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

WORKLOAD STATISTICS
FY 1998 - 2007

INVESTIGATIONS

Total Investigations Initiated, by Primary Type of Conduct1 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Sherman §1 - Restraint of Trade 109 74 85 84 95 137 79 118 104 78
Sherman §2 - Monopoly 11 6 10 10 13 11 7 8 3 6
Clayton §7 - Mergers 284 287 221 178 127 124 106 138 114 118
Others 4 6 11 10 8 11 22 9 24 19

Business Reviews 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Requested 16 13 15 13 5 4 2 6 6 8
Closed 19 9 12 8 6 26 2 1 10 6
- Granted 12 7 9 7 6 12 2 - 4 5
- Denied - - 2 - - 1 - - - -
- Declined - - - 1 - - - - - -
- Withdrawn 7 2 1 - - 13 - 1 6 1
Pending 17 21 24 29 28 6 6 11 7 9

Hart-Scott-Rodino (HSR) Premerger Notifications 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Received 4,728 4,642 4,926 2,376 1,187 1,014 1,454 1,695 1,768 2,201
HSR Investigations Initiated 170 172 137 106 76 70 76 90 77 81
Number of Cases Filed 14 19 20 7 4 7 5 2 10 2

Total Preliminary Inquiries:
Criminal, Civil Non-Merger, and Merger		 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Initiated2 294 277 242 204 176 182 157 184 172 158
Cases Filed or Investigations Ceased 303 290 228 211 181 170 174 186 190 146
Pending 147 134 148 141 133 145 128 126 108 120

CIDs Issued 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Total number 1,488 919 980 822 573 631 562 727 376 527
Documentary 268 78 56 64 73 54 110 104 11 55
Written 29 76 98 169 4 52 14 6 1 -
Oral 605 182 257 301 175 239 186 161 131 150
Documentary/Written3 586 583 569 288 321 286 252 446 231 318
Oral/Documentary4 - - - - - - - 10 2 4

CIVIL INVESTIGATIONS

Merger Investigations 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Total Number (HSR and Non-HSR Investigations) 230 230 178 147 102 95 89 106 97 101
HSR Investigations 176 175 137 106 76 70 76 90 77 81
- HSR Investigations: Second Requests 102 68 55 43 22 20 15 25 17 32
Non-HSR Investigations 54 55 41 41 26 25 13 16 20 20
- Non-HSR Investigations: CIDs Issued 20 13 7 2 8 10 4 4 6 1
Merger CIDs Issued 876 690 783 658 399 460 158 369 271 395

Non-Merger Investigations 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Total Number 94 56 40 30 27 33 41 53 49 23
- Non-Merger Investigations: CIDs Issued 26 15 9 16 16 20 19 22 15 12
Non-Merger CIDs Issued 406 180 168 166 174 171 404 358 105 132

Civil Investigation Results 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Merger Investigations:
Total Number of Public Challenges		 51 46 48 32 10 15 9 4 16 12
- Actions Filed in District Court5 15 20 21 8 4 9 6 3 10 4
- Transactions Restructured or Abandoned Prior to Filing a Complaint as Result of an Announced Challenge 36 25 27 24 6 6 3 1 6 8
Non-Merger Investigations:
Actions Filed in District Court 		5 7 2 - 3 5 2 8 2 2

CRIMINAL INVESTIGATIONS AND CASES

Grand Jury Investigations 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Initiated 30 19 26 26 26 48 21 38 38 34
Terminated 16 30 35 19 17 19 29 27 42 22
Pending 101 90 81 88 97 126 118 128 123 135

Criminal Cases Filed 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Total Cases Filed 62 57 63 44 33 41 42 32 34 40
Individuals Charged 52 46 60 39 32 28 39 47 37 47
Corporations Charged 19 17 40 22 14 16 20 27 24 10

DISTRICT COURT ANTITRUST CASES

TOTAL CIVIL CASES 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 23 29 23 10 7 14 8 11 12 6
Terminated6 27 21 12 23 14 11 12 6 20 9
- Won 25 21 12 23 13 11 10 6 17 9
- Lost 1 - - - 1 - 1 - 2 -
- Dismissed - - - - - - 1 - 1 -
Pending 21 29 40 27 20 23 19 24 16 13

RESTRAINT OF TRADE - CIVIL (SHERMAN §1) 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 5 5 1 1 1 3 - 7 1 1
Terminated 8 7 - - - 2 2 1 8 1
- Won 7 7 - - - 2 1 1 8 1
- Lost - - - - - - - - - -
- Dismissed 1 - - - - - 1 - - -

