Principles for the Ethical Conduct of Lobbying: "The Woodstock Principles"

INTRODUCTION AND DEFINITIONS

Source: These Principles are the result of over three years of consultation with lobbyists, ethicists, and others familiar with and concerned about lobbying at the Federal level of government. Fuller documentation about their source and the many consultations involved in their development will be published in the Spring of 2002. Some further information about their origins is already available on this website.

Purpose: These Principles are intended to provide practical guidance to persons who engage in the process of lobbying. They reflect the essential considerations that a participant in this process should address and evaluate in order to perform the functions of a lobbyist with professional competence, personal integrity and civic responsibility. The Principles also address the decisions to be made by persons who retain lobbyists as well as by the persons whom the lobbyists seek to influence, so that lobbyists have a clear understanding of what is properly expected of them in their work as political agents.

Many of the Principles deal with the actual practice of lobbying. Others pertain to the contexts in which lobbying occurs and the consequences of lobbying for American democracy. These Principles rest on the belief that it is important for the lobbyist to remain ever mindful of an overarching issue: Does the present system of distributing and exercising political power in the United States satisfy the norms of justice and promote the general well being of our civil society?

Although we are acutely aware of the problem of money in American politics and of the role that fund raising, campaign contributions, and unregulated political expenditures play in securing access and influence with public officials, we do not directly address this critical issue in the Woodstock Principles. However, many of the principles articulated here may be relevant to the ongoing debate about money, as they address underlying concerns about the practice of lobbying today. Specific proposals to reform the financing of political campaigns are presently before the United States Congress. Our goal has been to complement these important efforts at political reform with a set of principles that address other significant aspects of the lobbyist's activity.

Definition: For the purposes of these Principles, "lobbying" means the deliberate attempt to influence political decisions through various forms of advocacy directed at policy makers on behalf of another person, organization or group.

Participants: These are the major actors and activities involved in lobbying.

Clients (including individual persons or organized interests such as business corporations, trade associations, labor unions and not-for-profit advocacy groups) retain,

Lobbyists (including those employed in the government relations function of the client organization as well as outside individuals or firms). The lobbyist then develops various methods, strategies and tactics (e.g., through design of a lobbying campaign) to accomplish the following:

Gain access
Inform
Influence
Pressure

These tactics are directed at Policy Makers (such as legislators or executive branch administrators and their staffs) who make policy decisions which affect the well being of:

The client
The American public
The local, national and international communities, and
Present and future generations of citizens.

Means and Ends: In the conduct of lobbying, the lobbyist uses various means such as

Personal reputation
Professional obligation
Cultivated rapport, and
Financial inducement.

These are used to achieve selected political goals, such as the gaining of trust, which in turn can lead to:

"Earned" access through which the lobbyist can share information and opinions that influence the formation of public policy, or "positional" influence that is based on one's standing in the public realm rather than "earned" through other means.

ORGANIZATION OF THE PRINCIPLES

The Principles are divided into seven sections dealing with the following aspects of lobbying:

1) Lobbying and the Common Good

2) Lobbyist-Client Relationships

3) Lobbyist-Policy Maker Relationships

4) Lobbyists and Shapers of Public Opinion

5) Conflicts of Interest

6) Lobbying Strategies and Tactics

7) The Integrity of the Lobbying Profession

As the preamble to the U.S. Constitution makes clear, the American government is not a collective instrument for individual or group benefit, but a carefully balanced network of free institutions deliberately designed to secure the common good. The common good, the comprehensive and enduring well being of the political community as a whole, is the proper goal of public deliberation and action. It comprises a broad range of human "goods" to which the people are jointly committed and for which they accept final responsibility. The founders articulate these "goods" in memorable terms: "to form a more perfect Union, establish justice, insure domestic tranquility, provide for the common defense, promote the general welfare, and secure the blessings of liberty to ourselves and our posterity."

