Appendix

• Pages: 241-245

APPENDIX

SELECTED PORTIONS OF THE U.S. SENTENCING

GUIDELINES MANUAL

§8B2.1. Effective Compliance and Ethics Program

(a) To have an effective compliance and ethics program,

for purposes of subsection (f) of §8C2.5 (Culpability

Score) and subsection (b)(1) of §8D1.4

(Recommended Conditions of Probation -

Organizations), an organization shall—

(1) exercise due diligence to prevent and detect

criminal conduct; and

(2) otherwise promote an organizational culture that

encourages ethical conduct and a commitment to

compliance with the law.

Such compliance and ethics program shall be reasonably

designed, implemented, and enforced so that the program

is generally effective in preventing and detecting criminal

conduct. The failure to prevent or detect the instant

offense does not necessarily mean that the program is not

generally effective in preventing and detecting criminal

conduct.

(b) Due diligence and the promotion of an organizational

culture that encourages ethical conduct and a

commitment to compliance with the law within the

meaning of subsection (a) minimally require the

following:

(1) The organization shall establish standards and

procedures to prevent and detect criminal

conduct.

241