antitrust division workload statistics

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 กฑ 1-Restraint of Trade	92	80	71	77	84	110	136	98	93	73
Sherman กฑ 2-Monopoly	3	5	4	5	3	7	22	16	14	8
Clayton กฑ 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-Withdrawn	5	6	3	5	3	5	1	11	18	1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

Reflects the primary type of conduct under investigation at the outset. See กงDistrict Court Antitrust Casesกจ 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

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.
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 CIDกฆs issued 5	ก@	ก@	ก@	ก@	ก@	ก@	358	741	762	1,141
Nou-merger CIDกฆs 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 CIDกฆs issued 7	ก@	ก@	ก@	ก@	ก@	ก@	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	-	-	-	-	-

Statistics for this section are available only from FY 1988.
Some CIDs covered more than one investigation, and some CIDกฆs were issued for previouly opened investigations; figures available from FY 1994.
Statistics for this section are available only from FY 1988.
These statistics are the same as those reported under กงDistrict 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	-	-	-	-	-	-

Statistics for this section are available only from FY 1994.
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.
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
Defendants waived indictment by the grand jury,and a criminal information was filed by the government.
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 กฑ 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 กฑ 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 กฑ 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	-	-	-	-	-	-	-	-	-	-

This is the same case as counted under กงMonopoly-Civilกจabove. 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 กฑ 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	-	-

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 Agenciesกฆ 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 Agenciesกฆ Cases, Supreme Court
-Filed	11	10	7	7	4	ก@	-	-	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

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

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	ก@	ก@	ก@	ก@	27,800	-	-	25,000	-	-
-Corporations	ก@	ก@	ก@	ก@	1	-	-	2	-	-
-Individuals	ก@	ก@	ก@	ก@	-	-	-	-	-	-
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	-

Fy 1992 was the first year this type of penalty was assessed.
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	ก@	ก@	ก@	ก@	ก@	ก@	ก@	ก@	ก@
a.Savings and Loan Letters	77	ก@	ก@	ก@	ก@	ก@	ก@	ก@	ก@	ก@
b.Bank Holding Letters	4	ก@	ก@	ก@	ก@	ก@	ก@	ก@	ก@	ก@
c.Merger Letters	882	ก@	ก@	ก@	ก@	ก@	ก@	ก@	ก@	ก@
Screenings Requiring Competitive Analysis 21	ก@	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

From FY1989, individual letters of competitive factors reports were not issued.
To provide a more valid measure of the Divisionกฆs 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

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

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.