FTC) Publications the Ethicist, 2015-2017 and 2017 Ethics Calendar

Description of document: Federal Trade Commission (FTC) publications The Ethicist, 2015-2017 and 2017 Ethics Calendar

Requested date: 21-January-2017

Released date: 08-March-2017

Posted date: 13-March-2017

Source of document: Freedom of Information Act Request Office of General Counsel Federal Trade Commission 600 Pennsylvania Ave., NW Washington, D.C. 20580 Fax: (202) 326-2477 Email: [email protected]

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Via email

Re: FOIA-2017-00416 FTC Ethicist publication

This is in response to your request dated January 21, 2017, under the Freedom of Information Act seeking access to The Ethicist and Ethics calendar. In accordance with the FOIA and agency policy, we have searched our records as of January 23, 2017, the date we received your request in our FOIA office.

Some information is exempt from release under FOIA Exemption 6, 5 U.S.C. § 552(b)(6), because individuals' right to privacy outweighs the general public's interest in seeing personal identifying information. See The Lakin Law Firm v. FTC, 352 F.3d 1122 (7th Cir. 2003).

If you are not satisfied with this response to your request, you may appeal by writing to Freedom oflnformation Act Appeal, Office of the General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue, N.W., Washington, D.C. 20580, within 90 days of the date of this letter. Please enclose a copy of your original request and a copy of this response.

You also may seek dispute resolution services from the FTC FOIA Public Liaison Richard Gold via telephone at 202-326-3355 or via e-mail at [email protected]; or from the Office of Government Information Services via email at [email protected], via fax at 202-741-5769, or via mail at Office of Government Information Services (OGIS), National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740.

If you have any questions about the way we handled your request or about the FOIA regulations or procedures, please contact Anna Murray at (202) 326-2820.

~ ~~?'">/ ~,_ Dione J. Stearns Assistant General Counsel Att: 43 pages • • •

During the holiday season, questions often arise about the solicitation and acceptance of gifts. These rules can be tough to keep straigh t. W e present you with a lilting poem to inspire seasonal cheer, and to help navigate various holiday scenarios. Fa la la! Gift Cards 101: What are you IHoliday Poem allowed to give? Tfie fwfiaay season - a 'Even otfi.ers wfio give can As office holiday parties draw closer , you may be time for good cfieer! cause_pro6{ems for me. tempted to give a gift card during gift exchanges. J"or egg n.og, for _parties, If my jo6_prompts tfie giv However, not all gift cards are created equal, since for frienas to he near. ing - my _posiUon, you see. some are equivalent to cash , and cash is never an 'But I must 6e carefu( 'But (ucky far me, acceptable gift in the federal workplace. Here's a Lest I acce_pl free Some exceptions exist. breakdown of the types of gift cards. you can and ..'A gift not _permittec[, no 'T'fiey're in su6yart 'Band cannot swap during that game of White Elephant:. matter Ii.aw wee. sfiou(dnot 6e missed: Gencal-use prepaid cards ma:y not be accepted 'Part two six tfiree five of I can yay market va(ue if under ihe $20 de minimis exception, regard lw of iheir 11alue. These cards generally tfie 5 C:f'R tfie gift I ao Cifie, bear the logo of a paymen t network, such 'Ex_p(ains in aeta i( tfie re(e Or I can at my oytion say as Visa, MasterCard, or American Ex· vant Gar. "90 ta fie a fi i.R.e." press, and are accepted by any merchant It defines tfie term gift I can a{ways say no, that accepts those credit o r debit cards. as. 'T'o mean aHtfiin.gs wort.Ii 'But I neec[ not dedine. payment. money. wortli twenty or (ess If S1ore gift cards ma:y be accepied under ihe $20 de 'T'fiat 's :NB.'A ticlie ts or jars Lfien tfie gift can 6e mine. minimis exceplion. A gift card to your ju{(of fioney. favorite. coffee. chain or bookstore, for 'T'fiis exceytion lias pron'!J'l example,. is. okay. Some gifts niay 6e taken easome very {oua fj,o{(ers. A mall gifi card or a gift card for an online markel· Gut smne are ver6oten. It says gifts are oR.ay if place is considered 10 be a siore gifi card and 'T'fie source is tfie fiey - it's wortfi twenty ao((ars. may be accepted pursuani w ihe de minimis tfie ruie tfiat I'm quot-in'. 'But sure(y tfie pu6(ic exception. Wlien. from me or otfiers Is certain. to see, Gift cards thai are coin-anded wiih the logo of a Tfie source see/is some act, I cou(c[ never 6e 6ougfit for payment neiwork and ihe logo of a merchani I mustJina an exce_ption a san

In this newsletter, you'll find relevant, timely advice o n ethics issues, along with some reminders about upcoming deadlines When in doubt, give and perhaps a fun fact or recipe every now and again. We en Ethics a shout! courage you to let LIS know what other informatio n you would find helpful.

hank you for reading the FTC Check us out on the Intranet! Ethicist! ntranet.ftc.govI cfportal / ethics~/ IHo liday Poem Continued I 'Restrictions apy(y so it aoes In tfie case of most parties, I al-ways fooR.forwarcrto my not suffice tfie ru{e's not so dear office party. To yay twenty 6ucR.s for a .'As tfie aaency must liave an We're a{(i.naoodmoodS an.a aift twice tfieyrice. interest, Ifea1'. tfie food' is so fl.ea rty. .'And in any one year If wortfi more tfian twenty Ifno ann is twisted; I can't use it, of coii.rse, _ .'Anc( it's no friend' true, Co{(ecting is oR.ay To go over tfie flmit - fifty Tfien J'a 6etter seeli gui.d'- To malie sure tfiat everyone ao{{a rs _per source. ance or I cou{c( be b{ue. lias a good' day.

