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	<rfc		<rfc xmlns:xi="http://www.w3.org/2001/XInclude" category="info" submissionType=
	xmlns:xi="http://www.w3.org/2001/XInclude"		"IETF" ipr="trust200902" docName="draft-halpern-gendispatch-antitrust-09" number
	category="info"		="9680" consensus="true" xml:lang="en" tocInclude="true" updates="" obsoletes="
	submissionType="IETF"		" version="3" symRefs="true" sortRefs="false">
	ipr="trust200902"
	docName="draft-halpern-gendispatch-antitrust-09"
	version="3">
	<front>		<front>
	<title abbrev="IETF Antitrust Guidelines">Antitrust Guidelines for IETF Part icipants</title>		<title abbrev="IETF Antitrust Guidelines">Antitrust Guidelines for IETF Part icipants</title>
	<author fullname="Joel M. Halpern" initials="J. M." role="editor" surname="H		<seriesInfo name="RFC" value="9680"/>
	alpern">
			<author fullname="Joel M. Halpern" initials="J." role="editor" surname="Halp
			ern">
	<organization abbrev="Ericsson">Ericsson</organization>		<organization abbrev="Ericsson">Ericsson</organization>
	<address>		<address>
	<postal>		<postal>
	<street>P. O. Box 6049</street>		<street>P.O. Box 6049</street>
	<city>Leesburg</city>		<city>Leesburg</city>
	<region>VA</region>		<region>VA</region>
	<code>20178</code>		<code>20178</code>
	<country>US</country>		<country>United States of America</country>
	</postal>		</postal>
	<email>joel.halpern@ericsson.com</email>		<email>joel.halpern@ericsson.com</email>
	</address>		</address>
	</author>		</author>
	<author fullname="Jay Daley" initials="J." surname="Daley">		<author fullname="Jay Daley" initials="J." surname="Daley">
	<organization abbrev="IETF Administration LLC">IETF Administration LLC</or ganization>		<organization abbrev="IETF Administration LLC">IETF Administration LLC</or ganization>
	<address>		<address>
	<postal>		<postal>
	<street>1000 N. West Street, Suite 1200</street>		<street>1000 N. West Street, Suite 1200</street>
	<city>Wilimington</city>		<city>Wilmington</city>
	<region>DE</region>		<region>DE</region>
	<code>19801</code>		<code>19801</code>
	<country>US</country>		<country>United States of America</country>
	</postal>		</postal>
	<email>jay@staff.ietf.org</email>		<email>jay@staff.ietf.org</email>
	</address>		</address>
	</author>		</author>
	<date year="2024"/>		<date month="October" year="2024"/>
	<area>General</area>
			<keyword>anticompetitive</keyword>
			<keyword>competition law</keyword>
			<keyword>policy</keyword>
			<keyword>compliance</keyword>
			<keyword>recommendations</keyword>
	<abstract>		<abstract>
	<t>		<t>
	This document provides education and guidance for IETF participants on c ompliance with antitrust laws and how to reduce antitrust risks in connection wi th IETF activities.		This document provides education and guidance for IETF participants on c ompliance with antitrust laws and how to reduce antitrust risks in connection wi th IETF activities.
	</t>		</t>
	</abstract>		</abstract>
	</front>		</front>
	<middle>		<middle>
	<section title="Introduction">		<section title="Introduction">
	<t>		<t>
	Standards development frequently requires collaboration between competit ors. Cooperation among competitors can spark concerns about antitrust law or co mpetition law violations. This document is intended to educate IETF participants about how to reduce antitrust risks in connection with IETF activities. Nothing in this document changes existing IETF policies.		Standards development frequently requires collaboration between competit ors. Cooperation among competitors can spark concerns about antitrust law or co mpetition law violations. This document is intended to educate IETF participants about how to reduce antitrust risks in connection with IETF activities. Nothing in this document changes existing IETF policies.
