ANTITRUST DIVISION
WORKLOAD STATISTICS

FY 1988-1997

INVESTIGATIONS

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Total Investigations Initiated by Primary Type of Conduct1
Sherman ¡± 1-Restraint of Trade

92

80

71

77

84

110

136

98

93

73

Sherman ¡± 2-Monopoly

3

5

4

5

3

7

22

16

14

8

Clayton ¡± 7-Mergers

74

83

93

92

84

102

102

134

237

276

Others

9

11

10

4

5

5

9

1

3

5

Business Reviews
Requested

23

13

7

14

9

20

32

49

28

22

Closed

18

15

9

7

10

21

27

29

37

39

  -Granted

13

7

2

1

6

14

24

17

15

32

  -Denied

-

-

-

-

-

-

1

-

2

1

  -Declined

-

2

4

1

1

2

1

1

2

5

  -Withdrawn

5

6

3

5

3

5

1

11

18

1

Pending

16

14

12

19

18

17

22

42

33

16

  1. Reflects the primary type of conduct under investigation at the outset. See ¡§District Court Antitrust Cases¡¨ for numbers of cases by offense. Does not include business reviews or premerger notifications, but includes investigations initiated as a result of premerger notifications.  We have adjusted FY 1981 through FY 1990 records which previouty counted investigations each time they went into a different phase. Matters are now counted onty once even if they go through several stages of investigation.

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INVESTIGATIONS

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Premerger Notifications
  -Received

2,747

2,883

2,262

1,529

1,589

1,846

2,301

2,816

3,094

3,702

  -Investigations initiated

56

64

59

67

52

72

57

88

186

220

  -Number of cases filed

6

4

6

2

2

2

9

8

9

14

Total Preliminary Inquiries
  -Initiated

134

141

147

149

147

185

254

227

331

344

  -Terminated

167

144

135

146

144

200

224

258

295

323

  -Pending

114

111

123

126

129

114

144

113

149

170

Total number of CIDs Issued 2

322

356

563

482

463

470

1,135

2,029

1,878

1,629

  a. documentary

9

18

61

21

26

45

206

197

365

290

  b. written

52

18

18

55

94

21

40

165

47

31

  c. oral

67

29

107

92

143

113

307

707

857

629

  d. documentary/written 3

194

291

377

314

200

291

582

960

609

679

  1. A very limited number of investigations with peculiar factual circumstances (c.g., large number of local markcts at issue, large number of potentially competitive products, and the large volume of commerce involved) account for the large increase in the numbers of CIDs issued since 1994. For the vast majority of investigations, there was little or no increase in the use of CIDs.

  2. Combined document and written CIDs served to one person, corporation, partnership or legal entity.

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INVESTIGATIONS

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Civil Investigations 4
Merger investigations

74

83

97

96

87

109

105

134

237

277

  a. Hart-Scott-Rodino (HSR) investigations

56

64

59

67

52

72

57

88

186

220

  -Merger investigations (second requests and/or CIDs issued--HSR)

29

29

32

34

22

32

25

56

102

120

  b. Non-HSR investigations

18

19

38

29

35

37

48

45

49

57

  -Merger investigations(CIDs issued--non-HSR)

5

14

23

8

9

8

13

9

15

13

  c. Merger CID¡¦s issued 5 ¡@ ¡@ ¡@ ¡@ ¡@ ¡@

358

741

762

1,141

Nou-merger CID¡¦s investigations

60

58

54

58

63

83

152

93

94

91

  -Nou-merger investigations (CIDs issued)

12

13

16

11

4

17

54

44

32

24

  -Non-merger CID¡¦s issued 7 ¡@ ¡@ ¡@ ¡@ ¡@ ¡@

740

1,247

1,108

409

Merger Investigation Results 6
  - Actions filed in District Court 7

6

5

11

4

4

5

10

9

9

14

  - Transactions restructured or abandoned prior to filing a complaint as result of an announced challenge

5

4

6

9

4

6

12

9

21

17

  - Transactions restructured or abandoned before Department decision

2

3

5

1

1

-

-

-

-

-

  1. Statistics for this section are available only from FY 1988.

  2. Some CIDs covered more than one investigation, and some CID¡¦s were issued for previouly opened investigations; figures available from FY 1994.