In a democratic society, it is in and through the shared deliberative activity of the people and their representatives that the common good is discovered and enacted. Public policy formation is a fallible but self -correcting process in which ordinary citizens and their elected representatives seek to rise above private interests and desires in order to discern what is good for the country as a whole. This enlarged, public-spirited mentality is the hallmark of genuine political thinking. It is an essential part of civic virtue and a basic requirement of a sustainable democratic society.

PRINCIPLES

1) The pursuit of lobbying must take into account the common good, not merely a particular client's interests narrowly considered. A genuine commitment to the common good, the comprehensive and enduring well being of the political community as a whole, by clients, lobbyists, and policy makers, is essential if the integrity of American democracy is to be preserved and enhanced. To secure this end, the concerns of all citizens who may be affected by specific legislative and policy decisions should be effectively represented in the decision making process. In addition, our manner of financing political campaigns should not compromise elected officials or undermine public trust in their independence and impartiality.

a) Since the purpose of lobbying is to influence the making of public policy, lobbyists should recognize that their responsibilities are different from those of an advocate in a purely private controversy between two adversaries, such as the parties to a lawsuit. By its nature, the lobbying process is designed to influence policy makers whose choices will have much broader political consequences.

b) Therefore, in deciding whether to undertake an engagement or assignment and in determining what arguments to advance in support of, or in opposition to, a position, lobbyists should weigh the implications of their efforts for the well being of the country as a whole; and should inform both their client and the policy maker of the probable economic, social and political consequences of the policy objectives being pursued.

c) The lobbyist should give special attention to the effects of government action or inaction on the least advantaged and most vulnerable citizens.

d) While serving as an advocate for a client's position, the lobbyist retains a personal responsibility as a citizen for the fairness, integrity and effectiveness of the policy making process as well as for the substantive political outcomes to which it leads.

2) The lobbyist-client relationship must be based on candor and mutual respect.

The lobbyist should only undertake or pursue an assignment for a client whose senior management is genuinely committed to acceptable ethical conduct. The lobbyist has a responsibility to advise the client about the potentially harmful impact of the lobbying objectives, strategies and tactics being considered. This principle applies not only to the client's explicit interests and public reputation, but also to the probable effect of the lobbying goals and strategies on the common good and on the legitimate concerns of other groups, especially the poor or under-represented.

a) In determining whether to retain a particular lobbyist, a client should examine and evaluate the lobbyist's ethical history in the practice of lobbying. A client should not knowingly retain a lobbyist or lobbying firm found to have acted unethically, without first candidly discussing this history with the lobbyist and evaluating the response.

b) In discussing potential retention by a prospective client, the lobbyist should not misrepresent the lobbyist's experience, political skills, and probable access in lobbying for a particular policy. If the lobbyist or the lobbyist's firm lacks adequate resources or the relevant political contacts to represent a client effectively on a particular matter, the lobbyist should inform the client or prospective client. The lobbyist should also inform the client or potential client of all prior lobbying efforts on the issue in which the lobbyist has engaged.

c) Before accepting an engagement or assignment from a prospective client, the lobbyist should examine and evaluate the prospective client's ethical history as it relates to lobbying. The lobbyist should not knowingly accept an engagement from a client found to have acted unethically, without first candidly discussing this history with the prospective client and evaluating the response.

d) The lobbyist should only undertake an assignment or continue with an assignment from a client to the extent that the lobbyist is satisfied that the senior management of the client is committed to acceptable ethical standards.

e) The lobbyist should inform the client about ethically acceptable lobbying options and strategies and give the client the opportunity, whenever appropriate, to choose between those options and strategies.

f) In formulating advice, the lobbyist is not limited only to issues of political feasibility and legal compliance but should also discuss the moral, economic, social and civic factors that may be relevant to the client's situation and objectives.

g) The lobbyist should inform the client whether the proposed lobbying objectives and strategies are, in the lobbyist's judgment, ethically questionable.

