FTC Policy Statement on Unfairness.docx
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FTC Policy Statement on Unfairness.docx
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FTCPolicyStatementonUnfairness
FTCPolicyStatementonUnfairness
DATE:
December17,1980
AppendedtoInternationalHarvesterCo.,104F.T.C.949,1070(1984).See15U.S.C.§45(n).
TheHonorableWendellH.Ford
Chairman,ConsumerSubcommittee
CommitteeonCommerce,Science,andTransportation
Room130RussellOfficeBuilding
Washington,D.C.20510
TheHonorableJohnC.Danforth
RankingMinorityMember,ConsumerSubcommittee
CommitteeonCommerce,Science,andTransportation
Room130RussellOfficeBuilding
Washington,D.C.20510
DearSenatorsFordandDanforth:
ThisisinresponsetoyourletterofJune13,1980,concerningoneaspectofthisagency'sjurisdictionover"unfairordeceptiveactsorpractices."YouinformedusthattheSubcommitteewasplanningtoholdoversighthearingsontheconceptof"unfairness"asithasbeenappliedtoconsumertransactions.YoufurtherinformedusthattheviewsofotherinterestedpartiesweresolicitedandcompiledinaCommitteePrintearlierthisyear.1 YourletterspecificallyrequestedtheCommission'sviewsoncasesunderSection5"notinvolvingthecontentofadvertising,"anditsviewsasto"whethertheCommission'sauthorityshouldbelimitedtoregulatingfalseordeceptivecommercialadvertising."Ourresponseaddressestheseandotherquestionsrelatedtotheconceptofconsumerunfairness.
Wearepleasedtohavethisopportunitytodiscussthefutureworkoftheagency.Thesubjectthatyouhaveselectedappearstobeparticularlytimely.Werecognizethattheconceptofconsumerunfairnessisonewhoseprecisemeaningisnotimmediatelyobvious,andalsorecognizethatthisuncertaintyhasbeenhonestlytroublesomeforsomebusinessesandsomemembersofthelegalprofession.Thisresultisunderstandableinlightofthegeneralnatureofthestatutorystandard.Atthesametime,though,webelievewecanrespondtolegitimateconcernsofbusinessandtheBarbyattemptingtodelineateinthisletteraconcreteframeworkforfutureapplicationoftheCommission'sunfairnessauthority.Weareaidedinthisprocessbythecumulativedecisionsofthisagencyandthefederalcourts,which,inouropinion,havebroughtaddedclaritytothelaw.Althoughtheadministrativeandjudicialevolutionoftheconsumerunfairnessconcepthasstillleftsomenecessaryflexibilityinthestatute,itispossibletoprovideareasonableworkingsenseoftheconductthatiscovered.
Inresponsetoyourinquirywehavethereforeundertakenareviewofthedecidedcasesandrulesandhavesynthesizedfromthemthemostimportantprinciplesofgeneralapplicability.Ratherthanmerelyrecitingthelaw,wehaveattemptedtoprovidetheCommitteewithaconcreteindicationofthemannerinwhichtheCommissionhasenforced,andwillcontinuetoenforce,itsunfairnessmandate.Insodoingweintendtoaddresstheconcernsthathavebeenraisedaboutthemeaningofconsumerunfairness,andtherebyattempttoprovideagreatersenseofcertaintyaboutwhattheCommissionwouldregardasanunfairactorpracticeunderSection5.
ThisletterthusdelineatestheCommission'sviewsoftheboundariesofitsconsumerunfairnessjurisdictionandissubscribedtobyeachCommissioner.Inaddition,weareenclosingacompanionCommissionstatementthatdiscussesthewaysinwhichthisbodyoflawdiffersfrom,andsupplements,theprohibitionagainstconsumerdeception,andthenconsidersandevaluatessomespecificcriticismsthathavebeenmadeofourenforcementofthelaw.2 SinceyouhaveindicatedaparticularinterestinthepossibleapplicationofFirstAmendmentprinciplestocommercialadvertising,thecompanionstatementwillincludediscussionsrelevanttothatquestion.Thecompanionstatementisdesignedtorespondtothekeyquestionsraisedabouttheunfairnessdoctrine.However,individualCommissionersmaynotnecessarilyendorseparticularargumentsorparticularexamplesoftheCommission'sexerciseofitsunfairnessauthoritycontainedinthecompanionstatement.
CommissionStatementofPolicyontheScopeofthe
ConsumerUnfairnessJurisdiction
Section5oftheFTCActprohibits,inpart,"unfair...actsorpracticesinoraffectingcommerce."3 ThisiscommonlyreferredtoastheCommission'sconsumerunfairnessjurisdiction.TheCommission'sjurisdictionover"unfairmethodsofcompetition"isnotdiscussedinthisletter.4 Althoughwecannotgiveanexhaustivetreatmentofthelawofconsumerunfairnessinthisshortstatement,somerelativelyconcreteconclusionsrannonethelessbedrawn.
