Federal Sentencing Guidelines

Question 1

Organizations can act only through ________________.

Answer 1

Agents

Question 2

Organizations are ___________ ____________ for offenses committed by their agents under federal criminal law.

Answer 2

Vicariously Liable

Question 3

Individual Agents are responsible for their own criminal conduct.

Answer 3

True

Question 4

Federal prosecutions of organizations infrequently involve individuals and organizational co-defendants.

Answer 4

False.

Question 5

The court’s first goal is to:

Answer 5

remedy any harm caused by the offense.R

Question 6

The point of remedying harm is to:

Answer 6

make victims whole for the harm caused.

Question 7

If an organization operated primarily for a criminal purpose or primarily by criminal means, the fine should be set

Answer 7

sufficiently high to divest the organization of all its assets.

Question 8

Fine ranges for organizations are based on:

Answer 8

The seriousness of the offense and the culpability of the organization.

Question 9

Seriousness of the offense is reflected by the:

Answer 9

Greatest of the pecuniary gain, the pecuniary loss, or the amount in a guideline offense level fine table.

Question 10

Culpability is generally determined by six factors:

Question 11

Four factors that increase the ultimate punishment of an organization are:

Answer 11

(1) involvement in or tolerance of criminal activity; (2) the prior history of the organization; (3) the violation of an order; and (iv) the obstruction of justice.

Question 12

Two factors that mitigate ultimate punishment of an organization are:

Answer 12

(1) the existence of an effective compliance and ethics program; and (2) self-reporting, co-operation, or acceptance of responsibility.

Question 13

______________________ is an appropriate sanction for an organizational defendant when needed to ensure that another sanction will be fully implemented, or to ensure that steps will be taken within the organization to reduce the likelihood of future criminal conduct.

Answer 13

Probation.

Question 14

An individual is considered “willfully ignorant of the offense” if the individual did not investigate the possible occurrence of unlawful conduct despite knowledge of circumstances that would lead a reasonable person to investigate whether unlawful conduct had occurred.

Answer 14

True.

Question 15

To have an effective compliance and ethics program, an organization shall:

Answer 15

(1) exercise due diligence to prevent and detect criminal conduct; and (2) otherwise promote and organizational culture that encourages ethical conduct and a commitment to compliance with the law.

Question 16

The organization’s governing authority shall be knowledgeable about the ___________ and _____________ of the compliances and ethics program and shall exercise reasonable oversight with respect to the implementation and effectiveness of the compliance and ethics program.

Answer 16

content and operation.

Question 17

High-level personnel of the organization shall ensure that the organization has an effective compliance and ethics program.

Answer 17

True

Question 18

Specific individuals within the organization shall be delegated day-to-day operational responsibility for the compliance and ethics program.

Answer 18

True

Question 19

To carry out operational responsibility, individuals shall be given adequate resources, appropriate authority, and direct access to the governing authority or an appropriate subgroup of the governing authority.

Answer 19

True

Question 20

Monitoring and auditing is not required.

Answer 20

False

Question 21

A reporting system is required.

Answer 21

True

Question 22

Evaluation of the effectiveness of the organization’s compliance and ethics program is required.

Answer 22

True

Question 23

Incentives should be enforced and disciplinary actions taken for engaging in criminal conduct.

Answer 23

True

Question 24

Recurrence of similar misconduct creates __________________ regarding whether the organization took reasonable steps to meet the requirements of the guideline.

Answer 24

doubt

Question 25

If criminal conduct is found, organization should:

Answer 25

respond appropriately and remedy harm; prevent future conduct.