Antitrust Division, Workload Statistics FY 2005 - 2014

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U.S. Department of Justice SealU.S. Department of Justice SealANTITRUST DIVISION

WORKLOAD STATISTICS
FY 2005 - 2014

 

INVESTIGATIONS

Total Investigations Initiated, by Primary Type of Conduct(1) 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Sherman §1 - Restraint of Trade(2) 100 87 69 66 70 46 47 31 25 31
Sherman §2 - Monopoly 3 3 1 0 4 2 2 2 2 0
Clayton §7 - Mergers 108 96 101 84 68 64 90 74 65 80
Others(3) 5* 14* 15 21* 21* 3* 3 0* 0 2
Business Reviews 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Requested 6 6 9 8 3 9 1 3 3 3
Closed 1 10 6 6 9 7 3 7 5 0

- Granted

0 4 5 2 5 5 1 1 3 0

- Denied

0 0 0 0 0 0 0 0 0 0

- Declined

0 0 0 0 1 1 1 0 2 0

- Withdrawn

1 6 1 4 3 1 1 6 0 0
Pending 11 7 10 12 6 8 6 2 0 3
Hart-Scott-Rodino (HSR) Premerger Notifications 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Received 1,675 1,768 2,201 1,726 716 1,166 1,450 1,429 1,326 1,663
HSR Investigations Initiated 90 77 82 70 49 55 72 61 50 67
Number of Cases Filed 2 10 2 14 6 8 11 7 5 5
Total Preliminary Inquiries:
Criminal, Civil Non-Merger, and Merger
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Initiated(4) 184 172 157 147 138 109 128 96* 81 100
Matters that exited the Preliminary Inquiry Phase 185 189 146 146 150 133 152 101 100 94
Pending 125 108 119 120 108 84 60 55* 36* 42*
CIDs Issued 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Total number 727 376 527 355 510 480 476 474 338 331
Documentary 104 11 55 65 59 58 98 47 28 19
Interrogatory(5) 6 1 0 1 7 2 3 16 18 10
Oral 161 131 150 125 132 89 99 130 98 80
Documentary/Interrogatory(6) 446 231 318 157 302 326 275 279 176 221
Oral/Documentary(7) 10 2 4 7 10 5 1 2 18 1

CIVIL INVESTIGATIONS

Merger Investigations 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Total Number (HSR and Non-HSR Investigations) 108 96 101 84 68 64 90 74 65 80
HSR Investigations 90 77 82 70 49 55 72 61 50 67

- HSR Investigations: Second Requests

25 17 32 20 16 22 31 29 22 21
Non-HSR Investigations 18 19 19 14 19 9 18 13 15 13

- Non-HSR Investigations: CIDs Issued

7 5 1 2 9 6 6 8 4 5
Merger CIDs Issued 510 276 395 205 263 344 328 350 270 299
Non-Merger Investigations 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Total Number 29 35 14 24 33 26 17 8* 10 8

- Non-Merger Investigations: CIDs Issued

19 16 12 11 20 12 9 7 5 6
Non-Merger CIDs Issued 217 100 132 150 247 136 148 124 68 32
Civil Investigation Results 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Merger Investigations:
Total Number of Public Challenges
4 16 12 16 12 19(8) 20 19 15 16

- Actions Filed in District Court(9)

3 10 4 15 7 10 13 8 7 7

- Transactions Restructured or Abandoned Prior to Filing a Complaint as Result of an Announced Challenge

1 6 8 1 5 8 7 11 8 9
Non-Merger Investigations:
Actions Filed in District Court
8 2 2 4 2 4 5 5 5 1

CRIMINAL INVESTIGATIONS AND CASES

Grand Jury Investigations 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Initiated 38 38 34 32 38 12 17 12 13 16
Terminated 27 42 22 30 31 32 66 24 14 11
Pending 128 123 135 137 144 124 75 63 62 67
Criminal Cases Filed 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Total Cases Filed 32 34 40 54 72 60 90 67 50 45
Individuals Charged 47 37 47 59 65 63 82 63 34 44
Corporations Charged 27 24 10 25 22 21 27 16 21 18

DISTRICT COURT ANTITRUST CASES(10)

TOTAL CIVIL CASES 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 11 12 6 19 9 14 18 13 12 8
Terminated(11) 6 20 9 11 16 11 11 20 10 12

- Won

6 17 9 11 16 11 11 20 10 12

- Lost

0 2 0 0 0 0 0 0 0 0

- Dismissed

0 1 0 0 0 0 0 0 0 0
Pending 24 16 13 21 14 17 24 17 19 15
RESTRAINT OF TRADE - CIVIL (SHERMAN §1) 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 7 1 1 2 0 3 4 3 3 0
Terminated 1 9 1 2 1 1 1 2 3 5

