Source: https://www.ussc.gov/guidelines/2018-guidelines-manual/annotated-2018-chapter-8
Timestamp: 2020-08-03 18:23:59
Document Index: 167895804

Matched Legal Cases: ['§ 3663', '§ 3663', '§ 3663', '§8', '§8', '§2', '§8', '§2', '§2', '§8', '§2', '§8', '§8', '§8', '§8', '§8', '§ 3561', '§8']

Annotated 2018 Chapter 8 | United States Sentencing Commission
Annotated 2018 Chapter 8
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 2004 (Amendment 673).
Historical Note: Effective November 1, 1991 (amendment 422). Amended effective November 1, 2004 (amendment 673).
Effective November 1, 1991 (Amendment 422).
Historical Note: Effective November 1, 1991 (amendment 422).
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 2010 (Amendment 747); November 1, 2011 (Amendment 758).
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 1997 (Amendment 546); November 1, 2001 (Amendment 617); November 1, 2004 (Amendment 673); November 1, 2010 (Amendment 747).
(F) "Similar misconduct" means prior conduct that is similar in nature to the conduct underlying the instant offense, without regard to whether or not such conduct violated the same statutory provision. For example, prior Medicare fraud would be misconduct similar to an instant offense involving another type of fraud.
Historical Note: Effective November 1, 1991 (amendment 422); November 1, 1997 (amendment 546); November 1, 2001 (amendment 617); November 1, 2004 (amendment 673); November 1, 2010 (amendment 747); November 1, 2011 (amendment 758).
Historical Note: Effective November 1, 2004 (amendment 673).
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 1997 (Amendment 571).
(2) in the case of a restitution order under § 3663; a restitution order under 18 U.S.C. § 3663A that pertains to an offense against property described in 18 U.S.C. § 3663A(c)(1)(A)(ii); or a condition of restitution imposed pursuant to subsection (a)(2) above, to the extent the court finds, from facts on the record, that (A) the number of identifiable victims is so large as to make restitution impracticable; or (B) determining complex issues of fact related to the cause or amount of the victim's losses would complicate or prolong the sentencing process to a degree that the need to provide restitution to any victim is outweighed by the burden on the sentencing process.
Effective November 1, 1997 (Amendment 571).
Historical Note: Effective November 1, 1991 (amendment 422); November 1, 1997 (amendment 571).
Effective November 1, 2004 (Amendment 673). Amended effective November 1, 2011 (Amendment 758).
Effective November 1, 2004 (Amendment 673).
Effective November 1, 2004 (Amendment 673). Amended effective November 1, 2010 (Amendment 744).
(C) to have and publicize a system, which may include mechanisms that allow for anonymity or confidentiality, whereby the organization's employees and agents may report or seek guidance regarding potential or actual criminal conduct without fear of retaliation.
(6) The organization's compliance and ethics program shall be promoted and enforced consistently throughout the organization through (A) appropriate incentives to perform in accordance with the compliance and ethics program; and (B) appropriate disciplinary measures for engaging in criminal conduct and for failing to take reasonable steps to prevent or detect criminal conduct.
(7) After criminal conduct has been detected, the organization shall take reasonable steps to respond appropriately to the criminal conduct and to prevent further similar criminal conduct, including making any necessary modifications to the organization's compliance and ethics program.
(B) Applicable Governmental Regulation and Industry Practice.—An organization's failure to incorporate and follow applicable industry practice or the standards called for by any applicable governmental regulation weighs against a finding of an effective compliance and ethics program.
Effective November 1, 2010 (Amendment 744).
Effective November 1, 2004 (Amendment 673). Amended effective November 1, 2013 (Amendment 778).
Historical Note: Effective November 1, 2004 (amendment 673). Amended effective November 1, 2010 (amendment 744); November 1, 2011 (amendment 758); November 1, 2013 (amendment 778).
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 1992 (Amendment 453); November 1, 1993 (Amendment 496); November 1, 2001 (Amendment 617); November 1, 2001 (Amendment 619); November 1, 2001 (Amendment 634); November 1, 2005 (Amendment 679); November 1, 2018 (Amendment 813).
