Appendix B
Criminal Caseload Statistical Reports

Intellectual Property Cases United States Attorneys Office
Fiscal Year 1999

The information in this section is provided pursuant to the statutory mandate in Title 18, United States Code, Section 2320(e) and Title 28, United States Code, Section 522.

Below are statistics regarding Department of Justice prosecutions of intellectual property (IP) crimes. This information was provided by the Executive Office for United States Attorneys (EOUSA), which is charged with maintaining criminal caseload statistical information as reported by the U.S. Attorneys. These statistics contain the number of criminal IP matters referred to the U.S. Attorneys as well as cases filed and terminated during FY 1999. EOUSA does not maintain statistics on the quantity or value of property seized or on whether forfeited property has been destroyed. These statistics represent only the activities of the U.S. Attorneys and do not include Federal criminal referrals immediately declined for prosecution.

The pages that follow contain summaries of available statistics, segregated by statutory provision and preceded by a brief description of each offense. Also included are summaries of overall totals and totals associated with matters and cases referred by the U.S. Customs Service (USCS) to the U.S. Attorneys. Following these items is a comparison FY 1998 and FY 1999 figures and a list of districts and their abbreviations. The Criminal Caseload Statistical Reports are available on the Department's web site for viewing and/or downloading. For more information, please contact the Computer Crime and Intellectual Property Section (Criminal Division).

Criminal Intellectual Property Statutes surveyed

Title 18, United States Code, Section 2318 (18 U.S.C. 2318)
Trafficking in Counterfeit Labels for Phonorecords, and Copies of Motion Pictures or Other Audiovisual Works;

Title 18, United States Code, Section 2319 (18 U.S.C. 2319 )
Criminal Infringement of a Copyright;

Title 18, United States Code, Section 2319A (18 U.S.C. 2319A)
Unauthorized Fixation of and Trafficking in Sound Recordings and Music Videos of Live Musical Performances; and

Title 18, United States Code, Section 2320 (18 U.S.C. 2320)
Trafficking in Counterfeit Goods or Services.

Title 18, United States Code, Section 2318 (18 U.S.C. 2318)
Trafficking in Counterfeit Labels for Phonorecords, and Copies of Motion
Pictures or Other Audiovisual Works

Offense: Knowingly trafficking in a counterfeit label affixed or designed to be affixed to a phonorecord or a copy of a motion picture or other audiovisual work.

FY1999 - TOTALS (All Districts)*

Referrals and Cases

Number of Investigative Matters Opened by U.S. Attorneys . . 14
Number of Defendants . . 37
Number of Cases Filed . . 11
Number of Defendants . . 25
Number of Cases Resolved/Terminated . . 10
Number of Defendants . . 11

Disposition of Defendants in Concluded Cases

Number of Defendants Who Pled Guilty . . 7
Number of Defendants Who Were Tried and Found Guilty . . 0
Number of Defendants Against Whom Charges Were Dismissed . . 3
Number of Defendants Acquitted . . 0
Other Terminated Defendants . . 1

Prison Sentencing for Convicted Defendants (# represents defendants)

No Imprisonment . . 3
1 to 12 Months of Imprisonment . . 3
13 to 24 Months . . 0
25 to 36 Months . . 1
37 to 60 Months . . 0
61+ Months . . 0

Total Dollar Value of All Criminal Fines Imposed

Not Available.
(Fines can be assessed in lieu of or in addition to prison sentences.)

* These figures reflect the status of matters and cases as of September 30, 1999. Discrepancies may result from the carryover of matters and cases initiated during previous FYs.

Title 18, United States Code, Section 2319 (18 U.S.C. 2319)
Criminal Infringement of a Copyright

Offense: Willful infringement of a copyright for purposes of commercial advantage or private financial gain, or through large-scale, unlawful reproduction or distribution of a protected work, regardless of whether a profit motive existed.

FY1999 - TOTALS (All Districts)*

Referrals and Cases

Number of Investigative Matters Opened by U.S. Attorneys . . 60
Number of Defendants . . 96
Number of Cases Filed . . 23
Number of Defendants . . 28
Number of Cases Resolved/Terminated . . 22
Number of Defendants . . 31

Disposition of Defendants in Concluded Cases

Number of Defendants Who Pled Guilty . . 26
Number of Defendants Who Were Tried and Found Guilty . . 0
Number of Defendants Against Whom Charges Were Dismissed . . 3
Number of Defendants Acquitted . . 0
Other Terminated Defendants . . 2

Prison Sentencing for Convicted Defendants (# represents defendants)

No Imprisonment . . 16
1 to 12 Months of Imprisonment . . 4
13 to 24 Months . . 6
25 to 36 Months . . 0
37 to 60 Months . . 0
61+ Months . . 0

Total Dollar Value of All Criminal Fines Imposed

Not Available.
(Fines can be assessed in lieu of or in addition to prison sentences.)

