Welcome to the FTC!

.

.

.

.

. 

.

.

.

.

.

.

.

.

.

. 

.

.

.

.

Let’s talk ethics. 

Rev. September 2022. 
Ethics Orientation for New FTC Employees

1

Table of Contents

Part One- Ethics

The number one thing to consider BEFORE starting at the FTC......................................... 2

What to expect on your first day of work........................................................................... 6 

What to expect on your last day of work (and why you need to care now) ...................... 7 

So you want to read the rules yourself (we don’t blame you, go ahead!)......................... 8 

You have questions. Or maybe you just like talking to a real live person. Contact us....... 9 

Our lawyers made us give this to you (the ethics rite of passage since 1989)................. 10

Part Two- Not really ethics, but important stuff to know regardless...........................12

Summary of Hatch Act Restrictions.................................................................................. 13

Overview of Confidentiality and Disclosure Issues........................................................... 15

Limited Personal Use of Government Office Equipment.................................................. 21
Ethics Orientation for New FTC Employees

2

Do not work on FTC matters

that affect your interests.

When in doubt, consult an

ethics official for guidance

before working on a matter.

SCREENING FOR CONFLICTS OF INTEREST*

*the number one thing to consider before starting at the FTC

Your

Interests

financial

relational

organizational

Your

FTC Job

investigations

merger reviews

contracts

policy decisions

etc. 

Please use the Intake Worksheet on the next page to identify your

financial, relational, and organizational interests.
Ethics Orientation for New FTC Employees

3

Conflicts of Interest Intake Worksheet

(circle all that apply to you*)

What are your financial interests?

• Stocks

• Bonds

• Family trusts

• Mutual funds

• Exchange-Traded Funds

• 401(k) and other employment

retirement plans

• Individual Retirement Accounts

• 529 college savings plans

• Invoices owed to you

• Future payments from former

employers

• Business partners

• Rental properties

• Royalties or online advertising

revenues

What are your “covered relationships” (i.e. relationships the

ethics rules care about)?

• Employers and clients (current

and prospective) of a spouse,

parent, or child

• Close relatives

• Roommates

• Organizations in which you are

an active participant

• Person with whom you have a

business, contractual or other

financial relationship

• Employers and clients you

served within the last year

usually 2 years for certain senior

employees

Do you have ties to any organizations?

• Officer or Director

• Trustee

• Consultant

• Agent or Attorney

• Employee

• Business owner

• Founding member

• Contributor

• Advisory/Editorial Board

member

• Steering Committee member

• Non-profit founder

• Lead Volunteer

*These are the entities and individuals you need to watch for in

your FTC work. If you are assigned a matter that involves or

affects these persons, please consult us before working on the

matter.
Ethics Orientation for New FTC Employees

4 

Common myths about the conflicts rules: 

“Someone else will make sure I don’t get involved in any matter

where I have a conflict.”

While we wish this were true, the federal ethics rules rely largely

upon your being aware and exercising good judgment. We can help

you draft a screening memo to circulate to those who assign you

work, but it is ultimately your responsibility to screen for conflicts.

“My former clients don’t matter for screening purposes.”

The ethics rules require you to avoid all matters involving any client

you served in the past year, for a period of one year. If you are a

political appointee signing an Ethics Pledge, then both time periods

are extended (usually to two years).

“This doesn’t apply to me usually because I’m poor.”

Even if your net worth is less than zero (thanks student loans!), the

conflicts rules cover relational and organizational conflicts (i.e.

former employers and second jobs, including unpaid internships,

and the interests of your family members).

“This doesn’t apply to me because I don’t even know what I ownthat’s my investment manager’s job/my spouse’s job/my spouse’s

investment manager’s job.”

Sadly, not knowing what you own doesn’t exempt you from the

conflicts rules.
Ethics Orientation for New FTC Employees

5 

“This doesn’t apply to me; I rank too low or I won’t get to make any

of the FTC decisions or I’m not being paid by the FTC or I’m only here

as a temporary expert or I’m not even a US Citizen.”

If you have this packet, the conflict of interest rules apply to you.

*Side note: If you are going to be a GS-14 or higher, then you will

need to fill out a financial disclosure form (please contact an ethics

team member now to get a head start).

“I only need to screen for conflicts once and then I can forget about

it.”

FTC matters are moving targets and the companies or firms that are

involved can change. Your personal interests can change too.

Screening for conflicts is a continuous duty. It’s your responsibility

to always be on the lookout.

“Better to start working on a matter and see what is really going on

before screening for conflicts.”

Not a good idea. As soon as you know you have an interest in an

entity or individual involved, stop working (or never start working)

and get advice from the ethics team.

“I can’t tell my boss I’m recused from this matter because she’ll think

less of my job performance.”

Your boss cares about staffing matters with folks in compliance with

the ethics rules, probably more than you think. Also, the ethics team

is happy to talk to supervisors on your behalf

if you’d prefer for us to do so.
Ethics Orientation for New FTC Employees

6 

What to expect on DAY ONE 

(1) You will have a 30 minute presentation by an ethics official

where we cover the following topics:

Gifts from outside sources

Gifts between employees

Conflicts of Interest

Impartiality

Outside Employment (including teaching, speaking, and

writing)

Post-Government Employment Rules

Misuse of Government Position and Time

Charitable Fundraising Restrictions

Political Activities

NOTE: You will be required to confirm your receipt of this training

session by entering the appropriate info into our tracking database.

A link will be emailed to you by the ethics team.

