U.S.S.G. §8D1.4

(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, 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 paragraph (1),

the organization shall notify its employees and shareholders of its

criminal behavior and its program referred to in paragraph (1). Such

notice shall be in a form prescribed by the court.

(3) The organization shall make periodic submissions to the court or probation officer, at intervals specified by the court, (A) reporting on the

organization’s financial condition and results of business operations,

and accounting for the disposition of all funds received, and (B) reporting on the organization’s progress in implementing the program

referred to in paragraph (1). Among other things, reports under sub-paragraph (B) 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) The organization shall notify the court or probation officer immediately upon learning of (A) any material adverse change in its 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.

(5) 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.

(6) The organization shall make periodic payments, as specified by the

court, in the following priority: (A) restitution; (B) fine; and (C) any

other monetary sanction.

Commentary

Application Note:

1. In determining the conditions to be imposed when probation is ordered under §8D1.1, 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 (b)(3) should be provided to any governmental regulatory body that oversees conduct of the organization relating to the instant offense.