CHC exam Questions and Answers 2023
Chapter 8 Federal Sentencing Guidelines (FSG) Ans- Guidelines and policy in this section apply to
sentencing in federal criminal prosecution when the convicted defendant is an organization
FSG- 4 factors that increase ultimate punishment of an organization Ans- 1.Involvement in or tolerance
of criminal activity
2.Prior history of the organization
3.The violation of an order
4.The obstruction of justice
FSG- The two factors that mitigate the ultimate punishment of an organization Ans- 1.The existence of
an effective compliance and ethics program
2. Self-reporting,cooperation, or acceptance of responsibility
FSG - The 4 general principles Ans- 1. The court orders the organization to remedy harm caused by the
offense.
2.If the organization operated primary for a criminal purpose or primarily by criminal means the fine
should divest it of all assets.
3. Fine based on seriousness and culpability (6 factors)
4. Probation is appropriate when needed to ensure another sanction is fully implemented or to ensure
steps will be taken to reduce likelihood of future offense.
FSG-High-level personnel of the organization Ans- Individuals who have substantial control over the
organization or who have a substantial role in the making of policy or has substantial ownership interest
FSG-Substantial authority personnel Ans- Individuals who within the scope of their authority exercises
substantial measure of discretion in acting on behalf of an organization. High-level included in definition
. Examples manager,can negotiate contracts or prices, supervisory authority. No of these examples is
required, determined on a case by case basis.
FSG-Condoned Ans- If individual knew of the offense and didn't take reasonable steps to prevent or
terminate the offense.
, FSG- willfully ignorant of the offense Ans- If the individual did not investigate the possible occurrence of
unlawful conduct despite knowledge of circumstances that would lead a reasonable person to
investigate.
FSG-Part B:Methods for remedying harm Ans- 1.Restitution order or probation requiring restitution.
2.Remedial order or community service when harm would not be otherwise remedied.
FSG Restitution to identifiable victim Ans- Can be made in lump sum, partial payments at specifed
intervals, in - kind payments or combination of each.
FSG-in-kind payment Ans- 1. Return of property
2. Replacement of property
3. If the victim agrees services rendered to the victim or to a person organization other than the victim
FSG - Remedial Orders Ans- RO as part of Probation can require organization to remedy harm and
eliminate or reduce the risk the offense will cause future harm. If future harm can be reasonably
estimated then court can require the organization to create a trust fund sufficient to address that
expected harm.
FSG-Community Service Ans- An organization can perform community service only by employing it's
resources or paying it's employees or others to do so.
FSG-Compliance and ethics program. 4 factors to consider in meeting requirements Ans- A). Applicable
Government Regulation and Industry Practice
B).Size of the organization
C).Recurrence of similar misconduct
FSG-Small Organization Ans- <200 employees
Chapter 8 Federal Sentencing Guidelines (FSG) Ans- Guidelines and policy in this section apply to
sentencing in federal criminal prosecution when the convicted defendant is an organization
FSG- 4 factors that increase ultimate punishment of an organization Ans- 1.Involvement in or tolerance
of criminal activity
2.Prior history of the organization
3.The violation of an order
4.The obstruction of justice
FSG- The two factors that mitigate the ultimate punishment of an organization Ans- 1.The existence of
an effective compliance and ethics program
2. Self-reporting,cooperation, or acceptance of responsibility
FSG - The 4 general principles Ans- 1. The court orders the organization to remedy harm caused by the
offense.
2.If the organization operated primary for a criminal purpose or primarily by criminal means the fine
should divest it of all assets.
3. Fine based on seriousness and culpability (6 factors)
4. Probation is appropriate when needed to ensure another sanction is fully implemented or to ensure
steps will be taken to reduce likelihood of future offense.
FSG-High-level personnel of the organization Ans- Individuals who have substantial control over the
organization or who have a substantial role in the making of policy or has substantial ownership interest
FSG-Substantial authority personnel Ans- Individuals who within the scope of their authority exercises
substantial measure of discretion in acting on behalf of an organization. High-level included in definition
. Examples manager,can negotiate contracts or prices, supervisory authority. No of these examples is
required, determined on a case by case basis.
FSG-Condoned Ans- If individual knew of the offense and didn't take reasonable steps to prevent or
terminate the offense.
, FSG- willfully ignorant of the offense Ans- If the individual did not investigate the possible occurrence of
unlawful conduct despite knowledge of circumstances that would lead a reasonable person to
investigate.
FSG-Part B:Methods for remedying harm Ans- 1.Restitution order or probation requiring restitution.
2.Remedial order or community service when harm would not be otherwise remedied.
FSG Restitution to identifiable victim Ans- Can be made in lump sum, partial payments at specifed
intervals, in - kind payments or combination of each.
FSG-in-kind payment Ans- 1. Return of property
2. Replacement of property
3. If the victim agrees services rendered to the victim or to a person organization other than the victim
FSG - Remedial Orders Ans- RO as part of Probation can require organization to remedy harm and
eliminate or reduce the risk the offense will cause future harm. If future harm can be reasonably
estimated then court can require the organization to create a trust fund sufficient to address that
expected harm.
FSG-Community Service Ans- An organization can perform community service only by employing it's
resources or paying it's employees or others to do so.
FSG-Compliance and ethics program. 4 factors to consider in meeting requirements Ans- A). Applicable
Government Regulation and Industry Practice
B).Size of the organization
C).Recurrence of similar misconduct
FSG-Small Organization Ans- <200 employees
