How to Ask for What You Want

Originally Published February 23, 1998 in the "Legal Times"

Planning and Executing a Substantive Lobbying Campaign

Every lobbying campaign should follow certain steps. Many of these are very basic. Yet even the most experienced lobbyists sometimes overlook seemingly obvious points. Whether you have lobbied a thousand times or not at all, whether you are a lobbyist for hire or an in-house employee, you should take the time to ensure that your lobbying plan covers the bases.

Having good contacts in the right places helps, but contacts alone aren't enough. Successful lobbying takes into account the nature of modern government. Today, more than ever, government officials work in a context of intense public scrutiny, relatively open access to information, heavy reliance on staff, and sensitivity to ethical issues. In response to these factors, the lobbyist must develop and execute a substantive strategy—for which this article offers a blueprint.

The first step in developing a lobbying strategy is to come to a clear understanding of the principal's objectives. Ask the following questions: Why is the principal retaining a lobbyist? What is the goal? What experiences have led to this goal? What does the principal hope, want, and need to obtain through a government action? 

Preparing for a lobbying effort is similar to preparing for a negotiation. The principal must decide not only the optimal legislative or regulatory solution, but also his or her own bottom line on what

minimal relief or benefit is necessary. Negotiation literature discusses the "best alternative to a negotiated agreement"; similarly, the principal in a lobbying effort must determine his best alternative to the proposed government action.

Government processes can be fluid, and a proposed law or regulation can evolve significantly before it is enacted or even made public. To be able to react to new developments quickly and appropriately, the lobbyist must have a clear idea of the principal's underlying wants and needs.

For any given lobbying goal, there are a finite number of government entities that have the authority to take the necessary action, and a limited number of people who work at these entities. Therefore, the next step for the lobbyist is to identify the appropriate arena, find the right people in that arena, and become familiar with the relevant laws or procedures.

For example, if legislation is required, determine whom in Congress you need to see. The content of a legislative proposal dictates the committees of jurisdiction. Find the appropriate committees, and evaluate the congressmen who sit on them. Look also at other members, such as those representing states or districts in which the principal has a presence and those in leadership positions.

Within this set of members, some may be particularly articulate; some may be knowledgeable on the subject matter; and some may hold a position enabling them to move a proposal forward. These are the ones you should target for action.

But before approaching any public official, familiarize yourself with the applicable authorities. Read the relevant statutes, regulations, and case law. Determine why the program or requirement that you want strengthened, weakened, or eliminated was originally enacted. Ask if it now meets that original intent, and if not, why not. 

Something to Talk About

While knowledge of the relevant authorities is essential to developing a workable proposal, it is also important in facilitating a relationship with the government official being lobbied. If the lobbyist does not have a pre-existing contact with the right person, the program or statute within that person's bailiwick may be the only matter that the lobbyist and the official have in common. Quite simply, it gives you something to talk about.

Technically, all a lobbyist needs to develop a specific proposal is a good understanding of the principal's needs and the relevant authorities. However, the sophisticated pitch—i.e., one with a real chance of succeeding—comes with an explanation of why the proposal is in the public interest. Government officials view their job as serving the public. They know that the media, interest groups, and private citizens are watching them more closely than ever. Before they take any action, therefore, they need to know not only that the action is legal and possible, but also that it makes good policy.

The "public interest" is a nebulous concept, but it generally can be expressed in one of two ways: Something can be in the public interest because it will benefit a significant group of people, or because it is just, fair, or a good precedent for future government action. Explain how your proposal meets one or both of these criteria.

But do not claim altruism as a primary motive (unless, of course, it is). To the contrary, honesty and professionalism require the lobbyist to disclose who the principal is and what the principal wants. The key is to show why the principal's desires are consistent with the public interest.

Almost any proposal for action has weaknesses and faces opposition. Certainly the lobbyist should present the proposal as favorably as possible, but any faults must not be ignored. The lobbyist should understand, and be prepared to explain, both sides of the issue. Since the government official is going to hear both sides sooner or later, it's better to explain the whole story in your own way than for the opposing party to be the first to expose a problem.

Remember that lobbying is not just advocacy, it is also education. The lobbyist who provides a complete education demonstrates credibility and a greater depth of knowledge, and over time, these attributes win the trust of public officials.

First Contact

Having developed a proposal and identified the right people to lobby, you're ready to contact those officials in person. Think of the initial lobbying meeting, like the initial negotiating session, as just the first of many. The goal of the first contact usually is to demonstrate that the lobbyist has a position, understands the policy ramifications of that position, and understands the process of achieving that position. It is unrealistic to expect the official to adopt a proposal on the first visit.