  3. Statistics for this section are available only from FY 1988.

  4. These statistics are the same as those reported under ¡§District Court Antitrust Cases- Merger Cases Filed on page4

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INVESTIGATIONS

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Civil Nonmerger Investigation Results 8
  - Actions filed in District Court

-

-

-

-

-

-

10

15

20

6

Grand Juries
  - Initiated

63

47

42

45

51

51

28

30

27

28

  - Terminated 9

51

47

62

34

57

62

62

45

32

20

  - Pending

159

159

139

150

144

133

99

84

79

87

  -Cases returned 10
  a. criminal indictments

26

21

19

19

20

17

16

6

9

5

  b.civil complaints

-

-

1

2

3

-

-

-

3

-

  - Information filed 11

61

65

56

62

58

67

41

45

33

33

  -Other

-

-

-

1 12

-

-

-

-

-

-

  1. Statistics for this section are available only from FY 1994.

  2. Frequently, suits are filed as a result of bid-rigging and price-fixing grand juries but the grand juries themselves are still on-going and are not terminated.

  3. Reduction in the number of cases returned is a result of hte recent policy to bring fewer,but more significant prosecutions involving bigger firms, larger industries and higher volumes of commerce, and to target national and international companies

  4. Defendants waived indictment by the grand jury,and a criminal information was filed by the government.

  5. There was one enforcement order in Fiscal Year 1991.

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DISTRICT COURT ANITRUST CASES

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Total Civil Cases
  -Filed

11

6

14

17

12

9

21

24

29

20

  -Terminated

22

4

9

21

13

14

10

22

22

24

Won

21

3

4

15

12

11

7

21

22

23

Lost

-

-

1

4

-

1

-

45

-

1

Dismissed

1

1

4

2

1

2

3

1

-

-

  -Pending

8

10

15

11

10

5

16

18

25

19

(1)Restaint of Trade-Civil (Sherman ¡± 1)
  -Filed

-

-

2

2

3

2

8

12

14

3

  -Terminated

12

1

-

5

1

3

1

11

7

13

Won

11

1

-

4

1

3

1

11

7

13

Lost

-

-

-

1

-

-

-

-

-

-

Dismissed

-

-

-

-

-

-

-

-

-

-

(2)Monopoly-Civil (Sherman ¡± 2)
  -Filed

-

-

-

-

1

-

1

1

2

1

  -Terminated

-

-

-

-

1

-

-

1

2

1

Won

-

-

-

-

1

-

-

-

2

1

Lost

-

-

-

-

-

-

-

-

-

-

Dismissed

-

-

-

-

-

-

-

1

-

-

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DISTRICT COURT ANTITRUST CASES

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

(3)Merger Cases (CLAYTON ¡± 7)
  -Filed

6

5

11

4

4

5

9

9

9

14

  -Terminated

5

2

7

10

5

8

7

7

8

9

Won

4

2

3

5

4

6

4

7

8

8

Lost

-

-

-

3

-

1

-

-

-

1

Dismissed

1

-

4

2

1

1

3

-

-

-

(4) Damage Actions-Civil
  -Filed

-

-

1

1

113

-

1

-

-

-

  -Terminated

-

1

-

1

112

-

1

-

-

-

Won

-

-

-

1

112

-

1

-

-

-

Lost

-

-

-

-

-

-

-

-

-

-

Dismissed

-

1

-

-

-

-

-

-

-

-

(5) Other Civil
  -Filed

5

1

-

10

4

2

2

2

4

2

  -Terminated

5

-

2

5

6

3

1

3

5

1

Won

5

-

1

5

6

2

1

3

5

1

Lost

-

-

1

-

-

1

-

-

-

-

Dismissed

-

-

-

-

-

-

-

-

-

-

  1. This is the same case as counted under ¡§Monopoly-Civil¡¨above. The case was a violation of Section 2. but the setllement also included damages which the defendants paid.

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DISTRICT COURT ANTITRUST CASES

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Total Criminal Cases
  -Filed

87

86

75

81

78

84

57

60

42

38

  -Terminated

39

14014

82

71

108

78

55

68

44

42

Won

34

129

73

66

101

73

51

65

38

40

Lost

4

10

5

4

5

3

4

2

5

1

Dismissed

1

1

4

1

1

2

-

1

1

-

On Appeal

-

-

-

-

-

1

-

-

-

1

  -Pending

149

95

88

98

68

73

75

67

55

51

(1)Restraint of Trade-Criminal (Sherman ¡± 1)
  -Filed

74

80

66

75

70

78

52

49

39

32

  -Terminated

29

123

74

66

97

72

50

60

36

37

Won

28

114

67

61

92

68

46

58

31

35

Lost

1

8

5

4

4

2

4

2

4

1

Dismissed

-

1

2

1

1

2

-

-

1

-

On Appeal

-

-

-

-

-

-

-

-

-

1

(2)Criminal Cases Charging Primarily Other Federal Crimes such as Perjury, Mail Fraud,Contempt, Obstruction of Justice, or False Statements
  -Filed

13

6

9

6

8

5

5

11

3

6

  -Terminated

10

17

8

5

11

6

5

8

8

5

Won

6

15

6

5

9

5

5

7

7

5

Lost

3

2

-

-

1

1

-

-

1

-

Dismissed

1

-

2

-

1

-

-

1

-

-

  1. This unusually high number of criminal cases terminated includes cases that were actually terminated in previous years but not reported as closed until Fiscal Year 1989.