* These figures reflect the status of matters and cases as of September 30, 1999. Discrepancies may result from the carryover of matters and cases initiated during previous FYs.

Title 18, United States Code, Section 2319A (18 U.S.C. 2319A)
Unauthorized Fixation of and Trafficking in Sound Recordings and Music Videos of Live Musical Performances.

Offense: Without the consent of the performer, knowingly and for purposes of commercial advantage or private financial gain, fixing the sounds or sounds and images of a live musical performance; reproducing copies of such a performance from an unauthorized fixation; transmitting the sounds or sounds and images to the public; or distributing, renting, selling, or trafficking (or attempting the preceding) in any copy of an unauthorized fixation.

FY1999 - TOTALS (All Districts)*

Referrals and Cases

Number of Investigative Matters Opened by U.S. Attorneys . . 5
Number of Defendants . . 6
Number of Cases Filed . . 2
Number of Defendants . . 2
Number of Cases Resolved/Terminated . . 0
Number of Defendants . . 0

Disposition of Defendants in Concluded Cases

Number of Defendants Who Pled Guilty . . 0
Number of Defendants Who Were Tried and Found Guilty . . 0
Number of Defendants Against Whom Charges Were Dismissed . . 0
Number of Defendants Acquitted . . 0
Other Terminated Defendants . . 0

Prison Sentencing for Convicted Defendants (# represents defendants)

No Imprisonment . . 0
1 to 12 Months of Imprisonment . . 0
13 to 24 Months . . 0
25 to 36 Months . . 0
37 to 60 Months . . 0
61+ Months . . 0

Total Dollar Value of All Criminal Fines Imposed

Not Available.
(Fines can be assessed in lieu of or in addition to prison sentences.)

* These figures reflect the status of matters and cases as of September 30, 1999. Discrepancies may result from the carryover of matters and cases initiated during previous FYs.

Title 18, United States Code, Section 2320 (18 U.S.C. 2320)
Trafficking in Counterfeit Goods or Services

Offense: Intentionally trafficking or attempting to traffic in goods or services and knowingly using a counterfeit mark on or in connection with such goods or services.

FY1999 - TOTALS (All Districts)*

Referrals and Cases

Number of Investigative Matters Opened by U.S. Attorneys . . 125
Number of Defendants . . 194
Number of Cases Filed . . 72
Number of Defendants . . 106
Number of Cases Resolved/Terminated . . 60
Number of Defendants . . 99

Disposition of Defendants in Concluded Cases

Number of Defendants Who Pled Guilty . . 72
Number of Defendants Who Were Tried and Found Guilty . . 2
Number of Defendants Against Whom Charges Were Dismissed . . 20
Number of Defendants Acquitted . . 3
Other Terminated Defendants . . 2

Prison Sentencing for Convicted Defendants (# represents defendants)

No Imprisonment . . 54
1 to 12 Months of Imprisonment . . 14
13 to 24 Months . . 4
25 to 36 Months . . 1
37 to 60 Months . . 1
61+ Months . . 0

Total Dollar Value of All Criminal Fines Imposed

Not Available.
(Fines can be assessed in lieu of or in addition to prison sentences.)

* These figures reflect the status of matters and cases as of September 30, 1999. Discrepancies may result from the carryover of matters and cases initiated during previous FYs.

Fiscal Year 1999 TOTALS: All Districts - All Statutes
18 U.S.C. 2318, 2319, 2319A, and 2320

Referrals and Cases

Number of Investigative Matters Received by U.S. Attorneys . . 204
Number of Defendants . . 333
Number of Cases Filed . . 108
Number of Defendants . . 161
Number of Cases Resolved/Terminated . . 92
Number of Defendants . . 141

Disposition of Defendants in Concluded Cases

Number of Defendants Who Pled Guilty . . 105
Number of Defendants Who Were Tried and Found Guilty . . 2
Number of Defendants Against Whom Charges Were Dismissed . . 26
Number of Defendants Acquitted . . 3
Other Terminated Defendants . . 5

Prison Sentencing for Convicted Defendants (# represents defendants)

No Imprisonment . . 73
1 to 12 Months of Imprisonment . . 21
13 to 24 Months . . 10
25 to 36 Months . . 2
37 to 60 Months . . 1
61+ Months . . 0

Total Dollar Value of All Criminal Fines Imposed

Not Available.
(Fines can be assessed in lieu of or in addition to prison sentences.)