Thepresentunderstandingoftheunfairnessstandardistheresultofanevolutionaryprocess.ThestatutewasdeliberatelyframedingeneraltermssinceCongressrecognizedtheimpossibilityofdraftingacompletelistofunfairtradepracticesthatwouldnotquicklybecomeoutdatedorleaveloopholesforeasyevasion.5 ThetaskofidentifyingunfairtradepracticeswasthereforeassignedtotheCommission,subjecttojudicialreview,6 intheexpectationthattheunderlyingcriteriawouldevolveanddevelopovertime.AstheSupremeCourtobservedasearlyas1931,thebanonunfairness"belongstothatclassofphraseswhichdonotadmitofprecisedefinition,butthemeaningandapplicationofwhichmustbearrivedatbywhatthiscourtelsewherehascalled'thegradualprocessofjudicialinclusionandexclusion.'"7
By1964enoughcaseshadbeendecidedtoenabletheCommissiontoidentifythreefactorsthatitconsideredwhenapplyingtheprohibitionagainstconsumerunfairness.Thesewere:
(1)whetherthepracticeinjuresconsumers;
(2)whetheritviolatesestablishedpublicpolicy;(3)whetheritisunethicalorunscrupulous.8 ThesefactorswerelaterquotedwithapparentapprovalbytheSupremeCourtinthe1972caseof Sperry &Hutchinson.9 SincethentheCommissionhascontinuedtorefinethestandardofunfairnessinitscasesandrules,andithasnowreachedamoredetailedsenseofboththedefinitionandthelimitsofthesecriteria.10
CONSUMERINJURY
UnjustifiedconsumerinjuryistheprimaryfocusoftheFTCAct,andthemostimportantofthethree S&H criteria.Byitselfitcanbesufficienttowarrantafindingofunfairness.TheCommission'sabilitytorelyonanindependentcriterionofconsumerinjuryisconsistentwiththeintentofthestatute,whichwasto"[make]theconsumerwhomaybeinjuredbyanunfairtradepracticeofequalconcernbeforethelawwiththemerchantinjuredbytheunfairmethodsofadishonestcompetitor."11
Theindependentnatureoftheconsumerinjurycriteriondoesnotmeanthateveryconsumerinjuryislegally"unfair,"however.Tojustifyafindingofunfairnesstheinjurymustsatisfythreetests.Itmustbesubstantial;itmustnotbeoutweighedbyanycountervailingbenefitstoconsumersorcompetitionthatthepracticeproduces;anditmustbeaninjurythatconsumersthemselvescouldnotreasonablyhaveavoided.
Firstofall,theinjurymustbesubstantial.TheCommissionisnotconcernedwithtrivialormerelyspeculativeharms.12 Inmostcasesasubstantialinjuryinvolvesmonetaryharm,aswhensellerscoerceconsumersintopurchasingunwantedgoodsorservicesl3 orwhenconsumersbuydefectivegoodsorservicesoncreditbutareunabletoassertagainstthecreditorclaimsordefensesarisingfromthetransaction. 14 Unwarrantedhealthandsafetyrisksmayalsosupportafindingofunfairness.15 Emotionalimpactandothermoresubjectivetypesofharm,ontheotherhand,willnotordinarilymakeapracticeunfair.Thus,forexample,theCommissionwillnotseektobananadvertisementmerelybecauseitoffendsthetastesorsocialbeliefsofsomeviewers,ashasbeensuggestedinsomeofthecomments.16
Second,theinjurymustnotbeoutweighedbyanyoffsettingconsumerorcompetitivebenefitsthatthesalespracticealsoproduces.Mostbusinesspracticesentailamixtureofeconomicandothercostsandbenefitsforpurchasers.Aseller'sfailuretopresentcomplextechnicaldataonhisproductmaylessenaconsumer'sabilitytochoose,forexample,butmayalsoreducetheinitialpricehemustpayforthearticle.TheCommissionisawareofthesetradeoffsandwillnotfindthatapracticeunfairlyinjuresconsumersunlessitisinjuriousinitsneteffects.17 TheCommissionalsotakesaccountofthevariouscoststhataremedywouldentail.Theseincludenotonlythecoststothepartiesdirectlybeforetheagency,butalsotheburdensonsocietyingeneralintheformofincreasedpaperwork,increasedregulatoryburdensontheflowofinformation,reducedincentivestoinnovationandcapitalformation,andsimilarmatters.18 Finally,theinjurymustbeonewhichconsumerscouldnotreasonablyhaveavoided.19 Normallyweexpectthemarketplacetobeself-correcting,andwerelyonconsumerchoice-theabilityofindividualconsumerstomaketheirownprivatepurchasingdecisionswithoutregulatoryintervention--togovernthemarket.Weanticipatethatconsumerswillsurveytheavailablealternatives,choosethosethataremostdesirable,andavoidthosethatareinadequateorunsatisfactory.However,ithaslongbeenrecognizedthatcertaintypesofsalestechniquesmaypreventconsumersfromeffectivelymakingtheirowndecisions,andthatcorrectiveactionmaythenbecomenecessary.MostoftheCommission'sunfairnessmattersarebroughtunderthesecircumstances.Theyarebrought,nottosecond-guessthewisdomofparticularconsumerdecisions,butrathertohaltsomeformofsellerbehaviorthatunreasonablycreatesortakesadvantageofanobstacletothefreeexerciseofconsumerdecisionmaking.20
Sellersmayadoptanumberofpracticesthatunjustifiablyhindersuchfreemarketdecisions.Somemaywithholdorfailtogeneratecriticalpriceorperformancedata,forexample
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