rfc9680.original   rfc9680.txt 
Network Working Group J. M. Halpern, Ed. Internet Engineering Task Force (IETF) J. Halpern, Ed.
Internet-Draft Ericsson Request for Comments: 9680 Ericsson
Intended status: Informational J. Daley Category: Informational J. Daley
Expires: 22 December 2024 IETF Administration LLC ISSN: 2070-1721 IETF Administration LLC
20 June 2024 October 2024
Antitrust Guidelines for IETF Participants Antitrust Guidelines for IETF Participants
draft-halpern-gendispatch-antitrust-09
Abstract Abstract
This document provides education and guidance for IETF participants This document provides education and guidance for IETF participants
on compliance with antitrust laws and how to reduce antitrust risks on compliance with antitrust laws and how to reduce antitrust risks
in connection with IETF activities. in connection with IETF activities.
Status of This Memo Status of This Memo
This Internet-Draft is submitted in full conformance with the This document is not an Internet Standards Track specification; it is
provisions of BCP 78 and BCP 79. published for informational purposes.
Internet-Drafts are working documents of the Internet Engineering
Task Force (IETF). Note that other groups may also distribute
working documents as Internet-Drafts. The list of current Internet-
Drafts is at https://datatracker.ietf.org/drafts/current/.
Internet-Drafts are draft documents valid for a maximum of six months This document is a product of the Internet Engineering Task Force
and may be updated, replaced, or obsoleted by other documents at any (IETF). It represents the consensus of the IETF community. It has
time. It is inappropriate to use Internet-Drafts as reference received public review and has been approved for publication by the
material or to cite them other than as "work in progress." Internet Engineering Steering Group (IESG). Not all documents
approved by the IESG are candidates for any level of Internet
Standard; see Section 2 of RFC 7841.
This Internet-Draft will expire on 22 December 2024. Information about the current status of this document, any errata,
and how to provide feedback on it may be obtained at
https://www.rfc-editor.org/info/rfc9680.
Copyright Notice Copyright Notice
Copyright (c) 2024 IETF Trust and the persons identified as the Copyright (c) 2024 IETF Trust and the persons identified as the
document authors. All rights reserved. document authors. All rights reserved.
This document is subject to BCP 78 and the IETF Trust's Legal This document is subject to BCP 78 and the IETF Trust's Legal
Provisions Relating to IETF Documents (https://trustee.ietf.org/ Provisions Relating to IETF Documents
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Please review these documents carefully, as they describe your rights publication of this document. Please review these documents
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in the Revised BSD License.
Table of Contents Table of Contents
1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . 2 1. Introduction
2. Background . . . . . . . . . . . . . . . . . . . . . . . . . 2 2. Background
2.1. A Note About Terminology . . . . . . . . . . . . . . . . 2 2.1. A Note About Terminology
2.2. Purpose of Antitrust or Competition law . . . . . . . . . 2 2.2. Purpose of Antitrust or Competition Law
2.3. Overlapping Areas of Concern . . . . . . . . . . . . . . 3 2.3. Overlapping Areas of Concern
3. Existing IETF Antitrust Compliance Strategy . . . . . . . . . 3 3. Existing IETF Antitrust Compliance Strategy
4. Additional Recommendations . . . . . . . . . . . . . . . . . 4 4. Additional Recommendations
4.1. Topics to Avoid . . . . . . . . . . . . . . . . . . . . . 4 4.1. Topics to Avoid
4.2. Obtaining Independent Legal Advice . . . . . . . . . . . 5 4.2. Obtaining Independent Legal Advice
4.3. Escalating Antitrust-Related Concerns . . . . . . . . . . 5 4.3. Escalating Antitrust-Related Concerns
5. IANA Considerations . . . . . . . . . . . . . . . . . . . . . 5 5. IANA Considerations
6. Security Considerations . . . . . . . . . . . . . . . . . . . 5 6. Security Considerations
7. Normative References . . . . . . . . . . . . . . . . . . . . 5 7. References
8. Informative References . . . . . . . . . . . . . . . . . . . 7 7.1. Normative References
Authors' Addresses . . . . . . . . . . . . . . . . . . . . . . . 7 7.2. Informative References
Authors' Addresses
1. Introduction 1. Introduction
Standards development frequently requires collaboration between Standards development frequently requires collaboration between
competitors. Cooperation among competitors can spark concerns about competitors. Cooperation among competitors can spark concerns about
antitrust law or competition law violations. This document is antitrust law or competition law violations. This document is
intended to educate IETF participants about how to reduce antitrust intended to educate IETF participants about how to reduce antitrust
risks in connection with IETF activities. Nothing in this document risks in connection with IETF activities. Nothing in this document
changes existing IETF policies. changes existing IETF policies.
