This document is available in four formats: this web page (for browsing content), PDF (comparable to original document formatting), Excel and Word. To view the PDF you will need Acrobat Reader, which may be downloaded from the Adobe site.

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

WORKLOAD STATISTICS
FY 2004 - 2013


INVESTIGATIONS

Total Investigations Initiated, by Primary Type of Conduct(1) 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Sherman §1 - Restraint of Trade(2) 61 100 87 69 66 70 46 47 31 25
Sherman §2 - Monopoly 4 3 3 1 0 4 2 2 2 2
Clayton §7 - Mergers 92 108 96 101 84 68 64 90 74 65
Others(3) 14 6 18 15 22 22 7 3 1 0

Business Reviews 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Requested 2 6 6 9 8 3 9 1 3 3
Closed 2 1 10 6 6 9 7 3 7 5

- Granted

2 0 4 5 2 5 5 1 1 3

- Denied

0 0 0 0 0 0 0 0 0 0

- Declined

0 0 0 0 0 1 1 1 0 2

- Withdrawn

0 1 6 1 4 3 1 1 6 0
Pending 6 11 7 10 12 6 8 6 2 0

Hart-Scott-Rodino (HSR) Premerger Notifications 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Received 1,428 1,675 1,768 2,201 1,726 716 1,166 1,450 1,429 1,326
HSR Investigations Initiated 76 90 77 82 70 49 55 72 61 50
Number of Cases Filed 5 2 10 2 14 6 8 11 7 5

Total Preliminary Inquiries:
Criminal, Civil Non-Merger, and Merger
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Initiated(4) 156 184 172 157 147 138 109 128 97 81
Matters that exited the Preliminary Inquiry Phase 174 185 189 146 146 150 133 152 101 100
Pending 126 125 108 119 120 108 84 60 56 37

CIDs Issued 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Total number 562 727 376 527 355 510 480 476 474 338
Documentary 110 104 11 55 65 59 58 98 47 28
Written 14 6 1 0 1 7 2 3 16 18
Oral 186 161 131 150 125 132 89 99 130 98
Documentary/Written(5) 252 446 231 318 157 302 326 275 279 176
Oral/Documentary(6) 0 10 2 4 7 10 5 1 2 18


CIVIL INVESTIGATIONS

Merger Investigations 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Total Number (HSR and Non-HSR Investigations) 92 108 96 101 84 68 64 90 74 65
HSR Investigations 76 90 77 82 70 49 55 72 61 50

- HSR Investigations: Second Requests

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

- Non-HSR Investigations: CIDs Issued

6 7 5 1 2 9 6 6 8 4
Merger CIDs Issued 207 510 276 395 205 263 344 328 350 270

Non-Merger Investigations 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Total Number 38 29 35 14 24 33 26 17 9 10

- Non-Merger Investigations: CIDs Issued

17 19 16 12 11 20 12 9 7 5
Non-Merger CIDs Issued 355 217 100 132 150 247 136 148 124 68

Civil Investigation Results 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Merger Investigations:
Total Number of Public Challenges
9 4 16 12 16 12 19(7) 20 19 15

- Actions Filed in District Court(8)

6 3 10 4 15 7 10 13 8 7

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

3 1 6 8 1 5 8 7 11 8
Non-Merger Investigations:
Actions Filed in District Court
2 8 2 2 4 2 4 5 5 5


CRIMINAL INVESTIGATIONS AND CASES

Grand Jury Investigations 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Initiated 21 38 38 34 32 38 12 17 12 13
Terminated 29 27 42 22 30 31 32 66 24 14
Pending 118 128 123 135 137 144 124 75 63 62

Criminal Cases Filed 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Total Cases Filed 42 32 34 40 54 72 60 90 67 50
Individuals Charged 39 47 37 47 59 65 63 82 63 34
Corporations Charged 20 27 24 10 25 22 21 27 16 21


DISTRICT COURT ANTITRUST CASES

TOTAL CIVIL CASES 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 8 11 12 6 19 9 14 18 13 12
Terminated(9) 12 6 20 9 11 16 11 11 20 10

- Won

11 6 17 9 11 16 11 11 20 10

- Lost

1 0 2 0 0 0 0 0 0 0

- Dismissed

0 0 1 0 0 0 0 0 0 0
Pending 19 24 16 13 21 14 17 24 17 19

RESTRAINT OF TRADE - CIVIL (SHERMAN §1) 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 0 7 1 1 2 0 3 4 3 3
Terminated 2 1 9 1 2 1 1 1 2 3

- Won

2 1 8 1 2 1 1 1 2 3

- Lost

0 0 1 0 0 0 0 0 0 0

- Dismissed

0 0 0 0 0 0 0 0 0 0

MONOPOLY - CIVIL (SHERMAN §2) 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 0 0 0 0 0 0 0 1 0 0
Terminated 1 0 0 1 0 0 0 0 2 0

