1. Voluntary Participation.
- General Rule. Take no action that removes, or could appear to remove, an employee’s free choice to participate or not to participate as he or she chooses. This includes the decision as to whether or not to give through the CFC, whether to make gifts confidential, or how much to give.
- Key language: “Participation in CFC is voluntary. Employees must volunteer on their personal time.”
- Permissible Encouragement. You may participate in and inform others of the opportunity to participate in special CFC non-solicitation events such as “kick-off” events, victory celebrations, and non-monetary award activities. You may also participate in and inform others of Special CFC events that have been approved by a CFC Campaign Co-Chair AND a DOE ethics official, consistent with agency ethics requirements.
- Impermissible Actions. The following are specifically prohibited:
- Solicitation of subordinates by supervisors;
Note: This does not prohibit agency officials from allowing “kick-off” activities or demonstrating support for CFC, and it does not prohibit individual supervisors from encouraging participation, such as through a broadly distributed memorandum - Supervisory inquiries of employee personal participation in CFC.
Note: This does not preclude a supervisor from knowing summary information about their organization’s participation; - Publicizing an employee’s particular donation election, or choice not to participate in CFC, if the employee seeks confidentiality;
Note: Employees must explicitly approve release of participation information prior to publication. - Developing and using lists of non-contributors;
- Providing and using contributor lists for purposes other than routine collection and forwarding of contributions;
- Use of the incentive, or other monetary awards program to reward donations or participation; or
- Establishment of 100% participation goals or personal dollar goals or quotas.
- Solicitation of subordinates by supervisors;
2. Use/Misuse of Appropriated Funds.
- Permissible Uses. Limited use of resources is appropriate to support the CFC because the CFC is an official Federal government program. Limited use of resources means expenditures related to “kick-offs,” victory celebrations, non-monetary awards, official time for campaign activities, and other events to build support for CFC.
- Impermissible Uses. No expenses for food, drinks, prizes, or entertainment, etc. at a special event may be charged to CFC. It is also impermissible to use appropriated funds to pay for food, refreshments, entertainment, personal gifts, or other items not essential to support CFC. The use of appropriated funds to buy incentive trinkets for CFC key workers and coordinators is discouraged. Before appropriated funds are used for the purpose of purchasing incentive trinkets, guidance must be sought from the Office of the General Counsel. However, other incentives, such as privileges (e.g., a reserved parking space for a limited period of time) are permissible.
3. Conflicts of Interest, Impartiality, and Favoritism
- Service on Local Federal Coordinating Committees. If you serve on a Local Federal Coordinating Committee (LFCC), on the charity eligibility committee, or as agency fundraising program coordinator, you may not serve on the board of directors of any organization that serves the LFCC as its Outreach Coordinator (the local entity that markets, arranges events, and educates employees for the CFC in each zone). You may also not serve as a Central Campaign Administrator of any organization that serves the LFCC (non-profit entity selected to manage funds and maintain a national website). This could constitute a violation of 18 U.S.C. § 208.
- Service on Boards of Charitable Organizations. If you serve on the board of any other charitable organization, or have an affiliation with such an organization, you may not participate in any official decisions that may appear to have a direct and predictable interest on that organization. Accordingly, you should avoid applying for inclusion on the local list on behalf of the organization, as this could constitute a violation of 18 U.S.C. § 205. You also should avoid participating in the eligibility determinations, as this could constitute a violation of 18 U.S.C. § 208.
- Actions Favoring Specific Charities. You may not:
- Endorse or encourage employees to donate to a specific charity or federation of charities, whether privately or as part of a CFC “kick-off” or special event;
- Invite specific charities to participate in CFC special events;
- Solicit donations on behalf of a charity or federation of charities with which you have an affiliation; or
- Permit a participant charity or federation of charities with which you are affiliated to make use of your official title, position, or authority, or using such yourself for the benefit of the charity.
Such actions could create an appearance either of a loss of impartiality (5 C.F.R. part 2635, subpart E), or of misusing your official position for the benefit of others (5 C.F.R. part 2635, subpart G).
4. Special Events, Games of Chance and Gambling.
- Permissible CFC Special Events. The following activities generally are permitted during the CFC campaign period, subject to approval: campaign kick-offs, victory events, awards, and other non-solicitation events. Special CFC events may be held to build support for the CFC and must be undertaken in the spirit of generating interest in the CFC. All CFC special events and any associated prize or gift must be consistent with ethics regulations and DOE regulations and policy.
All CFC special events MUST be approved by a Campaign Co-Chair AND an agency ethics official prior to the event. Effective January 1, 2017, no funds may be raised or collected in any fashion at CFC special events. Accordingly:- Items or prizes awarded during a special event must be voluntarily donated by the employee(s); and
- CFC special events must be open to all individuals without regard to whether an individual participates in the CFC. It is impermissible to charge or accept a fee, donation, or any other form of payment for participation in any CFC special event;
- All pledges received at a CFC special event must designate a specific charity. The DOE program hosting the CFC special event will not be credited for such pledges; and
- Games of chance must be conducted so as not to constitute gambling.
