Food Marketing to Kids DRAFT6(b) Order 5-6-10

05/06/10 DRAFT
OMB Control No. --------Expires --/--/20-- 1
UNITED STATES OF AMERICA
BEFORE FEDERAL TRADE COMMISSION

COMMISSIONERS:

Jon Leibowitz, Chairman
William E. Kovacic
J. Thomas Rosch
Edith Ramirez
Julie Brill

FTC Matter No. P094511
ORDER TO FILE SPECIAL REPORT
Pursuant to a resolution of the Federal Trade Commission dated ----- --, 2010, titled
“[RESOLUTION NAME],” a copy of which is enclosed, [COMPANY NAME], hereinafter
referred to as “the company,” is ordered to file with the Commission, no later than 90 days after
the date of issuance of this Order, a Special Report containing the information and documents
specified herein.2
The information provided in the Special Report will assist the Commission in compiling
a study of food industry marketing activities and expenditures targeted toward children and
adolescents.3 This study will serve as a follow-up to the report the Commission published in
2008 on the same topic.4

1

Under the Paperwork Reduction Act, as amended, an agency may not conduct or
sponsor, and a person is not required to respond to, a collection of information unless it displays
a currently valid OMB control number. For this information request, that number is ---------.
2

For purposes of this Order, the term “the company” includes all of the entities
identified in response to specification 1.B, below.
3

For purposes of this Order, the term “children” means individuals ages 2-11 and the
term “adolescents” means individuals ages 12-17.
4

See Federal Trade Commission, Marketing Food to Children and Adolescents: A
Review of Industry Expenditures, Activities, and Self-Regulation (2008), available at
www.ftc.gov/os/2008/07/P064504foodmktingreport.pdf (the “2008 Report”).
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The Special Report must restate each item of this Order with which the corresponding
answer is identified. Your report is required to be subscribed and sworn to by an official of the
company who has prepared or supervised the preparation of the report from books, records,
correspondence, and other data and material in your possession.5 If any question cannot be
answered fully, give the information that is available and explain in what respects and why the
answer is incomplete. The Special Report and all accompanying documentary responses must be
Bates-stamped.
Confidential or privileged commercial or financial information will be reported by the
Commission on an aggregate or anonymous basis, consistent with Sections 6(f) and 21(d) of the
FTC Act. Individual submissions responsive to this Order that are marked “confidential” will
not be disclosed without first giving the company ten days’ notice of the Commission’s intention
to do so, except as provided in Sections 6(f) and 21 of the FTC Act.
Please provide the following information, documents and items, consistent with the
definitions, instructions, and formatting requirements contained in Attachments A, B, C, D, E, F,
G, and H:
1.

A.

Identification of Report Author: Identify by full name, business address,
telephone number, and official capacity, the officer of the company who has
prepared or supervised the preparation of the company’s response to this Order.

B.

Company Information: Identify the company by full name, address, and state of
incorporation. If the company is a subsidiary company, identify the full name and
address of its ultimate parent company.6 In addition, identify each subsidiary,
joint venture, affiliated company, partnership, or operation under an assumed
name that the company controls, and that engages in the manufacturing, labeling,

5

An example of a sworn statement that the company could use to satisfy this
requirement is, “I certify, to the best of my knowledge, information, and belief, formed after a
reasonable inquiry, that the information in this Special Report is complete and accurate as of the
time it is submitted.”
6

For purposes of this Order, “subsidiary company” means a company that is controlled
by another entity; “ultimate parent company” means an entity that controls another company and
is not controlled by another entity. Furthermore, for purposes of this Order, “control” (as used in
the terms “control(s)” and “controlled”) means either holding 50 percent or more of the
outstanding voting securities of an issuer or, in the case of an entity that has no outstanding
voting securities, having the right to 50 percent or more of the profits of the entity, or having the
right in the event of dissolution to 50 percent or more of the assets of the entity.
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advertising, promoting, marketing, offering for sale, sale, or distribution of any
food7 product in the United States.
C.

Identification of Food Categories: From the following categories, identify each
category of food product that the company advertised, promoted, marketed,
offered for sale, sold, or distributed in the United States during the calendar year
2009.8 In preparing this response, refer to the food category definitions set forth
in Attachment A to this Order.
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)

D.

Breakfast cereals
Snack foods
Candy and frozen desserts
Dairy products
Baked goods
Prepared foods and meals
Carbonated beverages
Fruit juice and non-carbonated beverages
Fruits and vegetables
Restaurant foods

Identification of Food Products: For each of the food categories identified in
response to Specification 1.C, above, list each brand of food product, and each
sub-brand9 within the brand, that the company advertised, promoted, marketed,
offered for sale, sold, or distributed in the United States during the calendar year
2009. For each brand and sub-brand, identify which entity within the company,
identified in response to Specification 1.B, above, is responsible for that brand or
sub-brand.
Non-Branded Fruit, Vegetable, or Dairy Products: For any nonbranded fruit, vegetable, or dairy products that the company advertised,
promoted, marketed, offered for sale, sold, or distributed, list the
individual fruit, vegetable, or dairy product varieties.

7

For purposes of this Order, “food” means any food or beverage intended for human
consumption.
8

For purposes of this Order, do not report any of the company’s activities or
expenditures that occur in U.S. territories outside of the fifty states and the District of Columbia.
9

For purposes of this Order, a “sub-brand” includes a unique variety or formulation of a
food product brand. It also includes specially marketed package sizes, such as 100-calorie
packs. It does not require reporting of each individual stock keeping unit (SKU).
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Restaurant Foods: For the restaurant food category, identify the name of
the restaurant chain(s) controlled by the company; state which entity
within the company, identified in response to Specification 1.B, above, is
responsible for the restaurant chain(s); and list the specific menu items,
excluding regional variations, that each restaurant chain advertised,
promoted, marketed, offered for sale, sold, or distributed in 2009. Identify
which of those menu items, if any, appeared on a children’s menu in 2009.
If any of the company’s restaurant chains offered a children’s meal in
2009, list the different children’s meal combinations offered by the
restaurant chain(s) and identify the individual food components that were
included in each meal combination.
If the company filed a Special Report for the calendar year 2006 and
reported any restaurant chains in response to Specification 1.D of the
Order to File Special Report for the calendar year 2006, the company also
must list, for each restaurant chain, each menu item that appeared on a
children’s menu during 2006, excluding regional variations. If any of the
company’s restaurant chains offered a children’s meal in 2006, list the
different children’s meal combinations offered by the restaurant chain(s)
and identify the individual food components that were included in each
meal combination.
E.

2.

Identification of Food Products Bearing Nutritional Seals or Icons: In 2009,
did the company offer a line of food products bearing a nutritional icon, seal, or
symbol, or otherwise identified as “better for you” or healthier than other
products? If so, state the name of the nutritional product line or icon; identify the
nutritional criteria for inclusion of a food product in the product line; and identify
the food categories, brand names, and sub-brands of food products sold in the
product line, or, for restaurant foods, identify the specific menu items and/or
children’s meal combinations included in the product line. Report only those
food products that are part of a company promotional system designating a
specific group of products as better-for-you or healthier. Do not report products
that simply contain a nutritional or health claim on the product packaging (e.g.,
“low fat”).

Reportable Expenditures for Marketing Food Products: For each brand of food
product, sub-brand, non-branded fruit, vegetable, or dairy product variety, or restaurant
menu item or children’s meal combination identified in response to Specification 1.D,
above (collectively and hereafter, “food product”), report in Attachment E to this

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Order10 the expenditure and other data requested in Specifications 2.A through 2.F,
below, within the following advertising and promotional activity categories (hereafter,
“reportable expenditures”):11
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(k)
(l)
(m)
(n)
(o)
(p)

Television advertising (TV AD)12
Radio advertising (RAD AD)
Print advertising (PRT AD)
Company-sponsored Internet sites (WEBSITE AD)
Other Internet and digital advertising (INTERNET AD)
Packaging and labeling (PACK/LABEL)
Movie theater/video/video game advertising* (MOV/VID AD)
In-store advertising and promotions* (IN-STORE AD)
Specialty item or premium distribution* (PREMIUMS)
Promotion or sponsorship of public entertainment events* (EVENTS)
Product placements* (PROD PLMT)
Character licensing, toy co-branding, and cross-promotions* (CHAR LIC)
Sponsorship of sports teams or individual athletes* (ATHL SPON)
Word-of-mouth and viral marketing* (WOM/VIRAL)
Celebrity endorsements* (CELEB END)
In-school marketing* (IN-SCHOOL)

10

An electronic version of Attachment E, an Excel spreadsheet, is provided on the
included CD, along with a PDF file containing instructions to Attachment E. The company
must use Attachment E to report expenditures for 2009 and must not modify, delete, or
add to the columns on the spreadsheet. The company must submit the spreadsheet in Excel
in a format that is readable and writable and must not include footnotes or endnotes on the
spreadsheet. The company must report the expenditure data in accordance with the
instructions and definitions specified in Attachments B, C, D, and E (including in its
accompanying instructions), and in this Order.
11

If a food product identified in response to Specification 1.D has no reportable
expenditures under Specifications 2.A through 2.F, do not include the food product on
Attachment E. Do not include on Attachment E a related brand, sub-brand, or menu item that
does not have reportable expenditures.
12

The terms provided in parentheses after each category are the “promotional activity
category codes” used in Attachment E to designate expenditures in the category. The company
also must use these promotional activity category codes when reporting promotional activities on
Attachment H in response to Specification 4, below.
*

For special instructions on reporting expenditures in categories (g) through (r),
see the instructions in Attachments B and C to this Order.
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(q)
(r)

Advertising in conjunction with philanthropic endeavors* (PHLNTHRPY)
Other promotional activities* (OTHER)

A.

Marketing Toward Children: Report the dollar amount expended by the
company, during the calendar year 2009,13 within each advertising and
promotional activity category listed above for marketing targeted toward children.
Follow the instructions and definitions in Attachment B to this Order (Advertising
and Promotional Activities Targeted Toward Children), and report these
expenditures in columns 6, 10, 14, 18, 22, 26, 30, 34, 38, 42, 46, 50, 54, 58, 62,
66, 70, and 74 of Attachment E.

B.

Marketing Toward Adolescents: Report the dollar amount expended by the
company, during the calendar year 2009, within each advertising and promotional
activity category listed above for marketing targeted toward adolescents. Follow
the instructions and definitions in Attachment C to this Order (Advertising and
Promotional Activities Targeted Toward Adolescents), and report these
expenditures in columns 7, 11, 15, 19, 23, 27, 31, 35, 39, 43, 47, 51, 55, 59, 63,
67, 71, and 75 of Attachment E.

C.

Marketing Toward Both Children and Adolescents: Report the dollar amount
of any expenditures that satisfy both the criteria in Attachment B for “targeted to
children” (that were reported in response to Specification 2.A), and the criteria in
Attachment C for “targeted to adolescents” (that were reported in response to
Specification 2.B). The company must report the total amount of the
expenditures in both the “marketing toward children” column and the “marketing
toward adolescents” column, and must also report the total amount of the
expenditures that meet both criteria in the column labeled “overlapping.” Report
these overlapping expenditures in columns 8, 12, 16, 20, 24, 28, 32, 36, 40, 44,
48, 52, 56, 60, 64, 68, 72, and 76 of Attachment E.

D.

Marketing for All Audiences: For each food product for which the company
reported expenditures within one or more advertising or promotional activity
categories in response to Specification 2.A or 2.B, report:
i.

Total Expenditures in Promotional Activity Categories: The total
dollar amount expended by the company, during the calendar year 2009,
to market the product within each promotional activity category. Follow

13

Report only those expenditures that occurred in 2009. The company must not report
expenditures in 2008 for advertising or promotions that appeared in 2009. However, the
company must report expenditures in 2009 for advertising or promotions that have appeared or
are scheduled to appear in 2010.
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the instructions and definitions in Attachment D to this Order (Advertising
and Promotional Activities for All Audiences), and report these
expenditures in columns 9, 13, 17, 21, 25, 29, 33, 37, 41, 45, 49, 53, 57,
61, 65, 69, 73, and 77 of Attachment E; and
ii.

E.

F.

Total Overall Consumer-Directed Expenditures: The total dollar
amount expended by the company, during calendar year 2009, for all
consumer-directed14 advertising and promotional activities to market the
product. Report these expenditures in column 78 of Attachment E. The
amount reported in column 78 in response to this Specification should be
equal to the sum of the expenditures reported in response to Specification
2.D.i, above.

Additional Information: For each food product for which expenditures are
reported in response to Specification 2.A or 2.B, provide the following additional
information in Attachment E:
i.

company name15 (column 1 of Attachment E);

ii.

food category, identified in response to Specification 1.C, above (column
2 of Attachment E);

iii.

brand name, non-branded fruit, vegetable, or dairy product variety, or
name of restaurant chain, identified in response to Specification 1.D,
above (column 3 of Attachment E);

iv.

sub-brand, restaurant menu item, or children’s meal combination,
identified in response to Specification 1.D, above, if applicable (column 4
of Attachment E); and

v.

an indication (“1” = yes; “0” = no) of whether the food product is part of a
nutritional product line, identified in response to Specification 1.E, above
(column 5 of Attachment E).

Identifying Expenditures Attributable to Character Licensing/CrossPromotions and Celebrity Endorsements: For each advertising and

14

Expenditures for advertising and promotional activities that are exclusively directed
“to-the-trade” must not be reported.
15

The company name reported in column 1 must be the entity within the company,
identified in response to Specification 1.B, above, that is responsible for the food product.
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promotional activity category for which expenditures are reported on Attachment
E in response to Specifications 2.A through 2.D, above, report:16

G.

i.

The portion (in dollars) of the total expenditure that uses or implements a
character license, toy co-branding agreement, and/or cross-promotional
arrangement. For example, if expenditures are reported for television
advertisements targeted toward children, and one of the advertisements
featured a licensed character, report the portion of the total reported
expenditure for television advertising that is attributable to the
advertisement featuring the licensed character. Report these expenditures
on Attachment E in the columns that have a number followed by the letter
“B,” which are labeled “AMT USING CHAR LIC.”

ii.

The portion (in dollars) of the total expenditure that uses or implements a
celebrity endorsement. For example, if expenditures are reported for
television advertisements targeted toward adolescents, and one of the
advertisements featured a celebrity endorser, report the portion of the total
reported expenditure for television advertising that is attributable to the
advertisement featuring the celebrity endorser. Report these expenditures
on Attachment E in the columns that have a number followed by the letter
“C,” which are labeled “AMT USING CELEB END.”

Special Instructions for Restaurant Food Expenditures for Television
Advertising that Were Reported in 2006: If the company filed a Special
Report for the calendar year 2006 and reported expenditures for marketing
restaurant foods to children and adolescents on television, an Excel spreadsheet
labeled “Attachment E 2006” is provided on the included CD.17 This spreadsheet
shows the total television advertising expenditures that the company reported for
each of its restaurant chains in 2006. On separate rows of the spreadsheet, the
company must break down the total expenditures reported in 2006 to show the

16

This Specification is not applicable to the character licensing/cross-promotion
category or the celebrity endorsement category. For the category “Character licensing, toy cobranding, and cross-promotions (CHAR LIC),” the company must report only the cost of
obtaining the character license, toy co-branding agreement, and/or cross-promotional
arrangement (e.g., a licensing fee). For the category “Celebrity endorsements (CELEB END),”
the company must report only the cost of all payments (both monetary and in-kind) to a celebrity
to endorse any of the company’s food products (e.g., an endorsement fee).
17

If the company did not file a Special Report for the calendar year 2006 or did not have
reportable television advertising expenditures for restaurant foods in 2006, the company will not
receive an Attachment E 2006 and does not need to respond to Specification 2.G.
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expenditure amounts used to promote specific restaurant menu items or children’s
meal combinations in the television advertisements for which expenditures were
reported in 2006. Indicate in column 4 (“SUB-BRAND NAME/MENU ITEM”)
the menu item or children’s meal combination that corresponds to each
expenditure. Provide a breakdown for all of the television expenditures shown in
columns 6 through 9 of Attachment E 2006. For restaurant corporate brand
advertising, report the related expenditure under the restaurant chain and do not
attribute the expense to an individual menu item or meal combination. For multibrand advertising, follow the instructions for multi-brand advertising that
accompany Attachment E.
3.

Nutritional Data for Food Products with Reportable Expenditures:
A.

Nutritional Data for 2009: For each food product for which the company
reported expenditures on Attachment E in response to Specification 2, above, the
company must provide nutritional data on Attachment F to this Order.18 For
each food product the company reported on Attachment E,19 the company must
import columns 1 through 4 from Attachment E into columns 1 through 4 of
Attachment F without modifying, deleting, adding to, or altering the order of the
data. The company must then provide the nutritional data requested in columns 5
through 53 of Attachment F for each food product imported from Attachment E.20
The nutritional data must be for the formulation of the product that the company
marketed in 2009. If the company reformulated the product during 2009, provide
the nutritional data for the last of the 2009 formulations.

18

An electronic version of Attachment F, an Excel spreadsheet, is provided on the
included CD. The company must use Attachment F to report nutritional data for 2009 and
must not modify, delete, or add to the columns on the spreadsheet. The company must
submit the spreadsheet in Excel in a format that is readable and writable and must not
include footnotes or endnotes on the spreadsheet. The company must report the
nutritional data in accordance with the instructions specified in Attachment F and in this
Order.
19

For multi-brand advertising reported on Attachment E, report the nutritional data for
the top-selling brand or sub-brand reported in column 4 of Attachment E. Do not report
nutritional data for expenditures reported as corporate brand advertising.
20

For advertising for restaurant children’s meal combinations reported on Attachment E,
report the nutritional data for the children’s meal combination as a whole; do not report the
nutritional data for individual food components of the meal.
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B.