- Won

0 0 0 1 0 0 0 0 2 0

- Lost

1 0 0 0 0 0 0 0 0 0

- Dismissed

0 0 0 0 0 0 0 0 0 0

MERGER CASES (CLAYTON §7) 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 6 3 10 4 15 7 10 13 8 7
Terminated 7 4 6 6 8 15 9 10 12 7

- Won

7 4 5 6 8 15 9 10 12 7

- Lost

0 0 1 0 0 0 0 0 0 0

- Dismissed

0 0 0 0 0 0 0 0 0 0

DAMAGE ACTIONS - CIVIL 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 0 0 0 0 0 0 0 0 0 0
Terminated 0 0 0 0 0 0 0 0 0 0

- Won

0 0 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

OTHER CIVIL 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 2 1 1 1 2 2 1 0 2 2
Terminated 2 1 5 1 1 0 1 0 4 0
- Won 2 1 4 1 1 0 1 0 4 0
- Lost 0 0 0 0 0 0 0 0 0 0
- Dismissed 0 0 1 0 0 0 0 0 0 0

TOTAL CRIMINAL CASES 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 42 32 34 40 54 72 60 90 67 50
Won 35 36 31 31 47 67 41 62 95 40
Lost 1 1 0 1 4 2 1 2 3 0
Pending 48 43 44 54 57 60 55 77 45 54
Appeal Decisions 7 4 5 1 4 2 7 6 5 1

RESTRAINT OF TRADE - CRIMINAL (SHERMAN §1) 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 28 23 21 25 26 37 41 63 58 45
Won 17 31 20 19 25 29 28 37 82 37
Lost 1 1 0 1 3 2 0 0 0 0
Pending(10) 44 35 36 41 39 45 42 69 43 50

OTHER CRIMINAL CASES
Charging Primarily Other Federal Crimes such as Perjury, Mail Fraud, Contempt, Obstruction of Justice, or False Statements
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 14 9 13 15 28 35 19 27 9 5
Won 18 5 11 12 22 38 13 25 13 3
Lost 0 0 0 0 1 0 1 2 3 0
Pending(11) 4 8 10 13 18 15 13 8 2 4


APPELLATE CASES

ANTITRUST DIVISION CASES
COURT OF APPEALS
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 5 3 0 2 6 1 4 9 5 5
Terminated 11 5 7 1 6 3 8 3 6 0

- Won

8 4 7 1 6 3 8 3 5 0

- Lost

3 0 0 0 0 0 0 0 1 0

- Dismissed

0 1 0 0 0 0 0 0 0 0

ANTITRUST DIVISION CASES
SUPREME COURT
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 1 1 2 0 0 0 2 3 1 0
Terminated 0 0 0 2 0 3 2 3 0 0

- Won

0 0 0 1 0 3 2 3 0 2

- Lost

0 0 0 0 0 0 0 0 0 0

- Dismissed

0 0 0 1 0 0 0 0 0 0

AMICUS CASES
COURT OF APPEALS
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 5 2 1 1 0 2 2 4 0 5
Terminated 4 4 1 0 0 2 2 0 0 0

- Won

3 3 1 0 0 2 1 0 0 0

- Lost

2 1 0 0 0 0 1 1 0 0

- Dismissed

0 0 0 0 0 0 0 0 0 0

AMICUS CASES
SUPREME COURT
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 3 4 4 4 2 2 0 0 0 1
Terminated 4 1 5 5 0 1 1 0 0 0

- Won

4 1 5 4 0 1 1 0 0 0

- Lost

0 0 0 1 0 0 0 0 0 1

- Dismissed

0 0 0 0 0 0 0 0 0 0

OTHER AGENCIES' CASES
(ADMINISTRATIVE LAW CASES)
COURT OF APPEALS
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 93 101 59 65 128 58 29 21 28 17
Terminated 43 79 34 27 59 44 19 0 0 0

- Won

21 10 17 14 16 24 8 11 5 9

- Lost

2 9 3 3 2 8 4 1 0 2

- Dismissed

20 60 14 10 11 12 7 4 2 3

OTHER AGENCIES' CASES
SUPREME COURT
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Filed 4 6 0 0 1 0 0 0 0 0
Terminated 1 2 1 0 0 0 0 0 0 0

- Won

1 2 1 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 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Divestitures 5 3 8 3 15 6 9 8 7 4
Decrees Modified/Terminated 3 1 1 2 4 3 2 1 0 3
Contempt Cases 2 1 2 1 2 1 0 0 0 1