1. If the Chapter Two offense guideline for a count is listed in subsection (a) or (b) above, and the applicable guideline results in the determination of the offense level by use of one of the listed guidelines, apply the provisions of §§8C2.2 through 8C2.9 to that count. For example, §§8C2.2 through 8C2.9 apply to an offense under §2K2.1 (an offense guideline listed in subsection (a)), unless the cross reference in that guideline requires the offense level to be determined under an offense guideline section not listed in subsection (a).
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 2001 (Amendment 617).
2. If the Chapter Two offense guideline for a count is not listed in subsection (a) or (b) above, but the applicable guideline results in the determination of the offense level by use of a listed guideline, apply the provisions of §§8C2.2 through 8C2.9 to that count. For example, where the conduct set forth in a count of conviction ordinarily referenced to §2N2.1 (an offense guideline not listed in subsection (a)) establishes §2B1.1 (Theft, Property Destruction, and Fraud) as the applicable offense guideline (an offense guideline listed in subsection (a)), §§8C2.2 through 8C2.9 would apply because the actual offense level is determined under §2B1.1 (Theft, Property Destruction, and Fraud).
Background: The fine guidelines of this subpart apply only to offenses covered by the guideline sections set forth in subsection (a) above. For example, the provisions of §§8C2.2 through 8C2.9 do not apply to counts for which the applicable guideline offense level is determined under Chapter Two, Part Q (Offenses Involving the Environment). For such cases, §8C2.10 (Determining the Fine for Other Counts) is applicable.
Historical Note: Effective November 1, 1991 (amendment 422). Amended effective November 1, 1992 (amendment 453); November 1, 1993 (amendment 496); November 1, 2001 (amendments 617, 619, and 634); November 1, 2005 (amendment 679); November 1, 2018 (amendment 813).
2. In a case of a determination under subsection (b), a statement that "no precise determination of the guideline fine range is required because it is readily ascertainable that the defendant cannot and is not likely to become able to pay the minimum of the guideline fine range" is recommended.
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 2011 (Amendment 758).
Historical Note: Effective November 1, 1991 (amendment 422). Amended effective November 1, 2011 (amendment 758).
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 2015 (Amendment 791).
6 or less $8,500
10 $35,000
13 $100,000
14 $150,000
16 $300,000
18 $600,000
19 $850,000
22 $2,000,000
23 $3,000,000
25 $5,000,000
26 $6,500,000
27 $8,500,000
28 $10,000,000
29 $15,000,000
30 $20,000,000
31 $25,000,000
32 $30,000,000
33 $40,000,000
34 $50,000,000
35 $65,000,000
36 $80,000,000
37 $100,000,000
38 or more $150,000,000.
Effective November 1, 2015 (Amendment 791).
(1) For offenses committed prior to November 1, 2015, use the offense level fine table that was set forth in the version of §8C2.4(d) that was in effect on November 1, 2014, rather than the offense level fine table set forth in subsection (d) above.
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 1993 (Amendment 496); November 1, 1995 (Amendment 534); November 1, 2001 (Amendment 634); November 1, 2004 (Amendment 666).
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 2001 (Amendment 634).
Historical Note: Effective November 1, 1991 (amendment 422). Amended effective November 1, 1993 (amendment 496); November 1, 1995 (amendment 534); November 1, 2001 (amendment 634); November 1, 2004 (amendments 666 and 673); November 1, 2015 (amendment 791).
(ii) tolerance of the offense by substantial authority personnel was pervasive throughout such unit,
add 5 points; or
add 4 points; or
add 3 points; or
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 2004 (Amendment 673); November 1, 2010 (Amendment 744).
(3) (A) Except as provided in subparagraphs (B) and (C), subsection (f)(1) shall not apply if an individual within high-level personnel of the organization, a person within high-level personnel of the unit of the organization within which the offense was committed where the unit had 200 or more employees, or an individual described in §8B2.1(b)(2)(B) or (C), participated in, condoned, or was willfully ignorant of the offense.
(ii) within substantial authority personnel, but not within high-level personnel, of any organization,
"Small Organization", for purposes of subsection (f)(3), means an organization that, at the time of the instant offense, had fewer than 200 employees.