- Won

1 8 1 2 1 1 1 2 3 5

- Lost

0 1 0 0 0 0 0 0 0 0

- Dismissed

0 0 0 0 0 0 0 0 0 0
MONOPOLY - CIVIL (SHERMAN §2) 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 0 0 0 0 0 0 1 0 0 0
Terminated 0 0 1 0 0 0 0 2 0 0

- Won

0 0 1 0 0 0 0 2 0 0

- Lost

0 0 0 0 0 0 0 0 0 0

- Dismissed

0 0 0 0 0 0 0 0 0 0
MERGER CASES (CLAYTON §7) 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 3 10 4 15 7 10 13 8 7 7
Terminated 4 6 6 8 15 9 10 12 7 5

- Won

4 5 6 8 15 9 10 12 7 5

- Lost

0 1 0 0 0 0 0 0 0 0

- Dismissed

0 0 0 0 0 0 0 0 0 0
OTHER CIVIL 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 1 1 1 2 2 1 0 2 2 1
Terminated 1 5 1 1 0 1 0 4 0 2

- Won

1 4 1 1 0 1 0 4 0 2

- Lost

0 0 0 0 0 0 0 0 0 0

- Dismissed

0 1 0 0 0 0 0 0 0 0
TOTAL CRIMINAL CASES 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 32 34 40 54 72 60 90 67 50 45
Won 36 31 31 47 67 41 62 95 40 54
Lost 1 0 1 4 2 1 2 3 0 1
Pending 43 44 54 57 60 55 77 45 54 45
Appeal Decisions 4 5 1 4 2 7 6 5 1 4
RESTRAINT OF TRADE - CRIMINAL (SHERMAN §1) 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 23 21 25 26 37 41 63 58 45 37
Won 31 20 19 25 29 28 37 82 37 345
Lost 1 0 1 3 2 0 0 0 0 0
Pending(12) 35 36 41 39 45 42 69 43 50 42
OTHER CRIMINAL CASES
Charging Primarily Other Federal Crimes such as Perjury, Mail Fraud, Contempt, Obstruction of Justice, or False Statements
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 9 13 15 28 35 19 27 9 5 8
Won 5 11 12 22 38 13 25 13 3 9
Lost 0 0 0 1 0 1 2 3 0 1
Pending(13) 8 10 13 18 15 13 8 2 4 3

APPELLATE CASES

ANTITRUST DIVISION CASES
COURT OF APPEALS
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 3 0 2 6 1 4 9 5 5 10
Terminated 5 7 1 6 3 8 3 6 0 6

- Won

4 7 1 6 3 8 3 5 0 5

- Lost

0 0 0 0 0 0 0 1 0 1

- Dismissed

1 0 0 0 0 0 0 0 0 0
ANTITRUST DIVISION CASES
SUPREME COURT
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 1 2 0 0 0 2 3 1 0 0
Terminated 0 0 2 0 3 2 3 0 1 0

- Won

0 0 1 0 3 2 3 0 1 0

- Lost

0 0 0 0 0 0 0 0 0 0

- Dismissed

0 0 1 0 0 0 0 0 0 0
AMICUS CASES
COURT OF APPEALS
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 2 1 1 0 2 2 4 0 5 0
Terminated 4 1 0 0 2 2 1 0 0 3

- Primary DOJ Position Accepted

3 1 0 0 2 1 0 0 0 3

- Primary DOJ Position Not Accepted

1 0 0 0 0 1 1 0 0 0
AMICUS CASES
SUPREME COURT
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 4 4 4 2 2 0 0 0 1 0
Terminated 1 5 5 0 1 1 0 0 1 0

- Primary DOJ Position Accepted

1 5 4 0 1 1 0 0 0 0

- Primary DOJ Position Not Accepted

0 0 1 0 0 0 0 0 1 0
OTHER AGENCIES' CASES
(ADMINISTRATIVE LAW CASES)
COURT OF APPEALS
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 101 59 65 128 58 29 21 28 15 19
Terminated 79 34 27 59 44 19 16 7 14 6

- Won

10 17 14 16 24 8 11 5 9 6

- Lost

9 3 3 2 8 4 1 0 2 0

- Dismissed

60 14 10 11 12 7 4 2 3 6
OTHER AGENCIES' CASES
SUPREME COURT
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Filed 6 0 0 1 0 0 0 0 0 1
Terminated 2 1 0 0 0 0 0 0 0 0