:for aifts tfiat a friend or Wfien foreign offici.a{s are 'But fina{(y, fi

Tfie ru{e's mucfi Lfie same in I can Bive Lo my 6oss lo a Tne same ru{es ayp(y to ayer- tfie case of my spouse Cimit of ten - son wfio signec( Wfi.o f1ayyens to worli as sfie .'A 6ase6a({, a cay, or a 6{ue 'Except tfiere 's an extra gift can't stana our fiouse. 6al(point _pen. ru{e tfiat's ensfirined: .'Artfiougfi fier emp{oyer If not to my 6oss :No aifts from a source Is one of tfiose sources, Or my cfiain of command; Listed as "{o66yist" - I can go to tfieirfete and- To a friend' I can give more 11iouafi no friend' or R.in is re- a·voia more divorces. witfiout 6eing canned: qui.reato 6e tfissecf'. Outside Activities: What You Need To Know Fall weather is upon us! And with the an outside organization: officer, direc· nonprofit charitable, religious, profes Autumn festivities come such fun out· tor,. employee. agent, attorney, consult· sional, social, fraternal, educational, side activities as pumpkin carving, ap ant, contractor, general partner, or recreational, public service, or civic ple picking, and leaf raking. These trustee. organization, unless. such activities and other delightful outside activities involve the provision are possibly on your weekend agendas, Even if you don't DON'T BE SPOOKED! of professional services hold a formal posi· and while the Ethics Team hopes you You can easily remember whether or advice or are for tion, if the work you enjoy the outdoors, we also hope you or not you must submit an outside compensation other are doing is parallel have disclosed certain outside activi· employment request by asking your· than reimbursement ties to us that need prior approval. to your official posi· self three questions: of expenses. tion at the FTC, I. Am l paid? A supplemental ethics regulation pro then it is considered 2. Am I rendering a professional By keeping your super· vides that all FTC employees must a professional ser· service? visor and the Ethics seek and receive prior written approval vice. Examples in· 3. ls the organization l serve a team informed of your from your supervisor and from the elude attorneys that for-profit? outside activities, you Designated Agency Ethics Official be are teaching, speak· lf you answered yes to any of these will avoid conflicts at fore engaging in any outside employ· ing, and writing on questions, you need an outside the FTC and ensure employment request, available here: ment, whether or not for pay. This legal topics may you don't run afoul of https :/Jfr Cl n rr.1 m•r. frc :J.:!.>\/ ft 1rn1s/ J:<.'11 regulation does not pertain to employ· need prior outside cnsl/ftc-4 74.pdt the law. For example, ment and activities that: I) are unpaid; activity approval. . a criminal statute pro 2) do not involve rendering Likewise, econo- hibits you from speak· "professional services;" and 3) are per· mists that are doing economic teach· ing to the United States with the in· formed to benefit certain types of non· ing, speaking, or writing need prior tent to influence official action on profit organizations. approval. Also, if you are an IT special· behalf of others (one of many reasons ist, and you are fixing computers on to get tailored guidance from the Eth· Whether or not you receive compensa the side, you will need an outside em· ics Team about your personal endeav· tion is straightforward. Less obvious is ployment request. ors). Leave the scary ethics analysis to whether the services you provide are the professionals, and call the Ethics professional, which includes but is not Prior approval is not required, howev· team with any questions. limited to holding these titles within er, to participate in the activities of a Reminders: The limited personal use policy does NOT apply to outside activities. Do NOT reference your FTC title in connection with your personal activities unless the Ethics Team first tells you it is OK. Because public service is a public trust, each U.S. Government employee has a responsibility to fHJhere to the various laws and ethics regulations that guide the performance of his or her official duties. Each employee must avoid, at all times, creating even an appearance of partiality or con flict of interest.

This newsletter has been developed as part of our ongoing effort to help FfC employees main Offlcc0 <)f the Gcncrn l Cou1Hcl tain these high standards of ethical bt:havior. It is NOT intended as a substitute for seeking onc on-o ne advice from an agency ethics official whenever you are uncertain about how tO act proper ly in a given situation. Our names and phone numbers are listed here and we encourage yo u to FTC ETHICS TEAM contact us. Chri<1ian S. White (x 2476) Lorie/le L Pankey (xJ I 08) Alice Bartek-Santiago (x2 I 91) ln this newsletter, you'll find relevant, timely advice on ethics issues, along with. some reminders Regina D1uirre (x354 7) about upcoming dead lines and perhaps a fun factor. recipe every. now and again. We encourage you to let us know what other information you would find helpfu l. When in doubt, give Ethics a shout! Thank you for reading the FfC Ethicist!

