Living with the Organizational Sentencing Guidelines

18 U.S.C. Appendix §8A1.1 (West 1993).

“Criticizing Sentencing Rules. U.S. Judge Resigns.” New York Times, September 30, 1990, Section I. Part 1, Col. 1, p.22.

Ethics Policies and Programs in American Business, 1990 Ethics Resource Center, Washington, D.C.

See Hager . “What's Behind Business' Sudden Fervor for Ethics” Business Week, September 23, 1991, p.65; Roberts , “Corporations Plan for Sentencing Guidelines,” Los Angeles Daily Journal, November 1, 1991, p.1, 13.

See Kaplan Jeffrey M. Murphy Joseph E. , “Conducting A Guidelines Compliance Review: Liability Inventories,” Corporate Conduct Quarterly, 2 (Summer 1992): 1–3.

United Slates Sentencing Guidelines (“U.S.S.G.”) §8A1.2, Commentary, Application Note 3(k)(7)(i-iii).

Ibid.

United States v. Upjohn Co., 449 U.S. 383, 391 (1981) (United States Supreme Court noted that “lower-level … employees can, by actions within the scope of their employment, embroil the corporation in serious legal difficulties and it is only natural that these employees would have the relevant information needed by corporate counsel… .”).

U.S.S.G. §8A1.2, Commentary. Application Note 3(k)(I).

Swenson Winthrop M. Clark Nolan E. , “The New Federal Sentencing Guidelines: Three Keys to Understanding the Credit for Compliance Programs,” Corporate Conduct Quarterly. I (Winter 1991): 3.

Roberts Neil E. , “Antitrust Compliance Programs Under the Guidelines: Initial Observations From the Government's Viewpoint,” Corporate Conduct Quarterly, 2 (Summer 1992): 2.

U.S.S.G. §8A1.2, Commentary, Application Note 3(k)(l); see, also, Kaplan Jeffrey M. Perry William K. , “The High Cost of Corporate Crime.” Management Accounting (December 1991), p. 43.

U.S.S.G. §8A1.2, Commentary, Application Note 3(k)(2).

U.S.S.G. §8A1.2, Commentary. Application Note 3(b).

U.S.S.G. §8C2.5(c).

See Kaplan Jeffrey M. , “Sentencing Guidelines: An ‘Unprecedented Offer’ From Government.” Ethikos (March/April 1992), p. 12.

U.S.S.G. §8A1.2, Commentary. Application Note 3(k)(3).

See, e.g., 18 U.S.C. §§2510-21 (prohibiting interception of wire and electronic communications); see also K-Mart Corp. Store No. 7441 v. Trotti, 677 S.W.2d 632 (Tx. App. 1984)(unlawful search).

See, e.g., Employee Polygraph Protection Act of 1988, 29 U.S.C. §§2001(3), 2002(2)(prohibiting use of polygraph results in most employment decisions).

42 U.S.C. §§2000e et seq.; see also Age Discrimination in Employment Act of 1967, 29 U.S.C. §§621 et seq.

U.S.S.G. §8A1.2, Commentary, Application Note 3(k)(4).

This point is made by ethics trainer Timothy Mazur in his chapter in Kaplan, Murphy, and Swenson, Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability (Chicago, IL: Clark Boardman Callaghan. 1993).

U.S.S.G. §8A1.2, Commentary, Application Notes 3(k)(5), 3(k)(7)(i-iii).

See, e.g., False Claims Act, 31 U.S.C. §§3729 et seq. (1988); Barnett T , “Overview of State Whistleblower Protection Statutes,” Labor Law Journal 43 (July 1992): 440–448.

This is discussed more fully by Pacific Bell ombudsperson Jacqueline Minor in Compliance Programs and the Corporate Sentencing Guidelines, n.22, supra.

U.S.S.G. §8A1.2, Commentary, Application Note 3(k)(6).

U.S.S.G. §8A1.2, Commentary, Application Note 3(k)(7).

Swenson Winthrop M. Clark Nolan E. , “The New Federal Sentencing Guidelines: Three Keys to Understanding the Credit for Compliance Programs,” Corporate Conduct Quarterly. I (Winter 1991): 3.

Coffee John C. , “Does ‘Unlawful’ Mean ‘Criminal’?: Reflections On the Disappearing Tort/Crime Distinction in American Law.” Boston University Law Review, 71 (1991): 198.

See Obermaier Otto , “Drafting Companies To Fight Crime.” New York Times, May 24, 1992, p. F11: Obermaier Otto , “A Practical Partnership.” National Law Journal, November II. 1991, p. 13.

For further discussion see Sigler Jay A. Murphy Joseph E. , Corporate Lawbreaking and Interactive Compliance: Resolving the Regulation-Deregulation Dichotomy (Westport CT, Quorum Books 1991); Interactive Corporate Compliance: An Alternative to Regulatory Compulsion (Westport, CT: Quorum Books 1988).

See U.S.S.G §8A1.2, Commentary. Applications Notes 3(k)(1-7).