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National Council of State Directors of Adult Education
Guidelines for Advocating
for Adult Education and Literacy
Contents
Lobbying Guidelines for Public Employees
Lobbying Guidelines for 501(c)(3) Organizations
Communicating with your
Legislator
1.
Meeting with your legislator
2.
Writing your legislator
3.
Telephoning your legislator
Guidelines for Public Employees:
Lobbying Guidelines for Public Employees
For those of
you who work for a public agency, supported by local, county or state
governments, there are certain lobbying restrictions for you when
working on activities that will influence the outcome of legislation.
ALWAYS CHECK
YOUR AGENCY POLICIES, GET WRITTEN COPIES, AND ABIDE BY THEM. Policies
vary. All are based on federal and state law, while some agencies add
their own requirements. Follow the rules.
The First
Amendment protects your right to lobby members of Congress,
congressional staff, congressional committees and other elected
officials. However, your actions cannot be interpreted as official
announcements of federal or state or local policy coming from your
institution. When contacting members of Congress, identify yourself as a
concerned citizen in your community presenting your personal views.
At the same
time, however, you shouldn’t feel like you have to conceal your
employer. You are allowed to tell the person you are talking with that
you work for a facility that is supported by the county, state or
federal government, as long you make it clear that you are speaking on
behalf of your personal views and/or the National Council of State
Directors of Adult Education and that the views expressed are your own.
Generally
speaking, appropriated public funds may not be used, directly or
indirectly, to pay for lobbying activities. This means that anything
paid for by the government, including your salary, telephone, copier,
letterhead, fax machine, postage, etc., may not be used to support your
lobbying activities. Again, check your agency policies and understand
what is expected of you. Exercise discretion.
However,
personal funds or funds provided by non-governmental organizations may
be used to support these activities.
Your
participation in the democratic process can be personally satisfying and
is critical to adult education’s success, so please do not feel
discouraged from lobbying. If you have any questions or need additional
information, please contact your local ethics official.
Lobbying Guidelines for 501(c)(3) Organizations
It is
important to know what activities tax-exempt, non-profit [i.e.,
501(c)(3)] organizations can conduct. Recent rulings by the IRS have
clarified many of the uncertainties expressed by some in the non-profit
sector: while lobbying by non-profits is entirely lawful, political
activity is strictly prohibited. So, what is the difference between
lobbying and political activity?
A Resource: If you have questions
regarding appropriate activities, feel free to contact Marsha Tait at
ProLiteracy at 315.422.9121 ext 322 or
mtait@proliteracy.org."
Lobbying. A 501(c)(3) may not engage in substantial lobbying,
a term that has never been clearly defined. A general guideline is to
spend less than 5 percent of an organization's budget on lobbying,
although the Internal Revenue Service (IRS) has not officially
sanctioned this. Lobbying, for this purpose, includes funds used
to retain a lobbyist and probably covers communication to members and
the public for or against a particular piece of legislation.
Fortunately, organizations that wish to
avoid the vague "insubstantiality of expenditures" test may utilize
section 501(h) of the Internal Revenue Code. This "safe harbor"
specifies exact dollar limits for 501(c)(3) lobbying expenditures, based
on a budgetary sliding scale, with an annual cap of $1 million. A 501(h)
election carries advantages beyond a degree of certainty, including, in
many cases, the imposition of penalty taxes rather than loss of tax
exemption, and clearly specified favorable exclusions, such as time
donated by volunteers and funds spent on executive branch advocacy.
However, an organization may not spend more than 25 percent of its total
lobbying budget on grassroots lobbying, efforts to encourage
action by the general public.
A 501(c)(3) exempt organization makes a
501(h) election by filing Form 5768 with the IRS, thereafter maintaining
detailed records. A reasonable allocation of expenses is required for
activities that include both lobbying and nonlobbying purposes. A 501(h)
election is not available to certain supporting organizations that
receive their public charity status through support of another 501(c)(6)
association.
Incidentally, a 501(c)(3), whether it
makes a 501(h) election or not, is not affected by the 1993 law
eliminating the deductibility of lobbying expenses.
Political activities. The law clearly prohibits 501(c)(3)s from
engaging, directly or indirectly, in political campaigns, whether
through establishing a PAC or contributing funds to candidates. The only
legal way to engage in political activity would be to create a separate
entity under a permissible tax code provision, preferably 501(c)(6).