MONOPOLY - CIVIL (SHERMAN §2) 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 2 2 1 - 1 - - - -
Terminated - 1 - - - - - - 2 1
- Won - 1 - - - - - - - 1
- Lost - - - - - - 1 - 1 -
- Dismissed - - - - - - - - 1 -

MERGER CASES (CLAYTON §7) 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 15 20 21 8 4 9 6 3 10 4
Terminated 17 9 12 23 14 8 7 4 6 6
- Won 16 9 12 23 13 8 7 4 5 6
- Lost 1 - - - 1 0 - - 1 -
- Dismissed - - - - - - - - - -

DAMAGE ACTIONS - CIVIL 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed - - - - - - - - - -
Terminated - - - - - - - - - -
- Won - - - - - - - - - -
- Lost - - - - - - - - - -
- Dismissed - - - - - - - - - -

OTHER CIVIL 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 1 2 - 1 1 2 2 1 1 1
Terminated 2 3 - - - 1 2 1 4 1
- Won 2 3 - - - 1 2 1 4 1
- Lost - - - - - - - - - -
- Dismissed - - - - - - - - - -

TOTAL CRIMINAL CASES 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 62 57 63 44 33 41 42 32 34 40
Won 64 48 52 38 37 32 35 36 31 31
Lost 1 2 - 2 1 1 1 1 - 1
Pending7 17 24 35 39 34 42 48 43 46 54
Appeal Decisions 6 - - 5 1 2 7 4 5 1

RESTRAINT OF TRADE - CRIMINAL (SHERMAN §1) 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 57 53 52 37 23 23 28 23 21 23
Won 59 45 44 29 28 19 17 31 20 19
Lost 1 2 - 1 1 1 1 1 - 1
Pending8 16 22 30 37 31 34 44 35 36 41

OTHER CRIMINAL CASES
Charging Primarily Other Federal Crimes such as Perjury, Mail Fraud, Contempt, Obstruction of Justice, or False Statements		 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 5 4 11 8 10 18 14 9 13 15
Won 5 3 8 10 9 13 18 5 11 12
Lost - - - 1 - - - - - -
Pending9 1 2 5 2 3 8 4 8 10 13

APPELLATE CASES

ANTITRUST DIVISION CASES
COURT OF APPEALS		 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 23 10 10 3 6 7 5 3 - 2
Terminated 12 6 3 6 2 5 11 5 7 1
- Won 9 4 3 4 2 3 8 4 7 1
- Lost 3 2 - 1 - 1 3 - - -
- Dismissed - - - 1 - 1 - 1 - -

ANTITRUST DIVISION CASES
SUPREME COURT		 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 2 1 1 1 - - 1 1 2 -
Terminated - 1 - 1 1 - - - - 2
- Won - 1 - 1 1 - - - - 1
- Lost - - - - - - - - - -
- Dismissed - - - - - - - - - 1

AMICUS CASES
COURT OF APPEALS		 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 3 - 5 2 3 6 5 2 1 1
Terminated 2 1 2 2 3 4 4 4 1 -
- Won 1 1 2 1 2 1 3 3 1 -
- Lost 1 - - 1 - 3 2 1 - -
- Dismissed - - - - 1 - - - - -

AMICUS CASES
SUPREME COURT		 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 4 1 1 1 1 - 3 4 4 4
Terminated 4 - 1 1 1 - 4 1 5 5
- Won 3 - 1 1 1 - 4 1 5 4
- Lost 1 - - - - - - - - 1
- Dismissed - - - - - - - - - -

OTHER AGENCIES' CASES
(ADMINISTRATIVE LAW CASES)
COURT OF APPEALS		 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
- Filed 428 113 69 35 49 76 93 101 59 65
- Terminated 52 110 85 34 53 36 43 79 34 27
Won 20 47 21 17 14 17 21 10 17 14
Lost 7 8 1 15 5 2 2 9 3 3
Dismissed 25 55 63 2 34 17 20 60 14 10

OTHER AGENCIES' CASES
SUPREME COURT		 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Filed 10 7 4 3 - 1 4 6 - -
Terminated - 4 2 1 1 - 1 2 1 -
- Won - 3 1 1 - - 1 2 1 -
- Lost - 1 - - - - - - - -
- Dismissed - - 1 - 1 - - - -

JUDGMENT ENFORCEMENT

JUDGMENT ENFORCEMENT 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Divestitures 9 20 17 9 1 4 5 3 8 3
Decrees Modified/Terminated 4 3 4 6 6 7 3 1 1 2
Contempt Cases 1 3 - - 1 - 2 1 2 1

