Obstruction of Congress: a Brief Overview of Federal Law Relating to Interference with Congressional Activities

^Pr^ep^ar^{ed f}^o^r^M^e^m^b^ers^an^d^Com^mⁱ^t^t^ees^of^C^ong^r^e^ss

Obstruction of justice is the impediment of governmental activities. There are a host of federal
criminal laws that prohibit obstructions of justice. The six most general outlaw obstruction of
judicial proceedings (18 U.S.C. 1503), witness tampering (18 U.S.C. 1512), witness retaliation
(18 U.S.C. 1513), obstruction of Congressional or administrative proceedings (18 U.S.C. 1505),
conspiracy to defraud the United States (18 U.S.C. 371), and contempt (a creature of statute, rule
and common law). All but Section 1503 cover Congressional activities.
The laws that supplement, and sometimes mirror, the basic six tend to proscribe a particular
means of obstruction. Some, like the perjury and false statement statutes, condemn obstruction by
lies and deception. Others, like the bribery, mail fraud, and wire fraud statutes, prohibit
obstruction by corruption. Some outlaw the use of violence as a means of obstruction. Still others
ban the destruction of evidence. A few simply punish “tipping off” those who are the targets of an
investigation. A good number of these apply in a Congressional context.
Many of these offenses may also provide the basis for racketeering and money laundering
prosecutions, and each provides the basis for criminal prosecution of anyone who aids and abets
in or conspires for their commission.
This report is available in abbreviated form – without footnotes, quotations, or citations – as CRS
Report RS22784, Obstruction of Congress: An Abridged Overview of Federal Criminal Laws
Relating to Interference with Congressional Activities. Both versions have been excerpted from
CRS Report RL34303, Obstruction of Justice: an Overview of Some of the Federal Statutes that
Prohibit Interference with Judicial, Executive, or Legislative Activities. Other excerpted portions
are also available as the following: CRS Report RS22783, Obstruction of Justice: An Abridged
Overview of Related Federal Criminal Laws; CRS Report 98-808, Perjury Under Federal Law: A
Brief Overview; and CRS Report 98-807, Perjury Under Federal Law: A Sketch of the Elements,
all by Charles Doyle.

Introduc tion ............................................................................................................................... 1
General Obstruction Prohibitions..............................................................................................1
Witness Tampering (18 U.S.C. 1512).......................................................................................1
Obstruction by Violence (18 U.S.C. 1512(a)).....................................................................2
Auxiliary Offenses and Liability.........................................................................................5
Obstruction by Intimidation, Threats, Persuasion, or Deception (18 U.S.C.
1512(b) ........................................................................................................................ ..... 8
Obstruction by Destruction of Evidence (18 U.S.C. 1512(c))..........................................13
Obstruction by Harassment (18 U.S.C. 1512(d))..............................................................15
Obstructing Congressional or Administrative Proceedings (18 U.S.C. 1505)........................17
Retaliating Against Federal Witnesses (18 U.S.C. 1513)........................................................20
Conspiracy to Obstruct (18 U.S.C. 371).................................................................................22
Conspiracy to Defraud......................................................................................................22
Conspiracy to Commit a Substantive Offense..................................................................22
Contempt of Congress.............................................................................................................23
Obstruction of Justice by Violence or Threat..........................................................................29
Violence and Threats Against Officials, Former Officials, and Their Families (18
U.S.C. 115)....................................................................................................................29
Violence and Threats Against Federal Officials on Account of the Performance of
Their Duties...................................................................................................................33
Obstruction of Justice by Bribery............................................................................................35
Bribery of Jurors, Public Officers and Witnesses (18 U.S.C. 201)...................................35
Obstruction by Mail or Wire Fraud (18 U.S.C. 1341, 1343)............................................37
Obstruction by Extortion Under Color of Official Right (18 U.S.C. 1951)......................42
Obstruction of Justice by Deception.......................................................................................43
Perjury Generally (18 U.S.C. 1621)..................................................................................43
Subornation of Perjury (18 U.S.C. 1622)..........................................................................46
False Statements (18 U.S.C. 1001)...................................................................................47
Author Contact Information..........................................................................................................50

Obstruction of justice is the frustration of governmental purposes by violence, corruption, ¹
destruction of evidence, or deceit. It is a federal crime. In fact, federal obstruction of justice laws ²
are legion; too many for even passing reference to all of them in a single report. This is a brief ³
description of those that outlaw interference with Congressional activities.