2. For purposes of subsection (b), "unit of the organization" means any reasonably distinct operational component of the organization. For example, a large organization may have several large units such as divisions or subsidiaries, as well as many smaller units such as specialized manufacturing, marketing, or accounting operations within these larger units. For purposes of this definition, all of these types of units are encompassed within the term "unit of the organization."
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 2010 (Amendment 744).
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 2004 (Amendment 673); November 1, 2006 (Amendment 695); November 1, 2010 (Amendment 744).
Historical Note: Effective November 1, 1991 (amendment 422). Amended effective November 1, 2004 (amendment 673); November 1, 2006 (amendment 695); November 1, 2010 (amendment 744).
(11) whether the organization failed to have, at the time of the instant offense, an effective compliance and ethics program within the meaning of §8B2.1 (Effective Compliance and Ethics Program).
(b) In addition, the court may consider the relative importance of any factor used to determine the range, including the pecuniary loss caused by the offense, the pecuniary gain from the offense, any specific offense characteristic used to determine the offense level, and any aggravating or mitigating factor used to determine the culpability score.
2. Subsection (a)(3) provides that the court, in setting the fine within the guideline fine range, should consider any collateral consequences of conviction, including civil obligations arising from the organization's conduct. As a general rule, collateral consequences that merely make victims whole provide no basis for reducing the fine within the guideline range. If criminal and civil sanctions are unlikely to make victims whole, this may provide a basis for a higher fine within the guideline fine range. If punitive collateral sanctions have been or will be imposed on the organization, this may provide a basis for a lower fine within the guideline fine range.
3. Subsection (a)(4) provides that the court, in setting the fine within the guideline fine range, should consider any nonpecuniary loss caused or threatened by the offense. To the extent that nonpecuniary loss caused or threatened (e.g., loss of or threat to human life; psychological injury; threat to national security) by the offense is not adequately considered in setting the guideline fine range, this factor provides a basis for a higher fine within the range. This factor is more likely to be applicable where the guideline fine range is determined by pecuniary loss or gain, rather than by offense level, because the Chapter Two offense levels frequently take actual or threatened nonpecuniary loss into account.
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 2015 (Amendment 797).
The court may offset the fine imposed upon a closely held organization when one or more individuals, each of whom owns at least a 5 percent interest in the organization, has been fined in a federal criminal proceeding for the same offense conduct for which the organization is being sentenced. The amount of such offset shall not exceed the amount resulting from multiplying the total fines imposed on those individuals by those individuals' total percentage interest in the organization.
(2) if the organization is sentenced to pay a monetary penalty (e.g., restitution, fine, or special assessment), the penalty is not paid in full at the time of sentencing, and restrictions are necessary to safeguard the organization's ability to make payments;
(a) When a sentence of probation is imposed—
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 2013 (Amendment 778).
1. Within the limits set by the guidelines, the term of probation should be sufficient, but not more than necessary, to accomplish the court's specific objectives in imposing the term of probation. The terms of probation set forth in this section are those provided in 18 U.S.C. § 3561(c).
Historical Note: Effective November 1, 1991 (amendment 422). Amended effective November 1, 2013 (amendment 778).
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 1997 (Amendment 569).
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 1997 (Amendment 569); November 1, 2009 (Amendment 733).
Historical Note: Effective November 1, 1991 (amendment 422). Amended effective November 1, 1997 (amendment 569); November 1, 2009 (amendment 733).
Historical Note: Effective November 1, 1991 (amendment 422). Amended effective November 1, 2004 (amendment 673); November 1, 2010 (amendment 744).
Historical Note: Section 8D1.5 (Violations of Conditions of Probation – Organizations (Policy Statement)), effective November 1, 1991 (amendment 422), was moved to §8F1.1 effective November 1, 2004 (amendment 673).
Effective November 1, 1997 (Amendment 573).
Effective November 1, 1991 (Amendment 422). Amended effective November 1, 1997 (Amendment 573).
(J) $100, if convicted of a misdemeanor.>
Historical Note: Effective November 1, 1991 (amendment 422); November 1, 1997 (amendment 573).