Nutritional Data for 2006: Attachment G to this Order contains a complete list
of the food products that the company reported as marketed to children or
adolescents in 2006.21 For each food product listed on Attachment G, provide the
nutritional data requested in columns 6 through 52 of Attachment G.22 The
nutritional data must be for the formulation of the product that the company
marketed in 2006. If the company reformulated the product during 2006, provide
nutritional data for the last of the 2006 formulations.
i.

Special Instructions for Restaurant Foods: If the company, in response
to Specification 2.G, above, reported any 2006 television advertising
expenditures for restaurant menu items or children’s meal combinations,
the company must report nutritional data for those food products on
Attachment G. For each menu item or children’s meal combination that
the company reported on Attachment E 2006 in response to Specification
2.G,23 the company must import columns 1 through 4 from Attachment E
2006 into columns 2 through 5 of Attachment G without modifying,
deleting, adding to, or altering the order of the data. The company must
then provide the nutritional data requested in columns 6 through 52 of
Attachment G for each food product imported from Attachment E 2006.24
The nutritional data must be for the formulation of the product that the
company marketed in 2006. If the company reformulated the product
during 2006, provide nutritional data for the last of the 2006 formulations.
In column 1 of Attachment G (“unique identifier”), please number

21

If the company did not file a Special Report for the calendar year 2006, the company
will not receive an Attachment G and does not need to respond to Specification 3.B.
22

An electronic version of Attachment G, an Excel spreadsheet, is provided on the
included CD. The company must use Attachment G to report nutritional data for 2006 and
must not modify, delete, or add to the columns on the spreadsheet. The company must
submit the spreadsheet in Excel in a format that is readable and writable and must not
include footnotes or endnotes on the spreadsheet. The company must report the
nutritional data in accordance with the instructions specified in Attachment G and in this
Order.
23

For multi-brand advertising reported on Attachment E 2006, report the nutritional data
for the top-selling brand or sub-brand reported in column 4 of Attachment E 2006. Do not report
nutritional data for expenditures reported as restaurant corporate brand advertising.
24

For advertising for restaurant children’s meal combinations reported on Attachment E
2006, report the nutritional data for the children’s meal combination as a whole; do not report the
nutritional data for individual food components of the meal.
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sequentially each row that you create for each menu item and children’s
meal combination for which you report nutritional data.
C.

4.

Identifying 2009 Food Products that Were Reported in 2006: Each food
product listed on Attachment G has been given a unique identifier, which is
shown in column 1 as the row number for the food product. The company must
not alter this row number or change the order in which the food products appear.
The company must use this unique identifier when responding to column 53 on
Attachment F. Column 53 on Attachment F asks the company to identify which
product marketed in 2006, if any, corresponds to the product marketed in 2009.25

Samples and Descriptions of Advertising and Promotional Activities: In addition to
reporting advertising and promotional expenditures and nutritional data for food products
marketed to children and adolescents, the company must provide samples, where
feasible, or descriptions of all advertising and promotional activities that meet the
definitions in Attachments B and C as marketed to children and adolescents. The
company must provide samples or descriptions of all activities meeting those definitions,
regardless of whether the company had reportable expenditures for the activities. The
company must follow the instructions in Specifications 4.A through 4.E when providing
samples and descriptions of advertising and promotional activities.
A.

Marketing with Reportable Expenditures: For each food product for which the
company reported marketing expenditures on Attachment E in response to
Specification 2, above, the company must import columns 1 through 4 from
Attachment E into columns 1 through 4 of Attachment H to this Order26 without
modifying, deleting, adding to, or altering the order of the data. The company
must then report the following additional information on Attachment H:

25

Only identify the product marketed in 2006 as the product marketed in 2009 if it is the
exact same brand or sub-brand (but not if it is a different sub-brand within the same family of
brands). A brand or sub-brand that has been reformulated between 2006 and 2009 must still be
identified as the same brand or sub-brand in column 53 of Attachment F.
26

An electronic version of Attachment H, an Excel spreadsheet, is provided on the
included CD. The company must use Attachment H to report activities and must not
modify, delete, or add to the columns on the spreadsheet. The company must submit the
spreadsheet in Excel in a format that is readable and writable and must not include
footnotes or endnotes on the spreadsheet. The company must report the activity data in
accordance with the instructions and definitions specified in Attachments B, C, and H, and
in this Order.
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B.

i.

using the promotional activity category codes listed in Specification 2,
above, identify each of the advertising and promotional activity categories
in which the company reported expenditures on Attachment E (column 5
of Attachment H; report each activity category on a separate row);

ii.

within each promotional activity category, list each specific advertising or
other promotional activity for which the company reported expenditures
(column 6 of Attachment H; report each individual activity on a separate
row);

iii.

report whether the specific advertising or other promotional activity was
targeted toward children, as defined in Attachment B (column 7 of
Attachment H) and/or was targeted toward adolescents, as defined in
Attachment C (column 8 of Attachment H);

iv.

in accordance with Specification 7.A, below, if the specific advertising or
other promotional activity was directed to individuals of a specific gender,
race, ethnicity, or income level, identify the particular sub-population to
which the promotional activity was directed (column 9 of Attachment H);
and

v.

in column 10 of Attachment H, enter “1” for “yes” to indicate that the
specific advertising or other promotional activity had expenditures that
were reported on Attachment E.

Marketing Without Reportable Expenditures: For each food product for
which the company engaged in any advertising or other promotional activities
targeted toward children, as defined in Attachment B to this Order, and/or
targeted toward adolescents, as defined in Attachment C to this Order, during the
calendar year 2009, without incurring expenditures reportable on Attachment E in
response to Specification 2, above,27 the company must report the following
information on Attachment H:

27

Examples of activities without reportable expenditures are use of a licensed character,
a celebrity endorser, a product placement, or co-branding of a toy where no payment is made or
costs incurred with such an arrangement. Another example is any activity where the total
expenditure in 2009 was under $5,000 and therefore not reportable; for example, a child-directed
website to which minimal changes were made in 2009.
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i.

company name28 (column 1 of Attachment H);

ii.

food category, identified in response to Specification 1.C, above (column
2 of Attachment H);

iii.

brand name, non-branded fruit, vegetable, or dairy product variety, or
name of restaurant chain, identified in response to Specification 1.D,
above (column 3 of Attachment H);

iv.

sub-brand, restaurant menu item, or children’s meal combination,
identified in response to Specification 1.D, above, if applicable (column 4
of Attachment H); and

v.

using the promotional activity category codes listed in Specification 2,
above, identify each of the advertising and promotional activity categories
that the company engaged in during the calendar year 2009 without
incurring reportable expenditures (column 5; report each activity category
on a separate row);*

vi.

within each promotional activity category, list each specific advertising or
other promotional activity that the company engaged in without incurring
reportable expenditures (column 6 of Attachment H; report each
individual activity on a separate row);

vii.

report whether the specific advertising or other promotional activity was
targeted toward children, as defined in Attachment B (column 7 of
Attachment H) and/or was targeted toward adolescents, as defined in
Attachment C (column 8 of Attachment H);

viii.

in accordance with Specification 7.A, below, if the specific advertising or
other promotional activity was directed to individuals of a specific gender,
race, ethnicity, or income level, identify the particular sub-population to
which the promotional activity was directed (column 9 of Attachment H);
and

28

The company name reported in column 1 must be the entity within the company,
identified in response to Specification 1.B, above, that is responsible for the food product.
*

For special instructions on reporting activities in categories (g) through (r), see the
instructions in Attachments B and C to this Order.
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ix.

in column 10 of Attachment H, enter “0” for “no” to indicate that the
specific advertising or other promotional activity did not have
expenditures that were reported on Attachment E.

C.

Samples of Activities: Provide samples of each advertising or other promotional
activity that the company reported in response to Specifications 4.A and 4.B. On
Attachment H, report the Bates numbers for the samples in column 11. The
company must provide one representative sample per advertising campaign for
each type of promotional activity used in the campaign. This includes any
relevant sub-categories of a promotional activity category (e.g., for digital
advertising, provide one sample per campaign of an email message, text message,
download, podcast, etc., as applicable). For website promotions, provide samples
of all relevant web pages.

D.

Descriptions of Activities: If providing a sample of any advertising or other
promotional activity in response to Specification 4.C is not practicable, describe
the activity in detail in column 11 of Attachment H. The description should
include: when and where the promotion was published or occurred; a description
of the use of any licensed character, cross-promotion, celebrity endorsers, contest,
premium, or viral/word-of-mouth component; and other relevant information
about the promotion (see Attachment H for examples of satisfactory descriptions).

E.

Self-Liquidating Premiums: If the company distributed a self-liquidating
premium (SLP)29 during the calendar year 2009, the company must report on
Attachment H the information requested in Specifications 4.B, 4.C, and 4.D,
above, as applicable, and must then report the following additional information on
Attachment H:
i.

The number of SLP units sold in 2009 (column 12 of Attachment H); and

ii.

The total cost to the company for the SLPs sold in 2009 (column 13 of
Attachment H). The company must report its total costs for
manufacturing or purchasing the SLPs, and not the amount that the
company charged consumers for the SLPs.

29

A self-liquidating premium occurs when the company distributes a premium (as
defined in Attachment B or C) as part of its food marketing to children or adolescents, and the
company’s costs related to the premium item are entirely covered by the incremental revenue
generated by the sale. For example, if a quick-service restaurant charged an additional fee for a
children’s meal that included a toy, and that additional fee equaled or exceeded the company’s
costs, the toy would be a self-liquidating premium.
14

05/06/10 DRAFT
5.

6.

A.

Policies on Food Marketing: Identify and describe all company policies, plans,
and directives, whether formally adopted or informally issued, in place on or after
January 1, 2009, pertaining to food advertising and promotional activities targeted
to children or adolescents, as defined in Attachments B or C, including policies
regarding use or non-use of all advertising and promotional activities. Describe
the steps taken to implement these policies, including directions to internal or
external staff responsible for advertising preparation, review, or dissemination
regarding the meaning of these policies and how to comply with them. Provide
copies of all such policies and directions to internal or external staff (e.g., formal
or informal guidance documents, training materials, or instructions on
implementing a policy).

B.

Market Research: Since January 1, 2008, has the company sponsored,
conducted, or commissioned any marketing research studies regarding the appeal
to individuals under the age of 18 of any particular types of advertising or
promotional techniques, including the effectiveness of any particular types of
advertising or promotional techniques in increasing interest in or consumption of
any food product among individuals under the age of 18? If the answer is “yes,”
provide copies of such studies and describe how the resulting data have been
incorporated into the company’s marketing practices. This includes, but is not
limited to, the following:

A.

i.

Research on the effectiveness of new media (e.g., company-sponsored
Internet sites, other Internet and digital advertising, and word-of-mouth
and viral marketing) in increasing interest in or consumption of any food
product among individuals under the age of 18;

ii.

Research on the use of behavioral targeting (i.e., the use of information
about an individual’s online activities to select which advertisements to
display to that individual) and other similar marketing practices to
increase interest in or consumption of any food product among individuals
under the age of 18; and

iii.

Scientific and market research exploring neurological, psychological, or
other factors that may contribute to food advertising appeal among youth.

Initiatives on Healthy Eating and Lifestyle: Identify and describe all company
policies, programs, initiatives, or activities undertaken or implemented by the
company, in place on or after January 1, 2009, to encourage healthy eating and
lifestyle choices by children and adolescents. These include, but are not limited
to, the following:

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05/06/10 DRAFT
i.

B.

7.

development of new products or reformulation of existing products that
are lower in calories and/or more nutritious and are marketed to children
or adolescents;
a.

if the company reformulated products that it was already
marketing to children or adolescents to make them lower in
calories and/or more nutritious, identify the products and describe
the company’s efforts to reformulate the products;

b.

if the company commenced marketing nutritious, lower-calorie
products to children or adolescents that were already part of the
company’s product portfolio, identify the products and describe
the company’s efforts to make the products appealing to children
and/or adolescents;

ii.

packaging of products marketed to children or adolescents in smaller
portions or single servings to assist them in controlling portion size or
calorie intake;

iii.

public education efforts, such as messages targeted to children or
adolescents addressing nutrition and physical fitness, including any
partnerships or cross-promotional arrangements of any sort with other
food and beverage companies, media outlets, non-profit organizations, or
other entities for the purpose of promoting healthier eating, increased
physical activity and/or healthier lifestyles;

iv.

efforts to improve the overall nutritional profile of products marketed and
sold to children or adolescents in schools;

v.

any other efforts to implement or respond to the recommendations set
forth in Section IV of the Commission’s 2008 Report.

Research on Initiatives: Has the company conducted research or otherwise
obtained data to evaluate the effectiveness of any of the policies, programs,
initiatives, or activities identified and described in response to Specification 6.A,
above, including any studies regarding the appeal to individuals under the age of
18 of any of the company’s more nutritious or lower-calorie food products and/or
any advertising or promotional activities contemplated or used to market such
products? If the answer is “yes,” provide copies of such research or other data.

Marketing to Children and Adolescents by Gender, Race, Ethnicity, or Income
Level:

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05/06/10 DRAFT
A.

Were any of the advertising or promotional activities for which the company
reported expenditures and activities in response to Specifications 2.A, 2.B, or 4,
above, specifically directed, according to a marketing plan30 or by virtue of
advertising placement, language used, characters used, or other content, to
individuals of a specific gender, race, ethnicity, or income level? If the answer is
“yes,” in column 9 of Attachment H please identify which activities reported on
Attachment H were directed in such manner and identify the particular subpopulation to which the promotional expenditures or activities were directed.

B.

Did the company tailor any of the policies or market research reported in response
to Specification 5.A or 5.B, above, to address marketing to individuals of a
specific gender, race, ethnicity, or income level? If the answer is “yes,” please
identify the applicable Bates numbers of the company’s response to Specification
5 and identify the particular sub-population to which the policies or market
research apply.

Please file the Special Report called for in this Order no later than 90 days after the date
of issuance of the Order, or by ----- --, 2010.
All responses for all Specifications must be provided in one (1) printed copy and in
electronic form (by CD or as email attachments), formatted as Word or Word Perfect documents,
with the exception of the responses to Specifications 2, 3, and 4, which must be provided in one
(1) printed copy and in electronic form (by CD or as email attachments) on the included Excel
spreadsheets (Attachments E, F, G, and H). All responses must be labeled to indicate the
Specification to which the information or data responds. All files contained in electronic
submissions must have a file name that includes the company name, Specification numbers
included in the file, and date of the submission, in the following format: [COMPANYNAME]_Spec._[SPEC. #'S]_[MM-DD-YY].
Penalties may be imposed under applicable provisions of federal law for failure to file
Special Reports or for filing false reports.
By direction of the Commission.

Jon Leibowitz
Chairman

30

See infra note 34 for the definition of “marketing plan.”
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05/06/10 DRAFT
SEAL

Date of Order: [MONTH, DAY], 2010

The Special Report required by this Order,
or any inquiry concerning it, must be
addressed to the attention of:
[ATTORNEY NAME]
Division of Advertising Practices
Federal Trade Commission
601 New Jersey Avenue, NW, NJ-3212
Washington, D.C. 20580
[ATTORNEY PHONE] telephone
(202) 326-3259 facsimile
[ATTORNEY EMAIL]
or
[ATTORNEY NAME]
Division of Advertising Practices
Federal Trade Commission
601 New Jersey Avenue, NW, NJ-3212
Washington, D.C. 20580
[ATTORNEY PHONE] telephone
(202) 326-3259 facsimile
[ATTORNEY EMAIL]

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05/06/10 DRAFT
Attachment A
Food Category Definitions
For purposes of this Order, the food categories31 set forth in Specification 1.C. include
the following items:
(1)

Breakfast cereals – all cereals, whether intended to be served hot or cold;

(2)

Snack foods – snack chips (such as potato chips, tortilla chips, and corn chips), pretzels,
snack nuts (including salted and roasted), popcorn, snack bars (including breakfast and
cereal bars), crackers, cookies, processed fruit snacks (such as fruit leather), gelatin, and
pudding;

(3)

Candy and frozen desserts32 – chocolate and other candy bars, other chocolate candy,
hard candy, sour candy, chewy candy (including licorice, gummi candy, and jelly beans,
but excluding gum and breath mints), ice cream, sherbet, sorbet, popsicles and other
frozen novelties, frozen yogurt, and frozen baked goods (including frozen pies and cakes,
but not those frozen breakfast items listed below under “baked goods”);

(4)

Dairy products – milk (including flavored milk drinks, but excluding butter, cream,
cottage cheese, and sour cream), yogurt, yogurt drinks, and cheese (but not frozen dairy
products, such as ice cream or frozen yogurt);

(5)

Baked goods – snack cakes, pastries, doughnuts, and toaster baked goods (including
frozen waffles, French toast sticks, and toaster pastries, but excluding bread, rolls, bagels,
breadsticks, buns, croissants, taco shells, and tortillas);

(6)

Prepared foods and meals – frozen and chilled entrees, frozen pizzas, canned soups and
pasta, lunch kits, and non-frozen packaged entrees (such as macaroni and cheese);

(7)

Carbonated beverages – all carbonated beverages, both diet and regular;

(8)

Fruit juice and non-carbonated beverages – fruit juice, juice drinks, fruit-flavored
drinks, vegetable juice, tea drinks, non-carbonated energy drinks and sports drinks,
cocoa, bottled water, and all other non-carbonated beverages (but excluding all varieties

31

The food categories are intended to be mutually exclusive. Do not include a food
product in more than one category.
32

Please note that the two food categories of “candy” and “frozen and chilled desserts”
from the 2008 Report have been combined for purposes of this Order. The company must report
all food products that are within the combined category of “candy and frozen desserts.”
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05/06/10 DRAFT
of coffee); include ready-to-pour beverages as well as those sold in concentrated or
powdered form;
(9)

Fruits and vegetables – all fruits and vegetables, whether sold fresh (packaged or loose),
canned, frozen, or dried;

(10)

Restaurant foods – menu items offered in the restaurant.