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APPELIATE CASES

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Antitrust Division Cases, Court of Appeals
  -Filed

24

21

10

18

18

19

10

20

17

14

  -Terminated

21

19

19

16

17

13

13

11

13

12

Won

17

18

15

9

14

8

11

8

8

9

Lost

2

-

4

-

3

3

2

3

-

-

Dismissed

2

1

-

-

-

2

-

-

5

3

Antitrust Division Cases, Supreme Court
  -Filed

4

5

3

3

2

4

4

1

-

2

  -Terminated

2

2

-

7

-

4

-

3

4

1

Won

2

2

-

7

-

3

-

2

-

1

Lost

-

-

-

-

-

1

-

1

-

-

Dismissed

-

-

-

-

-

-

-

-

4

-

Amicus Cases, Court of Appeals
  -Filed

2

1

1

-

1

-

2

4

6

3

  -Terminated

2

-

1

1

-

1

-

4

4

7

Won

-

-

-

1

-

1

-

1

2

6

Lost

1

-

1

-

-

-

-

3

2

-

Dismissed

1

-

-

-

-

-

-

-

-

1

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APPELIATE CASES

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Amicus Cases, Supreme Court
  -Filed

5

3

4

4

5

-

1

1

3

2

  -Terminated

4

2

4

5

1

4

1

1

3

1

Won

4

2

3

3

1

4

-

1

1

1

Lost

-

-

1

2

-

-

-

-

2

-

Dismissed

-

-

-

-

-

-

1

-

-

-

Other Agencies¡¦ Cases (Administrative Law Cases), Court of Appeals
  -Filed

129

124

79

103

113

134

159

130

111

211

  -Terminated

96

80

103

93

56

106

38

121

104

63

Won

49

26

66

47

21

55

15

68

30

23

Lost

12

18

13

14

7

16

5

11

10

7

Dismissed

35

36

24

32

28

35

18

42

59

33

Other Agencies¡¦ Cases, Supreme Court
  -Filed

11

10

7

7

4

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-

5

-1

  -Terminated

4

7

4

6

3

3

1

-

4

-

Won

4

7

3

6

3

2

1

-

2

-

Lost

-

-

1

-

-

-

-

-

2

-

Dismissed

-

-

-

-

-

1

-

-

-

-

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JUDGMENTENFORCEMENT 15

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Divestiture

4

3

4

2

2

3

1

4

6

13

Compliance Reports

155

137

104

82

94

83

79

71

65

60

Decrees Modified/Terminated

8

15

6

4

3

3

9

5

6

1

Coutempt Cases

1

1

-

-

-

-

-

1

1

-

Modification/Termination Investigations 16
  -Initiated

13

3

6

6

6

2

1

-

5

5

  -Terminated

22

6

8

5

2

5

9

4

4

3

  -Pending

21

18

16

17

21

18

10

6

7

9

  1. This category of statistics does not include activity concerning the enforcement of the modified final judgement in the AT&T case.

  2. These are investigations to determine whether a judgment should be modified or terminated.

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CASE RESULTS 17

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Indicted
Individuals Indicted

78

76

72

58

65

50

50

32

22

29

Corporations Indicted

89

88

88

70

64

62

55

40

41

24

Fines
Total Amount Individual Fines ($000)

1,996

2,892

917

2,806

1,275

1,868

1,240

1,211

1,572

1,247

  -Number of Individual Fined

53

54

30

37

27

45

33

25

16

17

Total Corporation Fines ($000)

28,830

25,600

22,658

17,573

22,430

40,427

38,996

40,222

25,245

20,3931

  -Number of Corporations Fined

83

85

73

55

45

64

59

32

31

30

Settlements Pursuant to Criminal Cases ($000)

6,279

3,090

5,650

2,905

550

950

125

1,200

799

275

  -Number of Corporations

10

11

12

7

7

6

2

6

4

2

  -Number of Individuals

-

9

10

6

6

10

-

1

1

-

Damages Pursuant to Civil Cases ($000)

-

-

20

280

3,000

-

4,095

-

-

-

  -Number of Corporations

-

-

2

3

2

-

2

-

-

-

  -Number of Individuals

-

-

-

-

-

-

-

-

-

-

H-S-R Penalties ($000)