2. Background 2. Background
2.1. A Note About Terminology 2.1. A Note About Terminology
"Antitrust law" and "competition law" are used synonymously in this "Antitrust law" and "competition law" are used synonymously in this
document. “Antitrust” is the word that is used in the US and in document. "Antitrust" is the word that is used in the US and in
several other jurisdictions; “competition law” is the terminology several other jurisdictions; "competition law" is the terminology
used in Europe and in many other jurisdictions. There can be some used in Europe and in many other jurisdictions. There can be some
nuanced differences between how different jurisdictions address this nuanced differences between how different jurisdictions address this
general area of law, and sometimes people use the terminology general area of law, and sometimes people use the terminology
differently to highlight these nuances, but here they are being used differently to highlight these nuances, but here they are being used
as synonyms. as synonyms.
2.2. Purpose of Antitrust or Competition law 2.2. Purpose of Antitrust or Competition Law
The U.S. Department of Justice states [DOJ] that “the goal of the The U.S. Department of Justice states that "the goal of the antitrust
antitrust laws is to protect economic freedom and opportunity by laws is to protect economic freedom and opportunity by promoting free
promoting free and fair competition in the marketplace. Competition and fair competition in the marketplace. Competition in a free
in a free market benefits consumers through lower prices, better market benefits consumers through lower prices, better quality and
quality and greater choice. Competition provides businesses the greater choice. Competition provides businesses the opportunity to
opportunity to compete on price and quality, in an open market and on compete on price and quality, in an open market and on a level
a level playing field, unhampered by anticompetitive restraints.” playing field, unhampered by anticompetitive restraints" [DOJ].
Similarly, the European Commission [EC] states that the purpose of Similarly, the European Commission states that the purpose of its
its competition law rules is "to make EU markets work better, by competition law rules is "to make EU markets work better, by ensuring
ensuring that all companies compete equally and fairly on their that all companies compete equally and fairly on their merits" which
merits" which "benefits consumers, businesses and the European "benefits consumers, businesses and the European economy as a whole"
economy as a whole." Fundamentally, antitrust or competition laws [EC]. Fundamentally, antitrust or competition laws are designed to
are designed to facilitate open, fair, robust competition, ultimately facilitate open, fair, robust competition, ultimately to benefit
to benefit consumers. consumers.
2.3. Overlapping Areas of Concern 2.3. Overlapping Areas of Concern
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:
* Most acutely, the IETF cannot have anyone who is officially * Most acutely, the IETF cannot have anyone who is officially
representing the IETF, in any capacity, engage in anti-competitive representing the IETF, in any capacity, engage in anticompetitive
behavior and create liability for the IETF. behavior and create liability for the IETF.
* Additionally, the IETF cannot be a forum where participants engage * Additionally, the IETF cannot be a forum where participants engage
in anti-competitive behavior, even if direct liability for that in anticompetitive behavior, even if direct liability for that
behavior falls on those participants and not the IETF, to avoid behavior falls on those participants and not the IETF, to avoid
reputational harm to the IETF. reputational harm to the IETF.
