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Antitrust Guidelinesfor CollaborationsAmong Competitors
Issued by theFederal Trade Commissionand theU.S. Department of JusticeApril 2000
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ANTITRUST GUIDELINES FORCOLLABORATIONS AMONG COMPETITORS
TABLE OF CONTENTSPREAMBLE
................................................................................................................................1
SECTION 1: PURPOSE, DEFINITIONS, AND OVERVIEW
...............................................2
1.1 Purpose and Definitions
....................................................................................................2
1.2 Overview of Analytical Framework
................................................................................3
1.3 Competitor Collaborations Distinguished from Mergers
..............................................5
SECTION 2:GENERAL PRINCIPLES FOR EVALUATING AGREEMENTSAMONG COMPETITORS
..................................................................................6
2.1Potential Procompetitive Benefits
..................................................................................6
2.2Potential Anticompetitive Harms
....................................................................................6
2.3Analysis of the Overall Collaboration and the Agreementsof Which It Consists
.........................................................................................................7
2.4 Competitive Effects Are Assessed as of the Timeof Possible Harm to Competition
...................................................................................7
SECTION 3: ANALYTICAL FRAMEWORK FOR EVALUATING
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AGREEMENTS AMONGCOMPETITORS
......................................................7
3.1Introduction
......................................................................................................................7
3.2Agreements Challenged as Per Se Illegal
........................................................................8
3.3Agreements Analyzed under the Rule of Reason
........................................................10
3.31Nature of the Relevant Agreement: Business Purpose, Operation in theMarketplace and Possible Competitive Concerns
............................................12
3.31(a)Relevant Agreements that Limit Independent DecisionMaking or Combine Control or Financial Interests
..................13
3.31(b)Relevant Agreements that May Facilitate Collusion
..............15
3.32Relevant Markets Affected by the Collaboration
............................................16
3.32(a)Goods Markets
..........................................................................16
3.32(b)Technology Markets
..................................................................16
3.32(c)Research and Development: Innovation Markets
..................17
3.33Market Shares and Market Concentration
......................................................17
3.34Factors Relevant to the Ability and Incentive of the Participants and theCollaboration to Compete
...................................................................................18
3.34(a)Exclusivity
..................................................................................19
3.34(b)Control over Assets
...................................................................19
3.34(c)Financial Interests in the Collaboration or in OtherParticipants
..................................................................................20
3.34(d)Control of the Collaboration’s Competitively SignificantDecision Making
........................................................................20
3.34(e)Likelihood of Anticompetitive Information Sharing
..................21
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