Federal Sentencing Guidelines Flashcards
Organizations can act only through ________________.
Agents
Organizations are ___________ ____________ for offenses committed by their agents under federal criminal law.
Vicariously Liable
Individual Agents are responsible for their own criminal conduct.
True
Federal prosecutions of organizations infrequently involve individuals and organizational co-defendants.
False.
The court’s first goal is to:
remedy any harm caused by the offense.R
The point of remedying harm is to:
make victims whole for the harm caused.
If an organization operated primarily for a criminal purpose or primarily by criminal means, the fine should be set
sufficiently high to divest the organization of all its assets.
Fine ranges for organizations are based on:
The seriousness of the offense and the culpability of the organization.
Seriousness of the offense is reflected by the:
Greatest of the pecuniary gain, the pecuniary loss, or the amount in a guideline offense level fine table.
Culpability is generally determined by six factors:
Four factors that increase the ultimate punishment of an organization are:
(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.
Two factors that mitigate ultimate punishment of an organization are:
(1) the existence of an effective compliance and ethics program; and (2) self-reporting, co-operation, or acceptance of responsibility.
______________________ 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.
Probation.
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.
True.
To have an effective compliance and ethics program, an organization shall:
(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.
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.
content and operation.
High-level personnel of the organization shall ensure that the organization has an effective compliance and ethics program.
True
Specific individuals within the organization shall be delegated day-to-day operational responsibility for the compliance and ethics program.
True
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.
True
Monitoring and auditing is not required.
False
A reporting system is required.
True
Evaluation of the effectiveness of the organization’s compliance and ethics program is required.
True
Incentives should be enforced and disciplinary actions taken for engaging in criminal conduct.
True
Recurrence of similar misconduct creates __________________ regarding whether the organization took reasonable steps to meet the requirements of the guideline.
doubt
If criminal conduct is found, organization should:
respond appropriately and remedy harm; prevent future conduct.
