Request for Proposals Southern REACH 2016 Grant Year RFP Table of Contents

Transcription

1 Request for Proposals Southern REACH 2016 Grant Year RFP Table of Contents Background Information... 3 Overarching Initiative Design... 3 Who May Apply?... 3 Cross-Cutting Requirements of All Proposed Projects... 4 Expected Outcomes and Common Indicators... 4 Grantee Technical Assistance... 5 Timeline... 5 Grant Amounts and Eligible Expenses... 6 Prohibited Use of Funds... 6 Lobbying & Budget Requirements... 6 Grantee Selection... 7 Application Instructions... 8 Submission Instructions Explanation of Lobbying... 13

2 Request for Proposals Southern REACH Grant Year Born out of the merger of the National AIDS Fund and AIDS Action in 2010, AIDS United s mission is to end the AIDS epidemic within the United States. We seek to fulfill our mission through strategic grantmaking, capacity building, and advocacy. AIDS United s grantmaking portfolio dates back to the founding of the National AIDS Fund (originally known as the National Community AIDS Partnership) in For more than two decades, we have supported community-driven responses to the HIV epidemic around the country that reach the nation s most disproportionately affected populations, including gay and bisexual men, communities of color, women, people living in the deep South and people living with HIV/AIDS. To date, our strategic grant making initiatives have directly funded more than $91 million to local communities, and have leveraged more than $115 million in additional investments for programs that include, but are not limited to, syringe access, access to care, capacity-building, HIV prevention, sector transformation, and advocacy. AIDS United (AU), with funding from the Ford Foundation, is pleased to announce the opportunity for grant support through the Southern Regional Expansion of Access and Capacity to Address HIV/AIDS (REACH) initiative. The overarching goal of this initiative is to protect and advance the health, human rights and dignity of persons most affected by HIV/AIDS in the Southern U.S. Organizations located in Alabama, Florida, Georgia, Louisiana, Mississippi, North Carolina, South Carolina, Tennessee, Texas, and Virginia will be eligible for consideration through this grant opportunity, which is designed to support strategic HIV/AIDS policy, advocacy, and organizing activities led by community-based organizations, advocacy coalitions, and other allies with public policy and advocacy experience. AU expects to award grants through this initiative by January 1, Applicants are eligible to apply for up to $100,000 along with the opportunity for technical assistance (funded separately), for a one-year grant period. Most awards will fall within the range of $50,000 and $90,000. Applications are due no later than 5:00 PM Eastern Time on Thursday, October 1, Applications submitted after that time will NOT be considered. All applications must be submitted electronically via AIDS United s online application system. Like the Ford Foundation, AU endeavors to protect and promote the rights of people living with, at risk for and/or affected by HIV/AIDS. We believe that by funding policy advocacy efforts, we will help reduce the barriers created by ineffective and punitive policies, laws, and practices that infringe upon the rights of those living with HIV/AIDS; and help establish policies and laws that create an enabling environment for ending AIDS. Southern REACH engages organizations that have a history of or strong opportunity for partnering with communities most impacted by HIV and AIDS, including civil rights and social justice organizations that may not have HIV/AIDS work as their primary mission and may not regularly access traditional HIV/AIDS funding streams. Reflective of the values AIDS United brings to this initiative, special attention will be paid to projects that integrate the following: examination of the HIV epidemic in the South through a racial justice lens; meaningful inclusion of people living with HIV; intersectional (within and outside of the HIV field) collaboration within the region. Page 2