	</t>		</t>
	</section>		</section>
	<section title="Background">		<section title="Background">
	<section title="A Note About Terminology">		<section title="A Note About Terminology">
	<t>		<t>
	"Antitrust law" and "competition law" are used synonymously in this do cument. “Antitrust” is the word that is used in the US and in several other juri sdictions; “competition law” is the terminology used in Europe and in many other jurisdictions. There can be some nuanced differences between how different juri sdictions address this general area of law, and sometimes people use the termino logy differently to highlight these nuances, but here they are being used as syn onyms.		"Antitrust law" and "competition law" are used synonymously in this do cument. "Antitrust" is the word that is used in the US and in several other juri sdictions; "competition law" is the terminology used in Europe and in many other jurisdictions. There can be some nuanced differences between how different juri sdictions address this general area of law, and sometimes people use the termino logy differently to highlight these nuances, but here they are being used as syn onyms.
	</t>		</t>
	</section>		</section>
	<section title="Purpose of Antitrust or Competition law">		<section title="Purpose of Antitrust or Competition Law">
	<t>		<t>
	The U.S. Department of Justice states <xref target="DOJ"/> that “the g oal of the antitrust laws is to protect economic freedom and opportunity by prom oting free and fair competition in the marketplace. Competition in a free market benefits consumers through lower prices, better quality and greater choice. Com petition provides businesses the opportunity to compete on price and quality, in an open market and on a level playing field, unhampered by anticompetitive rest raints.” Similarly, the European Commission <xref target="EC"/> states that the purpose of its competition law rules is "to make EU markets work better, by ensu ring that all companies compete equally and fairly on their merits" which "benef its consumers, businesses and the European economy as a whole." Fundamentally, a ntitrust or competition laws are designed to facilitate open, fair, robust compe tition, ultimately to benefit consumers.		The U.S.&nbsp;Department of Justice states that "the goal of the antit rust laws is to protect economic freedom and opportunity by promoting free and f air competition in the marketplace. Competition in a free market benefits consum ers through lower prices, better quality and greater choice. Competition provide s businesses the opportunity to compete on price and quality, in an open market and on a level playing field, unhampered by anticompetitive restraints" <xref ta rget="DOJ"/>. Similarly, the European Commission states that the purpose of its competition law rules is "to make EU markets work better, by ensuring that all c ompanies compete equally and fairly on their merits" which "benefits consumers, businesses and the European economy as a whole" <xref target="EC"/>. Fundamental ly, antitrust or competition laws are designed to facilitate open, fair, robust competition, ultimately to benefit consumers.
	</t>		</t>
	</section>		</section>
	<section title="Overlapping Areas of Concern">		<section title="Overlapping Areas of Concern">
	<t>		<t>
	There are two overlapping areas of concern the IETF has in connection		There are two overlapping areas of concern the IETF has in connection
	with antitrust compliance:		with antitrust compliance:
	</t>		</t>
	<ul>		<ul>
	<li>Most acutely, the IETF cannot have anyone who is officially repres		<li>Most acutely, the IETF cannot have anyone who is officially repres
	enting the IETF, in any capacity, engage in anti-competitive behavior and create		enting the IETF, in any capacity, engage in anticompetitive behavior and create
	liability for the IETF.</li>		liability for the IETF.</li>
	<li>Additionally, the IETF cannot be a forum where participants engage		<li>Additionally, the IETF cannot be a forum where participants engage
	in anti-competitive behavior, even if direct liability for that behavior falls		in anticompetitive behavior, even if direct liability for that behavior falls o
	on those participants and not the IETF, to avoid reputational harm to the IETF.<		n those participants and not the IETF, to avoid reputational harm to the IETF.</
	/li>		li>
	</ul>		</ul>
	</section>		</section>
	</section>		</section>
	<section title="Existing IETF Antitrust Compliance Strategy">		<section anchor="compliance" title="Existing IETF Antitrust Compliance Strat egy">
	<t>		<t>
	Compliance with the BCPs and other relevant policies that document the e stablished rules and norms of the IETF, facilitates compliance with antitrust la w, as the IETF structure and processes are designed to mitigate antitrust risks. As a reminder, participants are required to comply with the following policies :		Compliance with the BCPs and other relevant policies that document the e stablished rules and norms of the IETF facilitates compliance with antitrust law , as the IETF structure and processes are designed to mitigate antitrust risks. As a reminder, participants are required to comply with the following policies:
	</t>		</t>
	<ul>		<ul>
	<li>		<li>
	The Internet Standards Process as described in BCP 9 <xref target="BCP 9"/>, which is designed to "provide a fair, open, and objective basis for develo ping, evaluating, and adopting Internet Standards," and provides robust procedur al rules, including an appeals process.		The Internet Standards Process as described in BCP 9 <xref target="BCP 9"/>, which is designed to "provide a fair, open, and objective basis for develo ping, evaluating, and adopting Internet Standards" (RFC 2026) and provides robus t procedural rules, including an appeals process.
