7-1.100
Department of Justice Policy and Responsibilities
The U.S. antitrust laws represent the legal embodiment of our nation's
commitment to a free market economy in which the competitive process of the
market ensures the most efficient allocation of our scarce resources and the
maximization of consumer welfare. The Department of Justice is responsible
for enforcing the federal antitrust laws, which essentially prohibit private
restraints of trade (such as price fixing, bid rigging and other collusive
arrangements among competitors) that unreasonably impede the free forces of
the market. The Antitrust Division is responsible for coordinating the
Department's antitrust enforcement and public policy advocacy efforts, and
has jurisdiction for the statutes described in
USAM 7-4.000, among others.
The Antitrust Division accomplishes its mission in two principal ways.
First, as an enforcement agency, it prosecutes violations criminally and
civilly, primarily under the Sherman and Clayton Acts. Second, it advocates
competition before congressional committees and federal regulatory agencies,
articulating pro-competitive solutions for economic problems.
The experience of the Antitrust Division and of many United States
Attorneys' offices generally is that, in the course of investigations
supervised by United States Attorneys' offices, it is not uncommon for those
offices to obtain evidence of conduct that constitutes criminal antitrust
violations. United States Attorneys' offices should watch for
manifestations of price fixing, bid rigging, or other types of collusive
conduct among competitors that might have the effect of allocating
customers, restricting output, or raising price: such conduct would
constitute a criminal violation of Section 1 of the Sherman Act. See
AG Policy Statement in the Antitrust Resource
Manual at 1. A United States Attorney with evidence of a possible
antitrust violation should consult with the chief of the Antitrust Division
field office with geographical responsibility for the United States
Attorney's district, see USAM 7-3.700 or
with that field office's designated liaison with the United States
Attorney's district, to determine who should investigate and prosecute the
case. Most antitrust investigations are conducted by the Antitrust
Division's sections and field offices because they have specific expertise
in particular industries and markets. In some cases, however, it may be
more advantageous for the United States Attorney's office to investigate and
prosecute a matter, particularly where localized price-fixing or bid-rigging
conspiracies are involved, or where the antitrust violations are part of an
overall course of criminal conduct being investigated by the United States
Attorney's office. There may also be important mutual benefits to be
derived in situations where a United States Attorney's office and the
Antitrust Division can coordinate the prosecution and disposition of
criminal matters that involve both antitrust offenses and other offenses.
The Antitrust Division, through the Deputy Assistant Attorney General
for Criminal Enforcement, may refer antitrust investigations to a United
States Attorney. Once a United States Attorney's office accepts a referral,
it will be primarily responsible for the investigation and prosecution of
that case.
Pursuant to 28 C.F.R. Sec. 0.40, all antitrust investigations, whether
initiated by or referred to a United States Attorney, are subject to
supervision by the Assistant Attorney General for the Antitrust Division.
This ensures a consistent national policy on antitrust questions.
Accordingly, the Division's approval is required at various stages of the
investigation, as outlined in USAM 7-2.000
et. seq.
[updated March 2001]
7-1.200
Notification to Targets
The Antitrust Division follows the Department's general practice of
informing individuals, under certain circumstances, that they are targets of
an investigation and advising them of the opportunity to appear voluntarily
before the grand jury. No similar opportunity to appear before the grand
jury extends to corporate entities. However, the United States Attorney
ordinarily should advise counsel for the corporate entities if indictment is
being contemplated.
Counsel for corporate and individual targets of the investigation may
request the opportunity to present arguments against indictment to the
Deputy Assistant Attorney General for Criminal Enforcement or other
Antitrust Division officials. Although counsel does not have any absolute
right to be heard by the Deputy Assistant Attorney General for Criminal
Enforcement, the Deputy, at his/her discretion, will ordinarily meet with
counsel, but only after counsel has already met and discussed the issues
with the United States Attorney. The United States Attorney will be
notified in advance of all such meetings and may be present.
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