(2) You will need to go through the ethics approval process for most

outside positions, including:

second jobs

side businesses (e.g. realtor, consultant, tax preparer, etc.)

volunteer positions

writings for pay or for free (both academic and/or online)

(3) If you are a GS-14 employee or above, you will have 30 days to

turn in your financial disclosure form. We will send you an email

with a link to the forms and the instructions. Feel free to contact an

ethics team member now to get a head start on your forms.
Ethics Orientation for New FTC Employees

7 

What to expect on your LAST DAY at the FTC 

(i.e. a preview of the ethics guidance we give departing employees)

- What are Post-Government Employment Restrictions?

o A set of rules that individuals need to abide by once they leave

government service.

- What are the prohibitions?

o Lifetime ban on representing others to the U.S. on behalf of

another person concerning specific party matters you worked on

personally and substantially.

o Two-year ban on representing others to the U.S. on behalf of

another person concerning a specific party matter for which you

had official responsibility within your last year of service.

o Senior employees cooling off period: One-year ban on

representing others to the FTC concerning any official matter.

o Ethics Pledge signers have additional restrictions.

- What is the FTC’s clearance rule?

o If an FTC matter was open during your time here, you likely need

to receive clearance before you work on it for a new employer. If

you worked on the matter while at the FTC or had access to

significant non-public FTC information about the matter, you are

unlikely to get clearance.

- Is there a penalty for violating these rules?

o Yes, 18 U.S.C. § 207 is a criminal statute.

- How can I make my post- government employment life much easier?

o Keep a personal, non-public list of every FTC matter on which you

work. You will thank yourself later.
Ethics Orientation for New FTC Employees

8 

Where to find the text of the ethics rules

Ethics Laws & Regulations: A number of statutes and regulations govern the

conduct of executive branch employees. You can find summaries of or links 

to most of them on the FTC’s Ethics Intranet page or the U.S. Office of 

Government Ethics' homepage (http://www.oge.gov/). Referring to this 

online information, however, should not take the place of talking to an FTC 

ethics official whenever you are unsure of the proper course of conduct. 

o Code of Ethics: 14 General Principles (page 10 of this packet)

o Criminal Statutes:

• 18 U.S.C. § 201: Bribery of public officials and witnesses

• 18 U.S.C. § 202: Definitions

• 18 U.S.C. § 203: Compensation to Members of Congress, officers,

others in matters affecting the Government

• 18 U.S.C. § 205: Activities of officers and employees in claims

against and other matters affecting the Government

• 18 U.S.C. § 207: Restrictions on former officers, employees, and

elected officials of the executive and legislative branches

• 18 U.S.C. § 208: Acts affecting a personal financial interest

• 18 U.S.C. § 209: Salary of Government officials and employees

payable only by United States

o Employee Standards of Conduct: 5 C.F.R. Part 2635

o FTC Supplemental Regulations:

• FTC Clearance Regulation (Post-Government Employment) 16

C.F.R. §§ 4.1(b) and (c)

• FTC Outside Employment Regulation 5 C.F.R. § 5701.101

• FTC Charitable Fundraising Regulation 5 C.F.R. § 5701.102

o Stop Trading on Congressional Knowledge Act of 2012 (“STOCK

Act”): Pub. L. No. 112-105 (2012).
Ethics Orientation for New FTC Employees

9 

Your Agency Ethics Officials

Lorielle L. Pankey is an Associate General Counsel in the Office of the General Counsel 

where she advises FTC staff on a variety of federal ethics matters. Lorielle administers the 

agency’s federal ethics program as the Designated Agency Ethics Official. Prior to her 

arrival at the FTC in 2005, Lorielle was an associate at Steptoe & Johnson LLP. Lorielle 

received her J.D. from Harvard Law School in 2003 and a B.A. Summa Cum Laude in 

Journalism, Public Relations, and Advertising from Temple University in 2000. Lorielle can 

be reached at X3108. Email: lpankey@ftc.gov. 

Craig Bannon joined the FTC’s Office of the General Counsel as an ethics attorney in

January 2017. Craig helps administer the agency’s ethics program as the Alternate

Designated Agency Ethics official. Prior to that, he worked for about seven years at the

Defense Logistics Agency in Philadelphia, PA. At DLA, he developed expertise in federal

ethics law, acquisition and fiscal law, and employment and labor law. He received his J.D.,

summa cum laude, from the University of Baltimore Law School in 2009. He is also a

graduate of the Pennsylvania State University where he received a B.S. in Business Logistics

and a B.A.in Political Science. Craig can be reached on x2067. Email: cbannon@ftc.gov. 

Jeremy Wong joined the FTC’s Office of General Counsel as an ethics attorney in April

2019. Prior to that, he worked for two years for the Department of Veterans Affairs as an

Appellate Attorney before the Court of Veterans Appeals and for about three years as an

associate at Milbank, Tweed, Hadley & McCloy LLP. Jeremy received his J.D. from the

University Virginia Law School in 2014 and received a B.S. Summa Cum Laude in Business

Marketing and a B.A. Summa Cum Laude in English at Arizona State University in 2010. 

Jeremy can be reached at X2862. Email: wong2@ftc.gov.

Andreea Micklis joined the FTC’s Office of General Counsel as an ethics attorney in April 

2022. Prior to that, she worked in private practice and for public interest organizations 

both nationally and internationally. Andreea received her J.D. from Harvard Law School 

in 2005 and her B.A. Summa Cum Laude in Economics and Spanish from Vanderbilt 

University in 2001. Andreea can be reached at X2432. E-mail: amicklis@ftc.gov. 