~Check us out on the Intranet~ ~ntranet.ftc.gov/cfporta l/eth~

Conflict of Interest Get Nets Employee $900 Fine approval before Whe n determining which company should receive doing outside a contract to produce a video on Y2K issues for the work! Department of Commerce, a producer/director in the Office of Public Affairs settled on a small pro duction company that specialized in voiceover work. There was only one small problem-the company was owned by the employee and his wife.

The Department of Commerce eventually paid the We continue to seek entries for the "Ethics K- company over $10,000 for their work, earning the 9. Korner," which features an aJ orable pooch employee and his wife a profit of over $1000. with an ethics. tip. This quarter's winner is Kori. His proud Unfortunately for the employee, hjs fifteen minutes owner i (b)(6) in BC, Mergers II. of fame were cut short by a District Court Judge, who sentenced him to one year of probation, 100 og cuter. rove it. Send entries to: hours of community service. and a $900 fine. The [email protected] employee was found guilty of violating 18 U.S.C. 208(a), wbjcb bars employees from participating personaJly and substantially in a matter in which they have a financial interest. Enjoy our Ethics K-9 Korner? Be on the lookout for another fun Ethics. K-9 learning tool coming soon! Brought to you by T he FTC Ethics T eam The FTC Eth-ici ~ ( . •

DON'T MAKE IT PERSONAL New To The Commission?

Thinking about writing your cellphone carrier WELCOME! to complain about your bill using FTC letter head? W ant to post a remark in an online com If you. are new to the FTC, the. Ethics Team would like to welcome you on. ment box using your fee.gov email address? Stop! board! To get your journey at t he agency started without a hitch, here is a Remember that you may not use your official title checklist of important legal requirements. Have a question? Contact us! to coerce; to endorse any product, service o r en· terprise; or to give the appearance of governmen • Ethics Orientation: You must attend lnltlal eth- tal sanction. 5 C .F.R. § 2635. 702 FTC letter· lcs orientation when you arrive to the FTC. head must not be used for personal correspond ence (except for certain recommendation letters). • GS-14or15: You must submit a confldentlal Think twice before referenci ng your FTC posi· flnanclal disclosure form within 30 days. tion in connection with a personal matrer. There Senior Staff: You must submit a public flnanclal are also resrrictions o n using agency resources for • disclosure form within 30 days. personal matters. Read the FTC's Limited Per· sonal Use Policy. • Outside Employment: You must obtain prior You may use your FTC title in connection approval for most outside actlvltes from your with a personal activity when: supervisor and the Ethics Team.

• Providing a personal recommendatio n for Gifts: If someone offers you a gift due to your someone you either worked with in Federal • offlclal position, contact the Ethics Team to employment o r whom you are recommend determine If you may accept It. ing for Federal employment. Widely Attended Gathering: If someone offers • Providing a biography in connection with a • free attendance to an event, contact the Ethics speaking or writing activity if your title is Team to determine If you may accept the lnvl- given no special prominence. tatlon. • Pu blishing an article in a scientific or profes • Ethics Training: GS-14 employees and above sio nal journal if there is an appropriate dis must receive annual federal ethics training. claimer. The Ethics Team wlll soon provide training to all employees. Because public service is a public trust, each U.S. Government employee has a responsibility to adhere to the various laws and ethics regulations that guide the performance of his or her official duties. Each employee must avoid, at all times, creating even an appearance of partiality o r con () fllct of interest. This newsletter has been developed as part of our ongoing effort to help FTC employees main tain these high standards of ethical behavior. It is NOT intended as a substitute for seeking one· Office of the General on-one advice from an agency ethics official whenever you are uncertain about how to act proper Counsel ly irt a given situation. Our names and phone numbers are listed here and we encourage you to contact us. FTC ETHICS TEAM Chris1ian S. \\l'hi1e (x 2476) In this newsletter, you'll find relevant, timely advice on ethics issues, along with some reminders Lariclle L. Pank

When in doubc, give Thank yolt f~r reading the~heck us out on the lntrane~~ Ethics a shout! ITC Ethicist. ~tranet.ftc .gov/cfpodal/eth~

REMINDER: Fedcrnl taxe.s are due Monday, April 18, 2016. All Federal Employees ~ re obligated under 5 C.F.R. § 2635.!0 l (b) to "satisfy in good faith their obligations as ci tizens, ... - such as Federal, State, or. local taxes - that are imposed by law". Don't procrastinate fi ling, and make sure to check when your State and local taxes are due.