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Attachment B
Advertising and Promotional Activities Targeted Toward Children
INSTRUCTIONS
Use the following definitions for purposes of reporting the advertising expenditures and
activities requested in Specifications 2.A, 2.C, 2.F, and 4. The company must use Attachment E
when reporting expenditures and Attachment H when reporting activities, and must not modify,
delete, or add to the columns on either Attachment. The company must submit Attachments E
and H in Excel in a format that is readable and writable.
The advertising and promotional activity categories set forth below are mutually
exclusive. Do not report an expenditure or activity in more than one category.
For all advertising and promotional activity categories, report expenditures to the nearest
$10,000.
Special Instructions for Reporting Expenditures and Activities in Food Categories
1.C.(1) through (6): For those food products that fall within the food categories listed in
Specification 1.C.(1) through (6)33 DO NOT report expenditures in response to Specification
2.A and do not report activities in response to Specification 4.B for the advertising and
promotional activity categories listed in (g) through (r) of this Attachment B, if both of the
following conditions are met:
(1)

The company had no reportable expenditures for the food product in response to
Specification 2.A for any of the advertising and promotional activity categories
listed in (a) through (f) of this Attachment B; and

(2)

No marketing plan34 for the food product indicates that the company planned or
engaged in any form of advertising or promotional activity for the product during

33

The food categories listed in Specification 1.C.(1) through (6) are: breakfast cereals;
snack foods; candy and frozen desserts; dairy products; baked goods; and prepared foods and
meals.
34

A “marketing plan” includes documents addressing advertising and marketing
objectives and strategies, themes, or concepts, as well as media recommendations, media plans,
marketing reports, business studies, creative strategies or briefs, category management plans,
media exposure projections, and any other documents that set out, describe, or discuss the
planned or actual approaches for marketing, advertising, or promoting a food brand, food
product line, food product, or restaurant chain, whether created by the company or by its agents,
including but not limited to ad agencies, media buyers, or advertising consultants.
B-1

05/06/10 DRAFT
the calendar year 2009 that was intended to reach an audience that, in whole or in
part, consisted of children ages 2-11;
DEFINITIONS AND ADDITIONAL INSTRUCTIONS
(a)

Television advertising (TV AD) means advertising on broadcast, cable, or satellite
television channels, including during syndicated programming, or branded messages
relating to company sponsorship or underwriting of a television program. Report
expenditures on, and activities associated with, television advertising if any of the
following apply:
1.

A marketing plan specifically indicates that the television advertising was
intended to reach children under age 12;

2.

The advertising appeared in any television program, programming block, or
daypart that had a viewing audience consisting of 30% or more children ages 211, as measured on an annual basis;35 or

3.

The advertising occurred in a television program rated TV-Y or TV-Y7.

When reporting expenditures for television advertising, the company must report all
creative design/development/production costs and advertising placement costs.36
(b)

Radio advertising (RAD AD) means advertising on AM, FM, HD Radio, or satellite
radio channels. Report expenditures on, and activities associated with, radio advertising
if any of the following apply:
1.

A marketing plan specifically indicates that the radio advertising was intended to
reach children under age 12; or

2.

The advertising appeared in any radio program, programming block, or daypart
for which children ages 2-11 constituted at least 30% of the listening audience, as
measured on an annual basis.

35

A 30% audience share was chosen for children ages 2-11 because this level of
audience share is approximately double the proportion of that group in the general U.S.
population.
36

For purposes of this Order, “costs” include both direct and indirect allocated costs,
whether internal or external.
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05/06/10 DRAFT
When reporting expenditures for radio advertising, the company must report all creative
design/development/production costs and advertising placement costs.
(c)

Print advertising (PRT AD) means advertising placed in magazines, comic books,
newspapers (including advertising placed in free-standing inserts), or other print
publications. Report expenditures on, and activities associated with, print advertising if
any of the following apply:
1.

A marketing plan specifically indicates that the print advertising was intended to
reach children under age 12; or

2.

The advertising appeared in a publication for which children ages 2-11
constituted at least 30% of the readers and/or subscribers, as measured on an
annual basis.

When reporting expenditures for print advertising, the company must report all creative
design/development/production costs and advertising placement costs.
(d)

Company-sponsored Internet sites (WEBSITE AD) means any company-sponsored
Internet site or page that contains information about or images of the company’s food
brands or products, including, but not limited to, advergames,37 and that can be accessed
by computers located in the United States, regardless of where the site is located or the
Internet address of the site or page. Report expenditures on, and activities associated
with, company-sponsored Internet sites if any of the following apply:
1.

A marketing plan specifically indicates that the site or page was intended to reach
children under age 12;

2.

Audience demographic data indicate that 20% or more of visitors to the site or
page were children ages 2-11 for any month during 2009;38 or

3.

The site or page:

37

For purposes of this Order, the term “advergame” refers to an interactive, electronic
game on a company-sponsored website that prominently features one or more of the company’s
products or brands.
38

A 20% audience share was chosen for children ages 2-11 because this level of
audience share is approximately double the proportion of that group in the population of active
Internet users during 2009. Data from comScore show that children ages 2-11 constituted
between 9 and 10% of the active Internet audience from January through December 2009.
Source: comScore Media Trend Report.
B-3

05/06/10 DRAFT
A.

prominently featured child-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with children, according
to a marketing plan or public opinion research data within the company’s
possession, custody, or control;

C.

used language, such as “kid,” “child,” “tween,” or similar words, or
prominently depicted performers, models, or characters who were, or
appeared to be, under age 12, in order to indicate that the site or page was
intended for children; or

D.

promoted child-oriented themes, activities, incentives, products, or media.

When reporting expenditures for company-sponsored Internet sites, the company must
report all costs associated with the design, development, production, registration, and
maintenance of company-sponsored, -owned, or -operated websites, including all content
appearing on company websites (e.g., advergames) that meets the definition above,
regardless of whether the website as a whole is targeted to children.
(e)

Other Internet and digital advertising39 (INTERNET AD) means:
Other Internet advertising: advertising and promotional content on or through Internet
sites or pages, other than company-sponsored Internet sites, that bears or otherwise
displays the name or logo or any portion of the package of any of the company’s food
brands or otherwise refers or relates to such food brands, including, but not limited to,
sponsored hyperlinks, banner or pop-up advertisements, in-stream and in-page audio and
video advertisements, sponsored text advertising, sponsored search keywords, and
advertising in chat rooms, weblogs, social networking sites, online video games, bulletin
boards, and listservs.
Digital advertising: advertising and promotional content transmitted to personal
computers and other digital devices, including PDAs (personal digital assistants), mobile
phones, and other portable devices, whether or not Internet-enabled, that bears or
otherwise displays the name or logo or any portion of the package of any of the
company’s food brands or otherwise refers or relates to such food brands, including, but
not limited to, expenditures for advertising or promotional content in electronic mail
(email) messages, short message service (SMS or “text”) messaging, instant messaging

39

Please note that the two promotional activity categories of “other Internet advertising”
and “other digital advertising” from the 2008 Report have been combined for purposes of this
Order. The company must report all promotional activities that are within the combined
category of “other Internet and digital advertising.”
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05/06/10 DRAFT
(IM), picture messaging, multimedia messaging, mobile broadcasts, downloads (such as
ringtones, wallpapers, and videos), and podcasts.
Report expenditures on, and activities associated with, other Internet and digital
advertising if any of the following apply:
1.

A marketing plan specifically indicates that the Internet or digital advertising was
intended to reach children under age 12;

2.

The company knowingly sought the participation of children in the Internet or
digital advertising campaign;

3.

For Internet advertising, the advertising appeared on any Internet website for
which audience demographic data indicate that children ages 2-11 constituted at
least 20% of the audience for any month during 2009. For digital advertising,
20% or more of the participants in or audience of the digital advertising campaign
were children, according to demographic data or other information within the
company’s possession, custody, or control; or

4.

The advertising:
A.

prominently featured child-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with children, according
to a marketing plan or public opinion research data within the company’s
possession, custody, or control;

C.

used language, such as “kid,” “child,” “tween,” or similar words, or
prominently depicted performers, models, or characters who were, or
appeared to be, under age 12, in order to indicate that the advertising was
intended for children; or

D.

promoted child-oriented themes, activities, incentives, products, or media.

When reporting expenditures for other Internet and digital advertising, the company must
report all creative design/development/production costs and advertising
placement/distribution costs.
(f)

Packaging and labeling (PACK/LABEL) means all product packaging and labeling
(including all words and images therein) for any of the company’s food products. Report
expenditures on, and activities associated with, packaging and labeling if any of the
following apply:

B-5

05/06/10 DRAFT
1.

A marketing plan specifically indicates that the packaging or labeling was
designed to appeal to children under age 12; or

2.

The packaging or labeling:
A.

prominently featured child-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with children, according
to a marketing plan or public opinion research data within the company’s
possession, custody, or control;

C.

used language, such as “kid,” “child,” “tween,” or similar words, or
prominently depicted performers, models, or characters who were, or
appeared to be, under age 12, in order to indicate that the product was
intended for children; or

D.

promoted child-oriented themes, activities, incentives, products, or media.

When reporting expenditures for packaging and labeling, the company must report all
costs associated with the design, development, and production of changes in product
packaging and labeling (excluding the costs of packaging materials, and excluding any
costs of fulfilling labeling requirements of the Food and Drug Administration).
(g)

Movie theater/video/video game advertising (MOV/VID AD) means advertising
preceding a movie shown in a movie theater or placed on a video (DVD, Blu-ray, or
VHS) or within a video game (including as a pre-roll, post-roll, or banner advertisement).
Report expenditures on, and activities associated with, movie theater/video/video game
advertising if any of the following apply:
1.

A marketing plan specifically indicates that such advertising was intended to
reach children under age 12;

2.

The advertising appeared in or contiguous to a motion picture:

3.

A.

distributed in movie theaters, on video (e.g., DVD, Blu-ray, or VHS), or
digitally, that was rated G by the Motion Picture Association of America;
or

B.

for which children ages 2-11 constituted at least 30% of the viewing
audience, according to demographic data or other information within the
company’s possession, custody, or control;

The advertising appeared in or contiguous to a video game:
B-6

05/06/10 DRAFT

4.

A.

rated EC by the Entertainment Software Rating Board; or

B.

for which children ages 2-11 constituted at least 30% of the users,
according to demographic data or other information within the company’s
possession, custody, or control; or

The advertising:
A.

prominently featured child-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with children, according
to a marketing plan or public opinion research data within the company’s
possession, custody, or control;

C.

used language, such as “kid,” “child,” “tween,” or similar words, or
prominently depicted performers, models, or characters who were, or
appeared to be, under age 12, in order to indicate that the advertising was
intended for children; or

D.

promoted child-oriented themes, activities, incentives, products, or media.

When reporting expenditures for movie theater/video/video game advertising, the
company must report all creative design/development/production costs and advertising
placement costs.
(h)

In-store advertising and promotions (IN-STORE AD) means advertising displays and
promotions at the retail site, including the offering of free samples and allowances paid to
facilitate shelf placement or merchandise displays. Report expenditures on, and activities
associated with, in-store advertising and promotions that, pursuant to a marketing plan or
industry practice, were designed to appeal to children. Such design elements may
involve the height of placement or display, and the use of licensed characters, images of
children, and language, such as “kid,” “child,” or similar words.
When reporting expenditures for in-store advertising and promotions, the company must
report all costs of displays, signage, and samples, and shelf placement costs, including
allowances.

(i)

Specialty item or premium distribution (PREMIUMS) means specialty or premium
items other than food products that are distributed in connection with the sale of any of
the company’s food products, whether distributed by sale, by redemption of coupons,
codes, or proofs of purchase, within food packages, in conjunction with restaurant meals,
as prizes in contests or sweepstakes, or otherwise. Report expenditures on, and activities
associated with, specialty item or premium distribution if any of the following apply:
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05/06/10 DRAFT
1.

A marketing plan specifically indicates that the specialty item or premium
distribution was intended to reach children under age 12;

2.

The promotion of the specialty or premium item or the item itself:

3.

A.

prominently featured child-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with children, according
to a marketing plan or public opinion research data within the company’s
possession, custody, or control;

C.

used language, such as “kid,” “child,” “tween,” or similar words, or
prominently depicted performers, models, or characters who were, or
appeared to be, under age 12, in order to indicate that the item was
intended for children; or

D.

promoted child-oriented themes, activities, incentives, products, or media;
or

The specialty or premium item was a toy, doll, action figure, collectable item,
puzzle, game, or other product for children.

When reporting expenditures for specialty item or premium distribution, the company
must report all net costs (deducting payments by consumers) of items distributed to
consumers, including all costs associated with the production or purchase of the items
and the distribution of the items. Thus, for purposes of reporting expenditures, the
company will not include the costs associated with self-liquidating premiums, as defined
in footnote 29, supra. Note that this category includes only the costs associated with the
item or premium; it does not include costs associated with advertising the item or
premium in other media. For example, if a contest to win a toy is advertised on
television, the expenditure for the television advertisement must be reported under
television advertising, while the net cost of the toys (including costs associated with the
production or purchase, and distribution of the toys) must be reported under specialty
item or premium distribution.
(j)

Promotion or sponsorship of public entertainment events (EVENTS) means events,
including but not limited to concerts and sporting events, bearing or otherwise displaying
the name or logo or any portion of the package of any of the company’s food brands or
otherwise referring or relating to such food brands, including through billboards, banners,
and the distribution of product samples or functional promotional items, including but not
limited to, clothing, hats, bags, posters, sporting or racing goods and equipment bearing
or otherwise displaying the name or logo or any portion of the package of any of the
company’s food brands or otherwise referring or relating to such food brands. Report
B-8

05/06/10 DRAFT
expenditures on, and activities associated with, promotion or sponsorship of public
entertainment events if any of the following apply:
1.

A marketing plan specifically indicates that the event or promotion at the event
was intended to reach children under age 12 or that the event would involve the
participation or attendance of children;

2.

The company actively sought the participation or attendance of children;

3.

The event involved child-oriented themes, activities, incentives, products, or
media;

4.

30% or more of the participants in, or audience of, the event were children under
age 12, according to demographic data or other information within the company’s
possession, custody, or control; or

5.

The advertising or promotions at the event:
A.

prominently featured child-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with children, according
to a marketing plan or public opinion research data within the company’s
possession, custody, or control;

C.

used language, such as “kid,” “child,” “tween,” or similar words, or
prominently depicted performers, models, or characters who were, or
appeared to be, under age 12, in order to indicate that the advertising or
promotions were intended for children; or

D.

promoted child-oriented themes, activities, incentives, products, or media.

When reporting expenditures for the promotion or sponsorship of public entertainment
events, the company must report all costs associated with the promotion and/or
sponsorship of the event, including costs to display billboards or banners in the name of
any of the company’s food brands or referring or relating to such food brands, the cost of
product samples distributed at the event, and all net costs (deducting payments by
consumers) associated with the production, offer, sale, or provision without fee of all
functional promotional items at or in connection with a public entertainment event. This
does not include the costs of such non-specialty items as branded containers, paper cups
or plates used for serving food or beverage products.
(k)

Product placements (PROD PLMT) means permitting, promoting, or procuring the
integration of any food product, logo, signage, trade name, or package into an
B-9

05/06/10 DRAFT
entertainment vehicle, such as a television or radio program, motion picture, video, music
recording, electronic or online game, or other form of entertainment. Report
expenditures on, and activities associated with, product placements if any of the
following apply:
1.

A marketing plan specifically indicates that the placement was intended to reach
children under age 12;

2.

The placement occurred in a motion picture:

3.

4.

5.

A.

distributed in movie theaters, on video (e.g., DVD, Blu-ray, or VHS), or
digitally, that was rated G by the Motion Picture Association of America;
or

B.

for which children ages 2-11 constituted at least 30% of the viewing
audience, according to demographic data or other information within the
company’s possession, custody, or control;

The placement occurred in a television program, programming block, or daypart:
A.

rated TV-Y or TV-Y7; or

B.

for which children ages 2-11 constituted at least 30% of the viewing
audience, as measured on an annual basis;

The placement occurred in a video game:
A.

rated EC by the Entertainment Software Rating Board; or

B.

for which children ages 2-11 constituted at least 30% of the users,
according to demographic data or other information within the company’s
possession, custody, or control; or

The entertainment vehicle in which the placement occurred:
A.

prominently featured a child-oriented animated or licensed character;

B.

depicted primarily performers, models, or characters who were, or
appeared to be, under age 12 or themes, activities, or other content that
likely appealed primarily to children; or

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C.

prominently featured a celebrity highly popular with children, according
to a marketing plan or public opinion research data within the company’s
possession, custody, or control.