The general federal obstruction of justice provisions are six: 18 U.S.C. 1512 (tampering with
federal witnesses), 1513 (retaliating against federal witnesses), 1503 (obstruction of pending
federal court proceedings), 1505 (obstruction of pending Congressional or federal administrative ⁴
proceedings), 371 (conspiracy), and contempt. All but Section 1503 apply to Congressional
activities. In addition to these, there are a host of other statutes that penalize obstruction by
violence, corruption, destruction of evidence, or deceit.
Section 1512 applies to the obstruction of federal proceedings – Congressional, judicial, or ⁵
executive. It consists of four somewhat overlapping crimes: use of force or the threat of the use
of force to prevent the production of evidence (18 U.S.C. 1512(a)); use of deception or corruption
or intimidation to prevent the production of evidence (18 U.S.C. 1512(b)); destruction or
concealment of evidence or attempts to do so (18 U.S.C. 1512(c)); and witness harassment to
prevent the production of evidence (18 U.S.C. 1512(d)). The offenses have similar, but not
identical, objectives and distinctive elements of knowledge and intent. Section 1512 also contains
free standing provisions that apply to one or more of the offenses within the section. These deal
with: affirmative defenses (18 U.S.C. 1512(e)); jurisdictional issues (18 U.S.C. 1512(f),(g),(h));
venue (18 U.S.C. 1512(i)); sentencing (18 U.S.C. 1512(j)); and conspiracy (18 U.S.C. 1512(k)).

¹^B^l^a^ck’s^de^s^c^rⁱ^be^s^o^b^s^t^r^u^c^tⁱ^oⁿ^of^jus^tic^e^sⁱ^m^p^l^y^a^s^aⁿ^y^“ⁱ^nte^r^f^e^r^e^nc^{e w}^{ith the}^or^de^r^l^y^a^d^mⁱ^nis^t^r^a^tion^o^f^law^a^nd
^j^u^stⁱ^ce,^{” B}^LA^C^K^’^S^L^AW^D^I^C^T^I^ON^ARY^{, 11}⁰⁷⁽⁸^th^e^d^.²⁰⁰⁴⁾^.
²^For^t^h^is^r^e^a^s^on^{, t}^h^e^f^{t a}^{nd e}^m^be^z^z^le^m^e^{nt s}^t^a^t^ute^s^a^r^e^be^y^{ond the}^s^c^ope^of^th^is^r^e^por^{t, e}^v^eⁿ^th^oug^h^th^ey^a^r^e^of^teⁿ
^de^sⁱ^gⁿ^e^d^to^pr^e^v^eⁿ^{t t}^h^e^f^r^us^tr^a^tio^{n of}^g^o^v^e^rⁿ^m^e^{nt pr}^og^r^a^m^s^.
³^P^o^r^tⁱ^ons^of^this^r^e^p^o^r^t^dr^a^w^upoⁿ^tw^{o e}^a^r^lie^r^doc^um^eⁿ^ts^{, C}^R^S^R^e^p^o^r^t⁹⁸^-⁸⁰⁸^,^Pe^rjury^Un^de^{r Fe}^de^r^a^{l L}^a^{w: A}^Brie^f
^Overvi^ew^{, a}^{nd C}^R^S^R^e^por^t⁹⁸^-⁸³²^,^Ob^st^r^u^ctⁱ^oⁿ^of^Ju^stⁱ^{ce Und}^e^{r F}^e^d^e^ra^l^L^a^w:^A^R^evi^{ew o}^f^So^{me o}^f^t^h^{e E}^l^emen^t^s^.
⁴^C^onte^m^{pt is}^a^c^r^e^a^t^ur^e^of^s^t^a^t^ute^a^{nd c}^o^m^m^{on la}^w^de^s^c^rⁱ^be^{d in,}^b^u^t^no^{t lim}^ite^{d to,}¹⁸^U^.^S^.^C^.⁴⁰^1,⁴⁰^{2; 2}^U^.^S.C^.¹^92.