Regina L. Duarte is an ethics program specialist with the Office of General Counsel and

helps maintain the agency’s ethics program. Regina’s responsibilities include reviewing

financial disclosures and conducting ethics training for the FTC’s DC and regional offices.

Regina also approves free attendance to events, the acceptance of other gifts, and nonfederal travel reimbursement requests to ensure there are no appearance issues. Regina

joined the agency in 2000 in the Office of General Counsel. Before joining the agency,

Regina worked as a legal assistant for many years in the private sector. Regina can be

reached at x3547. Email: rduarte@ftc.gov. 
Ethics Orientation for New FTC Employees

10

The 14 General Principles of Federal Ethics

An ethics rite of passage since 1989

The following general principles apply to every employee and backstop the Standards of

Conduct. Where a situation is not covered by the Standards, employees shall apply the

principles set forth below in determining whether their conduct is proper.

(1) Public service is a public trust, requiring employees to place loyalty to the Constitution,

the laws and ethical principles above private gain.

(2) Employees shall not hold financial interests that conflict with the conscientious

performance of duty.

(3) Employees shall not engage in financial transactions using nonpublic Government

information or allow the improper use of such information to further any private interest.

(4) An employee shall not, unless permitted by a regulatory exception, solicit or accept any

gift or other item of monetary value from any person or entity seeking official action from,

doing business with, or conducting activities regulated by the employee's agency, or whose

interests may be substantially affected by the performance or nonperformance of the

employee's duties.

(5) Employees shall put forth honest effort in the performance of their duties.

(6) Employees shall not knowingly make unauthorized commitments or promises of any

kind purporting to bind the Government.

(7) Employees shall not use public office for private gain.
Ethics Orientation for New FTC Employees

11

(8) Employees shall act impartially and not give preferential treatment to any private

organization or individual.

(9) Employees shall protect and conserve Federal property and shall not use it for other

than authorized activities.

(10) Employees shall not engage in outside employment or activities, including seeking or

negotiating for employment, that conflict with official Government duties and

responsibilities. (FYI- the FTC has a supplemental regulation for clearing most outside

activities.)

(11) Employees shall disclose waste, fraud, abuse, and corruption to appropriate

authorities.

(12) Employees shall satisfy in good faith their obligations as citizens, including all just

financial obligations, especially those—such as Federal, State, or local taxes—that are

imposed by law.

(13) Employees shall adhere to all laws and regulations that provide equal opportunity for

all Americans regardless of race, color, religion, sex, national origin, age, or handicap.

(14) Employees shall endeavor to avoid any actions creating the appearance that they are

violating the law or the ethical standards set forth in this part. Whether particular

circumstances create an appearance that the law or these standards have been violated

shall be determined from the perspective of a reasonable person with knowledge of the

relevant facts.
12

Part Two

Not really ethics, but important stuff to

know regardless

Ethics Orientation for New FTC Employees
13

THE HATCH ACT

Permitted and Prohibited Activities for Most Federal Employees

Generally, federal employees, unless further restricted*, may actively participate in political management and

political campaigns. Accordingly, these employees may engage in " politicalactivity" on behalf of a political 

party or partisan political group (collectively referred to as "partisan groups") or candidate in a partisan

election as long as it i·s not on duty or in the workplace. Politicalactivity refers to any activity directed at the

success or failure of a partisan group or candidate in a partisan election.

For more informatio n, contact the U.S. Office of Special Counsel at (202) 254-3650 or hatchac t@osc.gov .

• May be candidates in non-partisan elections.

• May register and vote as they choose.

• May assist in voter registration drives.

• May contribute money to partisan groups and

candidates in partisan elections.

• May attend political fundraisers.

• May atte nd and be active at political ralliesand

meetings.

• May join, be active, and hold office in partisan

groups.

• May sign and circulate nominating petitions.

• May campaign for or against candidates in partisan

elections.

• May make campaign speeches for candidates in

partisan elections.

• May distribute campaign literature in partisan

elections.

• May campai gn for or against referendum questions,

constitutional amendments, or municipal

ordinances.

• May express opinions about political issues.

• May express opinions about partisan groups and

candidates in partisan elections while not at work

or using official authority.

*.All career SES employees, ALJs, and employees

identified at 5 U.S.C. § 7323(b)(2)(13)-(3) are further

• May not be candidates in partisan elections.

• May not use official authority to interfere with an

election or while engaged in political activity.

• May not invite subordinate employees to political

even ts or otherwise suggest that they engage in

political activity.

• May no t knowingl y solici t or discourage the

political activity of any person with business before

the agency.

• May not solicit, accept, or receive political

contribu tions (including hosting or inviting others

to political fund.raisers) unless both persons are

members of the same federal labor or employee

organization, the person solicitedis not a

subordinate employee, the solicitation is for a

con tribution to the organ ization's political action

committee, and the solicitation does not occur

while on duty or in the workplace.

• May not engage in political activity while on duty,

in the workplace, wearing a unifo1m or official

insignia, or in a government vehicle. For e..-xample:

o M ay not wear, display, or distribute partisan

materials or items.

o May not perform campaign-related chores.

o May not make political con tributions.

o May not use email or social media to engage in

political activity.

restricted. Reu. Feb. 2016
14

THE HATCH ACT

Permitted and Prohibited Activities

for Federal Employees Subject to Further Restrictions*

Generally, federal employees who are considered "further restricted" are prohibited from taking an active part in partisan

political managem ent or partisan political campaigns. Specifically, these employees may not engage in " political activity" on

behalf ·of a political patty or partisan political group (collectivelyreferred to as "partisan groups") or candidate in a partisan

election. Political activity refers to any activity directed at the success or failure of a partisan group or candidate in a partisan

election.