Secret Agent Man? A former high-level official at the Environmental Never solicit Protection Agency (EPA) stole nearly $900,000 a gift from a from the Government by pretending to be part of co-worker or a detail to the Central Intelligence Agency (CIA) for nearly two decades. He duped a series of su outside pervisors, including top officials, by disappearing source! from the o'fftce and explaining his absences by telling his bosses that he was doing top-secret work for the CIA and its "directorate of opera tions." No one at EPA ever checked to see if he worked for the CJA In all, he was paid for 2.5 years of work that he did not perform and re Attention all J og lovers! ceived about $500,000 in "retention bonuses" W e. are. seeking entries for the. new "Ethics. K-9 that he did not deserve. In addition, he lied about Korner," which will feature an adorable pooch with contracting malaria, which cost the EPA $8,000 an ethics tip. Think we're shamelessly wielding over three years for a parking space reserved for gratuitous cuteness to foster ethics awareness? You the disabled. He was reimbursed fo r $57,000 in betcha! fraudulent travel expenses, and he continued to This week's first spo nsor is none other th an~ draw a paycheck for 19 months after his retire Hb)(6) ts I 0-ycar young puppy, Emerson .. ment What a sharp dresser he is - and so ethical, too! He has repaid the nearly $900,000 to the EPA, but still owes $507,000 in a money judgment He ls your dog is cuter? Prove it! Sencl e ntries co: was sentenced to 32 months in prison. [email protected] Summer is winding down, are you planning to leave the agency? Please don't forget to make an appointment with one of us BEFORE your last day (to chat about rules that apply after you go and to sign your clearance form). Thanks!

And Voila! Here's Alice Bartek, your new deputy ethics official!

Don't I know her from somewhere? Yes! You may have 1n et Alice in her former role as a FOIA attorney or maybe you've seen her fabulous acting skills in her testimonial video on the new FTC Careers Page, here: https://www.ftc.gov/about--ftc/careers-ftc/testimonials. We are thrilled to have Alice join the ethics team and we hope you ask her your most ponderous ethical queries: [email protected] or 202-326-2191 or HQ room 554.

*Or call us: Alice. Bartek x2191, Regina Duarte x3547, Cheryl Embree. x3 077,. Lorielle. Pankey, ADAEO. x3108,. Chris White, DAEO x2476. Nothing substitutes for personalized legal guidance-not this newsletter, not even our intranet page (found here btw: ftcintranet.ftc.gov/cfportal/ethics/). The FfC Ethicist, Continued I When in doubt, give ethics a shout!* Summer 2015 edition, page 2 A snazzy gift pyramid, just for you: This diagram explains the history and foundational concepts of our gift rules, as federal employees. The idea behind all of this, of course, is that the American people don't like thinking that their government officials can be bribed. Remember just by being employed by the ITC, you hold a public office and thus you hold the public's trust as well. Keep it strong!

i.e. the honor system [I)

A Designated Agency Ethics Officer's ("DAEO's") judgment. [2)

Agency-specific ethics restrictions. [3]

The 2009 Ethics Pledge: Lobbyist G ift Ban for all politically appointed officials. 141

The 1992 regulations: Standards of Ethical Conduct for Employees of the Executive Branch. [5]

The 1962 C riminal Statutes: Bribery, Illegal Gratuities, Compensation for Representational Services, and Supplementation of Salary. [6]

Ill "[lit is never inappropriate and frequently prudent fo r an employee to decline a gift... " 5 C.F.R. § 2635.204. [2] O ur Designated Agency Ethics Officials is Chris White, and he has been since the eighties! [3] The FTC specifi c ethics rules are fou nd at 5 C.F.R. § 7501. [4] Exec. O rder No. 13,490, 74 Fed. Reg. Volume I , I ssue ::! 4,673 Qan. 21, 2009). [5] 5 C.F.R. §§ 2635.201-205. Summe r 20 15 [6118 u.s.c. §§ 201, 203, 205, 209.

*Or call us: Alice Bartek x2191, Regina Duarte x3547, Cheryl Embree x3077, Lorielle Pankey, ADAEO x3108, Chris White, DAEO x2476 Nothing substitutes for personalized legal guidance- not this newsletter, not even our intranet page (found here btw: ftcintranet.ftc.gov/cfportal/ethics/ ). Brou g ht. to you b y. Th e FTC ELhic s T eam. The FTC Ethicist VOLUME 1, I SSUE 2 Goodbye Friend! Kathleen Fulp, formerly Kathleen Johnson , has taken a job with the General Counsel's ethics office at the TSA. We wish her the best! We will miss her dearly! Don't Forget: Kathleen has been a steady light of wise ethics advice Public Financial Disclosure Reports are due. on Fri· and general good cheer for nearly seven years here at day, May 15th, 2015 and the FTC. An open house to celebrate her time with us must be submitted online via INTEGRITY at and to toast her sure.-to.-be-exciting future career is www.integrlty.gov. happening on Thursday, April 30th, from J.-5pm in Questions?. Extension needed? . Let us know. be· OGC's conference room 588 (HQ). Join us! fore the. deadline!.