- Won

2 1 0 0 0 0 0 0 0 0

- Lost

0 0 0 0 0 0 0 0 0 0

- Dismissed

0 0 0 0 0 0 0 0 0 0

JUDGMENT ENFORCEMENT

JUDGMENT ENFORCEMENT 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Divestitures 3 8 3 15 6 9 8 7 4 9
Decrees Modified/Terminated 1 1 2 4 3 2 1 0 3 1
Contempt Cases 1 2 1 2 1 0 0 0 1 0
JUDGMENT ENFORCEMENT:
Modification/Termination Investigations(14)
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Initiated 1 4 0 3 1* 4 0 0 0 1
Terminated 2 15* 1 5 2* 2 0 1 0 0
Pending 16* 5 4 2 1 3 3 2 2 3

CASE RESULTS(15)

FINES IMPOSED(16) 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Individual: Total Individual Fines ($000) 4,483 3,650 15,109 1,485 605 4,373 1,522 2,141 3,069 2,016
Number of Individuals Fined 22 17 25 23 27 19 25 31 29 24
Corporate: Total Corporate Fines ($000) 595,966 469,805 615,671 695,042 973,740 338,645 380,032 1,472,968 272,214 1,904,714
Number of Corporations Fined 18 18 12 12 16 11 11 33 24 25
Total Fines Imposed ($000) 600,449 473,455 630,780 696,527 974,345 343,017 381,554 1,475,109 275,283 1,906,730
OTHER CASE RESULTS 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Restitution Imposed in Connection with Criminal Cases(17) ($000) 10,371 2,165 4,790 5,226 17,060 24,271 6,377 3,297 6,883 1,650
Number of Defendants 15 7 23 8 22 18 25 28 17 10
HSR Penalties ($000) 2,000 2,150 250 1,650 2,200 900 0 500 2,050 896
Number of Corporations 1 1 0 2 2 1 0 0 2 1
Number of Individuals 0 1 1 0 1 0 0 1 1 0
Disgorgements ($000)(18) 0 0 0 0 0 0 12,000 4,800 0 0
Civil Contempt Settlements ($000)(19) 4,500 935 125 2,580^ 2,050 0 0 0 400^ 0

CONFINEMENT

INCARCERATION 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Number of Individuals Sentenced 27 28 39 31 44 37 39 55 39 35
Number of Individuals Sentenced to Incarceration Time 18 19 34 19 35 29 21 45 28 21
Total Number of Actual Days of Incarceration(20) 731 283 923 754 726 898 502 747 750 787
OTHER CONFINEMENT(21) 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Individuals Sentenced to Other Confinement 6 13 5 11 9 6 12 4 5 7
Average Number of Days of Other Confinement(22)

 
212 212 217 186 244 216 173 135 162 181

GENERAL ANTITRUST ACTIVITIES

PARTICIPATION IN BANK MERGER PROCEEDINGS 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Total Screenings 943 1,048 1,030 656 463 379 428 519 511 511
Screenings Requiring Competitive Analysis(23) 532 592 737 511 342 294 341 519 511 511
INTERNATIONAL ANTITRUST ACTIVITY 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Notifications to Foreign Governments and International Organizations 115 108 126 118 77 35 38 41 25 65
Representation at and Negotiations with Foreign Governments and International Organizations 31 70 44 41 50 30 41 37 35 36
Applications for Export Trade Certificates 11 6 10 14 6 11 6 7 10 6
Certificates Issued 8 6 8 15 5 10 5 7 8 7
FILINGS IN REGULATORY AGENCY PROCEEDINGS 2005 2006 2007 2009 2010 2011 2012 2013 2014
Department of Transportation 1 1 0 1 1 0 0 1 0
Federal Energy Regulatory Commission 1 0 1 0 0 0 0 0 0
Securities and Exchange Commission 0 0 0 0 1 1 0 0 0
Federal Communications Commission 0 3 1 0 1 1 0 1 2
Federal Maritime Commission 3 1 0 0 2 0 1 0 0
Interstate Commerce Commission 0 0 0 0 0 0 0 0 0
Other 1 1 1 4 3 1 0 0 0
Total 6 6 3 5 8 3 1 2 2
OTHER DIVISION ACTIVITIES(24) 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
4F Requests(25) 0 0 2 1 0 1 0 0 1 1
Advice on Surplus Property 7 3 5 4 0 4 0 3 2 5
Congressional Appearances 0 2 3 2 5 5 1 2 2 3
Congressional/OMB Requests for Comments 338 512 395 571 311 332 59 232 328 265
White House Referrals 1 3 0 1 0 2 2 1 1 1
Congressional Correspondence 85 92 82 90 117 71 78 130 81 69
Statutory Reports 39 56 77 63 40 74 95 73 84 83
Joint Research & Development Filings 45 19 19 28 22 20 12 21 11 16
FOIA Requests 136 103 85 101 98 86 80 137 117 102
Privacy Act Requests 15 9 10 8 11 12 11 9 9 6

 


FOOTNOTES

1. Statistics reflect only the primary type of conduct under investigation at the outset of the investigation; this report does not reflect whether a matter investigated a potential violation of an additional statute(s), or whether the primary violation changed during the pendency of the investigation.  See “District Court Antitrust Cases” for numbers of cases by offense.  Does not include business reviews, judgment modification or termination investigations, or premerger notifications, but includes investigations initiated as a result of premerger notifications.