This is not as daunting as it may appear, although legal counsel is
essential in setting up the structure and filing the proper documents.
The 501(c)(3) and (6) entities may share boards of directors,
headquarters, and even staff, but strict financial separation is
required.
Political
activity is defined as influencing the outcome of an election-federal,
state, or local-and is not permitted under the law. Failure to comply
with the law could cause the organizations to lose both its tax-exempt
status and its ability to assure donors that their contributions are tax
deductible.
As a 501(c)(3)
you can:
 Inform
candidates of your position on issues and urge them to support your
interests;
Distribute
position papers to the general public and your members
Publish
and distribute a voting record that lists pieces of legislation,
describes it, and notes how a member voted;
Host
a public forum to allow candidates to discuss their views on subjects of
interest to the organization;
As a 501(c)(3)
you cannot:
Work
for or against the election of a candidate, or endorse or oppose a
particular candidate;
Direct
financial contributions to a candidate, political party or political
action committee (PAC), or provide in-kind contributions to a candidate,
political party or PAC.
While this
information is intended as a resource guide, it in no way represents
legal advice. You may wish to seek legal counsel for specific legal
advice on what is/is not permitted under the law. (provided by the
Independent Sector)
Communicating with your Legislator:
Go to the web site (http://www.senate.gov
or
http://www.house.gov), click on your state to find your
Congressman. Click on “contact us” for the address, phone numbers and
fax numbers for the district offices and the Washington Office).
1. Meet, 2.
Write, 3. Telephone
1. Meeting with your
legislator
It always
makes an impact on members of Congress when constituents take the time
to visit in person.
The purpose of the meeting:
to
persuade your legislator to take appropriate position on issues related
to adult education by supporting (or opposing) a particular bill
to
continue a relationship with your elected officials and their staff, and
let them know you are a resource for adult education and literacy
issues.
Simply
walking through the door raises the awareness of the importance of the
adult education program and services. And, you don’t have to travel to
Washington to meet with your legislators. Members of Congress return to
district or state offices most weekends and holidays.
The following
suggestions may help make your meeting effective:
Contact Policy Committee or Washington Staff.
We can help you put your visit in the context of current adult education
issues, and brief you on how you can help advance our legislative
efforts. E-mail the the Council at
dc2@ncsdae.org or call 202 624 5250. Check the House (http://www.house.gov/house/2005_House_Calendar.shtml)
and Senate (http://www.senate.gov/pagelayout/legislative/one_item_and_teasers/2005_schedule.htm)
web sites for times when your Congressman may be in the home district.
Plan Your Visit
Carefully. Small groups are
generally best (the Director, a teacher, and an adult learner for
example). You probably will not have a lot of time with your legislator,
so be clear about what you want to achieve. Remember to begin and end
the conversation with a specific request that you’d like you legislator
to follow up on.
Make an
Appointment. Contact the
legislators’ appointments scheduler to arrange a meeting. Explain your
purpose and whom you represent, because it is easier for the staff to
arrange a meeting if they know what you will be discussing and your
relationship to the issue. You may need to be persistent, but be polite.
Be Prompt, Patient and Polite.
It is not uncommon for a legislator to be late, or if you are visiting
the Washington office, to have a meeting interrupted due to committee or
floor actions. Be flexible. If you are interrupted, if possible,
continue your meeting with a member’s staff.
Be Prepared.
Prepare a brief fact sheet about your adult education program to leave
with your legislator. Legislators must take a position on many issues
and may lack details about the specific issues. Leaving a one-page
document on the impact of your program is especially helpful.
Put Your Issue in
Context. Legislators want to
represent the best interests of their district or state. Wherever
possible, demonstrate the connection between what you are requesting and
the broader interests of the member’s constituency. How many adults do
you serve? Your success related to learner outcomes. Collaborations you
have with other agencies.
Be Responsive.
Be prepared to answer questions or promptly provide follow-up
information. While it is important to know the substance of an issue,
you are not expected to know all the technical details. It is always
acceptable to say, “I don’t know, but I’ll find out and get back to
you.” Follow up with a thank you letter that outlines the different
points covered during the meeting and answer any remaining questions;
send other items as requested. Use a meeting as an opportunity to build
and continue a relationship with an elected official and their staff.