Did you know? Paying taxes is #12 of the Linkedln and the Rule Against Endorse1n ents: 14 General Principles of Thank you OED fo r the train· out of your way to emphasize automatically, OGE does not Ethical Conduct: ing opportunity· Al ice Bartek the ITC in yo ur endorsement. consider a recommendation "Employees shall satisfy in and C heryl Embree were T he goal here is to minimize to constitute a misuse of posi· thrilled to have the chance to your use. of OFFIC IAL tide in tion. because the recommenda good faith their obligations chat about rhe ethics rules your endorsements/ tion is readily undersroocl by as citizens, including all wi th such an engaged and recommendations on your users of t he social media ser· just financial obligations, kind audience on Apri l 9th ... PERSONAL social media vice to be personal, rather In fact , the event supp lied the ~iccounts, so that the public than official, in nature. An especially those -- such as content for a new column in isn't con fused into thinking employee should not, howev· Federal, State, or local our quarterly Ethicist, you are speaking on behalf of er, affirmatively choose to "Burning Q uestions and Bum· the FTC or in your official include a reference to the taxes -- that are imposed bling Answers: When the ITC capacity. From a recent employee's title, position, or by law." So way to go! Ethics Rules Don't Quite advisory by the Office of Gov· employer in a reco1n menda· Match Reali ty" ernment Ethics: rion, except where 5 C.F.R. § (Curious about the other 2635. 702(b) expressly permits. 13 principles? See 5 such referenco.:s." Q: Can l "endorse" a former "OGE is aware that at least C. F.R. § 2635.101(b)) co-worker's page on Linkedln, one social media service auto NOTE: Rule 702(b) generally even if she now works as a maticall.y adds a user's name, allows you to give recommen· federn l concraccor? title, a n

In this newsletter, you'll find relevant, timely advice on ethics issues, along with some reminders about upcoming deadlines and perhaps a fun fact or recipe every now and again. We encourage When in doubt, give you to let us know what other information you would find helpful. Ethics a shout! Thank you for reading the FTC Ethicist!

~~heck us out on the intrane~~ ~tranet.ftc.gov/cfportal/eth~

We' re a long ways from Iowa, but...

The 20 16 presidential race has officially begun1 Now is the time to brush up on the key points of the Hatch Act: • You may never funclraise for a partisa n candidate- as a. fed, you must not ask for. money, collect money, or invite your friends to fund· raising events

• You may neve r use federal ing your personal time. For teer for a campaing or. run rime, space, and resources example, don't use Face for office, etc. to support a partisan candi book 'tO cell folks to donate • Voring is always oby (you date .... rime to stop drink· to a candidate or to chat ing from chat donkey/ know, when the time evcn with a Sllbordinate about rua ll y. C(lmcs). elephant mug, rake down the merits of a candidate in These are just highlights. Keep the Hillary bobblehead a way that the subordinate from your office display, could feel is coercive. in mind that some of the and,:ivoid, pins/shirts/etc Hatch Act rules va ry by the that support a. candidate. • State :md local races are type of government job you covered coo! Please seek hold, so please contact an • You are covered by the advice from us or from the ethics official with questions. Hutch Act even in your Office of Special Counsel if social media use, even dur· you are planning to vol un- The Hatch Act: Special Edition: Sen ..Car l Hatch: Represented New "Generally, federal en1ployees can avoid violating the H atch Mexico from 1933-1948, Act if they : Sen. Hatch is best (1) do not engage in political activity while on duty or in the remembered (by whom? workplace; by you!) for the Hatch Act of 1939 and 1940, (2)do not engage in political activity in an official capacity at which served to prevent any tin1e; and federal employees from engaging in political ac (3)do not solicit or receive political contribution at any time" tivity. - the Office of Special Counsel, in a 11/12/ 15 me1n o. Widespread allegations that local Democratic ~~~~~~~~~~~~~~~~~~~~~~~~~~Par~pol~c ia n so sed employees of the Works Progress Administration (WPA) during the con The Hatch Act: 201 6 Social Media Guidance: gressional elections of OSC issued guidance ear 2. Federal employees even if the content of the 1938 provided the lier this year t0 account may display campaign actio n is not about those immed iate impetus for for new trends, especia lly logos o r candidate photo· entities. the Hatch Act's passage. on Twitter and Faceboo k. graphs as their profile pic (Sen. Hatch would never Yo u are allowed to express tures o n their personal 3. "Further restricted have fathomed social support for candidates Facebook o r Twitter ac employees"(i.e. career media, but the law through social media, so counts. However, because SESers a nd ALJ's)- just evolves regard less, see long as you do n't do so a profile picture accompa· like all federal employees to the left. ) during ITC billed time. nies most actio ns on so may "like" a social media Here are the top three cial media, employees post fro m a partisan points: wo uld not be permitted, group or candidate in a while o n duty or in the partisan race and may 1. Federal employees may wo rkplace, to post, comment on such an enti display campaign logos or "share," "tweet," or ty's social media pages candidate photographs as "retweet" any items o n when no t at wo rk. their cover or header pho Facebook or Twitter, since to situated at the rop of eacn such actio n WOLi Id Note: N o federal employ their social media profiles show their support for a ee may "li ke". a post solic· on their personal Face partisa n group or candi iring for partisan political book o r Twitter accounts. date in a partisan race, contributions at any time. Goodbye Friend! Cheryl Embree has taken an ethics job with the USDA. W e wish her the best!

Offlcc <)f the Gcncrnl Cou1Hcl Because public service is a public trust, c11ch U.S. Government employee has a responsibility to adhere to the various laws and ethics regulations th;it guide the performance of his or her officia l duties. Each employee must avoid, at all times, creating even an appearance of partiality or con FTC ETHICS. TEAM fl ict of interest. Christian S. White (x 2476) Lorielle L. Pankey (x3 l 08) T his newsletter has been developed as part of our ongoing effort to help FfC employees main Alice Bartek-Santiago (x2 19 I) tain these high sta ndards of ethical behavior. It is NOT intended as a substitute for seeking one Regiru:i Duarte (x3547) on-one advice from an agency ethics official whenever you are uncertain about how to act proper ly in a given situation. Our names and phone numbers are listed here and we encourage you tO contact us.