	</li>		</li>
	<li>		<li>
	The Working Group Guidelines and Procedures described in BCP 25 <xref target="BCP25"/>, which emphasize requirements for "open and fair participation and for thorough consideration of technical alternatives," and describe IETF's c onsensus-based decision-making processes.		The Working Group Guidelines and Procedures described in BCP 25 <xref target="BCP25"/>, which emphasize requirements for "open and fair participation and for thorough consideration of technical alternatives" (RFC 2418) and describ e the IETF's consensus-based decision-making processes.
	</li>		</li>
	<li>		<li>
	The IETF framework that participants engage in their individual capaci		The IETF framework that participants engage in their individual capaci
	ty, not as company representatives (see <xref target="BCP9"/> and <xref target="		ty, not as company representatives (see <xref target="BCP9"/> and <xref target="
	LLC"/>), and "use their best engineering judgment to find the best solution for		LLC"/>), and "use their best engineering judgment to find the best solution for
	the whole Internet, not just the best solution for any particular network, techn		the whole Internet, not just the best solution for any particular network, techn
	ology, vendor, or user," as described in BCP 54 <xref target="BCP54"/>		ology, vendor, or user," as described in RFC 7154 <xref target="BCP54"/>.
	.
	</li>		</li>
	<li>		<li>
	The IETF's intellectual property rights policies as set forth in BCP 7 8 <xref target="BCP78"/> and BCP 79 <xref target="BCP79"/>. These policies are c arefully designed to "benefit the Internet community and the public at large, wh ile respecting the legitimate rights of others."		The IETF's intellectual property rights policies as set forth in BCP 7 8 <xref target="BCP78"/> and BCP 79 <xref target="BCP79"/>. These policies are c arefully designed to "benefit the Internet community and the public at large, wh ile respecting the legitimate rights of others" (RFC 8179).
	</li>		</li>
	<li>		<li>
	The established conflict of interest policies, such as the IESG Confli ct of Interest Policy, the IAB Conflict of Interest Policy or the IETF LLC Confl ict of Interest Policy, if and when applicable.		The established conflict of interest policies, such as the <eref targe t="https://www.ietf.org/about/groups/iesg/iesg-coi-policy/">IESG Conflict of Int erest Policy</eref>, the <eref target="https://www.iab.org/about/conflict-of-int erest-policy/">IAB Conflict of Interest Policy</eref>, or the <eref target="http s://www.ietf.org/administration/policies-procedures/conflict-interest/">IETF LLC Conflict of Interest Policy</eref>, if and when applicable.
	</li>		</li>
	</ul>		</ul>
	</section>		</section>
	<section title="Additional Recommendations">		<section title="Additional Recommendations">
	<t>		<t>
	The most important recommendation is for IETF participants to rigorously follow all applicable IETF policies as set out in section 3 above.		The most important recommendation is for IETF participants to rigorously follow all applicable IETF policies as set out in <xref target="compliance"/>.