For more information, contact the U.S. Office of Special Counsel at (202) 254-3650 or hatclrnct@ osc.go v.

• l\lay be candidates in non-partisan elections.

• May register and vote as they choose.

• l\lay assist in non-partisan voter registration drives.

• l\lay contribute money to partisan groups and

candidates in partisan elections.

• l\Iay attend political rallies, meetings, and fundraiscrs.

• l\Iay join partisan groups.

• l\fay sign nominating petitions.

• May participate in campaigns where none of the

candidates represent a political party.

• May campaign for or against referendum questions,

constitutional amendments, or municipal ordinances.

• l\lay express opinions about political issues.

• May express opinions about partisan groups and

candidates in partisan elections while not at work or

using official authority.

*r urther-restrictedagencies and employeesinclude:

o Election AssistanceCmrunission

o Federal lclec tion Commission

o Office of the Director of NationalIntelligence

o Central Intellige nce Agency

o Defense Intelligence Agency

o National Geospatial Intelligence Agency

o National Security Age ncy

o National Security Council

o NationalSecurity Division (Department ofJustice)

o Criminal Division (DepartmentofJustice)

0 l 1'ederal Bureauof Invcsti!:t,ation

o Secret Service

o Office of Criminallnvcstbi ,ation (IRS)

o O ffice of In vestigativeProb,rams (Custom s Service)

o Of fice of I.aw lfoforcemcnt (AT F)

o Merit Systems ProtectionBoard

o U.S. Offic e of Special Counsel

o ·c areer members of the Senior Executive Sen-ice

o J\<lministrativc law judges, administrative appeals ju<lges, and

contract appeals board members

• l\Iay not be candidates in partisan elections.

• i\!ay not use official authority to interfere with an election or while engaged in political activity.

• i\lay not invite subordinate employees to political events or otherwise suggest that they engage in political activity.

• May not knowingly solicit or discourage the political

activity of any person with business before the agency.

• I\fa y not solicit, accept, or receive political contributions

(including hosting or inviting others to political

fundraisers) unless both persons are members of the

same federal labor or employee orga nization, the person

solicited is not a subor dinate employee, the solicitation

is for a contribution to the organization's political action

committee, and the solicitation does not occur while on

duty or in the workplace.

• May not engage in political activity while on duty, in the

workplace, wearinga uniform or official insignia, or in a

government vehicle. For example: ·

o I\ fay not wear or display partisan materials or items.

o l\Iay no r make political contributio ns.

o l\fa y not use email or social media to engage in

political activity.

• l\fay not be active in partisan po litical management. For

example:.

o l\Iay nol hold office in partisan groups.

o l\lay nor organize or manage political rallies or

meetings.

o May no t assist in partisan voter registration drives.

• May not be active in partisan political campaigns. For

example:

o !\fa y not make campaign speeches or otherwise

campaign for or against candidates.

o I\Iay nol distribute campaign materials, including via

emailor social media.

o May not circulate nominating petitions.

Rev. Feb. 2016
Ethics Orientation for New FTC Employees

15

OVERVIEW OF CONFIDENTIALITY AND DISCLOSURE ISSUES

August 14, 2013

This memorandum provides an overview of confidentiality and disclosure issues applicable to the

FTC and its employees. Chapter 15 ("Confidentiality and Access") and Chapter 3 ("Investigations")

of the FTC Operating Manual (OM) cover these issues in more detail.

General Disclosure Issues

What information is subject to limitations on disclosure?

As a general matter, staff may not disclose nonpublic agency information. Nonpublic agency

information can include information submitted to the agency, information about the

Commission's investigations and actions and information about internal agency deliberations.

Maintaining the confidentiality of nonpublic agency information is important because the

Commission's law enforcement missions depend on access to sensitive, nonpublic information

from businesses and consumers.

Unauthorized disclosure of nonpublic information submitted to the Commission is subject to

criminal prosecution and punishable by fines or imprisonment under the FTC Act, 15 U.S.C. § 50.

Under certain circumstances, unauthorized disclosure of nonpublic agency information is subject

to criminal sanction under the Trade Secrets Act, 18 U.S.C. § 1905, the Larceny Act, 18 U.S.C. §

641, and SEC Rule 10b-5. Further, government-wide ethics rules and the recently-enacted STOCK

Act prohibit government employees from using nonpublic information for personal benefit. 5 

C.F.R. § 2635.703; P.L. 112-105. Disclosures of nonpublic information may result in disciplinary

action. Commission attorneys also may be subject to disciplinary action by state bar authorities if

they fail to protect the confidences of their client, the FTC. However, disclosure of nonpublic

agency information may be permissible in circumstances defined by statute or FTC rule, as

discussed below.

Which statutes limit disclosure of agency information by FTC employees?

The disclosure of materials submitted to the Commission is strictly limited by the FTC Act and the

Clayton Act. These provisions, discussed in more detail in OM Chapter 15.4, include the following:

• Sections 21(b) and 21(f) of the FTC Act, together with Commission Rule 4.10(d), limit

disclosure of information in a law enforcement investigation if the information was

submitted pursuant to compulsory process or if it was submitted voluntarily in lieu of

such process pursuant to a request and designated confidential.