h) The lobbyist has a responsibility to give advice to the client concerning the potentially harmful impact of the lobbying objectives, strategies and tactics. This Principle applies not only to the client's objectives and public reputation, but also to the probable effect of the lobbying objectives and strategies on the common good or on the legitimate interests of other persons or groups, especially the poor or under-represented.

i) The lobbyist should maintain appropriate confidentiality of client information and should not disclose confidential information without the client's informed consent.

j) The lobbyist should inform the client of all significant actions taken on its behalf, including coalitions formed and political contacts pursued.

k) It is wrong for the lobbyist to claim credit for accomplishments to which he/she did not contribute or to which the contribution was minimal.

3) A policy maker is entitled to expect candid disclosure from the lobbyist, including accurate and reliable information about the identity of the client and the nature and implications of the issues. Ethically responsible lobbying should serve a valuable educational function, as honest, well-informed lobbyists provide policy makers and their staffs with relevant information and incisive arguments and analysis bearing on matters of public debate.

a) In any presentations to a policy maker, the lobbyist should seek to provide factually correct, current, and accurate information. The lobbyist should not intentionally mislead or misinform any other party. It is wrong for the lobbyist to omit or fail to disclose information that is necessary to keep important statements made to the policy maker from being misleading.

b) In order to discharge these responsibilities, the lobbyist should undertake whatever inquiry is reasonably necessary to learn the salient facts bearing on the position being advanced and the statements being made.

c) The lobbyist should provide accurate and updated information to the policy maker if a change in the facts underlying important information that the lobbyist has already provided makes the information inaccurate, or if the lobbyist learns that the underlying facts were not as previously understood and that the information was inaccurate, and if the lobbyist knows that the policy maker may still be relying upon the information.

d) If the lobbyist believes that there is a substantial risk that the policy maker may be unaware of important information adverse to the position being advocated and that no one else is likely to bring that information to the policy maker's attention, the lobbyist should do so, but may explain why the policy maker should not find the adverse information influential or decisive.

e) The lobbyist should not conceal or misrepresent the identity of the client whose interests and positions are being advanced. Because the policy maker's choice may turn not only on the arguments advanced by proponents and advocates of a position, but also on their identity, the lobbyist should not participate in creating or representing a "front organization" that conceals the true identity of the clients whose interests and positions are being advanced.

f) The lobbying strategies used with policy makers should not compromise their real or perceived independence. This could occur in several ways, such as when fund raising efforts or campaign contributions or the threat of negative publicity are linked to support of a particular policy objective.

4) In dealing with other shapers of public opinion, the lobbyist may not conceal or misrepresent the identity of the client or other pertinent facts.

American public opinion is heavily influenced by the communications media. The democratic process requires that the policy maker, the communications media and the American public are accurately informed about who is promoting a particular policy and who is funding and supporting the efforts made on its behalf. The use of the media in lobbying campaigns is therefore subject to the following Principles.

a) The lobbyist may implement a lobbying strategy that involves attempting to influence policy makers though media reporting and editorial commentary. In pursuing such a strategy, the lobbyist should not engage in conduct with the media that would be improper if addressed directly to the policy maker. This principle includes the obligations to avoid misleading statements of fact and to avoid misrepresenting the identity of the client.

b) In dealing with the media on behalf of a client, and subject to the obligation to maintain the confidentiality of the client's confidential information, it is wrong for the lobbyist to intentionally obstruct or manipulate a journalist's efforts to seek accurate information that affects public policy decisions and to report on that information fairly and objectively.

c) It is wrong for the lobbyist to use campaign strategies that create unfair advantages in the decision making process for their clients. Such strategies could include "phantom" grass roots campaigns, "front" groups intended to conceal the true identity of the clients whose interests are being advocated, saturation advertising that distorts the merits of a particular issue, unscrupulous pressure on public officials, or the inordinate expenditure of money to create a very uneven playing field. This principle is particularly important in the use of political advertising in which the public has the right to know the true identity of the clients whose interests are being advocated.

d) In the pursuit of the client's objectives, the lobbyist should show the same respect for the public and its right to accurate and relevant information as is shown to policy makers and their staffs.

