGet Out the Native Vote (GOTNV) eort targeted at NativeAmericans was such a success that the Native Vote Alliance oMinnesota (NVAM) was created with the help o a three-yeargeneral support grant rom Otto Bremer.

The campaign set out to educate all Native Americans in Min-nesota on voter and civic engagement and election protection.They held nonpartisan candidate orums and voter registrationdrives at pow wows and community events. NVAM organizednonpartisan voter mobilization activities on eight o 11 reser-vations in the state, including door-to-door canvassing, voterregistration drives, phone banks, election monitoring and ridesto the polls. In total, more than 6,500 Native Americans resid-ing on Indian reservations turned out to vote in 2008, includ-ing record numbers o registrants and high turnout in manyprecincts located on tribal lands. In addition, a Native Americanwoman became an election judge in a township within thejurisdictional boundaries o the Leech Lake Band o Ojibwe aNative-populated precinct that had long lacked a Native Ameri-

can election judge.

Using available online technology and reaching out to youth,NVAM continues to educate and mobilize Native people toengage in civic and policy activities in order to enhance theircollective voice in important public policy decisions.

Alliance or Justice and Council on Foundations. Words to Giveby: Leading Voices in Funding Advocacy. 2008. http://www.aj.org/or-nonprots-oundations/resources-and-publications/ree-resources/words-to-give-by.html

Arons, David (Ed.). Power in Policy: A Funders Guide to Advocacyand Civic Participation. St. Paul, Minn.: Fieldstone Alliance, 2007.Pp.251-72.

Brady, Marnie and Trish Tchume. Making Social Change: CaseStudies o Nonprot Service Providers. Building Movement Proj-ect, 2009. http://www.buildingmovement.org/news/entry/108

Center or Lobbying in the Public Interest. Make a Dierence orYour Cause: Strategies or Nonprot Engagement in Legislative

Advocacy. 2006. http://www.clpi.org/images/stories/content_img/Make_a_Dierence_RG[1].pd

National Committee or Responsive Philanthropy. Strengthen-ing Democracy, Increasing Opportunities: Impacts o Advocacy,

Organizing and Civic Engagement in New Mexico(2008)/NorthCarolina (2009)/Minnesota (2009)/Los Angeles (2010). http://www.ncrp.org/campaigns-research-policy/communities/gcip

Shoup, Sarai Brachman, Public Policy Grantmaking by U.S.Foundations. W.K. Kellogg Foundation, 2002. http://ww2.wkk.org/DesktopModules/WKF.00_DmaSupport/ViewDoc.aspx?LanguageID=0&CID=292&ListID=28&ItemID=2803803&fd=PDFFile

Korten, Alicia Epstein. Change Philanthropy: Candid Stories oFoundations Maximizing Results Through Social Justice. (Spon-

sored by the Center or Community Change). Jossey-Bass, 2009.

Parachini, Larry and Sally Covington. Community OrganizingToolbox: A Funders Guide to Community Organizing. Neighbor-hood Funders Group, 2001. http://www.ng.org/index.php?ht=d/Contents/contenttype_id/15/pid/2366/order/rt

W.K. Kellogg Foundation and Center or Lobbying in the Public In-terest. Eective Advocacy at All Levels o Government. May 2008.http://ww2.wkk.org/advocacyhandbook/index.html



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FOUNDATIONSFORCIV

ICIMPACT


General Resources

Alliance or Justice and Council on Foundations. Words to Give by:Leading Voices in Funding Advocacy. 2008. http://www.aj.org/or-nonprots-oundations/resources-and-publications/ree-resources/words-to-give-by.html

Alliance or Justice. Investing in Change: A Funders Guide to Sup-porting Advocacy, 2007.

Alliance or Justice. Build Your Advocacy Grantmaking: AdvocacyEvaluation and Capacity Assessment Tool. 2005.