• Section 6(f) of the FTC Act limits disclosure of trade secrets and confidential or privileged

commercial or financial information.

• Section 7A(h) of the Clayton Act limits disclosure of information obtained from filings and

submissions under the Hart-Scott-Rodino Act.

• Section 21(c) of the FTC Act requires pre-disclosure notice to the submitter where the

Commission intends to disclose documents marked "confidential" by a submitter if the

Commission or its designee determines that such documents are not in fact confidential.
Ethics Orientation for New FTC Employees

16

What information may staff disclose, and how?

Public Record. Commission staff may disclose materials on the public record. Certain documents

must be placed on the public record, except to the extent that the submitter requests

confidentiality and the General Counsel or the General Counsel's designee grants the request.

Rule 4.9(b) and (c).

Availability of the Freedom of Information Act (5 U.S.C. § 552). Commission staff may inform

members of the public about the Commission's FOIA procedures, which are set forth in Rule

4.11(a). The FOIA process is also described on the Commission's FOIA web page,

www.ftc.gov/foia/index.htm, which includes a form for FOIA requesters. Any written request

from the public for records, even if it is not labeled as a FOIA request, should be forwarded to the

FOIA branch.

Materials may not be disclosed just because they were released under FOIA to another

requester. However, certain materials released under FOIA are posted on the Commission's

website pursuant to Rule 4.9(b)(10)(ix) and are therefore public records. Staff may release these

materials even absent a new FOIA request.

Certain general information. Commission staff may discuss general issues based on publicly

available information.

Existence of Investigations. The existence of an FTC investigation is nonpublic information.

Pursuant to Commission policy, however, the existence of a non-merger investigation may be

disclosed publicly if the Office of Public Affairs (OPA) determines that a target has disclosed, in

either a press release or a public filing with another governmental body, that it is the subject of

an investigation. 63 FR 63477 (Nov. 13, 1998). The existence of a merger investigation may be

disclosed if OPA determines that a party to the underlying transaction has disclosed the existence

of the transaction in either a press release or a public filing with another governmental body. 62

FR 18630 (Apr. 16, 1997). Staff must get OPA authorization for any disclosure to be made under

this authority. Nothing in this policy affects the authority of the Commission to make appropriate

disclosures concerning the existence of a nonpublic investigation whenever it determines that

doing so would be in the public interest. Id. In this circumstance, staff must obtain Commission

authorization to make the disclosure. Consult OPA or OGC for further guidance about when the

existence of an investigation may be disclosed.

In response to a complaint or inquiry about a general practice, Commission staff may indicate

that staff is concerned about the practice and that any information transmitted to the agency will

be added to the agency's files. OM Ch. 16.9.1

Disclosures in investigations. The existence of any investigation may be disclosed to potential

witnesses or other third parties only to the extent necessary to advance the investigation. Rule

2.6. Commission staff should make clear that the matter is confidential, that the purpose of the

investigation is merely to obtain information, and that no conclusions have been reached or

inferences drawn as to whether violations of law have occurred. OM Ch. 16.9.3.4. These

disclosures should be limited, particularly where they may prejudice the target. In dealing with
Ethics Orientation for New FTC Employees

17

potential witnesses or other third parties, Commission staff may not disclose specific information

submitted to the Commission that is not otherwise available from public sources. For example,

while Commission staff may contact customers identified through a customer list submitted to

the Commission, the customer list itself may not be revealed to third parties or other members of

the public.

Further disclosures may be made in taking oral testimony or in litigation. Rules 4.10(f) and (g);

OM Ch. 15, Appendix.

Disclosures to other agencies. The Bureau Directors and their designees have authority to

disclose to federal, state, local and foreign government agencies: (1) materials from submitters

who consent to disclosure; and (2) complaints received from consumers who did not request

confidentiality. 62 FR 15185 (1997). In addition, the Director of the Bureau of Consumer

Protection (BCP) has delegated authority to share certain information with a number of foreign

law enforcement agencies. 72 FR 9531 (2005). When parties to a merger consent and certain

other conditions are met, staff also may disclose specific information to states as part of a

program to facilitate federal-state cooperation in merger enforcement. OM Ch. 15.7.3.

Commission staff may disclose an investigation to another agency for the purpose of furthering

the investigation, taking care not to reveal specific information submitted to the Commission. If a

state or federal agency wants more information, it may file an access request with the General

Counsel, the General Counsel's designee, or a liaison officer under Rule 4.11 (c) or 4.11 (d). Most

nonpublic materials may be shared with other law enforcement agencies on a confidential basis.

Commission staff may also describe an investigation to a federal or state agency in general terms,

even where such disclosure will not further the Commission's own investigation, in order to

provide that agency with sufficient information to file an access request.

The MOU between the FTC and the Consumer Financial Protection Bureau (CFPB) contains

specific requirements for sharing between the two agencies. In general, FTC staff are prohibited

from disclosing information obtained from the CFPB to any third party (including to another law

enforcement agency) unless otherwise required by law or authorized under the MOU. The

restrictions on sharing include even the existence of a CFPB investigation or examination. The

MOU is available at http://old.ftc.gov/os/2012/01/120123ftc-cfpb-mou.pdf. In addition, FTC staff

should continue to use 4.11(c) requests when sharing information with the CFPB that was

obtained from a target or third-party submitter in an FTC investigation.

Requests from foreign law enforcement agencies for nonpublic records consistent with the U.S.