JUDGMENT ENFORCEMENT:
Modification/Termination Investigations(12)
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Initiated 2 1 4 0 3 2 4 0 0 0
Terminated 4 2 14 1 5 3 2 0 1 0
Pending 16 15 5 4 2 1 3 3 2 2


CASE RESULTS(13)

FINES IMPOSED(14) 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Individual: Total Individual Fines ($000) 644 4,483 3,650 15,109 1,485 605 4,373 1,522 2,141 3,069
Number of Individuals Fined 15 22 17 25 23 27 19 25 31 29
Corporate: Total Corporate Fines ($000) 140,586 595,966 469,805 615,671 695,042 973,740 338,645 380,032 1,472,968 272,214
Number of Corporations Fined 13 18 18 12 12 16 11 11 33 24
Total Fines Imposed ($000) 141,230 600,449 473,455 630,780 696,527 974,345 343,017 381,554 1,475,109 275,283

OTHER CASE RESULTS 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Restitution Imposed in Connection with Criminal Cases(15) ($000) 18,776 10,371 2,165 4,790 5,226 17,060 24,271 6,377 3,297 6,883
Number of Defendants 16 15 7 23 8 22 18 25 28 17
HSR Penalties ($000) 1,800 2,000 2,150 250 1,650 2,200 900 0 500 2,050
Number of Corporations 1 1 1 0 2 2 1 0 0 2
Number of Individuals 1 0 1 1 0 1 0 0 1 1


CONFINEMENT

INCARCERATION 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Number of Individuals Sentenced 28 27 28 39 31 44 37 39 55 39
Number of Individuals Sentenced to Incarceration Time 20 18 19 34 19 35 29 21 45 28
Total Number of Actual Days of Incarceration Imposed by the Court 7,334 13,157 5,383 31,391 14,331 25,396 26,046 10,544 33,603 20,999

OTHER CONFINEMENT(16) 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Individuals Sentenced to Other Confinement 4 6 13 5 11 9 6 12 4 5
Number of Other Confinement Days 1,575 1,270 2,760 1,085 2,045 2,195 1,295 2,075 540 810


GENERAL ANTITRUST ACTIVITIES

PARTICIPATION IN BANK MERGER PROCEEDINGS 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Total Screenings 1,127 943 1,048 1,030 656 463 379 428 519 511
Screenings Requiring Competitive Analysis(17) 732 532 592 737 511 342 294 341 519 511

INTERNATIONAL ANTITRUST ACTIVITY 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Notifications to Foreign Governments and International Organizations 89 115 108 126 118 77 35 38 41 25
Representation at and Negotiations with Foreign Governments and International Organizations 55 31 70 44 41 50 30 41 37 35
Applications for Export Trade Certificates 4 11 6 10 14 6 11 6 7 10
Certificates Issued 6 8 6 8 15 5 10 5 7 8

FILINGS IN REGULATORY AGENCY PROCEEDINGS 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
Department of Transportation 0 1 1 0 0 1 1 0 0 1
Federal Energy Regulatory Commission 0 1 0 1 0 0 0 0 0 0
Securities and Exchange Commission 0 0 0 0 0 0 1 1 0 0
Federal Communications Commission 2 0 3 1 0 0 1 1 0 1
Federal Maritime Commission 1 3 1 0 0 0 2 0 1 0
Interstate Commerce Commission 1 0 0 0 0 0 0 0 0 0
Other 2 1 1 1 1 4 3 1 0 0
Total 6 6 6 3 1 5 8 3 1 2

OTHER ANTITRUST ACTIONS 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013
4F (HSR) Information(18) 0 0 0 2 1 0 1 0 0 1
Advice on Surplus Property 0 7 3 5 4 0 4 0 3 2
Meetings of Interagency Task Forces/Committees(19) 28 50 22 34 51 53 55 26 33 41
Congressional Appearances 3 0 2 3 2 5 5 1 2 2
Congressional/OMB Requests for Comments 297 338 512 395 571 311 332 59 232 328
White House Referrals 2 1 3 0 1 0 2 2 1 1
Congressional Correspondence 109 85 92 82 90 117 71 78 130 81
Statutory Reports 19 39 56 77 63 40 74 95 73 84
Joint Research & Development Filings 252(20) 45 19 19 28 22 20 12 21 11
FOIA Requests 162 136 103 85 101 98 86 80 137 117
Privacy Act Requests 4 15 9 10 8 11 12 11 9 9


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

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

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

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

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

10. 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.

11. 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. 

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

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

14. Does not include fines “agreed to” by defendants in plea agreements during the fiscal year but not yet imposed by the court.

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

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

17. 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.

18. The number of requests to the Director of Operations 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).

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

20. The National Cooperative Research and Production (NCRPA) Act was amended in 2004 to include standard development organizations.