⁵^{18 U}^.^S.C.¹⁵¹⁵^(a^{)(1) (“}^A^s^use^dⁱⁿ^se^c^tions¹⁵¹²^aⁿ^d¹⁵¹³^of^this^t^itle^a^nd^{in t}^h^{is se}^c^tio^{n –}⁽¹⁾^the^te^rm^“^o^ff^ic^ia^l
^p^r^o^ceedⁱⁿ^{g” m}^ean^{s –}^(A^{) a p}^r^o^ceedⁱⁿ^{g b}^e^f^o^{re a j}^u^d^g^{e o}^r^co^u^r^t^o^f^t^h^{e Un}ⁱ^t^e^{d S}^t^at^es,^{a Un}ⁱ^t^ed^S^t^at^es^magi^st^rat^e^j^u^d^g^e,^a
^ba^nk^r^uptc^y^judg^e^,^a^ju^dg^e^of^the^Uⁿ^ite^{d S}^t^a^t^e^s^T^a^x^C^our^{t, a}^s^p^e^cⁱ^a^l^tr^ia^{l j}^udg^e^of^the^T^a^x^C^our^{t, a}^j^u^dg^e^of^the^Uⁿ^ite^d
^S^t^at^{es Co}^u^r^t^o^f^F^e^d^e^ral^Cl^ai^m^s^,^o^r^{a F}^e^d^e^ral^gran^d^j^u^ry^;^{(B) a p}^r^o^c^eedⁱⁿ^{g b}^e^f^o^{re t}^h^{e Con}^g^ress;^{(C) a p}^r^o^ceedⁱⁿ^{g b}^e^f^o^re
^{a F}^e^d^e^ral^G^o^vern^m^eⁿ^t^agen^c^y^w^hⁱ^c^hⁱ^s^au^t^h^o^rⁱ^{zed b}^y^l^a^w^;^o^r^{(D) a}^p^r^o^ceedⁱⁿ^{g i}ⁿ^vo^l^vⁱⁿ^{g t}^h^e^b^u^sⁱⁿ^{ess o}^fⁱⁿ^su^ran^ce
^w^hose^a^c^tiv^itie^{s a}^f^f^e^c^t^inte^rsta^te^c^o^m^m^e^r^c^e^be^f^o^re^aⁿ^y^insura^nc^e^re^g^u^la^tory^offⁱ^cⁱ^a^l^{or a}^g^eⁿ^c^y^{or a}ⁿ^y^a^g^eⁿ^{t or e}^x^a^m^ine^r
^a^ppoi^nte^d^by^s^u^c^h^of^fⁱ^cⁱ^a^l^or^a^g^eⁿ^cy^{to e}^x^am^ine^the^a^f^f^a^ir^s^o^f^aⁿ^y^pe^r^s^{on e}ⁿ^g^a^g^e^{d in t}^h^e^b^u^sⁱ^ne^s^s^ofⁱⁿ^s^u^r^a^nc^e^w^hos^e
^activ^{ities a}^f^f^{ect in}^{terstate co}^mm^er^{ce”). Fe}^d^e^{ral p}^r^o^s^ecu^ti^oⁿ^s^f^o^{r o}^b^s^t^ru^ctin^g^{state in}^s^u^ran^{ce p}^r^o^ceedⁱⁿ^g^s^ap^p^{ear to}^h^a^v^e
^be^eⁿ^inf^r^e^que^nt^{. F}^o^r^a^d^diti^ona^l^di^s^c^us^sⁱ^on^of^Se^c^tion¹⁵^{12 s}^e^e^,^T^w^en^t^y^-S^eco^nd^Su^{rvey o}^f^Whⁱ^t^e^C^o^l^l^a^r^Cri^m^e:
^Obstruc^tio^{n o}^f^J^u^stic^e^{, 44}^A^ME^RI^CA^N^C^RI^MI^N^A^L^L^AW^R^EV^IEW^{794 (}²⁰⁰⁷⁾^.

