Sentencing Guidelines in Antitrust: A Practitioner's Handbook

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Robert Engelbrecht Hauberg
American Bar Association, Jan 1, 1999 - Antitrust law - 112 pages
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"This handbook was prepared by members of the Antitrust Section's Criminal Practice and Procedure Committee to provide the practitioner with a general overview and explanation of the Sentencing Guidelines, promulgated by the United States Sentencing Commission, applicable in criminal antitrust cases involving both corporate and individual defendants. It is intended as a practice aid that would prove helpful in counseling clients, assessing exposure, determining and advocating sentence ranges and fines, and evaluating and negotiating leniency and plea agreements." -- from the Foreword, p. iii.
 

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Contents

CHARGING DECISIONS
1
2 Mail and Wire Fraud
3
3 False Statements to a Government Agency
4
5 Perjury and False Statements in Testimony
5
6 Obstruction of Justice
6
8 Extortion by and Bribery of Public Officials
7
C Relation of Charges to Statutory Maximum Sentences
8
2 Criminal Law Amendments
9
D Determining the Minimum and Maximum Multipliers
45
F Upward or Downward Departures Under the Organizational Guidelines
47
G Corporate Restitution Under the 1991 Guidelines
48
H Corporate Probation Under the Organizational Guidelines
49
MISCELLANEOUS ISSUES AFFECTING SENTENCING
53
B Relevant Conduct Provisions of the Guidelines
55
C The Effect of Multiple Counts of Conviction Grouping Analysis
57
D Total Punishment Concurrent Versus Consecutive Sentences
59

b The Criminal Fine Enforcement Act of 1984
10
c The Criminal Fine Improvements of 1987
11
THE ANTITRUST SENTENCING GUIDELINES GENERAL ISSUES
13
B Calculating the Sentence for Antitrust Offenses Under the Guidelines an Overview
14
C Determining Which Guidelines Apply to the Offense
17
1 The Sentencing Reform Act
18
2 The Ex Post Facto Clause Generally
19
3 The Guidelines Approach to Ex Post Facto Issues
20
4 Clarifying and Procedural Versus Substantive Amendments
21
THE 1987 ANTITRUST GUIDELINES
23
B Incarceration for Individuals Under the 1987 Antitrust Guidelines
24
C Chapter Three Adjustments for Individuals Under the 1987 Guidelines
25
2 Abuse of Trust or Use of Special Skill
26
D Departures Under Section 5K
27
F 1987 Antitrust Guidelines for Organizations
28
THE 1991 ANTITRUST GUIDELINES FOR INDIVIDUALS
31
B Incarceration for Individuals Under the 1991 Guidelines
32
C Chapter Three Adjustments for Individuals Under the 1991 Guidelines
33
2 Abuse of Trust or Use of Special Skill
34
3 Obstruction of the Administration of Justice
35
4 Acceptance of Responsibility
36
D Departures Under Section 5K
37
1 Departure Based on Substantial Assistance
38
E Alternatives to Incarceration Under the 1991 Guidelines
39
1991 ANTITRUST GUIDELINES FOR ORGANIZATIONS
41
A Overview of the Fine Calculation Under the 1991 Guidelines
42
C Determining the Culpability Score
43
2 Decreases in the Culpability Score
44
GUIDELINES FOR RELATED OFFENSES
61
2 Sentencing Under the Mail and Wire Fraud Guidelines
62
3 Adjustments Under Chapters Three and Five
63
5 Organizational Fines for Mail and Wire Fraud Distinguished From Antitrust Offense Fines
65
B Perjury and Obstruction of Justice
66
1 Chapters Three and Five Adjustments
67
C False Statements
68
ADVISING THE CLIENT FOR SEEKING LENIENCY AND PLEA BARGAINING
69
Corporate and Individual Leniency Programs
71
2 Individual Leniency
74
C Evaluating AggravatingMitigating Factors Under the Guidelines
75
2 Calculating Fines for the Individual Defendant Under the Guidelines
77
c Aggravating Factors
78
3 Violation of an Order
79
2 SelfReporting Cooperation and Acceptance of Responsibility
80
f Factors Considered in Determining the Appropriate Fine Withing the Fine Range
81
2 Departures
82
D Plea Bargaining
83
ADVOCACY IN THE SENTENCING PROCESS
89
B The Probation Office and the Presentence Investigation
90
C Sentencing Advocacy on Behalf of Individual Defendants
91
D Corporate Sentencing Advocacy
92
E Procedural Issues
94
SAMPLE SENTENCES IMPOSED Corporations
95
UNITED STATES SENTENCING GUIDELINES PART R ANTITRUST OFFENSES
101
ANTITRUST DIVISION CORPORATE LENIENCY POLICY
107
ANTITRUST DIVISION INDIVIDUAL LENIENCY POLICY
111
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