When reporting expenditures for product placements, the company must report the cost
of any payment (monetary or in-kind) made to secure the placements.
(l)

Character licensing, toy co-branding, and cross-promotions (CHAR LIC) means
licensing or otherwise obtaining permission to use another company’s brand, trade name,
or related intellectual property in the advertising or promotion of a food product. This
promotional activity includes licensing agreements to use the brand, trade name, or
related intellectual property in advertisements or promotions, as well as crosspromotional arrangements, such as a marketing partnership with a media company, film
studio, theme park, or toy company to promote each other’s products by marketing (in
any context) a food product or food brand name in conjunction with a character, film,
theme park, toy, or similar product. Report expenditures on, and activities associated
with, character licensing, toy co-branding, and cross-promotions involving another
company’s brand, trade name, or related intellectual property if any of the following
apply:
1.

A marketing plan specifically indicates that use of the other company’s brand,
trade name, or related intellectual property was intended to reach children under
age 12;

2.

The other company’s brand, trade name, or related intellectual property:

3.

A.

is or prominently featured a child-oriented animated or licensed character;

B.

depicted primarily performers, models, or characters who were, or
appeared to be, under age 12 or themes, activities, or other content that
likely appealed primarily to children; or

C.

prominently featured a celebrity highly popular with children, according
to a marketing plan or public opinion research data within the company’s
possession, custody, or control;

The other company’s brand, trade name, or related intellectual property derives
from a motion picture:
A.

distributed in movie theaters, on video (e.g., DVD, Blu-ray, or VHS), or
digitally, that was rated G by the Motion Picture Association of America;
or

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B.

4.

5.

for which children ages 2-11 constituted at least 30% of the viewing
audience, according to demographic data or other information within the
company’s possession, custody, or control;

The other company’s brand, trade name, or related intellectual property derives
from a television program:
A.

rated TV-Y or TV-Y7; or

B.

for which children ages 2-11 constituted at least 30% of the viewing
audience, as measured on an annual basis;

The other company’s brand, trade name, or related intellectual property derives
from a video game:
A.

rated EC by the Entertainment Software Rating Board; or

B.

for which children ages 2-11 constituted at least 30% of the users,
according to demographic data or other information within the company’s
possession, custody, or control;

6.

The other company’s brand, trade name, or related intellectual property is a toy
intended primarily for use by children under age 12 or primarily used by children,
according to demographic data or other information within the company’s
possession, custody, or control; or

7.

The other company’s brand, trade name, or related intellectual property is a theme
park:
A.

that featured child-oriented themes, activities, products, or media; or

B.

at which 30% or more of the annual attendees were children under age 12,
according to demographic data or other information within the company’s
possession, custody, or control.

When reporting expenditures for character licensing, toy co-branding, and crosspromotions in columns 50 through 53 of Attachment E, the company must report only the
cost of obtaining the character license, toy co-branding agreement, and/or
cross-promotional arrangement (e.g., a licensing fee). Do not report in this category the
costs of advertisements and promotions featuring the licensed character, co-branded toy,
or cross-promotion (e.g., the costs of a television advertisement featuring the licensed
character). Instead, those costs must be reported under the relevant advertising or
promotional activity category (e.g., the costs of a television advertisement featuring a
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licensed character must be reported under television advertising; the cost of packaging
showing a licensed character must be reported under packaging).
(m)

Sponsorship of sports teams or individual athletes (ATHL SPON) means sponsorship
of or provision of equipment or facilities for a professional or amateur athletic team
(excluding primary and secondary school athletic teams to be reported under category
(p), below) or an individual athlete, including, but not limited to, competitors in football,
basketball, baseball, soccer, hockey, tennis, golf, wrestling, karate, judo, weight lifting,
volleyball, skiing, skating, snowboarding, skateboarding, surfing, sailing, boating,
equestrian, rodeo, automobile, race car, funny car, motorcycle, bicycle, truck, monster
truck, tractor-pull, fishing, and hunting events, competitions, tournaments, and races.
Report expenditures on, and activities associated with, sponsorships of sports teams or
individual athletes if any of the following apply:
1.

A marketing plan specifically indicates that the sponsorship was intended to reach
or designed to appeal to children under age 12;

2.

The sponsored athlete was a child, or members of the sponsored team were
children;

3.

A marketing plan or public opinion research data within the company’s
possession, custody, or control indicates that the sponsored team or athlete is
highly popular with children; or

4.

Demographic data or other information within the company’s possession,
custody, or control indicates that 30% or more of the fan base for the sponsored
team or athlete consisted of children under age 12.

When reporting expenditures for the sponsorship of sports teams or individual athletes,
the company must report the cost of all payments (both monetary and in-kind) to a sports
team or athlete that are made in conjunction with or conditioned upon the use of trade
names, logos, displays, signage, or other branded materials during public appearances of
the sports team or athlete, including during athletic competitions. Do not report in this
category expenditures that are reportable in another category (e.g., payment to an athlete
to appear in a television ad must be reported in the celebrity endorsements category).
(n)

Word-of-mouth and viral marketing40 (WOM/VIRAL) means:

40

Please note that the two promotional activity categories of “word-of-mouth marketing”
and “viral marketing” from the 2008 Report have been combined for purposes of this Order.
The company must report all promotional activities that are within the combined category of
“word-of-mouth and viral marketing.”
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Word-of-mouth marketing: providing incentives (financial or otherwise), product
samples, or other support to non-employees (including individuals and groups) to
promote consumption of a food product to other consumers or to encourage discussion of
a food product or brand among consumers.
Viral marketing: promotional messages intended to encourage consumers to discuss, or
otherwise promote (such as by passing along or sharing the promotional messages), a
food product or brand with other consumers, or to encourage consumers to interact with
company-sponsored content, through the use of various forms of electronic
communication. “Viral” marketing includes, but is not limited to, content developed for
video, audio, or image file-sharing Internet websites that integrates a food product, logo,
signage, trade name, or food package; company-sponsored blogs or social networking
website profiles that discuss a food product or brand (whether or not the content is
attributed to the company); and any other content posted on the Internet about a food
product that is intended to be sent from one consumer to another (such as through a “send
to a friend” email or through a promotional message that attaches to an email sent
through a web-based email program).
Report expenditures on, and activities associated with, word-of-mouth and viral
marketing if any of the following apply:
1.

A marketing plan specifically indicates that the word-of-mouth or viral marketing
campaign was intended to reach children under age 12;

2.

The company knowingly sought the participation of children in the word-ofmouth or viral marketing campaign;

3.

The word-of-mouth or viral marketing campaign:
A.

prominently featured child-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with children, according
to a marketing plan or public opinion research data within the company’s
possession, custody, or control;

C.

used language, such as “kid,” “child,” “tween,” or similar words, or
prominently depicted performers, models, or characters who were, or
appeared to be, under age 12, in order to indicate that the campaign was
intended for children; or

D.

promoted child-oriented themes, activities, incentives, products, or media;
or

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4.

20% or more of the participants in the word-of-mouth or viral marketing
campaign were children under age 12, according to demographic data or other
information within the company’s possession, custody, or control.

When reporting expenditures for word-of-mouth marketing, the company must report the
cost of incentives (financial or otherwise) and samples provided to non-employees, and
all costs associated with the design, development, and implementation (i.e., recruiting
participants and disseminating the incentives) of the worth-of-mouth marketing
campaign.
When reporting expenditures for viral marketing, the company must report all costs
associated with the creative design/development/production and distribution of the
promotional messages.
(o)

Celebrity endorsements (CELEB END) means an advertising or promotional message
(including verbal statements, demonstrations, or depictions of the name, signature,
likeness, or other identifying personal characteristics of an individual) relating to the
company’s food products, when such message is one that consumers are likely to believe
reflects the opinions, beliefs, findings, or experience of a public figure (including an
entertainer, musician, athlete, or other well-recognized person). Report expenditures on,
and activities associated with, celebrity endorsements if any of the following apply:
1.

A marketing plan specifically indicates that the endorser was used to reach or
appeal to children under age 12;

2.

The celebrity endorser:

3.

A.

was a child;

B.

was commonly recognized as highly popular with children, or was highly
popular with children according to a marketing plan or public opinion
research data within the company’s possession, custody, or control; or

C.

promoted child-oriented themes, activities, incentives, products, or media;
or

Demographic data or other information within the company’s possession,
custody, or control indicates that 30% or more of the celebrity’s fan base
consisted of children under age 12.

When reporting expenditures for celebrity endorsements in columns 62 through 65 of
Attachment E, the company must report only the cost of all payments (both monetary and
in-kind) to a celebrity to endorse any of the company’s food products (e.g., an
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endorsement fee). Do not report in this category the costs associated with advertisements
and promotions featuring the celebrity (e.g., the costs of a television advertisement
featuring the celebrity endorser). Instead, those costs must be reported under the relevant
advertising or promotional activity category (e.g., the costs of a television advertisement
featuring a celebrity endorser must be reported under television advertising).
(p)

In-school marketing (IN-SCHOOL) means advertising or promotional activity in or
around a pre-school or elementary school, including, but not limited to, the use of trade
names, logos, displays, signage, or other branded materials in or around cafeterias,
vending machines, or gymnasiums, at school events, youth athletic events, athletic fields
or arenas, and on school buses, Channel One or other closed circuit television channels.
This category includes payments pursuant to food and beverage contracts with schools or
school systems and philanthropic donations to schools or particular school clubs, teams,
events, or programs, including donations of or discounts on products, coupons for
products, and branded materials such as equipment, classroom materials, and curricula
created by or sponsored by food companies. This category does not include an
advertising or promotional activity that occurred at a pre-school or elementary school at a
time when no children were present or likely would have been present (e.g., a PTA
meeting).
When reporting expenditures for in-school marketing, the company must report the cost
of all payments made pursuant to food and beverage contracts with schools or school
systems,41 as well as the cost of all donations (both monetary and in-kind) to schools or
particular school clubs, teams, events, or programs, that are made in conjunction with (or
conditioned upon) the use of trade names, logos, displays, signage, or other branded
materials in or around the school, as specified above. For student scholarships, report
only the costs associated with promoting the scholarship in conjunction with the use of
trade names, logos, displays, signage, or other branded materials; do not report the value
of the scholarship.

(q)

Advertising in conjunction with philanthropic endeavors (PHLNTHRPY) means
advertising or promotional activity in conjunction with a donation to an organization,
program, or event, other than a school or school-sponsored program or event, including,
but not limited to, the use of trade names, logos, displays, signage, or other branded
materials at or in connection with child-oriented clubs, parks, activities, or community
programs or events. Report expenditures on, and activities associated with, advertising in
conjunction with philanthropic endeavors if any of the following apply:

41

Report the payments made to the schools or school systems pursuant to such contracts;
do not report costs associated with purchasing, leasing, or servicing the vending machines in
which products are sold.
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1.

A marketing plan specifically indicates that the organization, program, or event
would reach children under age 12 or would involve the participation or
attendance of children under age 12;

2.

The company actively sought the participation or attendance of children;

3.

The program or event involved child-oriented themes, activities, incentives,
products, or media;

4.

30% or more of the participants in, or attendees or beneficiaries of, the
organization, program, or event were children under age 12, according to
demographic data or other information within the company’s possession, custody,
or control; or

5.

The advertising or promotional activity:
A.

prominently featured child-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with children, according
to a marketing plan or public opinion research data within the company’s
possession, custody, or control;

C.

used language, such as “kid,” “child,” “tween,” or similar words, or
prominently depicted performers, models, or characters who were, or
appeared to be, under age 12, in order to indicate that the advertising or
promotions were intended for children; or

D.

promoted child-oriented themes, activities, incentives, products, or media.

When reporting expenditures for advertising in conjunction with philanthropic
endeavors, the company must report the costs associated with donations (both monetary
and in-kind) to organizations, programs or events (other than schools or
school-sponsored programs or events) that are made in conjunction with (or conditioned
upon) the use of trade names, logos, displays, signage, or other branded materials at or in
connection with child-oriented clubs, parks, activities, or community programs or events.
Report the cost of marketing materials associated with the philanthropic donation, not the
full amount of the donation. (The amount of the donation that is deemed not tax
deductible as a charitable contribution because of marketing benefit received by the
company may serve as the reported cost, if appropriate.) Do not include any amount for
contributions to medical or disease-related charities, even if the ultimate beneficiaries
happen to be children.

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(r)

Other promotional activities (OTHER) means any advertising or promotional activities
not covered by another reporting category; describe fully and break down by type.
Report expenditures on, and activities associated with, other promotional activities not
reported in any other category if a marketing plan specifically indicates that such
activities were intended to reach children under age 12.
When reporting expenditures for other promotional activities, consult with FTC staff as
to what constitutes a reportable cost for the particular promotional activity involved.

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Attachment C
Advertising and Promotional Activities Targeted Toward Adolescents
INSTRUCTIONS
Use the following definitions for purposes of reporting the advertising expenditures and
activities requested in Specifications 2.B, 2.C, 2.F, and 4. The company must use Attachment E
when reporting expenditures and Attachment H when reporting activities, and must not modify,
delete, or add to the columns on either Attachment. The company must submit Attachments E
and H in Excel in a format that is readable and writable.
The advertising and promotional activity categories set forth below are mutually
exclusive. Do not report an expenditure or activity in more than one category.
For all advertising and promotional activity categories, report expenditures to the nearest
$10,000.
Special Instructions for Reporting Expenditures and Activities in Food Categories
1.C.(1) through (6): For those food products that fall within the food categories listed in
Specification 1.C.(1) through (6)42 DO NOT report expenditures in response to Specification
2.B and do not report activities in response to Specification 4.B for the advertising and
promotional activity categories listed in (g) through (r) of this Attachment C, if both of the
following conditions are met:
(1)

The company had no reportable expenditures for the food product in response to
Specification 2.B for any of the advertising and promotional activity categories
listed in (a) through (f) of this Attachment C; and

(2)

No marketing plan43 for the food product indicates that the company planned or
engaged in any form of advertising or promotional activity for the product during
the calendar year 2009 that was intended to reach an audience that, in whole or in
part, consisted of adolescents ages 12-17;
DEFINITIONS AND ADDITIONAL INSTRUCTIONS

42

The food categories listed in Specification 1.C.(1) through (6) are: breakfast cereals;
snack foods; candy and frozen desserts; dairy products; baked goods; and prepared foods and
meals.
43

See supra note 34 for the definition of “marketing plan.”
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(a)

Television advertising (TV AD) means advertising on broadcast, cable, or satellite
television channels, including during syndicated programming, or branded messages
relating to company sponsorship or underwriting of a television program. Report
expenditures on, and activities associated with, television advertising if any of the
following apply:
1.

A marketing plan specifically indicates that the television advertising was
intended to reach adolescents ages 12-17; or

2.

The advertising appeared in any television program, programming block, or
daypart that had a viewing audience consisting of 20% or more adolescents ages
12-17, as measured on an annual basis.44

When reporting expenditures for television advertising, the company must report all
creative design/development/production costs and advertising placement costs.
(b)

Radio advertising (RAD AD) means advertising on AM, FM, HD Radio, or satellite
radio channels. Report expenditures on, and activities associated with, radio advertising
if any of the following apply:
1.

A marketing plan specifically indicates that the radio advertising was intended to
reach adolescents ages 12-17; or

2.

The advertising appeared in any radio program, programming block, or daypart
for which adolescents ages 12-17 constituted at least 20% of the listening
audience, as measured on an annual basis.

When reporting expenditures for radio advertising, the company must report all creative
design/development/production costs and advertising placement costs.
(c)

Print advertising (PRT AD) means advertising placed in magazines, comic books,
newspapers (including advertising placed in free-standing inserts), or other print
publications. Report expenditures on, and activities associated with, print advertising if
any of the following apply:
1.

A marketing plan specifically indicates that the print advertising was intended to
reach adolescents ages 12-17; or

44

A 20% audience share was chosen for adolescents ages 12-17 because this level of
audience share is approximately double the proportion of that group in the general U.S.
population.
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2.

The advertising appeared in a publication for which adolescents ages 12-17
constituted at least 20% of the readers and/or subscribers, as measured on an
annual basis.

When reporting expenditures for print advertising, the company must report all creative
design/development/production costs and advertising placement costs.
(d)

Company-sponsored Internet sites (WEBSITE AD) means any company-sponsored
Internet site or page that contains information about or images of the company’s food
brands or products, including, but not limited to, advergames,45 and that can be accessed
by computers located in the United States, regardless of where the site is located or the
Internet address of the site or page. Report expenditures on, and activities associated
with, company-sponsored Internet sites if any of the following apply:
1.

A marketing plan specifically indicates that the site or page was intended to reach
adolescents ages 12-17;

2.

Audience demographic data indicate that 20% or more of visitors to the site or
page were adolescents ages 12-17 for any month during 2009;46 or

3.

The site or page:

45

A.

prominently featured adolescent-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with adolescents,
according to a marketing plan or public opinion research data within the
company’s possession, custody, or control;

C.

used language, such as “adolescent,” “teen,” “teenager,” or similar words,
or prominently depicted performers, models, or characters who were, or
appeared to be, adolescents between 12 and 17 years old, in order to
indicate that the site or page was intended for adolescents; or

See the definition of “advergame” at note 37, supra.

