Source: http://www.ussc.gov/guidelines/2015-guidelines-manual/archive/2005-8d14
Timestamp: 2016-08-28 16:39:03
Document Index: 65536776

Matched Legal Cases: ['§8', '§8', '§8', '§8', '§8', '§8']

2005 8d1_4 | United States Sentencing Commission
2005 8d1_4
2005 Federal Sentencing GuidelinesChapter 8 - PART D - ORGANIZATIONAL PROBATION§8D1.4. Recommended Conditions
of Probation - Organizations (Policy Statement)(a) The court may order the organization, at its expense and in the format
and media specified by the court, to publicize the nature of the offense committed,
the fact of conviction, the nature of the punishment imposed, and the steps
that will be taken to prevent the recurrence of similar offenses.(b) If probation is imposed under §8D1.1(a)(2), the following conditions
may be appropriate to the extent they appear necessary to safeguard the organization’s
ability to pay any deferred portion of an order of restitution, fine, or assessment:
(1) The organization shall make periodic submissions to the court
or probation officer, at intervals specified by the court, reporting on the
organization’s financial condition and results of business operations,
and accounting for the disposition of all funds received.
(2) The organization shall submit to: (A) a reasonable number of regular
or unannounced examinations of its books and records at appropriate business
premises by the probation officer or experts engaged by the court; and (B)
interrogation of knowledgeable individuals within the organization. Compensation
to and costs of any experts engaged by the court shall be paid by the organization.
(3) The organization shall be required to notify the court or probation
business or financial condition or prospects, or (B) the commencement of
any bankruptcy proceeding, major civil litigation, criminal prosecution,
or administrative proceeding against the organization, or any investigation
or formal inquiry by governmental authorities regarding the organization.
(4) The organization shall be required to make periodic payments,
as specified by the court, in the following priority: (A) restitution; (B)
fine; and (C) any other monetary sanction. (c) If probation is ordered under §8D1.1(a)(3), (4), (5), or (6), the
following conditions may be appropriate:
(1) The organization shall develop and submit to the court an effective
compliance and ethics program consistent with §8B2.1 (Effective Compliance
and Ethics Program). The organization shall include in its submission a schedule
for implementation of the compliance and ethics program. (2) Upon approval by the court of a program referred to in subdivision
(1), the organization shall notify its employees and shareholders of its
criminal behavior and its program referred to in subdivision (1). Such notice
shall be in a form prescribed by the court.
(3) The organization shall make periodic reports to the court or probation
officer, at intervals and in a form specified by the court, regarding the
organization’s progress in implementing the program referred to in
subdivision (1). Among other things, such reports shall disclose any criminal
prosecution, civil litigation, or administrative proceeding commenced against
the organization, or any investigation or formal inquiry by governmental
authorities of which the organization learned since its last report.
(4) In order to monitor whether the organization is following the program
referred to in subdivision (1), the organization shall submit to: (A) a reasonable
number of regular or unannounced examinations of its books and records at
appropriate business premises by the probation officer or experts engaged
by the court; and (B) interrogation of knowledgeable individuals within the
organization. Compensation to and costs of any experts engaged by the court
shall be paid by the organization.
CommentaryApplication Note:1. In determining the conditions to be imposed when probation is ordered
under §8D1.1(a)(3) through (6), the court should consider the views of
any governmental regulatory body that oversees conduct of the organization
relating to the instant offense. To assess the efficacy of a compliance and
ethics program submitted by the organization, the court may employ appropriate
experts who shall be afforded access to all material possessed by the organization
that is necessary for a comprehensive assessment of the proposed program. The
court should approve any program that appears reasonably calculated to prevent
and detect criminal conduct, as long as it is consistent with §8B2.1 (Effective
Compliance and Ethics Program), and any applicable statutory and regulatory
requirements.Periodic reports submitted in accordance with subsection (c)(3) should be
provided to any governmental regulatory body that oversees conduct of the organization
relating to the instant offense.Historical Note: Effective