3 BACKGROUND INFORMATION Throughout the Southern U.S., there remains an enormous need to support the advocacy leadership among AIDS service organizations, human rights, public health and social justice organizations, in order to ensure their voices are heard in the policy-making and resource allocation processes. This presents the opportunity to develop and support innovative, effective service systems for individuals and communities most affected by HIV/AIDS. Affected populations and the organizations that support them must be valued and included as public policy is created, implemented, and evaluated. With implementation of the Affordable Care Act underway around the country, yet having nearly every state in the Southern U.S. not expanding Medicaid, the protection of human rights for individuals at risk for and living with HIV/AIDS is even more critical. When other areas of the U.S. are showing signs of success in the fight against HIV/AIDS, HIV transmission rates and availability of HIV care continue to be major issues for the South. The region still has some of the highest HIV infection rates in the country. This highlights the stark need for greater investment and a stronger infrastructure for HIV prevention and care in the South. We know that this will not happen without strategic and effective advocacy efforts, led by and for Southerners. Southern REACH empowers organizations in the South to tackle this crisis by helping people living with and affected by HIV to raise their voices to fight ignorance and stigma, and to promote and shape public policy that can improve their lives. OVERARCHING INITIATIVE DESIGN Southern REACH was launched in 2007 to strengthen community capacity and build strategic advocacy to address HIV/AIDS across a nine-state Southern region. Since its inception, Southern REACH has supported over 80 organizations serving historically disenfranchised populations that are disproportionately impacted by HIV/AIDS. Through this initiative, AU has awarded over $10 million in grants over a nine-year period. This initiative has focused on building the capacity of community-based organizations to respond to and advocate for policies that address the needs of their communities. This current RFP reflects the intention of Southern REACH to continue the investment in and to have significant impact on HIV/AIDS public policy and advocacy in the Southern U.S. AU will make grants to support state-specific advocacy priorities that will result in changes that will also impact the Southern region overall. Thus, Southern REACH is strategically positioned to address HIV/AIDS policy issues and ultimately help to decrease the disproportionate impact of HIV in the South. Southern REACH also includes an option to receive technical assistance, which is explained in more detail in a later section. Technical assistance (TA) may be administered via a number of different methods including inperson meetings, conference calls, and webinars. Applicants may request TA in their application and are encouraged to do so. WHO MAY APPLY? Only those applications that submit for projects under the parameters below will be considered for funding. Each applicant should carefully read and review this RFP in full before deciding to submit a request for funding. Organizations may submit only one application for consideration. Applicant agencies must be able to adhere to the following eligibility requirements: Page 3

4 Geographic Location Applicants must be primarily based and doing advocacy work in one of the nine states under the Southern REACH catchment area (Alabama, Florida, Georgia, Louisiana, Mississippi, North Carolina, South Carolina, Tennessee, Texas, and Virginia). Non-Profit Status Applicants must be non-profit, tax-exempt organizations, per the guidelines set forth by the Internal Revenue Service (IRS) with proper 501(c)(3) status. Appropriate verification of this federal status will be undertaken by AIDS United before final grant decisions are made. Organizations that do not hold 501(c)(3) status must have a fiscal sponsor that does in order to apply. Organizational Viability Organizations should be viable with or without the grant. These funds are not intended to help start new organizations or serve as a replacement for discontinued funding. Advocacy-focused Projects Only projects that are focused on advocacy or legal services provision will be funded; projects that are for direct services will not be funded. Grant Period Applicants must be able to utilize the grant funds within the 12-month period beginning January 1, 2016, and ending December 31, Please note that grant reviewers may not be familiar with any projects previously or currently funded by Southern REACH. Therefore, be sure to fully describe the proposed project and previous relevant experience. CROSS-CUTTING REQUIREMENTS OF ALL PROPOSED PROJECTS Certain areas of significance have emerged from the past nine years of grant making through this initiative and have therefore informed the direction of the Southern REACH initiative. Successful applicants will demonstrate how intersectional collaborations within and outside of the HIV field are reflected in the program design and activities. Given the nature of advocacy work in a restrictive policy environment, AIDS United recognizes that projects conducted in coalition and/or with intersectional progressive partners often maximize resources and accelerate organizing and policy outcomes. Although applicants are not required to have partners embedded within their project or budget, competitive applications will include language about explicit partnerships that will advance the advocacy goals of their project. Applicants will also need to show how voter mobilization and engagement are integrated into program activities and overall design. Further, applicants should be able to explain how the following approaches are reflected in the organization s culture, hiring practices, leadership development, as well as the program s design and activities: Racial and Social Justice Meaningful Inclusion of People Living with HIV (For more information on what this means to AIDS United, view the Positive Organizing Project s webinar here) EXPECTED OUTCOMES AND COMMON INDICATORS When addressing policy or rule change, proposals must specify the policy or rule that is intended to be changed. All projects must have measurable outcomes that fall under at least one of the four categories below. Achieve (a) specific legislative policy change(s). Achieve (a) specific administrative policy or rule change(s). Promote, increase, and strengthen leadership development for people living with HIV. Protect the legal rights of and provide legal defense for people living with HIV. Page 4