Alliance or Justice, Sara Beggs and Andy Carroll. Funding and En-gaging in Advocacy: Opportunities or Small Foundations. Wash-ington, D.C.: Association o Small Foundations, 2005. Available orpurchase at www.smalloundations.org

Arons, David F. (Ed.) Power in Policy: A Funders Guide to Advo-cacy and Civic Participation. St. Paul, Minn.: Fieldstone Alliance,2007.

Atlantic Philanthropies, The. Atlantic Reports: Why SupportingAdvocacy Makes Sense or Foundations. 2008. http://www.atlan-

ticphilanthropies.org/sites/deault/les/uploads/ATLP_advocacy_re-port.pd

Avner, Marcia. The Lobbying and Advocacy Handbook or Non-prot Organizations: Shaping Public Policy at the State and Local

Level. St. Paul, Minn.: Fieldstone Alliance, 2002. http://clpi.org/press-publications/publications-sale

Avner, M. and K. Nielsen. The Nonprot Board Members Guideto Lobbying and Advocacy. Minnesota Council o Nonprots andFieldstone Alliance, 2004. http://clpi.org/press-publications/publica-tions-sale

Bass, Gary D., David F. Arons, Kay Guinane and Matthew F. Carterwith Susan Rees. Seen but Not Heard: Strengthening NonprotAdvocacy(CLPI, OMB Watch and Tuts University), Washington,

D.C.: The Aspen Institute, 2007.Branwell, Elizabeth. One Foundations Story: The New HampshireCharitable Foundation Makes a Signicant Impact with Public

Policy, Washington, D.C.: The Aspen Institute, 2006. http://www.grantcrat.org/pds/NHCF_publicpolicycase.pd

Caliornia Endowment, The and TCC Group. What Makes an E-ective Advocacy Organization? A Framework or Determining

Advocacy Capacity. January 2009. http://www.calendow.org/Article.aspx?id=3756

Center or Lobbying in the Public Interest. Funding NonprotOrganizations That Lobby.http://www.clpi.org/images/pd/Foundtion%20IRS%20Ltr%20Explained%201.25.05.pd

Center or Lobbying in the Public Interest. Make a Dierence or

Your Cause: Strategies or Nonprot Engagement in LegislativeAdvocacy. 2006. http://www.clpi.org/images/stories/content_img/Make_a_Dierence_RG[1].pd

Center or Lobbying in the Public Interest. Smart and Ethical Principles and Practices or Public Interest Lobbying, 2008. http://wwwclpi.org/images/pd/SEPP_ReportFINAL.pd

Council on Foundations. What You Need to Know: Getting Involvin Public Policy. January 2008. http://www.co.org/templates/311.m?ItemNumber=16207&navItemNumber=14849

Crutcheld, Leslie R. and Heather McLeod Grant. Forces or GooThe Six Practices o High-Impact Nonprots. (Jossey-Bass 2008).

Fei, Rosemary E. and David A. Levitt o Adler & Colvin and Laur-ance E. Gold o Lichtman, Trister & Ross. Rules o the Game: A

Guide to Election-related Activities or 501(c)(3) Activities (SeconEdition). Washington, D.C.: Alliance or Justice, 2010.

Ferris, James M. (Ed.) o The Center on Philanthropy & PublicPolicy. Foundations & Public Policy: Leveraging PhilanthropicDollars, Knowledge, and Networks or Greater Impact. FoundatioCenter. March 2009.

Grantcrat. Advocacy Funding: The Philanthropy o ChangingMinds. 2005. http://www.grantcrat.org/index.cm?useaction=PagviewPage&pageID=734

Grantmakers in Health, Funding Health Advocacy. 2005. www.gihorg/usr_doc/IssueBrie21_Funding_Advocacy.pd

Kindell, Judith E. and John Francis Reilly. Election Year Issues.IRS Exempt Organization Technical Instruction Program or PY

2002. Available at http://www.irs.gov/pub/irs-tege/eotopici02.pd

Kindell, Judith E., and John Francis Reilly. Lobbying Issues. IRExempt Organization Technical Instruction Program or FY 1997.Available at http://www.irs.gov/pub/irs-tege/eotopicp97.pd

