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HOUSE_OVERSIGHT_022571

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Or to determine whether the Guidelines would recommend acts; the involvement in or tolerance of criminal activ- that incarceration is appropriate, the length of any term of ity by high-level personnel within the organization; and incarceration, and the appropriate amount of any fine. For prior misconduct or obstructive behavior. The culpability corporations, the offense level is modified by factors par- score is reduced if the organization had an effective pre- ticular to organizations as described in Chapter 8 to deter- existing compliance program to prevent violations and if mine the applicable organizational penalty. the organization voluntarily disclosed the offense, cooper- For example, violations of the anti-bribery provi- ated in the investigation, and accepted responsibility for sions are calculated pursuant to § 2C1.1. The offense level the criminal conduct? is determined by first identifying the base offense level; adding additional levels based on specific offense charac- Civil Penalties teristics, including whether the offense involved more than Although only DOJ has the authority to pursue crim- one bribe, the value of the bribe or the benefit that was con- inal actions, both DOJ and SEC have civil enforcement ferred, and the level of the public official; adjusting the authority under the FCPA. DOJ may pursue civil actions offense level based on the defendant's role in the offense;*! for anti-bribery violations by domestic concerns (and their and using the total offense level as well as the defendant’s officers, directors, employees, agents, or stockholders) and criminal history category to determine the advisory guide- foreign nationals and companies for violations while in the line range?” For violations of the accounting provisions United States, while SEC may pursue civil actions against assessed under § 2B1.1, the procedure is generally the issuers and their officers, directors, employees, agents, or same, except that the specific offense characte

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