Subsection 1512(a) has slightly different elements depending upon whether the offense involves a
killing or attempted killing – 18 U.S.C. 1512(a)(1), or some other use of physical force or a threat ⁶
– 18 U.S.C. 1512(a)(2). In essence, they condemn the use of violence to prevent a witness from
testifying or producing evidence for an investigation and set their penalties according to whether
the obstructive violence used is a homicide, an assault or a threat. In more exact terms, they
declare:
¹⁵¹^{2(a)(1) 151}^2(a)(2)
^{I. Whoever}^{I. Whoever}
^{II. a. kills or}^{II. a. uses p}^{hysical force,}
^{b. attempts to kill} ^{b. attempts to}^{use p}^{hysical force,}
^{c. uses the}^thr^{eat of p}^{hysical forc}^{e, or}
^{d. attempts to use t}^{he t}^{hreat of}^p^{hysical force}
^{III. with the}^{intent to}^{III. with the}^{intent to}
^{a. prevent at}^tendanc^{e or testimony at an}^official^{a. influence, delay, or prevent}^tes^{timony at an official}
^{proceeding (i.e., a federal judic}^ial^,^{legislative or}^proceeding
^{administrative proceeding)}
^{b. preve}^{nt t}^{he p}^{roduction of an it}^{em at an official}^{b. cause or ind}^{uce anot}^{her to wit}^{hhold testimony or an}
^proceeding^{item at an official proceeding}
^{c. prevent}^the^{communication to}^U.S.^law^{c. hinder, delay or preve}^{nt the}^{communication to U.S. law}
^enforceme^{nt aut}^{horities of a fede}^{ral offense or a}^enforceme^{nt aut}^{horities of a fede}^{ral offense or a}
^violat^{ion of probation, parole, or supe}^rvised^violat^{ion of probation, parole, or supe}^{rvised release}
^release.
^{d. cause or induce a}^{nother to alt}^{er, conceal or destroy an}
^{item with the inte}^{nt to make}^una^vailable
^{e. cause or induce}^anothe^{r to eva}^{de process}
^{f. cause or indu}^{ce anothe}^{r to fail to comply with process}
^{IV. shall be pu}^{nished u}^{nder §1}⁵¹²^{(a)(3) in the case of:}^{IV. shall be pu}^{nished u}^{nder §1}⁵¹²^{(a)(3) in the case of:}
^{a. murder- death or life imprison}^ment^{a. use or attempt}^{ed use of}^phy^{sical force- imprisonment}
^{for not more tha}ⁿ^{20 yea}^rs
^{b. voluntary ma}^nslaugh^{ter- impris}^{onment for}^not^{b. threats to}^use^{physical force - i}^mprisonme^{nt for}^not
^{more than}¹⁰^years^{more than}¹⁰^years
^{c. involuntary ma}^nslaughte^{r- impr}^{isonment for}^not
^{more than}^{6 yea}^rs
^{d. attempted murder- im}^prisonm^{ent for}^{not more}⁷
^{than 20}^y^ears

⁶^He^re^a^{nd thr}^oug^h^o^u^t^th^{is re}^por^{t t}^h^e^ou^tline^of^the^sta^t^ut^e^’^{s e}^l^e^m^eⁿ^{ts use}^s^the^la^ng^ua^g^e^of^the^sta^t^ute^w^h^e^r^e^v^e^r
^pos^sⁱ^ble^.