5 GRANTEE TECHNICAL ASSISTANCE Recognizing that capacity building to engage successfully in HIV work often requires more than just financial resources, this initiative will offer a technical assistance (TA) component to help maximize the success of funded organizations. TA is defined as the provision of professional support designed to build the capacity of grantee organizations and to maximize the success of grant-funded projects. This support will be provided via a combined effort of a regional TA team of consultants and collaborative capacity building relationships with Southern REACH partners. AIDS United will offer individualized TA to a subset of grantees funded through this initiative. Applicants may request this assistance through the application or the assistance may be recommended through the grant award process and the award may be contingent upon the acceptance of TA. Please note that TA is provided in addition to the monetary grant award at no cost to the grantee. Therefore, expenses related to TA should NOT be included in your project budget as a line item. Please refer to the Technical Assistance section in the application instructions to request TA. The provision of TA will be considered, recommended, and appropriately organized using the categories below; however, the list is not exhaustive. If the TA needs that are identified do not fit within the areas below, other assistance may be requested if it aligns with the grant activities proposed. Areas of direct TA Legal services TA (e.g. rights violations, building organizational capacity for effectively providing legal services); State-specific health care reform strategies (e.g. Medicaid expansion, maximizing marketplace/qualified Health Plans); Coalition building and community organizing; and Integrated voter engagement. TIMELINE The following outlines key benchmarks for the initiative: August 1, 2015 August 13 & 18, 2015 October 1, 2015 Early November 2015 November 24, 2015 December 10, 2015 January 1, 2016 March 2016 August 1, 2016 December 31, 2016 February 15, 2017 Requests for Proposals released Application assistance conference calls Complete applications due by 5:00pm ET Application stage site visits (as needed) Approved applicants will be notified of funding decisions Negotiation of final targets and execution of grant agreements Grant period begins Two to three day grantee convening Interim grantee progress reports due Grant period ends Final grantee progress reports due Page 5

6 GRANT AMOUNTS AND ELIGIBLE EXPENSES Applicants should only apply for necessary funding up to $100,000. As with any funding opportunity, grant requests may not be approved for the full amount. Most awards will likely range between $50,000 and $90,000. Grant funds may be used for the following: Direct personnel expenses or consultant costs for policy advocacy efforts; and Indirect expenses directly related to the proposed policy advocacy project activities (not to exceed 15%) PROHIBITED USE OF FUNDS Grant funds may not be used for: X Direct or grassroots lobbying (please see the Explanation of Lobbying at the end of the RFP for definitions and descriptions of lobbying and below for budget restrictions/requirements); X Expenses not directly related to the proposed project; X Medications or medical care; X Facility acquisition or renovation; X Deficit reduction or debt payment; X Displacement of existing funding sources; X Indirect expenses over 15%; or X Program or organizational development LOBBYING & BUDGET REQUIREMENTS As stated above, Southern REACH grant funds cannot be used for lobbying activities. Where an applicant intends to avoid lobbying activity entirely (as, for example, by sheltering its entire program under one or more of the exceptions noted in the Explanation of Lobbying), it does not need to bifurcate its anticipated budget between lobbying and non-lobbying activities. AIDS United understands that, in some cases, applicants may choose to engage in activities that will be considered lobbying in order to move policy forward. If the applicant intends to engage in lobbying, however, it must demonstrate that its expected resources from sources outside of Southern REACH are adequate to support its permissible lobbying activities. It is strongly recommended that applicants review all of the information about lobbying located in the Explanation of Lobbying, including activities that are not considered lobbying. Additionally, projects that include any lobbying must have at least a 10% cost-share to ensure that funds from Southern REACH will not be used for lobbying. In that case, applicants are required to provide within the budget form: (a) A breakdown of the projected budget between lobbying and non-lobbying programs; (b) A representation that funds anticipated to be received from Southern REACH will not exceed the non-lobbying amount; and (c) An explanation of the applicant s projection of funding from sources outside of Southern REACH that is adequate to meet its lobbying budget. See the section of the Explanation of Lobbying titled Determining the Costs of Lobbying Communications for additional clarification on what constitutes lobbying costs. Page 6