In this newsletter, you'll find relevant, timely advice on ethics issues, along with some reminders about upcoming deadli nes and perhaps a fun fact or recipe every now and again. We encourage When in doubt, give you to let us know what other info rmation you would find helpful. Ethics a shout! Thank you for reading the FfC Ethicist!

~~heck us out on the lntrane~~ '-...::ntranet.ftc.gov/ctportal/•lh~ Ethics K-9 Korner

Never tweet for a partisan candidate while on FTC duty!

In 2014, an FEC employee re, signed after OSC found he had posted dozens of political tweets while on duty, includ, ing tweets soliciting funds for Oba1na's reelection campaign. He also had participated in a Buffington Post live broad, case using an FEC webcam, where he criticized the Repub, lican Party and Mitt Romney.

VOLUME 1, l SSU E I

WINTER 201 5.

Don't Forget: What's The (Particular) Matter? • Confidential Financial Dis closure Reports are due to

Over the years you've heard us determinations, your reviewing official on advise about ethical conflicts workshops (matters February 17, 2015. Ques that arise when you participate that focus on a class tions? Extension needed? in, supervise or learn confi or group are Let us know before the dential information about a "particular matters deadline! partiCL1lar. m:m e r. Bur what of general applica does the term "particular mat· bility") are all par • All Public Financial Disclo ter'' mean at. the. ITC?.. ls it ticular matters. sure reports, including peri li mited to law enforcement Even projects so odic transaction reports, investigations? new. or amorphous must now be filed electroni We're glad you asked . in nature that they cally on the Integrity sys have not yet re· In general, "particular mat tem. Contact the Ethics ceived a matter ters" include matters that number could be Team with questions. involve deliberation, decision, particular matters. matters that impact the ITC or action focused upon the or the Federal Government. interests of specific persons, or So why does this matter to Simply put, we want to re a discrete and identifiable you (pun intended, unfortu mind you to reach out to. an class of persons. ln other nately)? The criminal financial Ethics Official for conflicts words, any offici al action or conflict of interest rule, 18. advice even if the matter you'd activity - no matter how big U.S.C. §208, ba rs you from like to work on is not a specif or s1m11l - that focuses on a working on matters li ke these ic party, or long-term, estab person's or group's interests is if you have a disqualifying lished project. No matter the likely a particular matter. So financial interest. Other. regu matter, we can help (puns our law enforcement investiga latory and criminal conflict intended - again). tions, rulemaking and policy rules also limit your ability to matters, contract reviews and work on certain particular

2015 Gift and Travel Reimbursement Reporting Thresholds

The n.ew aggregation thresh towards that overall thresh 2014-2016. Further, the old for the reporting of gifts old. No te also that the G en O ffice of G overnment Ethics and re imbursements re eral Services Administration has raised from $350 to ceived from any one source has increased the "minimal $3 75 the widely attended on fi nancial disclosure re value" for purposes of the gathering gift exception ceil ports is "more than $375"; Foreign Gifts and Decora ing for no nsponsor gifts of items worth "$ I 50 or less" tions Act to "$375 or less" free attendance. Con tact an do not need to be counted for the three-year period ethics official for guidance. Office of rhc General Counsel Because public service is a public trust, each U.S. Government employee has a responsibility to adhere to the various laws and ethics regulations that guide the performance of his or her official duties. Each employee must avoid, at all times, creating even an appearance of partiality or con FTC ETHICS T EAM fli ct of interest. ChrL<1ian S. \Vhite (x 2476) L<>rielle L. Pankey (xJ I08) This newsletter has been developed as part of our ongoing effort to help FTC e mployees main Kachlem R. Fulp (xl869) Cheryl Embree (xJO 77) tain these h igh standards of ethical behavior. lt is NOT intended as a substitute for seeking one Regina Du.arre (x3547) on-one advice from an agency ethics official whenever you are uncertain about how to act proper ly in a given situatio n. Our names and phone numbers are listed here and we encourage you to contact us.

In this newsletter, you'll find relevant, timely advice on ethics issues, along with some reminders about upcoming deadlines and perhaps a fun fact or recipe every now and again. W e encourage When in doubt, give you to let us know what other information you would find helpful. Ethics a shout! Thank you for reading the FTC Ethicist!