5) The lobbyist must avoid conflicts of interest.

In addition to civic obligations to country, the lobbyist has professional obligations to clients, and personal obligations to his/her conscience. Fulfilling these diverse obligations may lead to conflicts of interest and responsibility.

a) Except with the informed consent of all of the clients or potential clients involved, it is wrong for the lobbyist to undertake or continue a representation that creates or is likely to create a conflict of interest.

b) A conflict of interest exists

(i) if the lobbyist will be called upon to advocate a position on an issue when the lobbyist is also representing another client on the same issue with a conflicting position or

(ii) if the lobbyist's own personal beliefs, relationships or interests, including a sense of civic obligation, are likely to compromise the effort with which the lobbyist advocates the client's position on an issue.

6) Certain tactics are inappropriate in pursuing a lobbying engagement. The responsible exercise of the lobbyist's first amendment rights constrains the selection of lobbying strategies and tactics.

a) It is wrong to knowingly sponsor or disseminate false information about a candidate, person, or issue. Unless the information is not likely to be harmful to another person or to affect a policy-maker's decision, the lobbyist must promptly take steps to rectify the situation after learning that he/she has disseminated such false information without knowing that it was false.

b) It is wrong to engage in attacks on a person's character, or participate in the process of doing so, unless the information offered is directly relevant to the merits of the issue being advocated.

c) It is wrong for the lobbyist to design a campaign that is intended to divert attention from the actual impact of the policy being advocated by focusing on irrelevant or "phantom" issues intended to frighten any group or divert the public's attention from the true issues at stake.

d) Because a policy maker's judgment may appropriately consider not only the nature of a proposal but also the identity of the active proponents or opponents of a position, the integrity of the lobbying process requires that, except in extraordinary circumstances, the lobbyist should clearly identify all of the interests being represented in the attempt to influence policy.

7) The lobbyist has an obligation to promote the integrity of the lobbying profession and public understanding of the lobbying process.

The lobbyist has an important and legitimate role to play in the American political process. At this time there is considerable public ignorance and distrust of the lobbying profession. Many members of the American public are openly critical of lobbyists' political influence. Many other critics misunderstand the nature of the lobbying process and its appropriate role in shaping public policy. It is in the common interest of the lobbying profession and the American people that the public become better educated about the systemic effects of lobbying on the health of American democracy. The responsibility for this educational mission clearly rests in part with lobbyists themselves.

a) The lobbyist should help educate the public about the appropriate role of lobbying in a democratic society and should promote public understanding of and confidence in the lobbying process.

b) The lobbyist should be actively concerned not only about personally observing standards of ethical conduct, but also about enhancing the public image and reputation of the lobbying profession.

c) As a particularly active and influential participant in the democratic political process, the lobbyist should recognize that the quality, depth and fairness of public debate on a question of public policy is more important than the quantity of pressure used to influence the policy makers.

d) As a citizen engaged in a profession with a central role in the political process, the lobbyist should inform and educate both the client and the policy maker rather than simply reinforcing that person's pre-existing views. The lobbyist should inform clients and public officials about any significant, unjust consequences of a policy position being advocated.

e) In dealing with other lobbyists, including those representing clients with adverse interests, the lobbyist should (i) treat the other lobbyist as a professional colleague entitled to respect, (ii) refrain from misleading the other lobbyist, and (iii) avoid casting unwarranted aspersions on the integrity of the other lobbyist.

f) To promote the integrity of the profession, the lobbyist who obtains information establishing that another lobbyist has engaged in unlawful conduct as part of the lobbying process, including violation of the laws regarding bribery, gratuities and reporting and disclosure, should bring this information to the attention of appropriate public officials charged with dealing with such violations.