3. Existing IETF Antitrust Compliance Strategy 3. Existing IETF Antitrust Compliance Strategy
Compliance with the BCPs and other relevant policies that document Compliance with the BCPs and other relevant policies that document
the established rules and norms of the IETF, facilitates compliance the established rules and norms of the IETF facilitates compliance
with antitrust law, as the IETF structure and processes are designed with antitrust law, as the IETF structure and processes are designed
to mitigate antitrust risks. As a reminder, participants are to mitigate antitrust risks. As a reminder, participants are
required to comply with the following policies: required to comply with the following policies:
* The Internet Standards Process as described in BCP 9 [BCP9], which * The Internet Standards Process as described in BCP 9 [BCP9], which
is designed to "provide a fair, open, and objective basis for is designed to "provide a fair, open, and objective basis for
developing, evaluating, and adopting Internet Standards," and developing, evaluating, and adopting Internet Standards" (RFC
provides robust procedural rules, including an appeals process. 2026) and provides robust procedural rules, including an appeals
process.
* The Working Group Guidelines and Procedures described in BCP 25 * The Working Group Guidelines and Procedures described in BCP 25
[BCP25], which emphasize requirements for "open and fair [BCP25], which emphasize requirements for "open and fair
participation and for thorough consideration of technical participation and for thorough consideration of technical
alternatives," and describe IETF's consensus-based decision-making alternatives" (RFC 2418) and describe the IETF's consensus-based
processes. decision-making processes.
* The IETF framework that participants engage in their individual * The IETF framework that participants engage in their individual
capacity, not as company representatives (see [BCP9] and [LLC]), capacity, not as company representatives (see [BCP9] and [LLC]),
and "use their best engineering judgment to find the best solution and "use their best engineering judgment to find the best solution
for the whole Internet, not just the best solution for any for the whole Internet, not just the best solution for any
particular network, technology, vendor, or user," as described in particular network, technology, vendor, or user," as described in
BCP 54 [BCP54] . RFC 7154 [BCP54].
* The IETF's intellectual property rights policies as set forth in * The IETF's intellectual property rights policies as set forth in
BCP 78 [BCP78] and BCP 79 [BCP79]. These policies are carefully BCP 78 [BCP78] and BCP 79 [BCP79]. These policies are carefully
designed to "benefit the Internet community and the public at designed to "benefit the Internet community and the public at
large, while respecting the legitimate rights of others." large, while respecting the legitimate rights of others" (RFC
8179).
* The established conflict of interest policies, such as the IESG * The established conflict of interest policies, such as the IESG
Conflict of Interest Policy, the IAB Conflict of Interest Policy Conflict of Interest Policy
or the IETF LLC Conflict of Interest Policy, if and when (https://www.ietf.org/about/groups/iesg/iesg-coi-policy/), the IAB
applicable. Conflict of Interest Policy (https://www.iab.org/about/conflict-
of-interest-policy/), or the IETF LLC Conflict of Interest Policy
(https://www.ietf.org/administration/policies-procedures/conflict-
interest/), if and when applicable.
4. Additional Recommendations 4. Additional Recommendations
The most important recommendation is for IETF participants to The most important recommendation is for IETF participants to
rigorously follow all applicable IETF policies as set out in section rigorously follow all applicable IETF policies as set out in
3 above. Section 3.
This section provides more information about: This section provides more information about:
* Certain topics that are generally inappropriate for discussion in * certain topics that are generally inappropriate for discussion in
a standards setting environment. a standards-setting environment,
* The importance of participants obtaining independent legal advice, * the importance of participants obtaining independent legal advice,
as appropriate. as appropriate, and
* Paths to escalate antitrust-related concerns. * paths to escalate antitrust-related concerns.
4.1. Topics to Avoid 4.1. Topics to Avoid
While IETF participants are expected to participate as individuals, While IETF participants are expected to participate as individuals,
their actions could still be construed as representing their their actions could still be construed as representing their
employer, whatever their role. Therefore, participants should be employer, whatever their role. Therefore, participants should be
aware that some topics are generally inappropriate for discussion in aware that some topics are generally inappropriate for discussion in
a standards setting environment where representatives from a standards-setting environment where representatives from
competitors to their employer are likely to be present. These topics competitors to their employer are likely to be present. These topics
include: discussion about product pricing or profit margins among include the following:
potential competitors, the details of business relationships between
specific vendors and customers, details about the supply chains of * discussion about product pricing or profit margins among potential
specific companies, discussions about market opportunities for competitors,
specific companies, or employee compensation or benefits among
potentially competitive employers. While not all discussions of * the details of business relationships between specific vendors and
these topics would necessarily be antitrust violations, and customers,
recognizing that analysis of antitrust considerations will be
different for differently-positioned participants, prudence suggests * details about the supply chains of specific companies,
that avoiding these specific topics in the context of the
collaborative IETF process best mitigates antitrust risks for the * discussions about market opportunities for specific companies, and
IETF and its participants.
