○ 米国では刑事罰は、法令の規定する範囲内で裁判官の判断・裁量により行なわれて来ましたが、この判断が案件ごとに大きく異なりまた裁量の範囲が広いので、客観性のあるガイドラインを作成するために、1984年にFederal Sentencing Commission（連邦量刑委員会）が組織され、1991年にFEDERAL SENTENCING GUIDELINE(連邦量刑ガイドライン)を制定、今日に至っています。このガイドラインの第8章には、会社等の組織に対する量刑ガイドラインが規定されています。日本でも、2006年に独禁法が改正され、リニエンシー（課徴金減免）制度が導入されていますが、この8章では、企業等行なった違法行為に対する罰金の算出についての考え方が規定されています。<o:p></o:p>
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○ それによると裁判所が判断するCulpability Score(有責評価点)に基づき算定することになっています(8章Part C)。まず、Offence Level(違反レベル)を決め、これに対するBase Fine (基本罰金額)を適用し、これにCulpability Scoreを適用して加算・減算するシステムになっています。<o:p></o:p>
○ 企業等の組織のコンプライアンス体制・関与度合いにより有責評価点が上下しますので、企業としてもきちんと普段から法令遵守・コンプライアンス体制を構築し、役職員に徹底しておかないといけないということになります。<o:p></o:p>
8章B2.1には、Effective Compliance and Ethics Program（効果的なコンプライアンスと倫理プログラム）の定めがあり、企業として普段からどのようなコンプライアンス体制を整備しておかないといけないかの規定があります。日本企業の米国法人には当然適用されます。即ち日本の本社がこれを理解して、コンプライアンスプログラムを策定しておかないといけないということで、その条文を、以下に掲載します。<o:p></o:p>
§8B2.1. Effective Compliance and Ethics Program<o:p></o:p>
(a) To have an effective compliance and ethics program, for purposes of subsection (f) of §8C2.5 (Culpability Score) and subsection (b)(1) of §8D1.4 (Recommended Conditions of Probation - Organizations), an organization shall?<o:p></o:p>
(1) exercise due diligence to prevent and detect criminal conduct; and <o:p></o:p>
(2) otherwise promote an organizational culture that encourages ethical conduct and a commitment to compliance with the law.<o:p></o:p>
Such compliance and ethics program shall be reasonably designed, implemented, and enforced so that the program is generally effective in preventing and detecting criminal conduct. The failure to prevent or detect the instant offense does not necessarily mean that the program is not generally effective in preventing and detecting criminal conduct.<o:p></o:p>
(b) Due diligence and the promotion of an organizational culture that encourages ethical conduct and a commitment to compliance with the law within the meaning of subsection (a) minimally require the following:<o:p></o:p>
(1) The organization shall establish standards and procedures to prevent and detect criminal conduct.<o:p></o:p>
(2) (A) The organization's governing authority shall be knowledgeable about the content and operation of the compliance and ethics program and shall exercise reasonable oversight with respect to the implementation and effectiveness of the compliance and ethics program.<o:p></o:p>
(B) High-level personnel of the organization shall ensure that the organization has an effective compliance and ethics program, as described in this guideline. Specific individual(s) within high-level personnel shall be assigned overall responsibility for the compliance and ethics program.<o:p></o:p>
(C) Specific individual(s) within the organization shall be delegated day-to-day operational responsibility for the compliance and ethics program. Individual(s) with operational responsibility shall report periodically to high-level personnel and, as appropriate, to the governing authority, or an appropriate subgroup of the governing authority, on the effectiveness of the compliance and ethics program. To carry out such operational responsibility, such individual(s) shall be given adequate resources, appropriate authority, and direct access to the governing authority or an appropriate subgroup of the governing authority.<o:p></o:p>
(3) The organization shall use reasonable efforts not to include within the substantial authority personnel of the organization any individual whom the organization knew, or should have known through the exercise of due diligence, has engaged in illegal activities or other conduct inconsistent with an effective compliance and ethics program.<o:p></o:p>
(4) (A) The organization shall take reasonable steps to communicate periodically and in a practical manner its standards and procedures, and other aspects of the compliance and ethics program, to the individuals referred to in subparagraph (B) by conducting effective training programs and otherwise disseminating information appropriate to such individuals' respective roles and responsibilities.<o:p></o:p>
(B) The individuals referred to in subparagraph (A) are the members of the governing authority, high-level personnel, substantial authority personnel, the organization's employees, and, as appropriate, the organization's agents.<o:p></o:p>
(5) The organization shall take reasonable steps?<o:p></o:p>
(A) to ensure that the organization's compliance and ethics program is followed, including monitoring and auditing to detect criminal conduct;<o:p></o:p>
(B) to evaluate periodically the effectiveness of the organization's compliance and ethics program; and<o:p></o:p>
(C) to have and publicize a system, which may include mechanisms that allow for anonymity or confidentiality, whereby the organization's employees and agents may report or seek guidance regarding potential or actual criminal conduct without fear of retaliation. <o:p></o:p>
(6) The organization's compliance and ethics program shall be promoted and enforced consistently throughout the organization through (A) appropriate incentives to perform in accordance with the compliance and ethics program; and (B) appropriate disciplinary measures for engaging in criminal conduct and for failing to take reasonable steps to prevent or detect criminal conduct.<o:p></o:p>
(7) After criminal conduct has been detected, the organization shall take reasonable steps to respond appropriately to the criminal conduct and to prevent further similar criminal conduct, including making any necessary modifications to the organization's compliance and ethics program. <o:p></o:p>
(c) In implementing subsection (b), the organization shall periodically assess the risk of criminal conduct and shall take appropriate steps to design, implement, or modify each requirement set forth in subsection (b) to reduce the risk of criminal conduct identified through this process.
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