By the end of that first meeting, both the officeholder and the staff should be convinced that you are someone with whom they can work. A favorable impression will help enormously when you call to schedule the next meeting.

Government officials at all levels tend to be busy people, so help them assess your position quickly. Write a one-page paper explaining your goal and proposing a specific action. Consider refining your position if it does not fit on one page. Be prepared to provide as much additional background information as may be necessary or helpful, but don't overwhelm with too much unsolicited paper.

Hopefully, your proposal will elicit a response. Listen carefully to what the public official has to say. Many lobbyists find it easy to talk about their proposals, but do a poor job of listening to the views and concerns of the decision-makers they wish to influence.

Offer to help with staff work, such as drafting proposals for legislation, public statements, press releases, background memorandums, and so on. Congressional staff especially are notoriously overworked, yet they often have the primary responsibility for developing a proposed action and structuring the process for its consideration. If staffers agree with the position of the lobbyist and are satisfied with the quality of the work, they may adopt a lobbyist's proposals substantially, just as a judge's opinion may quote at length from the attorneys' briefs.

Finally, in every lobbying visit, state your intention and then ask for help. Request that the official consider or do something specific. Officeholders find it frustrating to meet with people who talk and talk, and never say what they want.

Beyond your contacts with the specific person or office, explore other ways to exert influence indirectly. Virtually all government officials have a constituency—voters, the media, interest groups, a boss, or others. The typical official is concerned about their approval. Therefore, you should try to harness these constituencies in favor of your proposal.

Members of Congress especially must respond to people who can be reached through public channels, such as the mass media or grass-roots campaigns. Publicity, favorable or unfavorable, is often the most powerful tool that a lobbyist can use to motivate these officials to act. (Because this tool can have a substantial and sometimes uncontrollable impact, however, use it with extreme care.)

On the other hand, agency staff officials may need to demonstrate to higher-ups that the proposal complies with, or is required by, the relevant statutory or regulatory authorities. A legal memorandum may help in this situation.

Rules and Regulations

Always be mindful of the applicable procedural and ethical rules. Procedures both arcane and dense may limit the circumstances and timing of the most willing official's consideration of your proposal. And nothing can derail an otherwise successful lobbying effort faster than the targeted official's finding himself accused of an ethical impropriety on the front page of the local newspaper.

Although the following list of procedural and ethical authorities is by no means exhaustive, these warrant special attention:

• The Lobbying Disclosure Act (2 U.S.C. §§1601-1612) requires registration of those who, as lobbyists for hire or in-house employees, contact congressional and certain executive branch officials in pursuit of a proposal. Once registered, a lobbyist must file semiannual reports, whether or not any lobbying actually occurs in the semiannual period.
• Lobbyists often seek to obtain federal moneys or tax breaks. If the amount is substantial, the Congressional Budget Act (2 U.S.C. §§601-691f) and related rules and statutes may require a "supermajority" vote, or offsets of the spending increase or revenue cut elsewhere.
• The Byrd Amendment (31 U.S.C. §1352) prohibits federal grant recipients from using appropriated money to lobby Congress or the executive branch for certain kinds of federal funds.
• Congressional gift rules (Senate Rule 35 and House Rule 52) and executive branch standards of conduct (5 C.F.R. Part 2635 and others) limit the gifts—from an elaborate fact-finding tour of a manufacturing plant to a simple cheeseburger in a local pub—that a lobbyist or principal may provide government officials and staff.

Last but not least, a lobbyist may be asked to contribute to a political campaign. You should determine in advance whether you want to make campaign contributions. (Regulations governing federal campaign contributions are found at Title 11, Part 110 of the Code of Federal Regulations.)

The lobbyist who follows the steps outlined here will develop a clear and complete understanding of the principal's goals and interests, the targeted government officials, the applicable laws, and the public interest. The lobbyist will not only contact the appropriate officials, but will also work with staff and communicate to the officials' constituencies, such as the media and voters. And the lobbyist will avoid many potential pitfalls by heeding procedural rules and ethical standards of conduct.

Once you have developed a good sense of your lobbying plan, you are ready to implement. Follow the plan. Review the entire campaign periodically to ensure that each element is set in motion; adjust the campaign as needed to respond to changed circumstances. Even the best strategy bears fruit only when the lobbyist executes with discipline and tenacity.