2. This category reflects both civil and criminal investigations.

3. This category includes investigations of potential violations of Clayton §§ 3, 7A, and 8, the Robinson-Patman Act, and Title 18, among other statutes.

4. Every investigation, with the exception of certain criminal matters that open as grand jury investigations, opens as a preliminary inquiry.  Matters exit the preliminary inquiry phase by closing; in the case of criminal preliminary inquiries, becoming grand jury investigations; or in the case of civil preliminary inquiries, through the issuance of Civil Investigative Demands.  This category only addresses investigations in the civil or criminal preliminary inquiry stage.  Investigations opened with the purpose of exploring judgment modification or termination are not included here in the total number of preliminary inquiries initiated. Such judgment modification/termination investigations are addressed separately under the Judgment Enforcement sections.

5.  Prior to FY 2014, Civil Investigative Demands for interrogatory responses were labeled “written.”

6. Combined documentary and written CIDs served to one person, corporation, partnership or legal entity.

7. Combined oral and documentary CIDs served to one person, corporation, partnership or legal entity.  Statistic is only available from FY 2005.

8. One action filed in District Court challenged two separate mergers, resulting in 19 merger challenges.

9. These statistics are the same as those reported under “District Court Antitrust Cases - Merger Cases Filed” on page 6.

10. The category of Damage Actions – Civil was removed from the FY 2014 Workload Statistics Report.

11. Figures are computed using the closing date of the case.

12.  This represents the number of Cases pending identifiable as a case with a Sherman Act – Restraint of Trade violation. This updated information is as of FY 2010, and replaces the method previously used. A pending case is defined as a case whereby no defendant in a case has entered a plea of guilty or has been found guilty at trial.

13. This represents the number of Cases pending identifiable as charging primarily other federal crimes such as perjury, mail fraud, contempt, obstruction of justice, false statements or other charges that are not Sherman Act – Restraint of Trade violations. This updated information is as of FY 2010, and replaces the method previously used.   A pending case is defined as a case whereby no defendant in a case has entered a plea of guilty or has been found guilty at trial.

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

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

16. “Fines imposed” are the total of criminal fines imposed by courts in judgments against defendants in Antitrust Division prosecutions.  These totals do not include fines “agreed to” by defendants in plea agreements during the fiscal year but not yet imposed by the court.  The Department tracks separately fine collection totals, see /atr/public/press_releases/2015/311240.htm, which include all fines, court costs, and other fees that have been paid in satisfaction of judgments in Antitrust Division prosecutions, and which may differ from fines imposed or agreed to due to the use of payment plans.

17.  Frequently restitution is not sought in criminal antitrust cases, as damages are obtained through treble damage actions filed by the victims.

18. This is a new statistic as of the FY 2014 Workload Statistics Report.  Disgorgements represent the total dollar amount paid by defendants to the government as equitable relief to prevent unjust enrichment from violating the antitrust laws.

19. This is a new statistic as of the FY 2014 Workload Statistics Report.  Civil Contempt Settlements represent the total dollar amount paid by defendants to the government to settle consent decree violations and may include the full costs of investigation related to consent decree violations.  The settlement, in some cases, may also include disgorgement payments.

20. This is a new statistic as of the FY 2014 Workload Statistics Report.

21. Includes house arrest or confinement to a halfway house or community treatment center.

22. This is a new statistic as of the FY 2014 Workload Statistics Report.

23. As of FY 2012, the Division’s practice is to conduct a competitive analysis of all bank merger applications forwarded to the Division for review, and not to draw a distinction between transactions that require competitive screening and transactions that may be competitively neutral.  Previously, applications involving formations of bank holding companies did not receive the same competitive analysis and were treated separately in the workload statistics.

24. The category of Meetings of Interagency Task Forces/Committees was removed from the FY 2014 Workload Statistics Report.

25.  The number of requests to the Chief of the FOIA/Privacy Act Unit from state attorneys general for access to investigative files or other Division material pursuant to Section 4F(b) of the Clayton Act, 15 U.S.C. § 15f(b).

*Value has been restated from its previously reported value to be consistent with the definitions outlined in the footnotes to this report.

^Value includes civil contempt cases where the payment included disgorgement of profits from the alleged violations.

Updated July 22, 2015