⁷^{18 U}^.^S.C.¹⁵¹²^(a^{). Unlik}^e^m^o^{st fe}^de^ra^{l c}^r^im^e^s^{, subse}^c^ti^on¹⁵^12(a⁾^doe^s^not^inc^l^u^d^e^im^positioⁿ^of^a^fⁱ^ne^a^m^ong^the
^s^a^nc^tions^t^h^a^t^f^o^llow^a^s^a^c^ons^e^q^u^e^nc^e^of^its^pr^ov^is^io^ns^{– w}^ith^one^e^x^c^e^p^{tion. I}^t^s^t^a^t^e^s^t^h^a^t^a^s^u^bs^e^c^tion¹⁵¹²⁽^a⁾
^m^a^nsla^ug^hte^r^of^fe^nse^sha^{ll be}^p^uⁿ^ishe^{d a}^s^prov^ide^dⁱⁿ¹⁸^U.S^.^C.¹¹¹²^{. I}ⁿ^a^d^d^itio^{n t}^o^a^te^rm^ofⁱ^m^prisonm^eⁿ^{t, se}^c^tion
¹¹¹^{2 sta}^t^e^s^t^h^a^t^of^f^e^nde^rs^m^a^y^be^“^f^ine^d^un^de^{r this}^title^.”^Se^c^tⁱ^on³⁵⁷¹^of^T^itle^{18 se}^{ts t}^h^e^g^e^ne^ra^{l f}ⁱ^ne^le^v^e^{l f}^o^r
^f^e^l^oⁿⁱ^{es (cri}^m^e^s^w^h^o^s^e^m^a^xi^m^u^{m t}^e^rm^o^fⁱ^m^p^rⁱ^s^oⁿ^m^en^tⁱ^s^m^o^{re t}^h^an^oⁿ^e^y^{ear) at}^t^h^{e great}^{er o}^f^ei^t^h^{er n}^o^t^m^o^{re t}^h^an
^$25^0,⁰⁰^{0 f}^o^rⁱⁿ^divⁱ^d^u^a^l^s⁽ⁿ^{ot m}^o^r^e^thaⁿ^$5^00,⁰⁰^{0 f}^o^r^or^g^a^niz^a^tio^ns⁾^or^tw^ic^e^the^a^m^{ount of}^g^a^{in or}^l^o^s^s^a^s^s^o^cⁱ^a^t^e^d^w^ith
⁽^c^onti^nue^d.^..)

Subsection 1512(j) provides that the maximum term of imprisonment for subsection 1512(a)
offenses may be increased to match the maximum term of any offense involved in an obstructed ⁸
criminal trial.
Subsection 1512(a)’s whistle blower offense applies only to violence intended to obstruct the ⁹
flow of information to federal “law enforcement officers.” The definition of “law enforcement
officers” for purposes of subsection 1512(a) seems too narrow to encompass the Members or ¹⁰
committees of Congress or their staff under most circumstances.
There are two statutory defenses to charges under Section 1512. One covers legitimate legal ¹¹
advice and related services, 18 U.S.C. 1515(c), and is intended for use in connection with the
corrupt persuasion offenses proscribed elsewhere in Section 1512 rather than the violence
offenses of subsection 1512(a). The other statutory defense is found in subsection 1512(e) and
creates an affirmative defense when an individual engages only in conduct that is lawful in order
to induce another to testify truthfully. The defense would appear to be of limited use in the face of ¹²
a charge of the obstructing use or threat of physical force in violation of subsection 1512(a).

^(...c^on^tin^ue^d)
^the^of^f^e^ns^e^.^For^pur^pos^e^s^of^br^e^v^ity^a^{nd c}^onv^eⁿ^ie^nc^e^,^a^r^e^f^e^r^e^nc^e^h^e^r^e^af^te^r^{to a}^fⁱ^ne^of^{not m}^o^r^e^thaⁿ^$2^50,⁰⁰^{0 s}^h^o^u^ld
