USFSGs: General

Question 1

FSG and policy statements in this chapter apply when…

Answer 1

the convicted defendant is an organization.

Question 2

Organizations can act only through agents and, under federal criminal law…

Answer 2

are generally are vicariously liable for offenses committed by their agents.

Question 3

At the same time, individual agents are…

Answer 3

responsible for their criminal conduct.

Question 4

Federal prosecutions of organizations, therefore, frequently involve…

Answer 4

individual and organizational co-defendants.

Question 5

FIRST, the court must, whenever practicable, order the organization to of making victims whole for the harm caused.

Answer 5

…remedy any harm caused by the offense. The resources expended to remedy the harm should not be viewed as punishment, but rather as a means to make the victims whole

Question 5

Convicted individual agents of organizations are sentenced…

Answer 5

following the guidelines and policy statements in the preceding chapters.

Question 6

THIRD the fine range for any other organization should be based on…

Answer 6

the seriousness of the offense and the culpability of the organization.
* The severity of the offense generally will be reflected by the greatest of the pecuniary gain, the pecuniary loss, or the amount in a guideline offense level fine table.
* Culpability generally will be determined by six (4+2) factors that the sentencing court must consider.

Question 6

SECOND if the organization operated primarily for a criminal purpose or primarily by criminal means…

Answer 6

the fine should be set sufficiently high to divest the organization of all its assets.

Question 7

The four factors that increase the ultimate punishment of an organization are:

Answer 7

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

Question 8

The two factors that mitigate the ultimate punishment of an organization are:

Answer 8

1. the existence of an effective compliance and ethics program
2. self-reporting, cooperation, or acceptance of responsibility

Question 9

FOURTH, probation is an appropriate sentence for an organizational defendant when…

Answer 9

• 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.