7 GRANTEE SELECTION AIDS United will conduct a competitive selection process that will include a committee of qualified reviewers. AU has a strict confidentiality and conflict of interest policy. Reviewers will be asked to maintain confidentiality of any materials they receive for review and report any conflicts of interest to AU before they are provided with any applicant materials. If there are no conflicts of interest and an agreement to maintain confidentiality signed, or if those conflicts can be addressed by simple recusal from a specific applicant review, then the reviewers are provided with relevant applicant materials. If the conflicts of interest cannot be addressed, then the reviewer is respectfully removed from the committee. Reviewers are provided with a review score sheet template to guide their evaluation of the proposals to which they have been assigned. The reviewers task is to evaluate the merit of the proposed projects based on the goals outlined in this Request for Proposals document and delineated in the review score-sheet template. Reviewers will assess the quality of numerous factors in the proposed project. The score sheet will provide a starting point and guidance for discussion. Detailed notes assessing the quality of the proposal will be used to make the final recommendation to the committee about whether to Fund, Not Fund, or Discuss. Reviewers will score applications according to the points allocated to each question. For the point values associated with each question and attachment, refer to the Application Instructions on pages Application instructions are provided on the following pages. Page 7

8 APPLICATION INSTRUCTIONS Completed proposals are due via the FoundationConnect online application system by 5:00pm Eastern Time, Thursday, October 1, All components of your application must be submitted by this time. If the application is submitted with any components missing, it will be deemed incomplete and will not be considered for a grant award. You can access the system through the AIDS United website, as explained below. All the information outlined below MUST be submitted through the online application system, as directed. Each question will have a character limit of 4,000 to 6,000 including spaces, however all formatting counts as HTML code and therefore increases how many characters are used. AU recommends completing the application in a word processing program before submitting online in order to monitor page count making sure to paste as plain text into the system. Application materials will NOT be accepted through , fax, mail, or express delivery. I. Grant Application Information. Organization-Specific Questions 1. Organization type (CBO/ASO/faith-based/human rights organization/clinic or medical provider/legal aid/other.) 2. Total organizational budget, rounded to the nearest dollar (current fiscal year) 3. Summarize the organization s mission (two to three sentences) 4. Geographic area served (urban, suburban, rural, reservation-based, statewide, region, etc.) 5. General Client Profile Age Gender Race and ethnicity Socio-economic status Self-identified sexual orientation Self-identified HIV status 6. If your organization is not recognized by the IRS as a 501(c)(3), please list your Fiscal Sponsor s* information. *A Fiscal Sponsor is a 501(c)(3) organization that may be acting as your financial agent if you do not have 501(c)(3) designation. Organization name Contact person at your fiscal sponsor Contact telephone number Contact address Fiscal sponsor EIN Fiscal Sponsor Address Fiscal Sponsor City/State/Zip Project-Specific Questions 1. Project title 2. Total one-year amount requested (maximum amount is $100,000) 3. Summary of project or grant request (two to three sentences MAXIMUM) II. Project Narrative The maximum length of answers in the section below should be the equivalent of 15 single-spaced pages in a word processing program such as MS Word using 12-point font. Proposals should strive to provide complete information as these following questions serve as review criteria. Page 8

9 (Note: any formatting will be converted to HTML when your responses are entered into FoundationConnect and those HTML tags will count against your character limit.) 1. Describe the HIV/AIDS epidemic in the area you intend to serve through the proposed project. Please summarize any public health data that is specific to your geographic program area to help demonstrate the severity of need for this project. Do NOT include national data/statistics. (3 points) 2. Describe the core HIV-related policy issues in the area targeted by the project (region, state, or local government). Why do those issues exist? What has been done in the past to address the issues? What is the impact, direct or indirect, on people living with HIV? (7 points) 3. Please describe your constituency (organizations, people, or community and/or political leaders) you are trying to impact. Why have you chosen to target the identified group(s)? (5 points) 4. What has the organization achieved in the past three years relevant to the proposed policy advocacy project? Please describe the organization s most significant achievements over this period. Be sure to include information that demonstrates why the organization is best suited to carry out the proposed project. (5 points) 5. In what way will the project expand current policy, advocacy, and/or organizing activities being conducted by your organization, coalition or emerging network? (5 points) 6. Expected Outcomes Describe the expected outcomes of the proposed project. Outcomes must be Specific, Measurable, Achievable, Realistic and Time-phased (SMART) and fall under the following categories. Any project focusing on changing a policy or rule must specify which policy(ies) or rule(s) will be changed or impacted. (20 points; Expected Outcomes, Evaluation, and Proposed Activities counted together) Achieve a specific legislative policy change; Achieve a specific administrative policy or rule change; Promote, increase, and strengthen leadership development for people living with HIV; or Protect the legal rights of and provide legal defense for people living with HIV. Evaluation For each outcome, briefly describe your plan for evaluating the success of the work for which you are requesting funding, including how you will collect information, measure success, and identify challenges. Proposed Activities/Actions - Please indicate which activities the organization will undertake to meet each outcome during the grant period providing a timeline of each project activity. 7. How are each of the below reflected in the project s design, hiring at the organization, leadership development, and organizational culture? (18 points) a. Racial and Social Justice; and b. Meaningful Involvement of People Living with HIV. 8. Explain how intersectional collaborations within and outside of the HIV field are reflected in the program design and activities. (7 points) 9. Explain how voter mobilization and engagement are integrated into program activities and overall design. (5 points) Page 9