46

A 20% audience share was chosen for adolescents ages 12-17 because this level of
audience share is approximately double the proportion of that group in the population of active
Internet users during 2009. Data from comScore show that adolescents ages 12-17 constituted
between 10 and 11% of the active Internet audience from January through December 2009.
Source: comScore Media Trend Report.
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D.

promoted adolescent-oriented themes, activities, incentives, products, or
media.

When reporting expenditures for company-sponsored Internet sites, the company must
report all costs associated with the design, development, production, registration, and
maintenance of company-sponsored, -owned, or -operated websites, including all content
appearing on company websites (e.g., advergames) that meets the definition above,
regardless of whether the website as a whole is targeted to adolescents.
(e)

Other Internet and digital advertising (INTERNET AD) means:
Other Internet advertising: advertising and promotional content on or through Internet
sites or pages, other than company-sponsored Internet sites, that bears or otherwise
displays the name or logo or any portion of the package of any of the company’s food
brands or otherwise refers or relates to such food brands, including, but not limited to,
sponsored hyperlinks, banner or pop-up advertisements, in-stream and in-page audio and
video advertisements, sponsored text advertising, sponsored search keywords, and
advertising in chat rooms, weblogs, social networking sites, online video games, bulletin
boards, and listservs.
Digital advertising: advertising and promotional content transmitted to personal
computers and other digital devices, including PDAs (personal digital assistants), mobile
phones, and other portable devices, whether or not Internet-enabled, that bears or
otherwise displays the name or logo or any portion of the package of any of the
company’s food brands or otherwise refers or relates to such food brands, including, but
not limited to, expenditures for advertising or promotional content in electronic mail
(email) messages, short message service (SMS or “text”) messaging, instant messaging
(IM), picture messaging, multimedia messaging, mobile broadcasts, downloads (such as
ringtones, wallpapers, and videos), and podcasts.
Report expenditures on, and activities associated with, other Internet and digital
advertising if any of the following apply:
1.

A marketing plan specifically indicates that the Internet or digital advertising was
intended to reach adolescents ages 12-17;

2.

The company knowingly sought the participation of adolescents in the Internet or
digital advertising campaign;

3.

For Internet advertising, the advertising appeared on any Internet website for
which audience demographic data indicate that adolescents ages 12-17 constituted
at least 20% of the audience for any month during 2009. For digital advertising,
20% or more of the participants in or audience of the digital advertising campaign
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were adolescents, according to demographic data or other information within the
company’s possession, custody, or control; or
4.

The advertising:
A.

prominently featured adolescent-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with adolescents,
according to a marketing plan or public opinion research data within the
company’s possession, custody, or control;

C.

used language, such as “adolescent,” “teen,” “teenager,” or similar words,
or prominently depicted performers, models, or characters who were, or
appeared to be, adolescents between 12 and 17 years old, in order to
indicate that the advertising was intended for adolescents; or

D.

promoted adolescent-oriented themes, activities, incentives, products, or
media.

When reporting expenditures for other Internet and digital advertising, the company must
report all creative design/development/production costs and advertising
placement/distribution costs.
(f)

Packaging and labeling (PACK/LABEL) means all product packaging and labeling
(including all words and images therein) for any of the company’s food products. Report
expenditures on, and activities associated with, packaging and labeling if any of the
following apply:
1.

A marketing plan specifically indicates that the packaging or labeling was
designed to appeal to adolescents ages 12-17; or

2.

The packaging or labeling:
A.

prominently featured adolescent-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with adolescents,
according to a marketing plan or public opinion research data within the
company’s possession, custody, or control;

C.

used language, such as “adolescent,” “teen,” “teenager,” or similar words,
or prominently depicted performers, models, or characters who were, or
appeared to be, adolescents between 12 and 17 years old, in order to
indicate that the product was intended for adolescents; or
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D.

promoted adolescent-oriented themes, activities, incentives, products, or
media.

When reporting expenditures for packaging and labeling, the company must report all
costs associated with the design, development, and production of changes in product
packaging and labeling (excluding the costs of packaging materials, and excluding any
costs of fulfilling labeling requirements of the Food and Drug Administration).
(g)

Movie theater/video/video game advertising (MOV/VID AD) means advertising
preceding a movie shown in a movie theater or placed on a video (DVD, Blu-ray, or
VHS) or within a video game (including as a pre-roll, post-roll, or banner advertisement).
Report expenditures on, and activities associated with, movie theater/video/video game
advertising if any of the following apply:
1.

A marketing plan specifically indicates that such advertising was intended to
reach adolescents ages 12-17;

2.

The advertising appeared in or contiguous to a motion picture for which
adolescents ages 12-17 constituted at least 20% of the viewing audience,
according to demographic data or other information within the company’s
possession, custody, or control;

3.

The advertising appeared in or contiguous to a video game for which adolescents
ages 12-17 constituted at least 20% of the users, according to demographic data or
other information within the company’s possession, custody, or control; or

4.

The advertising:
A.

prominently featured adolescent-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with adolescents,
according to a marketing plan or public opinion research data within the
company’s possession, custody, or control;

C.

used language, such as “adolescent,” “teen,” “teenager,” or similar words,
or prominently depicted performers, models, or characters who were, or
appeared to be, adolescents between 12 and 17 years old, in order to
indicate that the advertising was intended for adolescents; or

D.

promoted adolescent-oriented themes, activities, incentives, products, or
media.

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When reporting expenditures for movie theater/video/video game advertising, the
company must report all creative design/development/production costs and advertising
placement costs.
(h)

In-store advertising and promotions (IN-STORE AD) means advertising displays and
promotions at the retail site, including the offering of free samples and allowances paid to
facilitate shelf placement or merchandise displays. Report expenditures on, and activities
associated with, in-store advertising and promotions that, pursuant to a marketing plan or
industry practice, were designed to appeal to adolescents. Such design elements may
involve the height of placement or display, and the use of licensed characters, images of
adolescents, and language, such as “adolescent” “teen,” “teenager,” or similar words.
When reporting expenditures for in-store advertising and promotions, the company must
report all costs of displays, signage, and samples, and shelf placement costs, including
allowances.

(i)

Specialty item or premium distribution (PREMIUMS) means specialty or premium
items other than food products that are distributed in connection with the sale of any of
the company’s food products, whether distributed by sale, by redemption of coupons,
codes, or proofs of purchase, within food packages, in conjunction with restaurant meals,
as prizes in contests or sweepstakes, or otherwise. Report expenditures on, and activities
associated with, specialty item or premium distribution if any of the following apply:
1.

A marketing plan specifically indicates that the specialty item or premium
distribution was intended to reach adolescents ages 12-17;

2.

The promotion of the specialty or premium item or the item itself:
A.

prominently featured adolescent-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with adolescents,
according to a marketing plan or public opinion research data within the
company’s possession, custody, or control;

C.

used language, such as “adolescent,” “teen,” “teenager,” or similar words,
or prominently depicted performers, models, or characters who were, or
appeared to be, adolescents between 12 and 17 years old, in order to
indicate that the item was intended for adolescents; or

D.

promoted adolescent-oriented themes, activities, incentives, products, or
media; or

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3.

The specialty or premium item was a toy, doll, action figure, collectable item,
puzzle, game, or other product for adolescents.

When reporting expenditures for specialty item or premium distribution, the company
must report all net costs (deducting payments by consumers) of items distributed to
consumers, including all costs associated with the production or purchase of the items
and the distribution of the items. Thus, for purposes of reporting expenditures, the
company will not include the costs associated with self-liquidating premiums, as defined
in footnote 29, supra. Note that this category includes only the costs associated with the
item or premium; it does not include costs associated with advertising the item or
premium in other media. For example, if a contest to win a toy is advertised on
television, the expenditure for the television advertisement must be reported under
television advertising, while the net cost of the toys (including costs associated with the
production or purchase, and distribution of the toys) must be reported under specialty
item or premium distribution.
(j)

Promotion or sponsorship of public entertainment events (EVENTS) means events,
including but not limited to concerts and sporting events, bearing or otherwise displaying
the name or logo or any portion of the package of any of the company’s food brands or
otherwise referring or relating to such food brands, including through billboards, banners,
and the distribution of product samples or functional promotional items, including but not
limited to, clothing, hats, bags, posters, sporting or racing goods and equipment bearing
or otherwise displaying the name or logo or any portion of the package of any of the
company’s food brands or otherwise referring or relating to such food brands. Report
expenditures on, and activities associated with, promotion or sponsorship of public
entertainment events if any of the following apply:
1.

A marketing plan specifically indicates that the event or promotion at the event
was intended to reach adolescents ages 12-17 or that the event would involve the
participation or attendance of adolescents;

2.

The company actively sought the participation or attendance of adolescents;

3.

The event involved adolescent-oriented themes, activities, incentives, products, or
media;

4.

20% or more of the participants in, or audience of, the event were adolescents
ages 12-17, according to demographic data or other information within the
company’s possession, custody, or control; or

5.

The advertising or promotions at the event:
A.

prominently featured adolescent-oriented animated or licensed characters;
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B.

prominently featured a celebrity highly popular with adolescents,
according to a marketing plan or public opinion research data within the
company’s possession, custody, or control;

C.

used language, such as “adolescent,” “teen,” “teenager,” or similar words,
or prominently depicted performers, models, or characters who were, or
appeared to be, adolescents between 12 and 17 years old, in order to
indicate that the advertising or promotions were intended for adolescents;
or

D.

promoted adolescent-oriented themes, activities, incentives, products, or
media.

When reporting expenditures for the promotion or sponsorship of public entertainment
events, the company must report all costs associated with the promotion and/or
sponsorship of the event, including costs to display billboards or banners in the name of
any of the company’s food brands or referring or relating to such food brands, the cost of
product samples distributed at the event, and all net costs (deducting payments by
consumers) associated with the production, offer, sale, or provision without fee of all
functional promotional items at or in connection with a public entertainment event. This
does not include the costs of such non-specialty items as branded containers, paper cups
or plates used for serving food or beverage products.
(k)

Product placements (PROD PLMT) means permitting, promoting, or procuring the
integration of any food product, logo, signage, trade name, or package into an
entertainment vehicle, such as a television or radio program, motion picture, video, music
recording, electronic or online game, or other form of entertainment. Report
expenditures on, and activities associated with, product placements if any of the
following apply:
1.

A marketing plan specifically indicates that the placement was intended to reach
adolescents;

2.

The placement occurred in a motion picture for which adolescents ages 12-17
constituted at least 20% of the viewing audience, according to demographic data
or other information within the company’s possession, custody, or control;

3.

The placement occurred in a television program, programming block, or daypart
for which adolescents ages 12-17 constituted at least 20% of the viewing
audience, as measured on an annual basis;

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4.

The placement occurred in a video game for which adolescents ages 12-17
constituted at least 20% of the users, according to demographic data or other
information within the company’s possession, custody, or control; or

5.

The entertainment vehicle in which the placement occurred:
A.

prominently featured an adolescent-oriented animated or licensed
character;

B.

depicted primarily performers, models, or characters who were, or
appeared to be, adolescents between 12 and 17 years old or themes,
activities, or other content that likely appealed primarily to adolescents; or

C.

prominently featured a celebrity highly popular with adolescents,
according to a marketing plan or public opinion research data within the
company’s possession, custody, or control.

When reporting expenditures for product placements, the company must report the cost
of any payment (monetary or in-kind) made to secure the placements.
(l)

Character licensing, toy co-branding, and cross-promotions (CHAR LIC) means
licensing or otherwise obtaining permission to use another company’s brand, trade name,
or related intellectual property in the advertising or promotion of a food product. This
promotional activity includes licensing agreements to use the brand, trade name, or
related intellectual property in advertisements or promotions, as well as crosspromotional arrangements, such as a marketing partnership with a media company, film
studio, theme park, or toy company to promote each other’s products by marketing (in
any context) a food product or food brand name in conjunction with a character, film,
theme park, toy, or similar product. Report expenditures on, and activities associated
with, character licensing, toy co-branding, and cross-promotions involving another
company’s brand, trade name, or related intellectual property if any of the following
apply:
1.

A marketing plan specifically indicates that use of the other company’s brand,
trade name, or related intellectual property was intended to reach adolescents;

2.

The other company’s brand, trade name, or related intellectual property:
A.

is or prominently featured an adolescent-oriented animated or licensed
character;

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B.

depicted primarily performers, models, or characters who were, or
appeared to be, adolescents between 12 and 17 years old or themes,
activities, or other content that likely appealed primarily to adolescents; or

C.

prominently featured a celebrity highly popular with adolescents,
according to a marketing plan or public opinion research data within the
company’s possession, custody, or control;

3.

The other company’s brand, trade name, or related intellectual property derives
from a motion picture for which adolescents ages 12-17 constituted at least 20%
of the viewing audience, according to demographic data or other information
within the company’s possession, custody, or control;

4.

The other company’s brand, trade name, or related intellectual property derives
from a television program for which adolescents ages 12-17 constituted at least
20% of the viewing audience, as measured on an annual basis;

5.

The other company’s brand, trade name, or related intellectual property derives
from a video game for which adolescents ages 12-17 constituted at least 20% of
the users, according to demographic data or other information within the
company’s possession, custody, or control;

6.

The other company’s brand, trade name, or related intellectual property is a toy
intended primarily for use by adolescents ages 12-17 or primarily used by
adolescents, according to demographic data or other information within the
company’s possession, custody, or control; or

7.

The other company’s brand, trade name, or related intellectual property is a theme
park:
A.

that featured adolescent-oriented themes, activities, products, or media; or

B.

at which 20% or more of the annual attendees were adolescents ages 1217, according to demographic data or other information within the
company’s possession, custody, or control.

When reporting expenditures for character licensing, toy co-branding, and crosspromotions in columns 50 through 53 of Attachment E, the company must report only the
cost of obtaining the character license, toy co-branding agreement, and/or
cross-promotional arrangement (e.g., a licensing fee). Do not report in this category the
costs of advertisements and promotions featuring the licensed character, co-branded toy,
or cross-promotion (e.g., the costs of a television advertisement featuring the licensed
character). Instead, those costs must be reported under the relevant advertising or
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promotional activity category (e.g., the costs of a television advertisement featuring a
licensed character must be reported under television advertising; the cost of packaging
showing a licensed character must be reported under packaging).
(m)

Sponsorship of sports teams or individual athletes (ATHL SPON) means sponsorship
of or provision of equipment or facilities for a professional or amateur athletic team
(excluding primary and secondary school athletic teams to be reported under category
(p), below) or an individual athlete, including, but not limited to, competitors in football,
basketball, baseball, soccer, hockey, tennis, golf, wrestling, karate, judo, weight lifting,
volleyball, skiing, skating, snowboarding, skateboarding, surfing, sailing, boating,
equestrian, rodeo, automobile, race car, funny car, motorcycle, bicycle, truck, monster
truck, tractor-pull, fishing, and hunting events, competitions, tournaments, and races.
Report expenditures on, and activities associated with, sponsorships of sports teams or
individual athletes if any of the following apply:
1.

A marketing plan specifically indicates that the sponsorship was intended to reach
or designed to appeal to adolescents ages 12-17;

2.

The sponsored athlete was an adolescent, or members of the sponsored team were
adolescents;

3.

A marketing plan or public opinion research data within the company’s
possession, custody, or control indicates that the sponsored team or athlete is
highly popular with adolescents; or

4.

Demographic data or other information within the company’s possession,
custody, or control indicates that 20% or more of the fan base for the sponsored
team or athlete consisted of adolescents ages 12-17.

When reporting expenditures for the sponsorship of sports teams or individual athletes,
the company must report the cost of all payments (both monetary and in-kind) to a sports
team or athlete that are made in conjunction with or conditioned upon the use of trade
names, logos, displays, signage, or other branded materials during public appearances of
the sports team or athlete, including during athletic competitions. Do not report in this
category expenditures that are reportable in another category (e.g., payment to an athlete
to appear in a television ad must be reported in the celebrity endorsements category).
(n)

Word-of-mouth and viral marketing (WOM/VIRAL) means:
Word-of-mouth marketing: providing incentives (financial or otherwise), product
samples, or other support to non-employees (including individuals and groups) to
promote consumption of a food product to other consumers or to encourage discussion of
a food product or brand among consumers.
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Viral marketing: promotional messages intended to encourage consumers to discuss, or
otherwise promote (such as by passing along or sharing the promotional messages), a
food product or brand with other consumers, or to encourage consumers to interact with
company-sponsored content, through the use of various forms of electronic
communication. “Viral” marketing includes, but is not limited to, content developed for
video, audio, or image file-sharing Internet websites that integrates a food product, logo,
signage, trade name, or food package; company-sponsored blogs or social networking
website profiles that discuss a food product or brand (whether or not the content is
attributed to the company); and any other content posted on the Internet about a food
product that is intended to be sent from one consumer to another (such as through a “send
to a friend” email or through a promotional message that attaches to an email sent
through a web-based email program).
Report expenditures on, and activities associated with, word-of-mouth and viral
marketing if any of the following apply:
1.

A marketing plan specifically indicates that the word-of-mouth or viral marketing
campaign was intended to reach adolescents ages 12-17;

2.

The company knowingly sought the participation of adolescents in the word-ofmouth or viral marketing campaign;

3.

The word-of-mouth or viral marketing campaign:

4.