	</t>		</t>
	<t>This section provides more information about:</t>		<t>This section provides more information about:</t>
	<ul>		<ul>
	<li>Certain topics that are generally inappropriate for discussion in a		<li>certain topics that are generally inappropriate for discussion in a
	standards setting environment.</li>		standards-setting environment,</li>
	<li>The importance of participants obtaining independent legal advice, a		<li>the importance of participants obtaining independent legal advice, a
	s appropriate.</li>		s appropriate, and</li>
	<li>Paths to escalate antitrust-related concerns.</li>		<li>paths to escalate antitrust-related concerns.</li>
	</ul>		</ul>
	<section title="Topics to Avoid">		<section title="Topics to Avoid">
	<t>		<t>
	While IETF participants are expected to participate as individuals, th		While IETF participants are expected to participate as individuals, th
	eir actions could still be construed as representing their employer, whatever th		eir actions could still be construed as representing their employer, whatever th
	eir role. Therefore, participants should be aware that some topics are generally		eir role. Therefore, participants should be aware that some topics are generally
	inappropriate for discussion in a standards setting environment where represent		inappropriate for discussion in a standards-setting environment where represent
	atives from competitors to their employer are likely to be present. These topics		atives from competitors to their employer are likely to be present. These topics
	include: discussion about product pricing or profit margins among potential com		include the following:</t>
	petitors, the details of business relationships between specific vendors and cus		<ul>
	tomers, details about the supply chains of specific companies, discussions about		<li>discussion about product pricing or profit margins among potential competito
	market opportunities for specific companies, or employee compensation or benefi		rs, </li>
	ts among potentially competitive employers. While not all discussions of these t		<li>the details of business relationships between specific vendors and customers
	opics would necessarily be antitrust violations, and recognizing that analysis o		,</li>
	f antitrust considerations will be different for differently-positioned particip		<li>details about the supply chains of specific companies, </li>
	ants, prudence suggests that avoiding these specific topics in the context of th		<li>discussions about market opportunities for specific companies, and</li>
	e collaborative IETF process best mitigates antitrust risks for the IETF and its		<li>employee compensation or benefits among potentially competitive employers.</
	participants.		li>
			</ul>
			<t>
			While not all discussions of these topics would necessarily be antitrust violati
			ons, and recognizing that analysis of antitrust considerations will be different
			for differently positioned participants, prudence suggests that avoiding these
			specific topics in the context of the collaborative IETF process best mitigates
			antitrust risks for the IETF and its participants.
	</t>		</t>
	<t>		<t>
	Note that antitrust law reaches beyond these topics, however. For exam ple, any behavior that amounts to an agreement to restrain marketplace competiti on, or that facilitates monopolization of particular markets, raises potential a ntitrust risks. Participants are responsible for ensuring that their conduct doe s not violate any antitrust laws or regulations.		Note that antitrust law reaches beyond these topics, however. For exam ple, any behavior that amounts to an agreement to restrain marketplace competiti on, or that facilitates monopolization of particular markets, raises potential a ntitrust risks. Participants are responsible for ensuring that their conduct doe s not violate any antitrust laws or regulations.
	</t>		</t>
	</section>		</section>
	<section title="Obtaining Independent Legal Advice">		<section title="Obtaining Independent Legal Advice">
	<t>All IETF participants are expected to behave lawfully when engaged in IETF activities, including by following applicable antitrust law. The IETF does not provide legal advice to participants, and instead recommends that participa nts obtain independent legal advice as needed.</t>		<t>All IETF participants are expected to behave lawfully when engaged in IETF activities, including by following applicable antitrust law. The IETF does not provide legal advice to participants, and instead recommends that participa nts obtain independent legal advice as needed.</t>
	</section>		</section>
	<section title="Escalating Antitrust-Related Concerns">		<section title="Escalating Antitrust-Related Concerns">
	<t>		<t>
	Participants can report potential antitrust issues in the context of I ETF activities by contacting IETF legal counsel (legal@ietf.org) or via the IETF LLC whistleblower service <xref target="Whistleblower"/>. Note that reports wil l only be assessed for their impact upon the IETF; participants directly impacte d by an antitrust issue are responsible for obtaining their own legal advice.		Participants can report potential antitrust issues in the context of I ETF activities by contacting IETF legal counsel (legal@ietf.org) or via the IETF LLC whistleblower service <xref target="Whistleblower"/>. Note that reports wil l only be assessed for their impact upon the IETF; participants directly impacte d by an antitrust issue are responsible for obtaining their own legal advice.
	</t>		</t>
	</section>		</section>
	</section>		</section>
	<section title="IANA Considerations">		<section title="IANA Considerations">
	<t>		<t>
	No values are assigned in this document, no registries are created, and there is no action assigned to the IANA by this document.		This document has no IANA actions.
	</t>		</t>
	</section>		</section>
	<section title="Security Considerations">		<section title="Security Considerations">
	<t>		<t>
	This document introduces no known security aspects to the IETF or IETF p articipants.		This document introduces no known security aspects to the IETF or IETF p articipants.