- Impermissible Events. Pursuant to 5 C.F.R. § 735.201, employees generally are prohibited, while on Government-owned or leased property, or while on official duty, from conducting or participating in gambling activities. In planning opportunities of chance (raffles, lotteries, door-prizes, etc.), you must avoid gambling. Avoid planning events that involve the following three elements:
- The donor wagering something of value (consideration);
- In order to participate in an event involving chance; and
- Which offers a reward or prize.
The first element is usually the one on which problems hinge. If entry into an event is based simply on attendance at a CFC event, then the game is permitted. There is nothing of value paid by the participant. For example, door-decorating competitions, quizzes, guessing games with no requirement of donation as a condition of entry are fine. If there is any requirement for a contribution, an entry fee, or expectation of a contribution, it is not permitted.
5. Improper Solicitations.
- Soliciting Non-Federal Personnel. Contractor personnel, Credit Union employees, other non-Federal personnel employed on Federal premises, and Federal retirees may be offered the opportunity to make single contributions electronically to the CFC if they so choose. However, under 5 CFR § 950.102(d), they may not be solicited to make contributions, whether directly or indirectly.
- Soliciting Outside Sources for Contributions. The CFC regulations simply permit solicitation of charitable donations from Federal employees in the Federal workplace. It does not authorize Federal agencies participating in CFC to solicit gifts to the agency from outside parties. Moreover, agency gift acceptance authorities should not be used to accomplish for CFC what cannot be accomplished under the CFC rules.
- Soliciting Funds at Special Events. New CFC regulations do not allow any funds to be collected or raised at special events, including “kick off” events. All CFC special events may only be used to raise awareness of the campaign and encourage individuals to get involved.
6. General Housekeeping.
- All correspondence with the ethics team must be done through the agency-wide coordinators.
- All agency-wide correspondence must come through the ethics office through the GC Concurrence email address. Examples include template emails, DOECASTS, scripts, etc. sent by S1, S2, and the Under Secretaries on behalf of CFC. You may send this correspondence to the ethics team first for pre-approval, but it must still be submitted through GC Concurrence for final approval.
- All marketing materials for mass distribution across the Department must be approved by the ethics team and must be submitted in advance.
- All events must be approved by GC using the event request form, and
- Must be submitted for approval at least two weeks prior to the event.
- If there is an event with a song/poem, etc, the lyrics must first be submitted to the ethics team for approval.
- No activities that would be a possible liability will be permitted.
- Please do not forward legal advice to individuals outside the agency (CFC Loaned Executive, etc.).
- Contractors are not permitted to plan or coordinate CFC activities unless it was made part of their contract.
- We are not promoting the use of employee’s personal phones to give or access CFC materials (QR Codes, etc.).
- We are not promoting the use of employee’s personal social media for CFC.
7. Photos. Unless it is a DOE-wide event, GC does not need to perform a legal review of the photo(s).
- Photos will require releases from all individuals pictured.
- A release from the photographer is required if the photographer is not a DOE employee, or if a DOE employee takes a photograph with a non-DOE phone.
- Pictures of large groups at CFC events may rely on a disclaimer sign at the event stating “Photographs may be taken for promotional purposes” in lieu of obtaining releases from each attendee.
- The DOE seal should not be in the photo unless permission has been given through MA.
8. Questions to Ask Before Approving a Kick-Off (or other event related to the CFC):
- Does it comply with all of the provisions outlined above?
- Does it have the potential to cause injury to persons or property?
- Will the event contribute to a feeling of non-inclusion for any employee or group of employees?
- Does the event have the potential to cause embarrassment to the Department?
- Will any funds be raised or collected at the event?
- Are costs for food or entertainment going to be charged to the Department?
- Is the event otherwise in good taste and representative of the decorum required in federal service?
If the answer to any of these questions is “I’m not sure,” then contact GC-21 for further guidance. We’ll be glad to discuss and give advice on any issues that may arise during this CFC season.
9. Controlling Statutes and Regulations.
18 U.S.C. § 205 - Activities of officers and employees in claims against and other matters affecting the Government.
18 U.S.C. § 208 - Acts affecting a personal financial interest.
5 C.F.R. § 735.201 - Gambling- as noted above, gambling is NOT allowed in GSA Buildings.
5 C.F.R. part 950 - Solicitation of Federal Civilian and Uniformed Service Personnel for Contributions to Private Voluntary Organizations.
5 C.F.R. Part 2635 - Standards of Ethical Conduct for Employees of the Executive Branch, specifically:
Subpart E - Impartiality in Performing Official Duties; and
Subpart G - Misuse of Position.