A.

prominently featured adolescent-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with adolescents,
according to a marketing plan or public opinion research data within the
company’s possession, custody, or control;

C.

used language, such as “adolescent,” “teen,” “teenager,” or similar words,
or prominently depicted performers, models, or characters who were, or
appeared to be, adolescents between 12 and 17 years old, in order to
indicate that the campaign was intended for adolescents; or

D.

promoted adolescent-oriented themes, activities, incentives, products, or
media; or

20% or more of the participants in the word-of-mouth or viral marketing
campaign were adolescents ages 12-17, according to demographic data or other
information within the company’s possession, custody, or control.

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When reporting expenditures for word-of-mouth marketing, the company must report the
cost of incentives (financial or otherwise) and samples provided to non-employees, and
all costs associated with the design, development, and implementation (i.e., recruiting
participants and disseminating the incentives) of the worth-of-mouth marketing
campaign.
When reporting expenditures for viral marketing, the company must report all costs
associated with the creative design/development/production and distribution of the
promotional messages.
(o)

Celebrity endorsements (CELEB END) means an advertising or promotional message
(including verbal statements, demonstrations, or depictions of the name, signature,
likeness, or other identifying personal characteristics of an individual) relating to the
company’s food products, when such message is one that consumers are likely to believe
reflects the opinions, beliefs, findings, or experience of a public figure (including an
entertainer, musician, athlete, or other well-recognized person). Report expenditures on,
and activities associated with, celebrity endorsements if any of the following apply:
1.

A marketing plan specifically indicates that the endorser was used to reach or
appeal to adolescents ages 12-17;

2.

The celebrity endorser:

3.

A.

was an adolescent;

B.

was commonly recognized as highly popular with adolescents, or was
highly popular with adolescents according to a marketing plan or public
opinion research data within the company’s possession, custody, or
control; or

C.

promoted adolescent-oriented themes, activities, incentives, products, or
media; or

Demographic data or other information within the company’s possession,
custody, or control indicates that 20% or more of the celebrity’s fan base
consisted of adolescents ages 12-17.

When reporting expenditures for celebrity endorsements in columns 62 through 65 of
Attachment E, the company must report only the cost of all payments (both monetary and
in-kind) to a celebrity to endorse any of the company’s food products (e.g., an
endorsement fee). Do not report in this category the costs associated with advertisements
and promotions featuring the celebrity (e.g., the costs of a television advertisement
featuring the celebrity endorser). Instead, those costs must be reported under the relevant
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advertising or promotional activity category (e.g., the costs of a television advertisement
featuring a celebrity endorser must be reported under television advertising).
(p)

In-school marketing (IN-SCHOOL) means advertising or promotional activity in or
around a middle school, junior high school, or high school, including, but not limited to,
the use of trade names, logos, displays, signage, or other branded materials in or around
cafeterias, vending machines, or gymnasiums, at school events, youth athletic events,
athletic fields or arenas, and on school buses, Channel One or other closed circuit
television channels. This category includes payments pursuant to food and beverage
contracts with schools or school systems and philanthropic donations to schools or
particular school clubs, teams, events, or programs, including donations of or discounts
on products, coupons for products, and branded materials such as equipment, classroom
materials, and curricula created by or sponsored by food companies. This category does
not include an advertising or promotional activity that occurred at a middle school, junior
high school, or high school at a time when no adolescents were present or likely would
have been present (e.g., a PTA meeting).
When reporting expenditures for in-school marketing, the company must report the cost
of all payments made pursuant to food and beverage contracts with schools or school
systems,47 as well as the cost of all donations (both monetary and in-kind) to schools or
particular school clubs, teams, events, or programs, that are made in conjunction with (or
conditioned upon) the use of trade names, logos, displays, signage, or other branded
materials in or around the school, as specified above. For student scholarships, report
only the costs associated with promoting the scholarship in conjunction with the use of
trade names, logos, displays, signage, or other branded materials; do not report the value
of the scholarship.

(q)

Advertising in conjunction with philanthropic endeavors (PHLNTHRPY) means
advertising or promotional activity in conjunction with a donation to an organization,
program, or event, other than a school or school-sponsored program or event, including,
but not limited to, the use of trade names, logos, displays, signage, or other branded
materials at or in connection with adolescent-oriented clubs, parks, activities, or
community programs or events. Report expenditures on, and activities associated with,
advertising in conjunction with philanthropic endeavors if any of the following apply:
1.

A marketing plan specifically indicates that the organization, program, or event
would reach adolescents ages 12-17 or would involve the participation or
attendance of adolescents ages 12-17;

47

Report the payments made to the schools or school systems pursuant to such contracts;
do not report costs associated with purchasing, leasing, or servicing the vending machines in
which products are sold.
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2.

The company actively sought the participation or attendance of adolescents;

3.

The program or event involved adolescent-oriented themes, activities, incentives,
products, or media;

4.

20% or more of the participants in, or attendees or beneficiaries of, the
organization, program, or event were adolescents ages 12-17, according to
demographic data or other information within the company’s possession, custody,
or control; or

5.

The advertising or promotional activity:
A.

prominently featured adolescent-oriented animated or licensed characters;

B.

prominently featured a celebrity highly popular with adolescents,
according to a marketing plan or public opinion research data within the
company’s possession, custody, or control;

C.

used language, such as “adolescent,” “teen,” “teenager,” or similar words,
or prominently depicted performers, models, or characters who were, or
appeared to be, adolescents between 12 and 17 years old, in order to
indicate that the advertising or promotions were intended for adolescents;
or

D.

promoted adolescent-oriented themes, activities, incentives, products, or
media.

When reporting expenditures for advertising in conjunction with philanthropic
endeavors, the company must report the costs associated with donations (both monetary
and in-kind) to organizations, programs or events (other than schools or
school-sponsored programs or events) that are made in conjunction with (or conditioned
upon) the use of trade names, logos, displays, signage, or other branded materials at or in
connection with adolescent-oriented clubs, parks, activities, or community programs or
events. Report the cost of marketing materials associated with the philanthropic
donation, not the full amount of the donation. (The amount of the donation that is
deemed not tax deductible as a charitable contribution because of marketing benefit
received by the company may serve as the reported cost, if appropriate.) Do not include
any amount for contributions to medical or disease-related charities, even if the ultimate
beneficiaries happen to be adolescents.
(r)

Other promotional activities (OTHER) means any advertising or promotional activities
not covered by another reporting category; describe fully and break down by type.
Report expenditures on, and activities associated with, other promotional activities not
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reported in any other category if a marketing plan specifically indicates that such
activities were targeted to adolescents ages 12-17.
When reporting expenditures for other promotional activities, consult with FTC staff as
to what constitutes a reportable cost for the particular promotional activity involved.

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Attachment D
Advertising and Promotional Activities for All Audiences
INSTRUCTIONS
Use the following definitions for purposes of reporting the advertising expenditures
requested in Specifications 2.D and 2.F. The company must use Attachment E when reporting
expenditures and must not modify, delete, or add to the columns on the Attachment. The
company must submit Attachment E in Excel in a format that is readable and writable.
The advertising and promotional activity categories set forth below are mutually
exclusive. Do not report an expenditure in more than one category.
For all advertising and promotional activity categories, report expenditures to the nearest
$10,000.
DEFINITIONS AND ADDITIONAL INSTRUCTIONS
(a)

Television advertising (TV AD) means advertising on broadcast, cable, or satellite
television channels, including during syndicated programming, or branded messages
relating to company sponsorship or underwriting of a television program.
When reporting expenditures for television advertising, the company must report all
creative design/development/production costs and advertising placement costs.

(b)

Radio advertising (RAD AD) means advertising on AM, FM, HD Radio, or satellite
radio channels.
When reporting expenditures for radio advertising, the company must report all creative
design/development/production costs and advertising placement costs.

(c)

Print advertising (PRT AD) means advertising placed in magazines, comic books,
newspapers (including advertising placed in free-standing inserts), or other print
publications.
When reporting expenditures for print advertising, the company must report all creative
design/development/production costs and advertising placement costs.

(d)

Company-sponsored Internet sites (WEBSITE AD) means any company-sponsored
Internet site or page that contains information about or images of the company’s food

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brands or products, including, but not limited to, advergames,48 and that can be accessed
by computers located in the United States, regardless of where the site is located or the
Internet address of the site or page.
When reporting expenditures for company-sponsored Internet sites, the company must
report all costs associated with the design, development, production, registration, and
maintenance of company-sponsored, -owned, or -operated websites, including all content
appearing on company websites (e.g., advergames) that meets the definition above.
(e)

Other Internet and digital advertising (INTERNET AD) means:
Other Internet advertising: advertising and promotional content on or through Internet
sites or pages, other than company-sponsored Internet sites, that bears or otherwise
displays the name or logo or any portion of the package of any of the company’s food
brands or otherwise refers or relates to such food brands, including, but not limited to,
sponsored hyperlinks, banner or pop-up advertisements, in-stream and in-page audio and
video advertisements, sponsored text advertising, sponsored search keywords, and
advertising in chat rooms, weblogs, social networking sites, online video games, bulletin
boards, and listservs.
Digital advertising: advertising and promotional content transmitted to personal
computers and other digital devices, including PDAs (personal digital assistants), mobile
phones, and other portable devices, whether or not Internet-enabled, that bears or
otherwise displays the name or logo or any portion of the package of any of the
company’s food brands or otherwise refers or relates to such food brands, including, but
not limited to, expenditures for advertising or promotional content in electronic mail
(email) messages, short message service (SMS or “text”) messaging, instant messaging
(IM), picture messaging, multimedia messaging, mobile broadcasts, downloads (such as
ringtones, wallpapers, and videos), and podcasts.
When reporting expenditures for other Internet and digital advertising, the company must
report all creative design/development/production costs and advertising
placement/distribution costs.

(f)

Packaging and labeling (PACK/LABEL) means all product packaging and labeling
(including all words and images therein) for any of the company’s food products.
When reporting expenditures for packaging and labeling, the company must report all
costs associated with the design, development, and production of changes in product

48

See the definition of “advergame” at note 37, supra.
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packaging and labeling (excluding the costs of packaging materials, and excluding any
costs of fulfilling labeling requirements of the Food and Drug Administration).
(g)

Movie theater/video/video game advertising (MOV/VID AD) means advertising
preceding a movie shown in a movie theater or placed on a video (DVD, Blu-ray, or
VHS) or within a video game (including as a pre-roll, post-roll, or banner advertisement).
When reporting expenditures for movie theater/video/video game advertising, the
company must report all creative design/development/production costs and advertising
placement costs.

(h)

In-store advertising and promotions (IN-STORE AD) means advertising displays and
promotions at the retail site, including the offering of free samples and allowances paid to
facilitate shelf placement or merchandise displays.
When reporting expenditures for in-store advertising and promotions, the company must
report all costs of displays, signage, and samples, and shelf placement costs, including
allowances.

(i)

Specialty item or premium distribution (PREMIUMS) means specialty or premium
items other than food products that are distributed in connection with the sale of any of
the company’s food products, whether distributed by sale, by redemption of coupons,
codes, or proofs of purchase, within food packages, in conjunction with restaurant meals,
as prizes in contests or sweepstakes, or otherwise.
When reporting expenditures for specialty item or premium distribution, the company
must report all net costs (deducting payments by consumers) of items distributed to
consumers, including all costs associated with the production or purchase of the items
and the distribution of the items. Thus, for purposes of reporting expenditures, the
company will not include the costs associated with self-liquidating premiums, as defined
in footnote 29, supra. Note that this category includes only the costs associated with the
item or premium; it does not include costs associated with advertising the item or
premium in other media. For example, if a contest to win a toy is advertised on
television, the expenditure for the television advertisement must be reported under
television advertising, while the net cost of the toys (including costs associated with the
production or purchase, and distribution of the toys) must be reported under specialty
item or premium distribution.

(j)

Promotion or sponsorship of public entertainment events (EVENTS) means events,
including but not limited to concerts and sporting events, bearing or otherwise displaying
the name or logo or any portion of the package of any of the company’s food brands or
otherwise referring or relating to such food brands, including through billboards, banners,
and the distribution of product samples or functional promotional items, including but not
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limited to, clothing, hats, bags, posters, sporting or racing goods and equipment bearing
or otherwise displaying the name or logo or any portion of the package of any of the
company’s food brands or otherwise referring or relating to such food brands.
When reporting expenditures for the promotion or sponsorship of public entertainment
events, the company must report all costs associated with the promotion and/or
sponsorship of the event, including costs to display billboards or banners in the name of
any of the company’s food brands or referring or relating to such food brands, the cost of
product samples distributed at the event, and all net costs (deducting payments by
consumers) associated with the production, offer, sale, or provision without fee of all
functional promotional items at or in connection with a public entertainment event. This
does not include the costs of such non-specialty items as branded containers, paper cups
or plates used for serving food or beverage products.
(k)

Product placements (PROD PLMT) means permitting, promoting, or procuring the
integration of any food product, logo, signage, trade name, or package into an
entertainment vehicle, such as a television or radio program, motion picture, video, music
recording, electronic or online game, or other form of entertainment.
When reporting expenditures for product placements, the company must report the cost
of any payment (monetary or in-kind) made to secure the placements.

(l)

Character licensing, toy co-branding, and cross-promotions (CHAR LIC) means
licensing or otherwise obtaining permission to use another company’s brand, trade name,
or related intellectual property in the advertising or promotion of a food product. This
promotional activity includes licensing agreements to use the brand, trade name, or
related intellectual property in advertisements or promotions, as well as crosspromotional arrangements, such as a marketing partnership with a media company, film
studio, theme park, or toy company to promote each other’s products by marketing (in
any context) a food product or food brand name in conjunction with a character, film,
theme park, toy, or similar product.
When reporting expenditures for character licensing, toy co-branding, and crosspromotions in columns 50 through 53 of Attachment E, the company must report only the
cost of obtaining the character license, toy co-branding agreement, and/or
cross-promotional arrangement (e.g., a licensing fee). Do not report in this category the
costs of advertisements and promotions featuring the licensed character, co-branded toy,
or cross-promotion (e.g., the costs of a television advertisement featuring the licensed
character). Instead, those costs must be reported under the relevant advertising or
promotional activity category (e.g., the costs of a television advertisement featuring a
licensed character must be reported under television advertising; the cost of packaging
showing a licensed character must be reported under packaging).

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(m)

Sponsorship of sports teams or individual athletes (ATHL SPON) means sponsorship
of or provision of equipment or facilities for a professional or amateur athletic team
(excluding primary and secondary school athletic teams to be reported under category
(p), below) or an individual athlete, including, but not limited to, competitors in football,
basketball, baseball, soccer, hockey, tennis, golf, wrestling, karate, judo, weight lifting,
volleyball, skiing, skating, snowboarding, skateboarding, surfing, sailing, boating,
equestrian, rodeo, automobile, race car, funny car, motorcycle, bicycle, truck, monster
truck, tractor-pull, fishing, and hunting events, competitions, tournaments, and races.
When reporting expenditures for the sponsorship of sports teams or individual athletes,
the company must report the cost of all payments (both monetary and in-kind) to a sports
team or athlete that are made in conjunction with or conditioned upon the use of trade
names, logos, displays, signage, or other branded materials during public appearances of
the sports team or athlete, including during athletic competitions. Do not report in this
category expenditures that are reportable in another category (e.g., payment to an athlete
to appear in a television ad must be reported in the celebrity endorsements category).

(n)

Word-of-mouth and viral marketing (WOM/VIRAL) means:
Word-of-mouth marketing: providing incentives (financial or otherwise), product
samples, or other support to non-employees (including individuals and groups) to
promote consumption of a food product to other consumers or to encourage discussion of
a food product or brand among consumers.
Viral marketing: promotional messages intended to encourage consumers to discuss, or
otherwise promote (such as by passing along or sharing the promotional messages), a
food product or brand with other consumers, or to encourage consumers to interact with
company-sponsored content, through the use of various forms of electronic
communication. “Viral” marketing includes, but is not limited to, content developed for
video, audio, or image file-sharing Internet websites that integrates a food product, logo,
signage, trade name, or food package; company-sponsored blogs or social networking
website profiles that discuss a food product or brand (whether or not the content is
attributed to the company); and any other content posted on the Internet about a food
product that is intended to be sent from one consumer to another (such as through a “send
to a friend” email or through a promotional message that attaches to an email sent
through a web-based email program).
When reporting expenditures for word-of-mouth marketing, the company must report the
cost of incentives (financial or otherwise) and samples provided to non-employees, and
all costs associated with the design, development, and implementation (i.e., recruiting
participants and disseminating the incentives) of the worth-of-mouth marketing
campaign.

D-5

05/06/10 DRAFT
When reporting expenditures for viral marketing, the company must report all costs
associated with the creative design/development/production and distribution of the
promotional messages.
(o)

Celebrity endorsements (CELEB END) means an advertising or promotional message
(including verbal statements, demonstrations, or depictions of the name, signature,
likeness, or other identifying personal characteristics of an individual) relating to the
company’s food products, when such message is one that consumers are likely to believe
reflects the opinions, beliefs, findings, or experience of a public figure (including an
entertainer, musician, athlete, or other well-recognized person).
When reporting expenditures for celebrity endorsements in columns 62 through 65 of
Attachment E, the company must report only the cost of all payments (both monetary and
in-kind) to a celebrity to endorse any of the company’s food products (e.g., an
endorsement fee). Do not report in this category the costs associated with advertisements
and promotions featuring the celebrity (e.g., the costs of a television advertisement
featuring the celebrity endorser). Instead, those costs must be reported under the relevant
advertising or promotional activity category (e.g., the costs of a television advertisement
featuring a celebrity endorser must be reported under television advertising).