2,194

3,000

275

6,775

2,000

1,976

2,600

425

7,650

5,796

  -Number of Corporations

5

1

1

9

3

-

1

-

4

3

  -Number of Individuals

1

-

-

-

-

1

-

1

-

1

  1. Dollar figures are amounts imposed during the fiscal year.

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CASE RESULTS

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Asset Forfeiture ($000) 18 ¡@ ¡@ ¡@ ¡@

27,800

-

-

25,000

-

-

  -Corporations ¡@ ¡@ ¡@ ¡@

1

-

-

2

-

-

  -Individuals ¡@ ¡@ ¡@ ¡@

-

-

-

-

-

-

Total Corporation Contempt Fines($000)

1,000

-

100

10,000

-

-

-

220

-

-

  -Number of Corporations Cited

1

-

1

1

-

-

-

1

-

-

Sentences
Number of Individuals Sentenced (Actual Jail)

30

32

17

22

11

14

9

16

5

3

Number of Individuals Sentenced (Includes Probation)

73

76

42

50

29

56

40

27

19

17

Total Number of Actual Jail Days (Sentence Imposed by the Court for the Defendant to Serve)

5,892

7,473

2,739

6,594

2,488

4,726

1,497

3,902

2,431

789

Other Confinement 19
Individuals Sentenced to Other Confinement

3

7

7

16

15

26

22

16

8

9

Number of Other Confinement Days

394

689

632

1,519

1,734

3,552

2,475

2,933

1,148

1,270

Cases Won Without Completing Litigation
  -Consent

1

4

6

13

11

8

9

18

24

24

  -Conviction by Plea

67

84

63

66

52

82

63

46

42

38

  -Dismissed

2

1

5

1

-

-

1

-

1

-

  1. Fy 1992 was the first year this type of penalty was assessed.

  2. Includes house arrest or confinement to a halfway house, community correction or treatment center.

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PARTICIPATION IN BANK MERGER PROCEEDINGS

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Total Screenings

1,815

1,524 20

1,626

1,598

1,539

1,873

1,927

1,897

1,788

1,850

Total Letters Issued

963

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a.Savings and Loan Letters

77

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b.Bank Holding Letters

4

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c.Merger Letters

882

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Screenings Requiring Competitive Analysis 21 ¡@

1,019

1,138

1,117

1,141

1,201

1,177

1,211

1,231

1,197

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ADVICE TO FOREIGNGOVERNMENTS

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Notifications to Foreign Govts and International Organizations

46

38

74

63

53

53

60

76

73

77

Representation at/Negotiations with Foreign Govts and Intl Orgs

27

20

24

26

43

18

44

40

42

47

Applications for Export Trade Certificates

19

27

11

7

10

8

6

7

5

4

  -Certificates Issued

20

26

11

8

9

6

7

6

3

4

  1. From FY1989, individual letters of competitive factors reports were not issued.

  2. To provide a more valid measure of the Division¡¦s bank merger review workload, this workload measure was initiated in FY 1989.

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FILINGS IN REGULATORY AGENCY PROCEEDINGS 22

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

Department of Transportation

4

-

3

4

6

2

-

3

-

-

Federal Energy Regulatory Commission

12

13

22

3

9

4

1

2

-

-

Securities and Exchange Commission

1

-

-

1

-

-

-

2

1

-

Federal Communications Commission

1

1

7

7

5

2

2

1

8

5

Federal Maritime Commission

3

2

-

8

10

2

2

1

-

-

Interstate Commerce Commission

13

-

14

3

9

4

1

4

-

-

Other:

3

4

8

7

9

6

4

1

1

3

Total

37

20

54

33

48

20

10

14

10

8

  1. These statistics may include counts of multiple filings for one proceeding.

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OTHER ANTITRUST ACTIONS

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

4F(Hart-Scott-Rodino)Information

4

6

9

7

16

14

5

11

21

9

Advice on Surplus Property

21

8

-

1

5

1

-

1

-

-

Meetings of Interagency Task Forces/Committees 23

11

10

22

35

57

99

54

56

13

41

Congressional Appearances

5

9

5

8

7

1

10

7

5

4

Cong/OMB Requests for Comments

369

368

426

757

827

497

782

514

675

579

White House Referrals

93

223

222

154

278

293

411

450

325

137

Congressional Correspondence

305

318

456

305

317

275

422

586

365

435

Statutory Reports

66

53

54

62

52

88

37

77

-

3

Joint Research & Development Filings

32

37

49

56

58

78

74

109

83

56

FOIA Requests

265

250

273

278

482

357

313

368

335

226

Privacy Act Requests

16

7

15

18

7

4

2

5

8

17

  1. These figures reflect the number of interagency task forces or committees that held meetings at which Division staff attended. The figures do not reflect the actual number of meetings held.