JUDGMENT ENFORCEMENT:
Modification/Termination Investigations10		 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Initiated 6 11 - - 2 3 1 1 4 -
Terminated 4 3 6 - - 2 4 2 13 1
Pending 11 19 17 15 17 18 15 14 5 4

CASE RESULTS11

FINES IMPOSED12 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Individual: Total Individual Fines ($000) 2,499 12,273 5,180 2,019 8,685 470 644 4,483 3,650 15,109
Number of Individuals Fined 20 50 43 20 19 16 15 22 17 25
Corporate: Total Corporate Fines ($000) 241,645 959,866 303,241 270,778 93,826 63,752 140,586 595,966 469,805 615,671
Number of Corporations Fined 18 25 26 14 17 17 13 18 18 12
Total Fines Imposed ($000) 244,144 972,138 308,421 272,797 102,511 64,222 141,230 600,449 473,455 630,780

OTHER CASE RESULTS 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Restitution Imposed in Connection with Criminal Cases13 ($000) 4,250 2,343 1,713 31,083 7,278 15,545 18,776 10,371 2,165 4,790
Number of Defendants 3 12 20 17 21 21 16 15 7 23
HSR Penalties ($000) 500 3,285 - - 4,000 6,314 1,800 2,000 2,150 250
Number of Corporations 2 4 - 2 2 3 1 1 1 1
Number of Individuals - 1 - - - - 1 - 1 -

CONFINEMENT

INCARCERATION 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Number of Individuals Sentenced 16 54 47 24 36 30 28 27 28 39
Number of Individuals Sentenced to Incarceration Time 5 28 18 11 19 15 20 18 19 34
Total Number of Actual Days of Incarceration Imposed by the Court 1,301 6,662 5,584 4,800 10,501 9,341 7,334 13,157 5,383 31,391

OTHER CONFINEMENT14 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Individuals Sentenced to Other Confinement 10 25 20 12 16 6 4 6 13 5
Number of Other Confinement Days 1,530 2,850 2,567 1,844 3,607 1,025 1,575 1,270 2,760 1,085

GENERAL ANTITRUST ACTIVITIES

PARTICIPATION IN BANK MERGER PROCEEDINGS 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Total Screenings 1,923 1,698 1,373 1,328 1,079 994 1,127 943 1,048 1,030
Screenings Requiring Competitive Analysis 1,225 1,109 945 859 628 587 732 532 592 737

INTERNATIONAL ANTITRUST ACTIVITY 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Notifications to Foreign Governments. and International Organizations 96 93 143 126 82 89 89 115 108 126
Representation at and Negotiations with Foreign Governments. and International Organizations 50 55 51 53 25 27 55 31 70 44
Applications for Export Trade Certificates 3 5 6 3 2 5 4 11 6 10
Certificates Issued 3 3 4 3 2 3 6 8 6 8

FILINGS IN REGULATORY AGENCY PROCEEDINGS15 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Department of Transportation 2 - - - 3 2 - 1 1 -
Federal Energy Regulatory Commission - 1 - - - - - 1 - 1
Securities and Exchange Commission 1 - 2 - - - - - - -
Federal Communications Commission 6 - 5 7 13 10 2 - 3 1
Federal Maritime Commission - - - - - - 1 3 1 -
Interstate Commerce Commission - - 1 - - - 1 - - -
Other 2 - 6 - - - 2 1 1 1
Total 11 1 14 7 16 12 6 6 6 3

OTHER ANTITRUST ACTIONS 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
4F (HSR) Information 2 2 2 1 3 - - - - 2
Advice on Surplus Property - 5 - - 4 1 - 7 3 5
Meetings of Interagency Task Forces/Committees16 28 35 47 46 41 51 28 50 22 34
Congressional Appearances 10 11 20 4 5 1 3 - 2 3
Congressional/OMB Requests for Comments 779 629 568 424 384 401 297 338 512 395
White House Referrals 722 196 25 625 157 226 2 1 3 -
Congressional Correspondence 581 628 578 597 477 186 109 85 92 82
Statutory Reports - 5 4 21 13 17 19 39 56 77
Joint Research & Development Filings 38 61 47 24 29 17 25217 45 19 19
FOIA Requests 276 247 242 207 154 159 162 136 103 85
Privacy Act Requests 6 3 9 16 11 10 4 15 9 10

FOOTNOTES

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.

2. 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 indicators.

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

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

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

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

7. This is a new statistic as of the FY 1999 Workload Statistics Report.

8. This is a new statistic as of the FY 1999 Workload Statistics Report.

9. This is a new statistic as of the FY 1999 Workload Statistics Report.

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

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

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

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

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

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

16. 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.

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