10 10. List and describe the expected challenges to the project and their respective impact on the project. Please also describe potential opponents of the goals of your proposed project. (10 points) 11. Describe key people, entities, and project partners (internally and externally) and their role in the implementation of this project. Please do not merely list organizational mission statements, but describe their relevant background, experience and expected roles and responsibilities. How would their inclusion in the project help achieve the goals? Also be sure to include whether commitments to this project and their respective roles have been confirmed from all involved people, entities, and project partners. All external partners listed must have a corresponding memorandum of agreement or letter of support that state specific involvement within the state project. (5 points) 12. We recognize that achieving the outcomes of this project may take more time and resources than this grant allows. How might you sustain funding beyond this grant cycle to continue this work and achieve this project s outcomes? (10 points) III. Technical Assistance (one half page maximum) OPTIONAL: This portion of the application is not required. Please state if your organization would like to be considered for technical assistance (TA) as part of this grant. If yes, describe in specific terms the type of TA that will be most beneficial to your organization to reach your advocacy goals (see the description of TA on page 5). Please note that while TA may not be requested, the Review Committee reserves the right to recommend TA services as necessary and grant funds may be contingent upon acceptance of TA. IV. Required Attachments a) Budget Forms: Use the budget form included with the RFP documents. Do not use any budget form other than the one provided by AIDS United (downloadable from FoundationConnect) and here. A complete project budget includes the completion of at least the first two Excel worksheet tabs outlined below: 1) Project Budget The proposed project budget, including expenses by line item and justification for each line item for 12-month period, January 1, 2016 December 31, Funding requests may not be approved for the full amount. Please refer to the eligible expenses outlined in that section on page 6. Please note that the administrative indirect cost rate cannot exceed 15% in the project budget. If lobbying activities will be taking place, a bifurcated budget described under Lobbying & Budget Requirements must be utilized. (REQUIRED) 2) Funding Sources (if applicable) Please indicate the amount of funding secured and/or pending for this proposed request from other sources, including other funders or donors (individuals, corporations, foundations, and government agencies). AIDS United expects that additional funding sources will be secured to support the proposed project. If lobbying activities will be taking place, a separate funding source must be identified and noted here. Please refer to the instructions tab of the workbook to correctly complete the budget form. b) Organization s Current Annual Operating Budget (2 page maximum): Please provide the organization s operating budget for the current fiscal year (i.e., 2015 or ), including both revenue/income and expenses. (REQUIRED) Page 10

11 c) Audit your 2014 independent audit. If your organization does not have an audit, submit your 2014 IRS Form 990. If you do not have either document, you must provide a detailed letter of explanation. (REQUIRED) d) A list of the organization s Board of Directors with professional or community affiliations. Please note that affiliations of board members are a required part of this list. If the organization does not have a Board of Directors, please send your fiscal sponsor s board of directors list. If neither is available, a detailed letter of explanation is required. (REQUIRED) e) If your organization does not have IRS determined non-profit status, please include a signed letter of agreement from your fiscal sponsor. f) Organizational Chart please show all staff positions within the organization on one page. (REQUIRED) g) Diversity Table please use the form linked within the FoundationConnect system (and downloadable here). (REQUIRED) h) Memoranda of Agreement or Letters of Support from any key collaborating organizations or vested entities, if applicable. Memoranda of Agreement should reflect the concrete roles, responsibilities and/or expectations of the collaborative relationship between the applicant organization and any other supporting agency. Letters of Support should reflect how/why an organization intends to support the proposed project, how an organization and/or community may benefit from the proposed project and/or how the proposed project is filling a gap identified by a partner organization or community. Simply stating the writer supports the project will be considered non-responsive. SUBMISSION INSTRUCTIONS The online submission system may be accessed by clicking here and logging in. If the applying organization already has a FoundationConnect account, please use it to log in and access the application. If the applying organization does not have a FoundationConnect account, click the Register button to create one. If you have any difficulties with FoundationConnect, please contact Liam Cabal, or (202) , ext The application MUST be submitted no later than Thursday, October 1, at 5:00pm Eastern Time. However, we strongly encourage completing the application early to allow for unforeseen technical difficulties. Approved applicants will be notified of funding decisions by November 24, Applicants that are not selected for funding will be notified in writing no later than December 20, Please do not call or to inquire about the status of your application during the review process. Application Checklist Grant Application Information Project Narrative Project Budget - Use only the Excel template provided and submit in the original Excel format Organization s Current Annual Operating Budget Audit Board of Directors List with community affiliations Organizational Chart Diversity Table Any Memoranda of Agreement or Letters of Support Page 11