~heck us out on the intrane~~ ~tranet.ftc.gov/cfportal/eth~

Knowing What Matters

We get it. Guidance on the ethics rules is great but it's much more usefu l when ap plied to actual facts. The fol lowing fact scenarios further illustrate how. a potential con fl ict might stem from a partic ula r. matter: • You are planning a work equity stake in XYZ Phar • You a re an attorney asked maceutical Company. shop about mobile phone to provide your thoughts apps and you want to ask on a not-yet-opened poten • You are.an economist par your spouse's employer, ticipating in the FTC's tial study of cerrni 11 practic Apps, Inc., to participate in Food Marketi ng Study and es in the telecommunica the workshop. tions industry and your you are seeking employ • You are planning an event minor child holds stock in ment with one. of the com for your favorite charity (in a telecommunica tions com panies participating in the study. your. personal capacity) and pany. . you d ecide to ask an fTC All of the above examples • You are a paralegal doing a Commissioner to speak at involve particular matters and substantive portion of the the event (note, the the persons in each of the fact review for a rulemaking "particular matter" in this scenarios should not proceed focused on pharmaceutical example is the act of asking without first obtaining guid companies and your spouse the Commissioner for her ance from an ethics official. is an employee. with an participation). Bro u g h t t o yo u b y V OLUME 2, I SSUE 1 The. FT C Ethi cs. T ea m W1 wn:n 20 16

Happy New Year! As we say goodbye to 2015, let's look forward to ma king 2016 our best yea r yet. To get started on the right foot, make sure to brush up on the latest and Don't Forget: greatest in federal eth ics news. Read on, you go-getter! CONSUMER FILING A FINANCIAL . DISCLOSURE REPORT? OWNERSHIP: If you are a GS-14 or GS-15, When must you recuse you must file an annual OGE Form 450, Confidential Finan

based on what you own? mind you must cial Disclosure report, by ..______. not work on Relevant circumstances in clude the effect that resolving FEBRUARY 16, 2016. If you Federal employees must con· any FfC matter that directly the matter would have on the need an extension, contact us srandy be on the lookout to affects "your" financial inter· financial interests of the per· avoid circumstances creating a ests (the interests of certain son involved, the narnre and before the deadline! potential ethics problem. others are considered your importance of the employee's T his involves recusing yourself interests). You must not work role in the matter, and the from matters where you have on such matters without fi rst difficulty of reassigning the FOR REVIEWING a financial interest, such as obtaining a waiver from a matter to another employee. stock or sector mutual fu nd criminal stan1te (the FfC's OFFICIALS: Tf you think you have a con· ownership. 18 USC 208; 5 Ethics Team is unable to indc· flict due to consumer owner After reviewing our tips for pendently waive cri minal stat· CFR 2640. ship - BEFORE WORKING However, what happens when utes but we think the toaster ON THE MATTER - it is reviewing officials located on owner would have a bcrrer an FfC employee owns a important to share all perti· the intranet- https:// chance than the owner of an product which might be sub· nent details about the type of ftci ntr an et. ftc.gov I cf po rta I/ jeer ro red ress or replacement affected car). The Ethics product you own, and what Team will also consider

In this newsletter, you'll find relevant, timely advice on ethics issues, along with some reminders about upcoming deadli nes and perhaps a fun fact or recipe eve ry now and again. We encourage When in doubt, give you to let us know what other info rmation. you would find helpful. Ethics a shout! Thank you for reading the FfC Ethicist!

~heck us out on the lntrane~ ~tranet.ftc.gov/cfportal/eth~

"What do you mean, this isn't my property?!" One. entrepreneurial. Federal employee backed his panel van up to the office door one night and stole all the_comp uter equipment. He wasn't too hard to Whatever your New Year's Resolutio ns catch: he tried to sell. everything at a yard sale the might be, resolve not to ignore any ethical next day-with barcodes and "Property of US Gov laws. Here are some unethical individuals ernment" stickers still prominently displayed. who deserve a spot in the Hall of Shame·

A Gold-Plated Retirement Political Activities: A General. commanding U.S. forces in South Ko A Humorous - But True - Story rea improperly accepted over $5,000 in gifts and An election was coming up and one enterprising cash, including gold-plated pens, from a South young Federal employee called his ethics officer Korean benefactor. The. General. claimed that the to inquire whether it was permitted, under the gifts were accepted because the South Korean Hatch Act Amendments, to stuff ballot boxes! The was a longtime and personal friend, despite the employee, when told not to wear a Bush campaign fact that the South Korean did not speak English button, responded, "But I'm not. This is a button and they were forced to communicate through from his dad's campaign!" hand signals and gestures. The General repaid the South Korean in full and was allowed to re tire at a lower grade. The FfC Ethicist

Brou g ht to you by VOLUME 3, lss E 1

Th e FT C. E t hi cs. T ea m WINTEH 20 17.

Another year, another set of resolutions you intend to keep. Although your good intentions may be difficult to adhere to, one easy thing should be maintining compliance with ethics requirements, both new and old. Find lots of helpful tips ahead!