SAFE WEB Act are initially handled by the Office of International Affairs and approved by BCP and

the General Counsel (or a designee) in most circumstances. See FTC Act §§ 6(f), 21(b)(6); Rule

4.11(j). These provisions authorize sharing with foreign agencies when the materials requested

are to be used to investigate or enforce certain foreign consumer protection laws, to further a

Commission investigation or enforcement proceeding, or to enforce certain criminal laws with

the approval of the Attorney General. These provisions do not allow the sharing of information

obtained by the FTC in antitrust investigations. Further guidance and relevant forms are available 

on the intranet.
Ethics Orientation for New FTC Employees

18

The Director of the Bureau of Competition may respond to access requests for records and other

materials pursuant to an agreement under the International Antitrust Enforcement Assistant Act,

15 U.S.C. § 6201 et seq., after providing notice to the Commission and if no Commissioner

objects. Rule 4.11(i). Currently, there is only one agreement in effect.

Disclosures that facilitate the conduct of agency business. The General Counsel (or a designee)

may authorize staff to disclose items or categories of nonpublic materials if disclosure would

facilitate the conduct of agency business and would not otherwise be prohibited. Requests for

such authorization should be forwarded through the relevant Bureau. Rule 4.11(h).

Disclosures in writing samples. The General Counsel (or a designee) may authorize employees to

use nonpublic memoranda as writing samples, to the extent consistent with protections for

submitter's information. Rule 4.11(f).

Disclosures in teaching, lecturing, or writing. The General Counsel (or a designee) may authorize

the use of nonpublic information in teaching, lecturing, or writing, to the extent consistent with

protections for submitters' information. Rule 4.11(g).

Collecting, Managing, and Retaining Information

How do statutes protecting rights to privacy affect the collection and use of information?

The Privacy Act, 5 U.S.C. § 552a, restricts the collection, maintenance, use and dissemination of

information that will be maintained in a "system of records." A "system of records" is a group of

records under the agency's control from which information is retrieved by an individual's name

or identifier. The Right to Financial Privacy Act (RFPA), 12 U.S.C. § 3401 et seq., restricts access to,

and disclosures of, certain customer financial records in the possession of financial institutions.

See OM Chs. 15.10, 15.11. Other privacy statutes, such as the Electronic Communications Privacy

Act (ECPA), 18 U.S.C. §§ 2701-03, and the Health Insurance Portability and Accountability Act

(HIPAA), Pub. L. No. 104-191, may limit or prohibit the agency from obtaining or disclosing

information pertaining to individuals. Further guidance is available from OGC and on the Privacy

Steering Committee and BCP intranet pages.

What are the custodial requirements for documents submitted to the Commission?

Section 21(b) of the FTC Act and Rule 2.16 impose special accountability requirements for

documents submitted to the Commission pursuant to compulsory process, and the Commission

extends similar treatment to other submitted documents. OM Ch. 3.3.6.6.4.3. Commission staff

who receive submitted documents, including individuals designated as custodian or deputy

custodian of documents, should be thoroughly familiar with these provisions.

Which provisions govern the disposition of documents submitted to the Commission?

Before disposing of submitted documents, Commission staff should consult the document return

requirements contained in Section 21(b) of the FTC Act and Rule 4.12, as well as the record
Ethics Orientation for New FTC Employees

19

retention requirements of the Federal Records Act, 44 U.S.C. § 3301. OM Ch. 15.12. Specific

guidance on the Federal Records Act retention and disposition schedule may be obtained from

the Records and Filing Office.

Responding to FOIA Requests

As described above, requests from the public for records are processed under the Freedom of

Information Act. Any such written request should be forwarded to the FOIA branch.

When the FOIA branch receives a request, it contacts the appropriate staff. Staff is responsible

for locating responsive documents and should be prepared to demonstrate the adequacy of the

search in an affidavit should the issue be litigated. Staff also is responsible for preserving

responsive records during the pendency of the FOIA request and appeals and for recommending

release or withholding of responsive records. A recommendation to withhold documents must be

based on one or more exemptions from the FOIA's mandatory disclosure requirements. OM Ch.

15.4.

Responding to Congressional Requests

Congressional access requests are coordinated through the Office of Congressional Relations and

assigned to the staff who are most familiar with the substance of the matter at issue. The 

procedures for processing requests from Congress are described in OM Chapter 15.6.

Responding to Confidentiality Requests

Submitters of information to the Commission often request confidentiality protections. If the

materials at issue routinely are put on the public record under Rule 4.9(b), the General Counsel

(or a designee) will consider confidentiality requests under Rule 4.9(c) prior to disclosure.

If the materials are not subject to routine placement on the public record, specific assurances of

confidentiality should not be provided beyond the protections of the FTC Act and the

Commission's Rules. However, the protections routinely accorded to most materials submitted to

the Commission, as described in Chapter 15.4 of the Operating Manual and further summarized

in Illustration 1 of that Chapter, are substantial.

Commission staff should not make commitments to maintain confidentiality beyond those set

forth in Illustration 1, a sample letter in response to a request for confidentiality of submitted

documents. For example, staff should not negotiate any agreement that purports to limit the

Commission's authority to make disclosures authorized by law.

