U.S.S.G. §8C2.8

(a) In determining the amount of the fine within the applicable guideline

range, the court should consider:

(1) the need for the sentence to reflect the seriousness of the offense, promote respect for the law, provide just punishment, afford adequate

deterrence, and protect the public from further crimes of the organization;

(2) the organization’s role in the offense;

(3) any collateral consequences of conviction, including civil obligations

arising from the organization’s conduct;

(4) any nonpecuniary loss caused or threatened by the offense;

(5) whether the offense involved a vulnerable victim;

(6) any prior criminal record of an individual within high-level personnel

of the organization or high-level personnel of a unit of the organization who participated in, condoned, or was willfully ignorant of the

criminal conduct;

(7) any prior civil or criminal misconduct by the organization other than

that counted under §8C2.5(c);

(8) any culpability score under §8C2.5 (Culpability Score) higher than 10

or lower than 0;

(9) partial but incomplete satisfaction of the conditions for one or more of

the mitigating or aggravating factors set forth in §8C2.5 (Culpability

Score);

(10) any factor listed in 18 U.S.C. § 3572(a); and

(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.

Commentary

Application Notes:

1. Subsection (a)(2) provides that the court, in setting the fine within the guideline fine range,

should consider the organization’s role in the offense. This consideration is particularly appropriate if the guideline fine range does not take the organization’s role in the offense into account.

For example, the guideline fine range in an antitrust case does not take into consideration

whether the organization was an organizer or leader of the conspiracy. A higher fine within the

guideline fine range ordinarily will be appropriate for an organization that takes a leading role

in such an offense.

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.

4. Subsection (a)(6) provides that the court, in setting the fine within the guideline fine range,

should consider any prior criminal record of an individual within high-level personnel of the organization or within high-level personnel of a unit of the organization. Since an individual within

high-level personnel either exercises substantial control over the organization or a unit of the

organization or has a substantial role in the making of policy within the organization or a unit

of the organization, any prior criminal misconduct of such an individual may be relevant to the

determination of the appropriate fine for the organization.

5. Subsection (a)(7) provides that the court, in setting the fine within the guideline fine range,

should consider any prior civil or criminal misconduct by the organization other than that

counted under §8C2.5(c). The civil and criminal misconduct counted under §8C2.5(c) increases

the guideline fine range. Civil or criminal misconduct other than that counted under §8C2.5(c)

may provide a basis for a higher fine within the range.

6. Subsection (a)(8) provides that the court, in setting the fine within the guideline fine range,

should consider any culpability score higher than ten or lower than zero. As the culpability score

increases above ten, this may provide a basis for a higher fine within the range. Similarly, as the

culpability score decreases below zero, this may provide a basis for a lower fine within the range.

7. Under subsection (b), the court, in determining the fine within the range, may consider any factor

that it considered in determining the range. This allows for courts to differentiate between cases

that have the same offense level but differ in seriousness (e.g., two fraud cases at offense level 12,

one resulting in a loss of $21,000, the other $40,000). Similarly, this allows for courts to differentiate between two cases that have the same aggravating factors, but in which those factors vary

in their intensity (e.g., two cases with upward adjustments to the culpability score under

§8C2.5(c)(2) (prior criminal adjudications within 5 years of the commencement of the instant

offense, one involving a single conviction, the other involving two or more convictions)).

Background: Subsection (a) includes factors that the court is required to consider under 18 U.S.C.

§§ 3553(a) and 3572(a) as well as additional factors that the Commission has determined may be relevant in a particular case. A number of factors required for consideration under 18 U.S.C. § 3572(a)

(e.g., pecuniary loss, the size of the organization) are used under the fine guidelines in this subpart to

determine the fine range, and therefore are not specifically set out again in subsection (a) of this guideline.