* employee compensation or benefits among potentially competitive
employers.
While not all discussions of these topics would necessarily be
antitrust violations, 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.
Note that antitrust law reaches beyond these topics, however. For Note that antitrust law reaches beyond these topics, however. For
example, any behavior that amounts to an agreement to restrain example, any behavior that amounts to an agreement to restrain
marketplace competition, or that facilitates monopolization of marketplace competition, or that facilitates monopolization of
particular markets, raises potential antitrust risks. Participants particular markets, raises potential antitrust risks. Participants
are responsible for ensuring that their conduct does not violate any are responsible for ensuring that their conduct does not violate any
antitrust laws or regulations. antitrust laws or regulations.
4.2. Obtaining Independent Legal Advice 4.2. Obtaining Independent Legal Advice
skipping to change at page 5, line 31 skipping to change at line 232
Participants can report potential antitrust issues in the context of Participants can report potential antitrust issues in the context of
IETF activities by contacting IETF legal counsel (legal@ietf.org) or IETF activities by contacting IETF legal counsel (legal@ietf.org) or
via the IETF LLC whistleblower service [Whistleblower]. Note that via the IETF LLC whistleblower service [Whistleblower]. Note that
reports will only be assessed for their impact upon the IETF; reports will only be assessed for their impact upon the IETF;
participants directly impacted by an antitrust issue are responsible participants directly impacted by an antitrust issue are responsible
for obtaining their own legal advice. for obtaining their own legal advice.
5. IANA Considerations 5. IANA Considerations
No values are assigned in this document, no registries are created, This document has no IANA actions.
and there is no action assigned to the IANA by this document.
6. Security Considerations 6. Security Considerations
This document introduces no known security aspects to the IETF or This document introduces no known security aspects to the IETF or
IETF participants. IETF participants.
7. Normative References 7. References
7.1. Normative References
[BCP9] Best Current Practice 9, [BCP9] Best Current Practice 9,
<https://www.rfc-editor.org/info/bcp9>. <https://www.rfc-editor.org/info/bcp9>.
At the time of writing, this BCP comprises the following: At the time of writing, this BCP comprises the following:
Bradner, S., "The Internet Standards Process -- Revision Bradner, S., "The Internet Standards Process -- Revision
3", BCP 9, RFC 2026, DOI 10.17487/RFC2026, October 1996, 3", BCP 9, RFC 2026, DOI 10.17487/RFC2026, October 1996,
<https://www.rfc-editor.org/info/rfc2026>. <https://www.rfc-editor.org/info/rfc2026>.
Dusseault, L. and R. Sparks, "Guidance on Interoperation Dusseault, L. and R. Sparks, "Guidance on Interoperation
skipping to change at page 6, line 29 skipping to change at line 280
Dawkins, S., "Increasing the Number of Area Directors in Dawkins, S., "Increasing the Number of Area Directors in
an IETF Area", BCP 9, RFC 7475, DOI 10.17487/RFC7475, an IETF Area", BCP 9, RFC 7475, DOI 10.17487/RFC7475,
March 2015, <https://www.rfc-editor.org/info/rfc7475>. March 2015, <https://www.rfc-editor.org/info/rfc7475>.
Halpern, J., Ed. and E. Rescorla, Ed., "IETF Stream Halpern, J., Ed. and E. Rescorla, Ed., "IETF Stream
Documents Require IETF Rough Consensus", BCP 9, RFC 8789, Documents Require IETF Rough Consensus", BCP 9, RFC 8789,
DOI 10.17487/RFC8789, June 2020, DOI 10.17487/RFC8789, June 2020,
<https://www.rfc-editor.org/info/rfc8789>. <https://www.rfc-editor.org/info/rfc8789>.