Whistleblower Protection Enhancement Act of 2012

The nondisclosure provisions discussed in this memorandum are consistent with and do not

supersede, conflict with, or otherwise alter the employee obligations, rights, or liabilities created

by existing statute or Executive order relating to (1) classified information, (2) communications to

Congress, (3) the reporting to an Inspector General of a violation of any law, rule, or regulation,
Ethics Orientation for New FTC Employees

20

or mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific

danger to public health or safety, or

(4) any other whistleblower protection. The definitions, requirements, obligations, rights,

sanctions, and liabilities created by controlling Executive orders and statutory provisions are

incorporated into this memorandum and are controlling.
Ethics Orientation for New FTC Employees

21

Limited Personal Use of FTC Property

Chapter 5: Section 300 (Part 4 Excerpt) - Standards of Conduct

(Updated March 2019)

In the execution of the Commission’s work, employees have access to a wide array of

government property. Generally, applicable standards of conduct prohibit employees from

using government property to include items such as telephones, computers, e-mail, mobile

devices (e.g., smartphones, laptops, and other similar equipment), fax machines,

photocopiers, office supplies, and other government property for any purpose other than

official government business. However, to avoid undue disruption during the workday and

to facilitate the agency’s mission, the agency has authorized the limited personal use of

government property, including information technology, by FTC employees. Personal use

of government property is a privilege, not a right, and it may be revoked or limited at any

time. Each employee is responsible for reviewing this policy and using care and good

judgment to ensure that any personal use of government property is authorized,

appropriate, and complies with this policy.

A. Permissible Use.

(1) Except for the prohibited uses listed below, employees may occasionally use government

property for personal purposes when such use:

(a) Involves minimal or no additional expense to the government;

(b) Is reasonable in duration and frequency;

(c) Does not impede the employees’ or their colleagues’ productivity or interfere with the

agency’s mission or operations; and

(d) Does not violate the Standards of Ethical Conduct for Employees of the Executive Branch

or any other applicable provision of law.

(2) The following examples apply:

(a) Office Equipment. Employees may use agency office equipment to print, copy, or fax

personal papers as long as such use does not impede another employee’s use of the

equipment for official business. Personal use should take only a short time and involve no

more than normal wear and tear on the equipment and a negligible amount of electricity, ink,

toner, and paper.

(b) Computers and the Internet. Occasionally, employees may use the agency’s e-mail

system to send personal e-mail messages or use the Internet, for short periods, to view Web

pages for personal reasons. This use is limited to situations where the government is already

providing the service or equipment and personal use will not result in greater than a de

minimisexpense to the Government. For more information, see the FTC’s Appropriate Use of

Information Technology policy (Administrative Manual, Chapter 1, Section 310). Downloading

or installing unauthorized software (including any system modification) is not allowed because

it can cause computer damage, disruption of service, or create security problems. Such

activity could also violate the FTC’s Computer Security policy (Administrative Manual, Chapter 

1, Section 550) and other related FTC guidelines.
Ethics Orientation for New FTC Employees

22

(c) Telephone Use (Office Desk Phone). FTC telephones are government equipment and,

generally, are to be used to conduct official business only. However, employees may

occasionally make and receive personal calls under this limited use policy, provided they do

not incur additional charges to the Government. No additional charges are incurred by usage

of an office desk phone for domestic calls. Employees should consult with their supervisors

and the Office of the Chief Information Officer before making personal calls to international

locations. Further, to comply with this policy, personal calls:

(i) must not adversely affect or interfere with the performance of official duties by the

employee or the employee’s organization;

(ii) must be of reasonable duration and frequency; and

(iii) could not be reasonably made at another time.

(d) Mobile Device Use. Although mobile devices like smartphones are provided to

employees to enhance and support the FTC’s mission, occasional limited personal use of

these devices is also permissible, provided that such use does not incur additional charges to

the Government and otherwise complies with this policy and the FTC Rules of Behavior for 

FTC-Issued Mobile Devices. Generally, no additional charges are incurred by domestic

usage of an FTC-issued smartphone, unless the Agency’s pooled minutes are

exceeded. Employees should consult with their supervisors and the Office of the Chief

Information Officer before making personal calls to international locations. NOTE: before

using any FTC-issued mobile device while traveling internationally, employees must

review and comply with all relevant procedures in the FTC Rules of Behavior for FTCIssued Mobile Devices (e.g., requesting a loaner smartphone device and laptop for travel to

Countries of Particular Concern).

Because mobile devices often have cellular phone, e-mail, internet capabilities, and other 

communications features or services, many of the guidelines for appropriate limited personal 

use that are applicable to FTC telephone and computer security must also be observed when 

using mobile devices for non-official business purposes. For example, while waiting to attend 

an offsite meeting, employees may use the internet services of their FTC-issued smartphones 

for a brief period to check news or other information, just as they would do if they were sitting 

in their offices working on their FTC-issued computers. Further, while employees may use a 

smartphone to make phone calls on a limited basis if needed, this device is not a personal cell 

phone and must be used under the same parameters as employees would use their office 

telephones. 

Reasonable and prudent care and good judgment should be exercised at all times to ensure 

that any non-official personal use of mobile devices or the services associated with such 

devices involves minimal use of official time and government resources. All employees are 

responsible for ensuring that they are aware of, and understand their responsibilities with 

respect to, limited personal use and information security of all information technology, 

including mobile devices, under this and related policies. 