2. Writing your Legislator
Surprisingly,
few people ever write their elected officials, but for members of
Congress, mail is an important connection to the opinions of their
constituents. For every letter received, it is assumed that many
constituents feel the same way. Because of the delay in mail due to the
anthrax issue, it is wise to fax (not from your business fax machine)
your letter.
Go to the web
site (http://www.senate.gov
or
http://www.house.gov), click on your state to find your
Congressman. Click on “contact us” for the phone numbers and fax
numbers)
Before you
write a letter, consider the following suggestions:
Identify the bill or issue first.
Your purpose for writing should be contained in the first paragraph.
About 20,000 bills are introduced each year in Congress, so it is
important to be specific about a bill number(s). The NCSDAE web site (www.ncsdae.org)
and the Policy Committee will
reference the appropriate bill numbers in the action alerts that are
sent out.
Identify yourself
and whom you represent.
Whether you are a single concerned constituent or you represent your
adult education organization, the effort you are making on behalf of
adult education sends an important signal. If you take the time to
write, you probably take the time to vote too.
Be brief.
Keep letters concise and to the point. As a rule of thumb, stick to one
issue per letter and try to keep the letter to one page.
Include anecdotal or local information.
Let your legislator know how the issue may affect you and your program.
Include specific examples or success stories where appropriate. Key
information would include how many adults you serve, how you meet your
performance standards and other learner outcomes, and your services have
done for workers, families, and the community you serve. Describe the
reaction(s) you often receive from the adults who are successful in your
program.
Be courteous.
Even if you do not agree with the person, maintain a level of respect.
Also, be sure to appropriately commend the legislator for any past help
or support on the issue.
Ask for a specific action.
Tell your representative that you want them to take some specific
action, such as cosponsoring a bill, supporting an amendment or making a
floor statement about a particular issue. Again, the Policy Committee
and staff at NCSDAE can help you compose your request — check the
Council web site (www.ncsdae.org)
to see what most recent request is.
Personalize letters. The more personal the letter, the more impact it will have. If letters
are typed, a handwritten postscript at the bottom can be helpful. Also,
include your home address on your letter. The envelope may be separated
from the letter and your letter will be thrown away if your name and
return address is not labeled clearly. If you choose to e-mail a letter,
be sure to include your mailing address in the text.
Address the letter
as follows:
[Date]
The Honorable
[_________]
United States Senate
Washington, DC 20510
or
The Honorable
[_________]
U.S. House of Representatives
Washington, DC 20515
Dear
[Senator/Representative _________]:
Follow up.
Never underestimate the power of constituent reaction — positive or
negative — to a legislator! Did he/she respond to your request? If so,
thank them for their support. If not, don’t be shy about expressing your
disappointment. Describe the importance of your request and its impact
on your adult education services. Be sure to ask for the legislator’s
support in the future.
3. Telephoning your
Legislator
The effect of the telephone call is similar to that of letter writing.
If a significant number of calls on an issue are coming into an office
it alerts staff to specific constituent concerns. Like written
communications, volume counts. If your time is limited, making a quick
phone call might be a better way to communicate with your legislators.
Contact the appropriate staff person.
Ask to speak with the staff person that deals with the issue you would
like to address. Adult education is funded through the Department of
Education, so you should first ask for the staff person that handles
education. If he or she is not available, ask to leave a message so that
your inquiry is recorded. Keep the message brief and focused. If
referencing a specific bill, it helps if you include the bill number or
sponsors.
Do not be intimidated.
Although telephone calls may make you nervous as compared to writing a
letter because you are speaking with someone personally, you are still a
constituent with concerns that they must take seriously.
Keep in mind
the most successful advocacy is not a single event or communication.
Advocacy is an ongoing process. Each of the methods described above will
provide a way for you to establish a relationship with your legislators
and to nurture those relationships that already exist. Your legislator
needs to be reminded what adult education is and the role the services
play in ensuring that adults and families in their communities are able
to take advantage of all the benefits of living the community and make
full contributions to the community.
Thanks to
Reach out and Read(http://www.reachoutandread.org/index.html)
and The American Society of Association Executives, the sources for
these guidelines.
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