(p)

In-school marketing (IN-SCHOOL) means advertising or promotional activity in or
around an educational institution, such as a pre-school, elementary school, middle school,
junior high school, high school, trade school, junior college, community college, fouryear college, or university. It includes, but is not limited to, the use of trade names,
logos, displays, signage, or other branded materials in or around cafeterias, vending
machines, or gymnasiums, at school events, athletic events, athletic fields or arenas, and
on school buses, Channel One or other closed circuit television channels; this category
includes payments pursuant to food and beverage contracts with schools or school
systems and philanthropic donations to schools or particular school clubs, teams, events,
or programs, including donations of or discounts on products, coupons for products, and
branded materials such as equipment, classroom materials, and curricula created by or
sponsored by food companies.
When reporting expenditures for in-school marketing, the company must report the cost
of all payments made pursuant to food and beverage contracts with schools or school
systems,49 as well as the cost of all donations (both monetary and in-kind) to schools or
particular school clubs, teams, events, or programs, that are made in conjunction with (or
conditioned upon) the use of trade names, logos, displays, signage, or other branded

49

Report the payments made to the schools or school systems pursuant to such contracts;
do not report costs associated with purchasing, leasing, or servicing the vending machines in
which products are sold.
D-6

05/06/10 DRAFT
materials in or around the school, as specified above. For student scholarships, report
only the costs associated with promoting the scholarship in conjunction with the use of
trade names, logos, displays, signage, or other branded materials; do not report the value
of the scholarship.
(q)

Advertising in conjunction with philanthropic endeavors (PHLNTHRPY) means
advertising or promotional activity in conjunction with a donation to an organization,
program, or event, other than a school or school-sponsored program or event, including,
but not limited to, the use of trade names, logos, displays, signage, or other branded
materials at or in connection with clubs, parks, activities, or community programs or
events.
When reporting expenditures for advertising in conjunction with philanthropic
endeavors, the company must report the costs associated with donations (both monetary
and in-kind) to organizations, programs or events (other than schools or
school-sponsored programs or events) that are made in conjunction with (or conditioned
upon) the use of trade names, logos, displays, signage, or other branded materials at or in
connection with clubs, parks, activities, or community programs or events. Report the
cost of marketing materials associated with the philanthropic donation, not the full
amount of the donation. (The amount of the donation that is deemed not tax deductible
as a charitable contribution because of marketing benefit received by the company may
serve as the reported cost, if appropriate.) Do not include any amount for contributions
to medical or disease-related charities.

(r)

Other promotional activities (OTHER) means any advertising or promotional activities
not covered by another reporting category defined in this Attachment D; describe fully
and break down by type.
When reporting expenditures for other promotional activities, consult with FTC staff as
to what constitutes a reportable cost for the particular promotional activity involved.

D-7

Attachment E
Expenditures for Food Products Promoted to Children or Adolescents in 2009
Instructions Regarding Reportable Expenditures
When reporting expenditures on Attachment E in response to Specification 2, the company must
follow these additional instructions:
1.

If the company has any advertisements or promotions that are reportable under
Specifications 2.A through 2.F but the advertisements or promotions feature a family of
many or all sub-brands within a single product brand, or feature multiple product brands,
within one or more food categories, the company must report the related expenditures in
accordance with these instructions:
a.

For multiple brands or sub-brands within a single food category, report the related
expenditures on a separate row on Attachment E; in column 2 of this row, list the
food category featured in the advertisements or promotions; in column 3, enter
“multi-brand advertising”; and in column 4, enter the name of the top-selling
brand or sub-brand that is featured in the advertising;

b.

For multiple brands or sub-brands within two or more food categories, report the
related expenditures on separate rows on Attachment E, allocating the
expenditures among each of the food categories featured in the advertisements or
promotions based on the company’s relative sales for the specific food products
in those food categories that are featured in the advertising (report each food
category on a separate row); in column 2 of these rows, list the food category for
which allocated expenditures are reported; in column 3, enter “multi-brand
advertising”; and in column 4, enter the name of the top-selling brand or subbrand that is featured in the advertising for the food category for which allocated
expenditures are reported in the row;1

c.

For advertisements or promotions featuring both regular and diet carbonated

1

For example, if a print advertisement features breakfast cereal Brand A and Brand
B, and also features snack bar Brand C and Brand D, the company would have two rows of
expenditures reported on Attachment E for the advertisement: one for breakfast cereals and one
for snack foods. The company would allocate the advertising expenditures among breakfast
cereals and snack foods in proportion to the relative combined sales of Brands A and B
(breakfast cereals) and Brands C and D (snack foods). In column 2 of the rows, the company
would list the food category (breakfast cereals or snack foods) for which allocated expenditures
are reported. In column 3, the company would enter “multi-brand advertising.” In column 4, for
the breakfast cereals row, the company would enter the name of the brand (either Brand A or
Brand B) that was the top-selling cereal brand featured in the advertisement. For the snack foods
row, the company would enter the name of the brand (either Brand C or Brand D) that was the
top-selling snack bar brand featured in the advertisement.
Attachment E Instructions, Page 1 of 3

beverages, report the related expenditures on two separate rows on Attachment E,
allocating the expenditures between regular carbonated beverages and diet
carbonated beverages based on the company’s relative sales for those categories
of beverages for the specific beverage brands that are featured in the advertising;
in column 2 of these rows, list the food category (i.e., carbonated beverages); in
column 3, enter either “regular” or “diet,” corresponding with the allocated
expenditures reported in the row; and in column 4, enter the name of the topselling regular or diet carbonated beverage that is featured in the advertising,
corresponding with the allocated expenditures reported in the row.
2.

If the company has any advertisements or promotions that are reportable under
Specifications 2.A through 2.F but the advertisements or promotions are general
advertising for the corporate brand and do not feature an individual food product or food
products, the company must report the related expenditures on a separate row on
Attachment E; in column 3 of this row the company must enter “corporate brand
advertising.” For restaurant corporate brand advertising, the company must report the
related expenditures on a separate row on Attachment E; in column 3 of this row the
company must enter the restaurant chain that is advertised; do not attribute the expense to
an individual menu item or meal combination.

3.

For restaurant foods, the company must report expenditures at the corporate level and,
where reasonably feasible, must sample local, regional, and national advertising
cooperatives and include estimated total expenditures at those levels in its reported
expenditures. For example, if the company spent $100,000 on child-directed television
advertising at the corporate level, and estimates that expenditures by local, regional, and
national advertising cooperatives for child-directed television advertising totaled
$50,000, then the company would report $150,000 in column 6A of Attachment E.

4.

If an advertising expenditure is reportable as targeted to children, adolescents, or both
children and adolescents, under Specifications 2.A through 2.C, the company must report
the entire amount of the expenditure on Attachment E. The company must not prorate
the expenditure based on a belief that the advertisement was targeted in part to children
or adolescents and in part to adults.

5.

Do not include character licensing or cross-promotion fees or celebrity endorsement fees
when reporting expenditures for advertisements or promotions that featured licensed
characters, cross-promotions, or celebrity endorsers. Instead, those fees must be reported
only under the following categories: Character licensing, toy co-branding, and crosspromotions (CHAR LIC); and Celebrity endorsements (CELEB END).

6.

In promotional activity categories involving the distribution of samples and in-kind
payments (see, e.g., the in-store, events, product placement, athletic sponsorship, wordof-mouth/viral, celebrity endorsement, in-school, and philanthropic categories), the
company must report its actual costs, rather than the potential retail value of the
product(s).
Attachment E Instructions, Page 2 of 3

7.

For advertising and promotional activity categories involving the sponsorship of
community events or organizations (see, e.g., events, in-school, and philanthropic
categories), the company must report advertising expenditures and activities that are
undertaken at the discretion of local business units, to the extent they can be ascertained
through reasonable due diligence efforts, in addition to those undertaken at the direction
of the company’s central location.

8.

If an outside agency fee, or other expenditure, is attributable to the design, development,
production, placement, or distribution of an advertisement or promotional activity that is
reportable under Specifications 2.A through 2.F, but the company’s financial records do
not indicate what portion of the expenditure is attributable to the reportable
advertisement or promotional activity, the company must estimate the amount of the
expenditure that is attributable to the reportable advertisement or promotional activity
and include it in the reported expense.

9.

If the company had an expenditure that covered multiple advertisements or promotions
but only one advertisement or promotion meets a definition in Attachment B or C as
being targeted to children or adolescents, the company must estimate the portion of the
expenditure that is attributable to the child- or adolescent-targeted advertisement or
promotion and include it in the reported expense.

10.

The company must not report any advertising expenditures or activities that are
exclusively “to-the-trade” and that do not involve consumer-directed advertising or
promotions.

Attachment E Instructions, Page 3 of 3

Attachment E
Expenditures for Food Products Promoted to Children or Adolescents in 2009
[The expenditure figures provided in this Attachment are intended to serve as examples
and are not representative of any figures the agency expects to receive from any
particular company.]
1
COMPANY
NAME

2
FOOD
CATEGORY

Great Food Co. Breakfast
Cereals
Great Food Co. Breakfast
Cereals
Great Dairy Co. Dairy Products

3
BRAND/REST
NAME

4
SUB-BRAND
NAME/MENU
ITEM

Great Flakes

Honey Nut
Great Flakes

Great Bran
Milk

5
NUTRITIONAL
PRODUCT LINE

-1
1% Milk

6A
TV AD (2-11)

6B
6C
AMT USING
AMT USING
CHAR LIC (TV CELEB END
AD 2-11)
(TV AD 2-11)

7A
TV AD (12-17)

0

1250000

850000

30000

340000

1

20000

0

10000

290000

0

60000

0

40000

540000

Formatting instructions: Report expenditures in whole numbers, rounded to the
nearest $10,000. If you have no expenditure in a category, enter a "0" in the field;
do not leave fields blank. Do not use dollar signs ("$"), commas, or decimal
points when reporting expenditures. Use the following codes when responding:
"1" = yes (in response to column 5 only)
"0" = no (in response to column 5 only)
"-1" = not applicable (in response to column 4 only)

Page 1 of 23

Attachment E

7B
7C
AMT USING
AMT USING
CHAR LIC (TV CELEB END
AD 12-17)
(TV AD 12-17)

8A
TV AD
(Overlapping)

8B
AMT USING
CHAR LIC (TV
AD
Overlapping)

8C
AMT USING
CELEB END
(TV AD
Overlapping)

9A
TV AD (All)

9B
9C
AMT USING
AMT USING
CHAR LIC (TV CELEB END
AD All)
(TV AD All)

190000

80000

220000

190000

30000

2750000

850000

250000

0

180000

20000

0

10000

1950000

0

320000

0

270000

30000

0

30000

1280000

0

410000

Page 2 of 23

10A
RAD AD (2-11)

Attachment E

10B
10C
11A
AMT USING
AMT USING
RAD AD (12CHAR LIC
CELEB END
17)
(RAD AD 2-11) (RAD AD 2-11)

11B
AMT USING
CHAR LIC
(RAD AD 1217)

11C
AMT USING
CELEB END
(RAD AD 1217)

12A
RAD AD
(Overlapping)

Page 3 of 23

12B
AMT USING
CHAR LIC
(RAD AD
Overlapping)

12C
AMT USING
CELEB END
(RAD AD
Overlapping)

13A
RAD AD (All)

Attachment E

13B
AMT USING
CHAR LIC
(RAD AD All)

13C
AMT USING
CELEB END
(RAD AD All)

14A
14B
14C
15A
15B
15C
16A
PRT AD (2-11) AMT USING
AMT USING
PRT AD (12-17) AMT USING
AMT USING
PRT AD
CHAR LIC
CELEB END
CHAR LIC
CELEB END
(Overlapping)
(PRT AD 2-11) (PRT AD 2-11)
(PRT AD 12-17) (PRT AD 12-17)

Page 4 of 23

Attachment E

16B
AMT USING
CHAR LIC
(PRT AD
Overlapping)

16C
AMT USING
CELEB END
(PRT AD
Overlapping)

17A
PRT AD (All)

17B
AMT USING
CHAR LIC
(PRT AD All)

17C
AMT USING
CELEB END
(PRT AD All)

18A
WEBSITE AD
(2-11)

Page 5 of 23

18B
AMT USING
CHAR LIC
(WEBSITE AD
2-11)

18C
19A
AMT USING
WEBSITE AD
CELEB END
(12-17)
(WEBSITE AD
2-11)

Attachment E

19B
AMT USING
CHAR LIC
(WEBSITE AD
12-17)

19C
20A
AMT USING
WEBSITE AD
CELEB END
(Overlapping)
(WEBSITE AD
12-17)

20B
AMT USING
CHAR LIC
(WEBSITE AD
Overlapping)

20C
21A
AMT USING
WEBSITE AD
CELEB END
(All)
(WEBSITE AD
Overlapping)

Page 6 of 23

21B
AMT USING
CHAR LIC
(WEBSITE AD
All)

21C
22A
AMT USING
INTERNET AD
CELEB END
(2-11)
(WEBSITE AD
All)

Attachment E

22B
AMT USING
CHAR LIC
(INTERNET AD
2-11)

22C
23A
AMT USING
INTERNET AD
CELEB END
(12-17)
(INTERNET AD
2-11)

23B
AMT USING
CHAR LIC
(INTERNET AD
12-17)

23C
24A
AMT USING
INTERNET AD
CELEB END
(Overlapping)
(INTERNET AD
12-17)

Page 7 of 23

24B
AMT USING
CHAR LIC
(INTERNET AD
Overlapping)

24C
25A
AMT USING
INTERNET AD
CELEB END
(All)
(INTERNET AD
Overlapping)

Attachment E

25B
AMT USING
CHAR LIC
(INTERNET AD
All)

25C
26A
AMT USING
PACK/LABEL
CELEB END
(2-11)
(INTERNET AD
All)

26B
AMT USING
CHAR LIC
(PACK/LABEL
2-11)

26C
27A
AMT USING
PACK/LABEL
CELEB END
(12-17)
(PACK/LABEL
2-11)

Page 8 of 23

27B
AMT USING
CHAR LIC
(PACK/LABEL
12-17)

27C
28A
AMT USING
PACK/LABEL
CELEB END
(Overlapping)
(PACK/LABEL
12-17)

Attachment E

28B
AMT USING
CHAR LIC
(PACK/LABEL
Overlapping)

28C
29A
AMT USING
PACK/LABEL
CELEB END
(All)
(PACK/LABEL
Overlapping)

29B
AMT USING
CHAR LIC
(PACK/LABEL
All)

29C
30A
30B
30C
31A
AMT USING
MOV/VID AD
AMT USING
MOV/VID AD (2- AMT USING
11)
CHAR LIC
CELEB END
(12-17)
CELEB END
(MOV/VID 2-11) (MOV/VID 2-11)
(PACK/LABEL
All)

Page 9 of 23

Attachment E

31B
AMT USING
CHAR LIC
(MOV/VID 1217)

31C
AMT USING
CELEB END
(MOV/VID 1217)

32A
MOV/VID AD
(Overlapping)

32B
AMT USING
CHAR LIC
(MOV/VID
Overlapping)

32C
AMT USING
CELEB END
(MOV/VID
Overlapping)

33A
MOV/VID AD
(All)

Page 10 of 23

33B
AMT USING
CHAR LIC
(MOV/VID All)

33C
AMT USING
CELEB END
(MOV/VID All)

34A
IN-STORE AD
(2-11)

Attachment E

34B
34C
AMT USING
AMT USING
CHAR LIC (IN- CELEB END
STORE 2-11)
(IN-STORE 211)

35A
IN-STORE AD
(12-17)

35B
35C
36A
AMT USING
AMT USING
IN-STORE AD
CHAR LIC (IN- CELEB END
(Overlapping)
STORE 12-17) (IN-STORE 1217)

Page 11 of 23

36B
AMT USING
CHAR LIC (INSTORE
Overlapping)

36C
AMT USING
CELEB END
(IN-STORE
Overlapping)

37A
IN-STORE AD
(All)

Attachment E

37B
37C
38A
38B
AMT USING
AMT USING
PREMIUMS (2- AMT USING
CHAR LIC (IN- CELEB END
11)
CHAR LIC
STORE All)
(IN-STORE All)
(PREMIUMS 211)

38C
39A
39B
39C
40A
AMT USING
PREMIUMS
AMT USING
PREMIUMS (12- AMT USING
17)
CHAR LIC
CELEB END
(Overlapping)
CELEB END
(PREMIUMS 12- (PREMIUMS 12(PREMIUMS 217)
17)
11)

Page 12 of 23

Attachment E

40B
AMT USING
CHAR LIC
(PREMIUMS
Overlapping)

40C
AMT USING
CELEB END
(PREMIUMS
Overlapping)

41A
PREMIUMS
(All)

41B
AMT USING
CHAR LIC
(PREMIUMS
All)

41C
AMT USING
CELEB END
(PREMIUMS
All)

42A
42B
42C
43A
EVENTS (2-11) AMT USING
AMT USING
EVENTS (12CHAR LIC
CELEB END
17)
(EVENTS 2-11) (EVENTS 2-11)

Page 13 of 23

Attachment E

43B
AMT USING
CHAR LIC
(EVENTS 1217)

43C
AMT USING
CELEB END
(EVENTS 1217)

44A
EVENTS
(Overlapping)

44B
AMT USING
CHAR LIC
(EVENTS
Overlapping)

44C
AMT USING
CELEB END
(EVENTS
Overlapping)

45A
EVENTS (All)