Korten, Alicia Epstein. Change Philanthropy: Candid Stories oFoundations Maximizing Results Through Social Justice. Wiley,John and Sons, 2009.
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Leighninger, Matt o Deliberative Democracy Consortium. Fundingand Fostering Local Democracy: What Philanthropy Should Know

about the Emerging Field o Deliberation and Democratic Gov-

ernance. PACE (Philanthropy or Active Civic Engagement). April2009. http://www.paceunders.org/publications/FundingLocalDe-mocracy.pd

McGrath, Mike. The New Laboratories o Democracy: How LocalGovernment is Reinventing Civic Engagement. PACE (Philanthropyor Active Civic Engagement) May 2009.

Minnesota Council on Foundations. Advocacy Toolkit: Strategiesor Engaging Foundations in Advocacy. 2007. http://www.mc.org/mc/resource/publicpolicy/advocacy_toolkit.pd

National Committee or Responsive Philanthropy. Strengthening

Democracy, Increasing Opportunities: Impacts o Advocacy, Orga-nizing and Civic Engagement in New Mexico (2008)/ North Carolina

(2009)/Minnesota (2009)/Los Angeles (2010). http://www.ncrp.org/

campaigns-research-policy/communities/gcip

Nonprot Roundtable o Greater Washington. Beyond Charity:Recognizing Return on Investment: How the Nonprot Community

Impacts Greater Washington. 2007. http://www.nonprotround-table.org/media/downloads/beyondcharity.pd

Nonprot Voter Engagement Network. Nonprots, Voting and Elec-tions: Guidelines or 501(c)(3) Organizations on Nonpartisan Voter

Engagement, Revised 2010

Nonprot Voter Engagement Network. A Voter Participation StarterKit or Nonprots and Social Service Agencies, 2010


Okubo, Derek. The Community Visioning and Strategic PlanningHandbook. Denver, Colo.: National Civic League Press. Third Print-ing. 2000. http://ncl.org/publications/online/VSPHandbook.pd

OMB Watch. NPAction. http://www.npaction.org/

Parachini, Larry and Sally Covington. Community Organizing Toobox: A Funders Guide to Community Organizing. NeighborhoodFunders Group, 2001. http://www.ng.org/index.php?ht=d/Contencontenttype_id/15/pid/2366/order/rt

Raynor, J., P. York, S. Sim. What Makes an Eective AdvocacyOrganization? A Framework or Determining Advocacy Capacity.

Caliornia Endowment, The; and TCC Group. January 2009. http:www.calendow.org/Article.aspx?id=3756

Rosenman, Mark. Foundations or the Common Good. Caring toChange. March 2010.

Salamon, Lester M. and Stephanie Lessans Geller. CommuniquNo. 9 Nonprot America: A Force or Democracy?Johns HopkiUniversity, 2008.

Shoup, Sarai Brachman. Public Policy Grantmaking by U.S. Foundations. W.K. Kellogg Foundation, 2002. http://ww2.wkk.org/DestopModules/WKF.00_DmaSupport/ViewDoc.aspx?LanguageID=0&ID=292&ListID=28&ItemID=2803803&fd=PDFFile

Simone, Kelly Shipp. Top 10 Ways Private Foundations Can Infuence Public Policy. Arlington, VA.: Council on Foundations. 2007.

Simone, Kelly Shipp and Jane C. Nober. Election Year Politics.Foundation News & Commentary. 45, no. 4 (July/August 2004).http://www.oundationnews.org/CME/article.cm?ID=2956

Smucker, Bob. The Nonprot Lobbying Guide, Second Edition.Washington, D.C.: Independent Sector, 1999.

W.K. Kellogg Foundation and Center or Lobbying in the Public Interest. Eective Advocacy at All Levels o Government. May 2008http://ww2.wkk.org/advocacyhandbook/index.html
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