B. Prohibited Use. The following uses of agency office equipment, including the

information technology equipment described above, are always prohibited:

(1) Engaging in any illegal, inappropriate, or offensive activity (including harassment,

gambling, or downloading, viewing, posting, or sending pornography or material containing
Ethics Orientation for New FTC Employees

23

offensive references to race, sex, religion, national origin, physical or mental disability, age,

or sexual orientation);

(2) Sending personal communications under an employee’s official title or giving the

impression that an employee’s personal activities are endorsed by the government, except

that an employee may sign a letter of recommendation on FTC letterhead using his or her

official title for an employment recommendation or character reference based upon personal

knowledge of the ability or character of an individual: (i) with whom the employee has dealt in

the course of Federal employment, or (ii) whom the employee is recommending for Federal

employment;

(3) Fundraising (other than participating in the Combined Federal Campaign or another

officially authorized fundraising event);

(4) Engaging in partisan political activities, except that the Commissioners (not their staffs)

are authorized to engage in a de minimis amount of political activity while on duty or in the

workplace, provided they do not use appropriated funds for such activities;

(5) Using government property in a manner that will result in greater than a de

minimisexpense to the government;

(6) Sending mass mailings;

(7) Running a personal business or engaging in other “for-profit” commercial activities;

(8) Serving, with or without compensation, any entity (for-profit or non-profit) as an officer,

director, trustee, employee, agent, attorney, consultant, contractor, or general partner, or

engaging in compensated or uncompensated teaching, speaking, or writing, unless the

activity is covered by the FTC’s pro bono policy.

(9) Posting agency information to external news groups, bulletin boards or other public

forums without authorization.

C. Privacy. Employees generally have no right to privacy in their use of government

equipment. If employees want their personal activities to remain private, they should not

use government computers, telephones, smartphones and other cell phones, or other

government communications devices. Agency officials monitor such equipment to ensure

system performance and appropriate use.

D. Penalties. Improper or unauthorized use of government office equipment may result in

agency management limiting or revoking an employee’s use of such

equipment. Equipment misuse may also lead to disciplinary or adverse actions up to and

including removal from Federal service, financial liability for the cost of the improper or

unauthorized use, and criminal penalties.

(10) Other Relevant Laws and Regulations

While this Section summarizes generally each employee's obligation to avoid actual and

potential conflicts of interest, it is not a substitute for reference to the actual laws and
Ethics Orientation for New FTC Employees

24

regulations governing employee conduct and may not be relied upon to assert compliance

with applicable laws and regulations. Each officer and employee of the Commission,

including each special Government employee, is responsible for reviewing, when

necessary, and abiding by the ethics rules and laws that govern his or her conduct.

6. Ethics Advice

If an employee is unsure about the proper application of the Government-wide Standards

of Conduct (or any other ethics law or regulation) to a particular situation, the employee

should discuss the matter with his or her supervisor and refer to the Ethics Page on the

FTC Intranet. Any matter that cannot be readily resolved should be referred to an agency

ethics official. Agency ethics officials are located in the Office of the General Counsel and

are available to provide ethics counseling and advice to Commission officials and

employees. Ethics officials keep all discussions confidential, unless required by law,

regulation, or policy or if necessary to obtain additional guidance from another ethics

official, including those of the U.S. Office of Government Ethics. However, disclosures

made by an employee to an agency ethics official are not protected by an attorney-client

privilege. 5 C.F.R. § 2635.107(b). Agency disciplinary action for violations of the

Standards of Conduct or any agency supplemental regulation will not be taken against an

employee who has proceeded in good faith reliance upon the advice of an agency ethics

official, provided that the employee, in seeking such advice, has made full

disclosure of all relevant circumstances. Id.
~\" fT0e.Mp~~~ 

?Mzzle.ti ~ ~ic..s. 1,t'CU..tiot\s.f Gke.c..k 

-4--kQ, t;&ic..s. -1-\-oM~A~Q, ot\ ,t.kQ, \t\-h, M~. · 

I . 

When in doubt, 

give Ethics a shout! 

Visit the Ethics 

Homepage on the Intranet. 
. 1:>eA"' fTVQ.Mplo~~ 

Spu.J. "'°"'"k it\ 4,kQ, WCW'kplt,.c..c2, bl,\+ S.OMQ, 

pi+ s.ti>ps. AV'C!, ~iV'~. '""""Q, AA eA-kic..s. 

~Q.S..fiot\f 5-h,p s.pit\t\it\~ ~"'"' wkuls. AM 

e-,or\tA'-'+ 4-k~ C-4-kiG-,S- T ~M~ 

When in doubt, Visit the Ethics 

give Ethics a shout! Homepage on the Intranet. 
'l>CUA"' fTG,C!.M~~~ 

5oM~ .J.kit\~S. IA\"~ Mot'~ f>"'U..ioKS. .J.kM 

o+kQK's. - +k~ pKblic..' s. 4-t'Ks.+ is. ot\~ 

· e«IM\p(e,. C,o..,QK't\MCU\+ s.QK'"i~ wi+k 

it\~t'i1⁄2 ~it"e& ~oKt" s.pu..i-.l -.~.fiot\. 

7 

Homepage on the Intranet. 

When in doubt, Visit the Ethics 

give Ethics a shout! 
· ~"" fTVe.Mp~ 

Gku.s.e.,~e.,h. b~ wi+k A~­

fit\Me,,ilAI M+A .loe.si\' +. S+A~ (M\"n.;\+ 

. o~ ~OM\" ~s.oMI i~-1e.s.+MeA-h. +u IJ\'loi.l 

e,o,i{ic-,-h, of it\~e&+ A+ WO~~ . 

.... 

I 

Homepage on the Intranet. 

When in doubt, Visit the Ethics 

give Ethics a shout!