12 Assistance during the Application Process AIDS United is committed to assisting eligible applicants with the preparation of a complete and responsive application to the Southern REACH initiative. Our staff is available to answer any questions and to provide technical support. We prefer that you submit questions and requests for assistance to our dedicated address, reach@aidsunited.org, with your organization s name in the subject line of the message. You may also call Liam Cabal, Program Manager, at (202) , ext Additionally, AIDS United will convene two virtual meetings for the purpose of providing clarification about the grant announcement and key application submission tips. These calls will be held on: Thursday, August 13, 2015, 11:00 am Eastern Time and Tuesday, August 18, 2015, 3:00 pm Eastern Time Each call will take up to one hour. To register for one of the virtual meetings, please send an to Zach Ford at programtemp@aidsunited.org that includes your name, organization, and the date of the virtual meetings you would like to join. You will receive a confirmation of participation, the toll-free conference call and webinar information. Thank you for your interest in the Southern REACH initiative. Page 12

13 EXPLANATION OF LOBBYING As stated in the Southern REACH Request for Proposals, funds from this grant opportunity may not be used for lobbying activities. Please review the definition of lobbying, what is not considered lobbying, and the parameters surrounding lobbying below for more information. Definition of Lobbying. Lobbying is generally defined as attempting through communications with legislators or the public to influence specific legislation, whether pending or proposed. The legislation can be federal, state, local or foreign. Under the regulations, legislation includes all of the following: 1) specific legislative proposals, including referenda and ballot initiatives, even if they have not yet been introduced (such as model legislation); 2) treaties requiring Senate ratification become legislation under the regulations beginning when the Administration begins negotiating the U.S. position with other treaty parties; 3) Senate confirmation of Administration appointees (e.g. federal judges and Cabinet-level officials); 4) Congressional appropriations; and 5) Congressional resolutions, even if they have no binding effect. Types of Lobbying. There are two types of lobbying under the regulations: direct lobbying and grass roots lobbying. Each has a specific and technical meaning. Direct Lobbying 1) Direct lobbying is a communication with a federal, state, local or foreign legislator, staffer or other official participating in the legislative process, that: a) refers to specific legislation; and b) takes a position on that legislation. 2) Ballot Initiatives and Referenda. Communications with the general public that refer to and take a position on referenda or ballot initiatives constitute direct (not grassroots) lobbying. No call to action is required for these communications to be lobbying because in this case, the public is the legislature. 3) Executive branch officials. Most communications with executive branch officials are not lobbying for purposes of the tax regulations. A communication with an executive branch official is direct lobbying only if: the communication refers to and takes a position on specific legislation (but not executive branch enforcement or interpretation action); and the primary purpose of the communication is to influence legislation (e.g., preparing testimony for an executive branch official for hearings on proposed legislation.) 4) Some examples of direct lobbying include: meeting with legislators or their staff to discuss specific legislation; drafting or negotiating the terms of a bill; discussing the potential contents of a sense-of-the-senate resolution with legislators or staff; meeting with officials of an administrative agency to influence testimony on a legislative proposal; providing comments to legislators on confirmation of an administration appointee, such as the Secretary of State; and urging a Presidential or gubernatorial veto or signing of a bill. Page 13