Rosen, B., "Responsibility Change for the RFC Series",
BCP 9, RFC 9282, DOI 10.17487/RFC9282, June 2022,
<https://www.rfc-editor.org/info/rfc9282>.
[BCP25] Best Current Practice 25, [BCP25] Best Current Practice 25,
<https://www.rfc-editor.org/info/bcp25>. <https://www.rfc-editor.org/info/bcp25>.
At the time of writing, this BCP comprises the following: At the time of writing, this BCP comprises the following:
Bradner, S., "IETF Working Group Guidelines and Bradner, S., "IETF Working Group Guidelines and
Procedures", BCP 25, RFC 2418, DOI 10.17487/RFC2418, Procedures", BCP 25, RFC 2418, DOI 10.17487/RFC2418,
September 1998, <https://www.rfc-editor.org/info/rfc2418>. September 1998, <https://www.rfc-editor.org/info/rfc2418>.
Wasserman, M., "Updates to RFC 2418 Regarding the Wasserman, M., "Updates to RFC 2418 Regarding the
Management of IETF Mailing Lists", BCP 25, RFC 3934, Management of IETF Mailing Lists", BCP 25, RFC 3934,
skipping to change at page 7, line 31 skipping to change at line 334
[BCP79] Best Current Practice 79, [BCP79] Best Current Practice 79,
<https://www.rfc-editor.org/info/bcp79>. <https://www.rfc-editor.org/info/bcp79>.
At the time of writing, this BCP comprises the following: At the time of writing, this BCP comprises the following:
Bradner, S. and J. Contreras, "Intellectual Property Bradner, S. and J. Contreras, "Intellectual Property
Rights in IETF Technology", BCP 79, RFC 8179, Rights in IETF Technology", BCP 79, RFC 8179,
DOI 10.17487/RFC8179, May 2017, DOI 10.17487/RFC8179, May 2017,
<https://www.rfc-editor.org/info/rfc8179>. <https://www.rfc-editor.org/info/rfc8179>.
8. Informative References 7.2. Informative References
[LLC] "IETF Administration LLC Statement on Competition Law
Issues", <https://www.ietf.org/blog/ietf-llc-statement-
competition-law-issues/>.
[DOJ] "The mission of the Antitrust Division", [DOJ] U.S. Department of Justice Antitrust Division, "Mission",
<https://www.justice.gov/atr/mission>. <https://www.justice.gov/atr/mission>.
[EC] "Competition", <https://commission.europa.eu/about- [EC] European Commission, "Competition",
european-commission/departments-and-executive-agencies/ <https://commission.europa.eu/about-european-commission/
competition_en>. departments-and-executive-agencies/competition_en>.
[LLC] IETF Administration LLC, "IETF Administration LLC
Statement on Competition Law Issues", 28 July 2020,
<https://www.ietf.org/blog/ietf-llc-statement-competition-
law-issues/>.
[Whistleblower] [Whistleblower]
"IETF Administration LLC Whistleblower Policy", IETF Administration LLC, "IETF LLC Whistleblower Policy",
<https://www.ietf.org/administration/policies-procedures/ <https://www.ietf.org/administration/policies-procedures/
whistleblower/>. whistleblower/>.
Authors' Addresses Authors' Addresses
Joel M. Halpern (editor) Joel M. Halpern (editor)
Ericsson Ericsson
P. O. Box 6049 P.O. Box 6049
Leesburg, VA 20178 Leesburg, VA 20178
United States of America United States of America
Email: joel.halpern@ericsson.com Email: joel.halpern@ericsson.com
Jay Daley Jay Daley
IETF Administration LLC IETF Administration LLC
1000 N. West Street, Suite 1200 1000 N. West Street, Suite 1200
Wilimington, DE 19801 Wilmington, DE 19801
United States of America United States of America
Email: jay@staff.ietf.org Email: jay@staff.ietf.org
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