T he U.S. Office of Govern IL WAG Change lV.. D isposing of. ment Ethics ("OGE") has OGE has also amended rhe Prohibited Gifts amend ed the rules that gov· "Widely Attended Gather· OGE also has added a new ern g ifts from outside ings" ("WAG") exception to disposition authority in sources. Here are some high expand the requirement for recognition that it can lights: written authorizations. U n sometimes be difficult, cost· der the new rules, every au prohibitive, and time l. Declining Otherwise thoriza tion to attend a WAG consuming to return a gift. P ermissible G ifts must be in writing. For tangibLe items valued at In evaluating the appropri· less than $100, employees ateness of accepting an of lll. Books will be able to dispose of fered gift, there is now a There is a limited exception proh ibited gifts by destroy· values-based standard that for gifts of informational ing them. Destruction can employees sho uld consider materials, such as books, so be accomplished by perma· when deciding whether to long as the market value of nently discarding the item accept or decline offered the edu cational item docs in the trash . Employees are gifcs. Specifically, "employees not exceed $100. This excep· encouraged to document sho uld consider declining tion recognizes that gifts of the destruction (e.g., by otherwise permissible gifts if info rmational marerials fos· sending an email to an they believe that a reasona· ter informatio n sharing, agency eth ics officia l). ble person with knowledge benefit the agency and t he of the relevant facts would Government, and accommo· question the employee's date the right of citizens to integrity or impartiality as a petition their Government. result of accepting the gift." Because publi c. service is a public. trust,. each U .S. Government employee. has a responsibility. to. ad here to the various laws and ethics. regulations that guide the performance of his or her official dutks. Each employee must avoid, at all ti mes, creating even an appearance of partiality or con 0 fl ict of interest. Office of rhc Gene ml Cou1Hcl This newsletter has been developed to help ITC employees maintain. these high sranduds of ethical behavior. It is NOT intended. as. a. substitute for. seeking one-on-one advice from an agency ethics official whenever you are uncertain about how to act properly in a given situation. Our FTC ET HICS T EA M names and phone numbers arc listed here so you can contact us. Cl1rL< W hire (x 2476) Loriellc Pankey (x3 / 08) Alice Bar

~heck us out on the lntrane~ ~ri1tc ' I 1 ~

Whatever your New Year's Resolutio ns, resolve not to ignore any federal ethics laws. Here is an unethical Own company stock? individual who deserves a spot in the Hall of Shame: Check with Ethics before working on Army Employee Sentenced for Conflicts of Interest

A civilian employee of the U.S. Army pleaded guilty to violation of the conflicts of interest statute (1 8 U.S.C . 208) in Federal Court and was sentenced to o ne year probatio n and a $1,000 fine. The employee had partici pated in the awarding and administratio n of contracts involving a company in. which. the. employee. owned stock, thereby participating personally and substantially as a Government employee in matters that affected his Attention All Dog Lovers! financial interests. The employee, who filed fi nancial We still wan t entries for the. "Ethics . disclosure. statements (OGE Form 450), had also failed K-9 Ko rner," which features an adorable to disclose h is financial interest in the company .. pooch with an. ethics tip . . This quarter's winner is Lucy. H er proud owner. i*b)(6 ) lin BC O perations.

ls your dog cuter? Prove it! Send entries to: aba rtcksa [email protected] () January 2017

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Stand Tall Don't Work on FrC & Matters Affecting

Serve with lntegrltyl "You:

Stay Current on

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Tuck et, wbmmed trij{ b) (6 ) lirlonnalion & Legal 5-tOM•lon. ~ of !he General Counsel) Do .,.. hwo ,._.i or ••• ti. to ,.,.._ ..wolwod i. yo•r FTC worli1 'Ille ,,_ of 1111•- iwmy ... , .., roe...... ,..c1. .. llllmdflll of lhopoblc'nlwlpolot.

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• Your"--&FutU19~ • hnoNs....dlvY-Spou-. P-. or De...... Olld • Soliciting donations

Fundraising for a partisan candidate

Running for office You must seek and receive prior wrtaen •ppronl from you r supervisor and the Ethics Team b•fo,. engaging in any outside employment.

• The act1Yoty IS comptn11t

Yovarer~inga "professtonel ur\1ce", or, • The empfo;ment benef!IS • lor·profit organuotion

Romeo ind 80111, submitted byl( b) ( 6) !Office of Ille Director, 8'6tau o( Con""'1tr Protection) Keep in mind that federal ethics rules apply to your virtual/online activities. Generally, you may refer to your official title/position in your proflle/bio section. Be careful about referencl ng your title/ position In your actual postings . ••••• Th• FTC may only accept travel reimbursement from 501(c)(3) entities, foreign governments, and foreign nonprofits for non-federal source travel. You prob•blf -nt to 111te th- two wh.tever thef -nt (T•o Is •sklrtg for b•con~ If• recruit• call1, r.,,..,,.b., you must not worlt on Flt m.uen •lfetln1 the llnHd•l Interests of •ny· one with whom you •re seeklrtg em· ploym•t.

•s..1t1ng" b•lns once you upr811 .n Interest, res•rdless of who lrtltl.tes th• communication. •s..1ttng" ,.,.,.11y continues until someone rej-the poulblllty of em ploym•t- defenln1 thedlscuulon untll 18ter wlll not •d the•see1&1rtg"

Coitr Pro1ectlon)

Do: Throw me the ball when I ask. Don't: Solicit charitable donations at work.

• Apart lrom!MO:Cend FTC Childalre Center, yO

• Time

• Equipment • Staff

• Offke SU!)pl1es • Travel Card • You maygive your supel'llisor a gift, other than cash, with a market value of $10 orle:;son on occasionlll basis. This includes occrionssuch as birthday$, Bosses' Dey, or other annually occurri111 holidays.

• Onspeaal, infrequontocxaslOnSol Employees may solicit pers~ sJIJ'll~, 1'J