	</t>		</t>
	</section>		</section>
	</middle>		</middle>
	<back>		<back>
			<references>
			<name>References</name>
	<references>		<references>
	<name>Normative References</name>		<name>Normative References</name>
	<referencegroup anchor="BCP9" target="https://www.rfc-editor.org/info/bcp9
	">		<xi:include href="https://bib.ietf.org/public/rfc/bibxml9/reference.BCP.0009.xml
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R		" />
	FC.2026.xml"/>		<xi:include href="https://bib.ietf.org/public/rfc/bibxml9/reference.BCP.0025.xml
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R		" />
	FC.5657.xml"/>		<xi:include href="https://bib.ietf.org/public/rfc/bibxml9/reference.BCP.0054.xml
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R		" />
	FC.6410.xml"/>		<xi:include href="https://bib.ietf.org/public/rfc/bibxml9/reference.BCP.0078.xml
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R		" />
	FC.7100.xml"/>		<xi:include href="https://bib.ietf.org/public/rfc/bibxml9/reference.BCP.0079.xml
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R		" />
	FC.7127.xml"/>
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R
	FC.7475.xml"/>
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R
	FC.8789.xml"/>
	</referencegroup>
	<referencegroup anchor="BCP25" target="https://www.rfc-editor.org/info/bcp
	25">
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R
	FC.2418.xml"/>
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R
	FC.3934.xml"/>
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R
	FC.7776.xml"/>
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R
	FC.8716.xml"/>
	</referencegroup>
	<referencegroup anchor="BCP54" target="https://www.rfc-editor.org/info/bcp
	54">
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R
	FC.7154.xml"/>
	</referencegroup>
	<referencegroup anchor="BCP78" target="https://www.rfc-editor.org/info/bcp
	78">
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R
	FC.5378.xml"/>
	</referencegroup>
	<referencegroup anchor="BCP79" target="https://www.rfc-editor.org/info/bcp
	79">
	<xi:include href="https://xml2rfc.ietf.org/public/rfc/bibxml/reference.R
	FC.8179.xml"/>
	</referencegroup>
	</references>		</references>
	<references>		<references>
	<name>Informative References</name>		<name>Informative References</name>
	<reference anchor="LLC" target="https://www.ietf.org/blog/ietf-llc-stateme
	nt-competition-law-issues/">
	<front>
	<title>IETF Administration LLC Statement on Competition Law Issue
	s</title>
	<author/>
	</front>
	</reference>
	<reference anchor="DOJ" target="https://www.justice.gov/atr/mission">		<reference anchor="DOJ" target="https://www.justice.gov/atr/mission">
	<front>		<front>
	<title>The mission of the Antitrust Division</title>		<title>Mission</title>
	<author/>		<author><organization>U.S. Department of Justice Antitrust Divisi
			on</organization></author>
	</front>		</front>
	</reference>		</reference>
	<reference anchor="EC" target="https://commission.europa.eu/about-european -commission/departments-and-executive-agencies/competition_en">		<reference anchor="EC" target="https://commission.europa.eu/about-european -commission/departments-and-executive-agencies/competition_en">
	<front>		<front>
	<title>Competition</title>		<title>Competition</title>
	<author/>		<author><organization>European Commission</organization></author>
	</front>		</front>
	</reference>		</reference>
			<reference anchor="LLC" target="https://www.ietf.org/blog/ietf-llc-stateme
			nt-competition-law-issues/">
			<front>
			<title>IETF Administration LLC Statement on Competition Law Issue
			s</title>
			<author><organization>IETF Administration LLC</organization></aut
			hor>
			<date day="28" month="July" year="2020"/>
			</front>
			</reference>
	<reference anchor="Whistleblower" target="https://www.ietf.org/administrat ion/policies-procedures/whistleblower/">		<reference anchor="Whistleblower" target="https://www.ietf.org/administrat ion/policies-procedures/whistleblower/">
	<front>		<front>
	<title>IETF Administration LLC Whistleblower Policy</title>		<title>IETF LLC Whistleblower Policy</title>
	<author/>		<author><organization>IETF Administration LLC</organization></author>
	</front>		</front>
	</reference>		</reference>
	</references>		</references>
			</references>
	</back>		</back>
	</rfc>		</rfc>
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