14 Grassroots Lobbying 1) Grassroots lobbying is a communication with the public that: a) refers to specific legislation; and b) reflects a view on that legislation; and c) includes a call to action (except in specific cases, when a call to action isn t necessary). Some examples of a call to action include: urging the recipient to contact a legislator or staffer (e.g., Tell Congress what you think, Call your Representative ); or providing the address or telephone number of a legislator; or providing a petition, tear-off postcard, other mailing or communication, addressed to a legislator; or identifying a legislator as opposing the legislation, as being undecided, as being a member of the committee considering the legislation, or as being the recipient s representative. Note: Simply identifying the sponsor of the legislation does not count as a call to action. Important exception to the call to action requirement. The one circumstance in which a communication with the general public about specific legislation might be considered lobbying even without a call to action involves paid mass media advertisements on highly publicized legislation. The regulations presume that such paid communications are lobbying if: 1. they occur within two weeks before a legislative vote (including a committee vote); and 2. they reflect a view on the general subject of the legislation; and 3. they either refer to the legislation or encourage the public to communicate with legislators on the general subject of the legislation. Legislation is highly publicized if it receives frequent coverage on television, radio, and in general circulation newspapers during the two weeks preceding the vote by the legislative house or committee; and (2) the pendency of the legislation or its general terms, purpose or effect are known to a significant segment of the general public (as opposed to the particular interest groups directly affected) in the geographic area where the advertisement appears. 2) Some examples of grassroots lobbying include: Sending an Action Alert urging recipients to contact their legislators about a pending bill. Attending a coalition meeting to help plan a grassroots lobbying communication addressing pending legislation. Exceptions to the Definition of Lobbying or Safe Harbors Below are the significant exceptions to the definition of lobbying: 1) Nonpartisan analysis and research. It is not lobbying to make materials available that present a sufficiently full and fair exposition of a public policy issue to allow the public to form its own conclusions about the issue. This is true even if the materials both refer to and take a position on a specific legislative proposal. To qualify for this exception, materials distributed to the public may not include a call to action and may not be distributed only to people interested in one side of the issue. 2) Administrative Agencies. Executive action, judicial processes, or the work of administrative agencies such as school boards, housing authorities, sewer and water districts, and zoning Page 14

15 boards, whether elective or appointive are not determined to be legislation. Attempts to influence the actions of regulatory agencies are accordingly entirely protected, even where the agency is primarily concerned with promulgating regulations to effectuate legislative mandates. A grant applicant that intends to direct its efforts toward regulatory action should state the objectives of its project, describe the process by which it intends to influence the administering agency, and provide an explanation of how its objectives may be attained without resort to a legislative process. 3) Technical assistance. Oral or written responses to written requests for technical assistance from a legislative committee, subcommittee, or other governmental body likewise do not constitute lobbying for tax purposes. The response may include facts, analysis and recommendations, even on specific legislation. To qualify for this exception, the written request must be from a committee or subcommittee, not from an individual legislator asking on her own behalf or an informal caucus of legislators. 4) Discussions of broad social issues. Communications addressing broad social, economic, and similar issues are excluded from the definition of lobbying, even if the issues discussed are the subject of pending legislation, but the communication may not refer to specific legislation. 5) Self-defense. Communications by an organization to officials involved in the legislative process do not constitute lobbying if they concern legislation that could affect the organization s existence, powers, duties, tax-exempt status or right to receive tax-deductible contributions. This exemption is not transferable and does not apply to grass roots lobbying. 6) Jointly funded projects. Discussions with legislators exchanging information about a project that is, or might be, funded by both the organization and the government do not constitute lobbying. This exception does not include discussions of legislative topics other than the jointly funded project. In addition, it applies only to actions taken by the co-funding organization or its agents, not by grantees. Determining the Costs of Lobbying Communications In general, all costs related to the preparation and distribution of a lobbying communication must be treated as lobbying expenditures. This includes all direct costs including an appropriate share of the current and deferred compensation of all participating personnel of research, drafting, review, copying, publishing, mailing, or otherwise distributing the lobbying communication. It also includes an allocable share of overhead costs. Research is not a lobbying expenditure if its primary purpose is not for a lobbying communication or if the costs were incurred more than six months before the first lobbying use. This section is not intended to provide legal advice to applicants. Applicants should consult a lawyer or tax expert for specific questions regarding the information contained herein. Information contained in this section taken from Open Society Foundation, Alliance for Justice, and the Brainerd Foundation. Page 15