Note: These figures reflect the status of matters and cases as of September 30, 1999. Discrepancies may result from the carryover of matters and cases initiated during previous FYs.

Statistics on Matters/Cases Originating
with the U.S. Customs Service
Fiscal Year 1999

The results summarized on the preceding pages reflect the totals, including USCS matters, for each of the criminal IP statutory provisions. The following reflect the total of all matters and cases referred by USCS to U.S. Attorneys under all four statutory provisions: 18 U.S.C. 2318, 2319, 2319A, and 2320.

Number of Investigative Matters Referred by USCS . . 71
Number of Defendants . . 121
Number of USCS Matters Pending Resolution . . 71
Number of Defendants . . 113
Number of USCS Matters Terminated . . 36
Number of Defendants . . 57
Number of Cases Originating with USCS . . 39
Number of Defendants . . 64
Number of USCS Cases Pending Resolution . . 60
Number of Defendants . . 86
Number of USCS Cases Resolved/Terminated . . 35
Number of Defendants . . 66

Note: These figures reflect the status of matters and cases as of September 30, 1999. Discrepancies may result from the carryover of matters and cases initiated during previous FYs.

Fiscal Years 1998 and 1999: A Comparison
All Districts - All Statutes 18 U.S.C. 2318, 2319, 2319A, and 2320

Note: All figures reflect the status of matters and cases as of September 30, 1999. Discrepancies may result from the carryover of matters and cases initiated during previous FYs or from reporting oversight.

Statistics on Matters/Cases Originating with the U.S. Customs Service

Note: All figures reflect the status of matters and cases as of September 30, 1999. Discrepancies may result from the carryover of matters and cases initiated during previous FYs or from reporting oversight.

District Abbreviation

Alabama, Middle ALM
Alabama, Northern ALN
Alabama, Southern ALS
Alaska AK
Arizona AZ
Arkansas, Eastern ARE
Arkansas, Western ARW
California, Central CAC
California, Eastern CAE
California, Northern CAN
California, Southern CAS
Colorado CO
Connecticut CT
Delaware DE
District of Columbia DC
Florida, Middle FLM
Florida, Northern FLN
Florida, Southern FLS
Georgia, Middle GAM
Georgia, Northern GAN
Georgia, Southern GAS
Guam GU
Hawaii HI
Idaho ID
Illinois, Central ILC
Illinois, Northern ILN
Illinois, Southern ILS
Indiana, Northern INN
Indiana, Southern INS
Iowa, Northern IAN
Iowa, Southern IAS
Kansas KS
Kentucky, Eastern KYE
Kentucky, Western KYW
Louisiana, Eastern LAE
Louisiana, Middle LAM
Louisiana, Western LAW
Maine ME
Maryland MD
Massachusetts MA
Michigan, Eastern MIE
Michigan, Western MIW
Minnesota MN
Mississippi, Northern MSN
Mississippi, Southern MSS
Missouri, Eastern MOE
Missouri, Western MOW
Montana MT
Nebraska NE
Nevada NV
New Hampshire NH
New Jersey NJ
New Mexico NM
New York, Eastern NYE
New York, Northern NYN
New York, Southern NYS
New York, Western NYW
North Carolina, Eastern NCE
North Carolina, Middle NCM
North Carolina, Western NCW
North Dakota ND
Ohio, Northern OHN
Ohio, Southern OHS
Oklahoma, Eastern OKE
Oklahoma, Northern OKN
Oklahoma, Western OKW
Oregon OR
Pennsylvania, Eastern PAE
Pennsylvania, Middle PAM
Pennsylvania, Western PAW
Puerto Rico PR
Rhode Island RI
South Carolina SC
South Dakota SD
Tennessee, Eastern TNE
Tennessee, Middle TNM
Tennessee, Western TNW
Texas, Eastern TXE
Texas, Northern TXN
Texas, Southern TXS
Texas, Western TXW
Utah UT
Vermont VT
Virginia, Eastern VAE
Virginia, Western VAW
Virgin Islands VI
Washington, Eastern WAE
Washington, Western WAW
West Virginia, Northern WVN
West Virginia, Southern WVS
Wisconsin, Eastern WIE
Wisconsin, Western WIW
Wyoming WY

Appendix B
Addendum

Criminal IP Matters by District*

* The figures displayed above include only the districts that reported such matters. In addition, only the relevant charge within those districts are displayed. Districts and charges not displayed reported no figures.

Terminated Criminal IP Cases and Penalties by District*