Recommended Conditions of Probation ― Organizations (Policy Statement)

(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 commit- ted, 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 ap- propriate: (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 pro- bation 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) re- porting 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. 560 ║ Guidelines Manual (November 1, 2024) §8D1.5 (4) The organization shall notify the court or probation officer immedi- ately 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 investiga- tion or formal inquiry by governmental authorities regarding the or- ganization. (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. Application Note: Commentary 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 or- ganization relating to the instant offense. To assess the efficacy of a compliance and ethics pro- gram 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 comprehen- sive 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 gov- ernmental regulatory body that oversees conduct of the organization relating to the instant of- fense. Historical Note Effective November 1, 1991 (amendment 422). Amended effective November 1, 2004 (amendment 673); No- vember 1, 2010 (amendment 744). §8D1.5. [Deleted] Historical Note Section 8D1.5 (Violations of Conditions of Probation – Organizations (Policy Statement)), effective Novem- ber 1, 1991 (amendment 422), was moved to §8F1.1 effective November 1, 2004 (amendment 673). Guidelines Manual (November 1, 2024) ║ 561 §8E1.1 PART E ― SPECIAL ASSESSMENTS, FORFEITURES, AND COSTS