Page 14 of 23

45B
AMT USING
CHAR LIC
(EVENTS All)

45C
AMT USING
CELEB END
(EVENTS All)

46A
PROD PLMT (211)

Attachment E

46B
46C
47A
AMT USING
AMT USING
PROD PLMT
CHAR LIC
CELEB END
(12-17)
(PROD PLMT 2- (PROD PLMT 211)
11)

47B
AMT USING
CHAR LIC
(PROD PLMT
12-17)

47C
AMT USING
CELEB END
(PROD PLMT
12-17)

48A
PROD PLMT
(Overlapping)

Page 15 of 23

48B
AMT USING
CHAR LIC
(PROD PLMT
Overlapping)

48C
AMT USING
CELEB END
(PROD PLMT
Overlapping)

49A
PROD PLMT
(All)

Attachment E

49B
AMT USING
CHAR LIC
(PROD PLMT
All)

49C
AMT USING
CELEB END
(PROD PLMT
All)

50
CHAR LIC (211)

51
52
CHAR LIC (12- CHAR LIC
17)
(Overlapping)

53
54A
54B
CHAR LIC (All) ATHL SPON (2- AMT USING
11)
CHAR LIC
(ATHL SPON 211)

Page 16 of 23

54C
AMT USING
CELEB END
(ATHL SPON 211)

Attachment E

55A
ATHL SPON
(12-17)

55B
AMT USING
CHAR LIC
(ATHL SPON
12-17)

55C
AMT USING
CELEB END
(ATHL SPON
12-17)

56A
ATHL SPON
(Overlapping)

56B
AMT USING
CHAR LIC
(ATHL SPON
Overlapping)

56C
AMT USING
CELEB END
(ATHL SPON
Overlapping)

Page 17 of 23

57A
ATHL SPON
(All)

57B
AMT USING
CHAR LIC
(ATHL SPON
All)

57C
AMT USING
CELEB END
(ATHL SPON
All)

Attachment E

58A
58B
58C
59A
WOM/VIRAL (2- AMT USING
AMT USING
WOM/VIRAL
11)
CHAR LIC
CELEB END
(12-17)
(WOM/VIRAL 2- (WOM/VIRAL 211)
11)

59B
AMT USING
CHAR LIC
(WOM/VIRAL
12-17)

59C
AMT USING
CELEB END
(WOM/VIRAL
12-17)

Page 18 of 23

60A
WOM/VIRAL
(Overlapping)

60B
AMT USING
CHAR LIC
(WOM/VIRAL
Overlapping)

60C
AMT USING
CELEB END
(WOM/VIRAL
Overlapping)

Attachment E

61A
WOM/VIRAL
(All)

61B
AMT USING
CHAR LIC
(WOM/VIRAL
All)

61C
AMT USING
CELEB END
(WOM/VIRAL
All)

62
63
CELEB END (2- CELEB END
11)
(12-17)

64
CELEB END
(Overlapping)

Page 19 of 23

65
CELEB END
(All)

66A
66B
IN-SCHOOL (2- AMT USING
11)
CHAR LIC (INSCHOOL 2-11)

Attachment E

66C
67A
AMT USING
IN-SCHOOL
CELEB END
(12-17)
(IN-SCHOOL 211)

67B
AMT USING
CHAR LIC (INSCHOOL 1217)

67C
AMT USING
CELEB END
(IN-SCHOOL
12-17)

68A
IN-SCHOOL
(Overlapping)

68B
AMT USING
CHAR LIC (INSCHOOL
Overlapping)

Page 20 of 23

68C
AMT USING
CELEB END
(IN-SCHOOL
Overlapping)

69A
IN-SCHOOL
(All)

69B
AMT USING
CHAR LIC (INSCHOOL All)

Attachment E

69C
AMT USING
CELEB END
(IN-SCHOOL
All)

70A
70B
70C
71A
AMT USING
PHLNTHRPY
PHLNTHRPY (2-AMT USING
11)
CHAR LIC
CELEB END
(12-17)
(PHLNTHRPY 2-(PHLNTHRPY 211)
11)

71B
AMT USING
CHAR LIC
(PHLNTHRPY
12-17)

Page 21 of 23

71C
AMT USING
CELEB END
(PHLNTHRPY
12-17)

72A
PHLNTHRPY
(Overlapping)

72B
AMT USING
CHAR LIC
(PHLNTHRPY
Overlapping)

Attachment E

72C
AMT USING
CELEB END
(PHLNTHRPY
Overlapping)

73A
PHLNTHRPY
(All)

73B
AMT USING
CHAR LIC
(PHLNTHRPY
All)

73C
AMT USING
CELEB END
(PHLNTHRPY
All)

74A
OTHER (2-11)

74B
AMT USING
CHAR LIC
(OTHER 2-11)

Page 22 of 23

74C
AMT USING
CELEB END
(OTHER 2-11)

75A
75B
OTHER (12-17) AMT USING
CHAR LIC
(OTHER 12-17)

Attachment E

75C
76A
AMT USING
OTHER
CELEB END
(Overlapping)
(OTHER 12-17)

76B
AMT USING
CHAR LIC
(OTHER
Overlapping)

76C
AMT USING
CELEB END
(OTHER
Overlapping)

77A
OTHER (All)

77B
AMT USING
CHAR LIC
(OTHER All)

Page 23 of 23

77C
AMT USING
CELEB END
(OTHER All)

78
TOTAL OVERALL
CONSUMERDIRECTED
EXPENDITURES

Attachment E

Attachment F
Nutritional Data for Food Products Promoted to Children or Adolescents in
2009
[The nutritional data provided in this Attachment are intended to serve as examples
and are not representative of any data the agency expects to receive from any
particular company.]
1
Company
Name

2
3
Food Category Brand/Rest.
Name

Great Food Co. Breakfast
Cereals
Great Food Co. Breakfast
Cereals
Great Food Co. Dairy Products

Great Flakes

4
Sub-Brand
Name/Menu
Item

5
Labeled
Serving Size
(in milliliters or
grams)*

Honey Nut
Great Flakes

53

20

55

20

27

20

30

20

244

20

244

20

Great Bran
Milk

-1
1% Milk

6
Unit code used for
previous response
("10" = milliliters;
"20" = grams)

7
RACC for
product (in
milliliters or
grams)*

8
Unit code used for
previous response
("10" = milliliters;
"20" = grams)

Formatting instructions: All responses must be in numeric form. All
nutritional data requests refer to a single serving, unless otherwise noted. Use
the following codes when responding:
"1" = yes (in response to yes/no questions only)
"0" = no (in response to yes/no questions only)
"-1" = not applicable (in response to column 4 only)
"-2" = unknown
*The company must report the Labeled Serving Size and RACC in grams whenever
FDA labeling rules specify grams or give the option of grams in serving size labeling.
See 21 C.F.R. § 101.12. As a result, the company will use milliliters for liquid food
products only.
Use FDA rounding rules for purposes of reporting nutrient content.

Page 1 of 7

Attachment F

9
10
Total Calories Calories from
Fat

11
Total Fat, in
grams

12
13
Saturated Fat, Trans Fat, in
in grams
grams

14
15
Cholesterol, in Sodium, in
milligrams
milligrams

16
17
Carbohydrate, Dietary Fiber,
total, in grams in grams

216.0

56.0

6.0

1.0

0.0

0.0

214.0

38.0

3.5

99.0

8.0

0.9

0.1

0.0

0.0

189.0

21.8

2.7

102.0

21.3

2.4

1.5

0.0

12.0

107.0

12.2

0.0

Page 2 of 7

Attachment F

18
Sugars, in
grams

19
Added Sugar
Content, in
grams

20
Protein, in
grams

8.0

6.0

21
22
23
24
25
Must label either state "not a Vitamin A (% of Vitamin C (% Vitamin E (% of Vitamin D (%
of RDI)
RDI)
of RDI)
significant source of protein" RDI)
or state the corrected amount
of protein per serving (yes or
no)?
5.0
0
15
0
0
10

3.6

2.8

2.7

0

10

10

0

10

12.7

0.0

8.2

0

10

0

0

30

Page 3 of 7

Attachment F

26
27
28
Calcium (% of Iron (% of RDI) Potassium, in
RDI)
milligrams

29
30
Magnesium (% All Grains
of RDI)
Content, in
grams

31
Whole Grains
Content, in
grams

32
33
34
Fruit or Fruit
Fruit or Fruit
Vegetable or
Juice Content, Juice Content, Vegetable
in grams
in cups
Juice Content,
in grams

0

50

170

15

32

32

0

0

0

2

45

94

6

16

16

0

0

0

30

0

366

7

0

0

0

0

0

Page 4 of 7

Attachment F

35
Vegetable or
Vegetable
Juice Content,
in cups

36
Fat-Free or
Low-Fat Milk
or Yogurt
Content, in
grams

37
Fat-Free or
Low-Fat Milk
or Yogurt
Content, in
cups

38
Fat-Free or LowFat Natural
Cheese Content,
in grams

39
40
Fat-Free or Low- Fish Content,
Fat Processed
in grams
Cheese Content,
in grams

41
Extra Lean
Meat or Poultry
Content, in
grams

42
Egg or Egg
Equivalent
Content, in
grams

43
Nut and Seed
Content, in
grams

0

0

0

0

0

0

0

0

15

0

0

0

0

0

0

0

0

0

0

244

1

0

0

0

0

0

0

Page 5 of 7

Attachment F

44
Cooked Dry
Beans
Content, in
grams

45
Cooked Dry
Beans
Content, in
cups

46
Is the product
100% fruit or
fruit juice (yes
or no)?

47
Is the product
100% vegetable
or vegetable
juice (yes or no)?

0

0

0

48
49
50
51
Is the product Is the product Is the product Is this product
100% water
new to the
100% non-fat 100% whole
market since
or low-fat milk grains (yes or (yes or no)?
2006 (yes or
or yogurt (yes no)?
or no)?
no)?
0
0
0
0
0

0

0

0

0

0

0

0

0

0

0

0

0

1

0

0

0

Page 6 of 7

Attachment F

52
53
Did the company file a If this product, or a previous formulation
Special Report for the of this product, appears on Attachment
calendar year 2006 (yes G (the company's 2006 food product
list), enter the product's Unique
or no)? (If not, skip
Column 53)
Identifier from Attachment G.
1
1
1

2

1

3

Page 7 of 7

Attachment F

Attachment G
Nutritional Data for Food Products Promoted to Children or Adolescents in
2006
[The nutritional data provided in this Attachment are intended to serve as examples
and are not representative of any data the agency expects to receive from any
particular company.]
1
Unique
Identifier

1
2
3

2
Company
Name

3
4
Food Category Brand/Rest.
Name

Great Food Co. Breakfast
Cereals
Great Food Co. Breakfast
Cereals
Great Food Co. Dairy Products

Great Flakes

5
Sub-Brand
Name/Menu
Item

6
Labeled
Serving Size
(in milliliters or
grams)*

Honey Nut
Great Flakes

53

20

55

27

20

30

244

20

244

Great Bran
Milk

-1
1% Milk

7
Unit code used for
previous response
("10" = milliliters;
"20" = grams)

8
RACC for
product (in
milliliters or
grams)*

Formatting instructions: All responses must be in numeric form. All
nutritional data requests refer to a single serving, unless otherwise noted. Use
the following codes when responding:
"1" = yes (in response to yes/no questions only)
"0" = no (in response to yes/no questions only)
"-1" = not applicable (in response to column 5 only)
"-2" = unknown
*The company must report the Labeled Serving Size and RACC in grams whenever
FDA labeling rules specify grams or give the option of grams in serving size labeling.
See 21 C.F.R. § 101.12. As a result, the company will use milliliters for liquid food
products only.
Use FDA rounding rules for purposes of reporting nutrient content.

Page 1 of 7

Attachment G

9
Unit code used for
previous response
("10" = milliliters;
"20" = grams)

10
11
Total Calories Calories from
Fat

12
Total Fat, in
grams

13
14
Saturated Fat, Trans Fat, in
in grams
grams

15
16
Cholesterol, in Sodium, in
milligrams
milligrams

17
Carbohydrate,
total, in grams

20

224.0

56.0

6.0

1.0

0.0

0.0

214.0

38.0

20

99.0

8.0

0.9

0.1

0.0

0.0

189.0

21.8

20

102.0

21.3

2.4

1.5

0.0

12.0

107.0

12.2

Page 2 of 7

Attachment G

18
Dietary Fiber,
in grams

19
Sugars, in
grams

20
Added Sugar
Content, in
grams

21
Protein, in
grams

3.5

10.0

8.0

22
23
24
25
Must label either state "not a Vitamin A (% of Vitamin C (% Vitamin E (% of
of RDI)
RDI)
significant source of protein" RDI)
or state the corrected amount
of protein per serving (yes or
no)?
5.0
0
15
0
0

2.7

3.6

2.8

2.7

0

10

10

0

0.0

12.7

0.0

8.2

0

10

0

0

Page 3 of 7

Attachment G

26
Vitamin D (%
of RDI)

27
28
29
Calcium (% of Iron (% of RDI) Potassium, in
RDI)
milligrams

30
31
Magnesium (% All Grains
of RDI)
Content, in
grams

32
Whole Grains
Content, in
grams

33
34
Fruit or Fruit
Fruit or Fruit
Juice Content, Juice Content,
in grams
in cups

10

0

50

170

15

32

32

0

0

10

2

45

94

6

16

16

0

0

30

30

0

366

7

0

0

0

0

Page 4 of 7

Attachment G

35
Vegetable or
Vegetable
Juice Content,
in grams

36
Vegetable or
Vegetable
Juice Content,
in cups

37
Fat-Free or
Low-Fat Milk
or Yogurt
Content, in
grams

38
Fat-Free or
Low-Fat Milk
or Yogurt
Content, in
cups

39
Fat-Free or LowFat Natural
Cheese Content,
in grams

40
41
Fat-Free or Low- Fish Content,
Fat Processed
in grams
Cheese Content,
in grams

42
Extra Lean
Meat or Poultry
Content, in
grams

43
Egg or Egg
Equivalent
Content, in
grams

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

244

1

0

0

0

0

0

Page 5 of 7

Attachment G

44
Nut and Seed
Content, in
grams

45
Cooked Dry
Beans
Content, in
grams

46
Cooked Dry
Beans
Content, in
cups

47
Is the product
100% fruit or
fruit juice (yes
or no)?

48
Is the product
100% vegetable
or vegetable
juice (yes or no)?

15

0

0

0

49
50
51
Is the product Is the product Is the product
100% water
100% non-fat 100% whole
or low-fat milk grains (yes or (yes or no)?
or yogurt (yes no)?
or no)?
0
0
0
0

0

0

0

0

0

0

0

0

0

0

0

0

0

1

0

0

Page 6 of 7

Attachment G

52
Did the company market
this product (or a newer
formulation of this
product) during 2009 (yes
or no)?
1
1
1

Page 7 of 7

Attachment G

Attachment H
Activities for Food Products Promoted to Children or Adolescents in 2009
[The activities listed in this Attachment are intended to serve as examples and are not representative of any
information the agency expects to receive from any particular company.]
1
Company
Name

2
3
Food Category Brand/Rest.
Name

4
Sub-Brand
Name/Menu
Item

5
6
Promotional
Specific Promotional
Activity
Activity
Category Code

7
Directed to
Children
(yes/no)

8
Directed to
Adolescents
(yes/no)

Honey Nut
Great Flakes
Honey Nut
Great Flakes

WEBSITE AD

Great Flakes advergame

1

1

WEBSITE AD

Great Flakes sweepstakes
to win concert tickets

0

1

Great Food Co. Breakfast
Cereals
Great Food Co. Breakfast
Cereals

Great Flakes

Great Food Co. Breakfast
Cereals

Great Flakes

Honey Nut
Great Flakes

CHAR LIC

Cross-promotion with
Happy Penguin movie
characters

1

0

Happy
Restaurant
Company

Happy
Restaurant

Happy Kid's
Meal
Combinations
#1-3
-1

PREMIUMS

Happy Kid's Meal Toy

1

0

EVENTS

Teen soccer tournament
sponsorship

0

1

Restaurant
Foods

Great Soda Co. Carbonated
Beverages

Great Flakes

Great Soda

Formatting instructions: Use the following codes when responding:
"1" = yes (in response to yes/no questions only)
"0" = no (in response to yes/no questions only)
"-1" = not applicable
Page 1 of 2

Attachment H

9
Directed to
Subpopulation?
(Specify)
-1

10
Reportable
Expenditure?
(yes/no)
0

11
Sample Bates # or Description

12
13
SLP # of Units Total SLP Cost
Sold
(in dollars)

Screen shots provided at Bates numbers 315318.
Screen shots provided at Bates numbers 318325.

-1

-1

-1

-1

-1

1

-1

0

Great Food Co. had a cross-promotion with
characters from the Happy Penguin movie in the
summer of 2009. No character licensing fees
were paid. Great Food Co. featured the
characters on product packaging for Great
Flakes and ran a contest open to children over 9
years old to win movie tickets. Packaging
samples provided at Bates numbers 260-265.

-1

-1

-1

0

Toy samples provided at Bates numbers 89-90.

200,000

$80,000

Hispanic
adolescent boys

1

In February 2009, Great Soda Co. sponsored a
teen soccer tournament in Los Angeles,
California. Great Soda Co. displayed banners
for the Great Soda brand at the event and
distributed free samples of the brand to
attendees. No samples available.

-1

-1

Page 2 of 2

Attachment H