^be^un^de^r^s^to^od^{to i}ⁿ^c^l^u^d^e^the^hig^h^e^r^lim^its^f^o^r^or^g^a^niz^a^tions^or^w^h^eⁿ^the^g^aⁱⁿ^or^l^o^s^s^a^s^s^o^cⁱ^a^t^e^d^w^ith^the^of^f^e^ns^e^is
^g^r^e^a^t^e^r^.^A^lthoug^{h m}^a^ny^f^e^de^r^a^{l s}^t^a^t^ute^s^s^u^g^g^e^s^t^tha^t^of^f^e^nde^r^s^m^a^y^be^s^e^nteⁿ^c^e^d^t^o^a^fⁱ^ne^r^a^the^r^t^h^aⁿ^a^te^r^m^o^f
^im^pr^is^onm^eⁿ^{t a}^t^the^dis^c^r^e^tio^{n of}^the^c^our^{t, o}^t^he^r^pr^ov^is^io^ns^of^la^w^a^{nd t}^h^e^inf^l^ue^nc^e^of^the^Se^nteⁿ^cⁱⁿ^g^G^u^ide^line^s
^g^r^e^a^t^l^y^c^u^r^t^a^{il the}^num^be^r^of^ins^t^aⁿ^c^e^s^{in w}^h^ic^{h s}ⁱ^m^p^le^im^pos^ition^of^a^fⁱ^ne^w^ould^be^c^onsⁱ^d^e^r^e^d^aⁿ^a^ppr^o^p^rⁱ^a^t^e
^pun^ishm^eⁿ^{t f}^o^{r the}^c^o^m^m^{ission o}^f^a^f^e^lony^{, 18 U.S.C.}³⁵⁵³^(im^position^of^se^nteⁿ^c^e⁾^{; U.S.}^S.G^.^§§^2J^1.2,^2J^1.3^(ba^s^e
^of^f^e^ns^e^le^v^e^l^f^o^r^obs^tr^uc^ti^on^of^ju^s^tic^e^a^{nd pe}^r^j^ur^y^is¹⁴⁾^{, U}^.^S.S.G^.^c^h^.5^{Pt. A}^Se^nteⁿ^cⁱ^ng^T^a^ble⁽^s^e^nteⁿ^cⁱ^ng^r^a^ng^e^f^o^r
^fⁱ^r^s^{t ti}^m^e^of^f^e^nde^r^s^w^{ith a}ⁿ^of^f^e^nse^le^v^e^{l of}^{14 is}¹⁵^t^o²¹^m^onthsⁱ^m^pr^is^onm^eⁿ^t)^{. For}^a^g^e^ne^r^a^{l dis}^c^us^sⁱ^on^of^the
^ope^r^a^tio^{n of}^the^f^e^de^r^a^{l s}^e^nteⁿ^cⁱⁿ^g^g^u^ide^line^s^s^e^e^C^R^S^R^e^por^{t R}^L³²⁸⁴^6,^H^o^{w t}^h^{e F}^e^d^e^ra^l^S^eⁿ^t^eⁿ^ci^ng^Guⁱ^d^elⁱⁿ^es
^W^o^r^k^:^Tw^{o Ex}^am^ple^s^.
⁸^“^I^f^the^of^f^e^ns^e^unde^r^t^h^is^s^e^c^tion^oc^c^u^r^s^{in c}^oⁿⁿ^e^c^tion^w^{ith a}^tr^ia^{l o}^f^a^c^rⁱ^m^ina^l^c^a^s^e^,^the^m^a^xⁱ^m^u^m^te^r^m^o^f
^im^pr^is^onm^eⁿ^t^w^h^ic^{h m}^a^y^beⁱ^m^p^o^s^e^{d f}^o^r^the^of^f^e^ns^e^s^h^a^{ll be}^the^hⁱ^g^h^e^r^of^tha^t^ot^he^r^w^is^e^pr^ov^ide^d^b^y^law^or^the
^maxi^m^u^m^t^e^r^m^t^h^at^co^u^l^d^h^a^{ve b}^eenⁱ^m^p^o^s^ed^f^o^{r an}^y^o^ffen^s^{e ch}^ar^gedⁱⁿ^su^{ch case,}^{” 1}⁸^U.^S^.^C.¹⁵¹²^(j^).
⁹^“^W^hoe^v^e^{r k}^{ills or a}^tte^m^p^{ts to k}^{ill a}^not^he^{r pe}^rsoⁿ^{, w}^{ith i}ⁿ^te^nt^to^{. .}^{. (C) pre}^v^eⁿ^{t t}^h^e^c^o^m^m^unic^a^tion^by^aⁿ^y^pe^{rson to a}
^la^w^eⁿ^f^o^r^c^em^eⁿ^{t of}^fⁱ^c^e^r^or^judg^e^of^the^Uⁿ^ite^d^Sta^t^e^s^of^inf^o^r^m^a^{tion r}^e^la^ting^t^o^the^c^o^m^m^is^sⁱ^{on or}^p^o^s^sⁱ^ble^c^o^m^m^is^sⁱ^on
^of^a^Fe^de^r^a^{l of}^f^e^ns^e^or^a^vⁱ^ola^tioⁿ^of^c^ondi^tio^ns^of^pr^oba^ti^on,^pa^r^o^l^e^{, or}^r^e^le^a^s^e^pe^ndi^ng^ju^dicⁱ^a^l^pr^oc^e^e^d^ing^s^{; s}^h^a^{ll be}
^pun^is^he^{d a}^s^pr^ov^ide^dⁱⁿ^pa^r^a^g^r^a^{ph (}³⁾^,^”¹⁸^U^.^S.C^.¹⁵¹²⁽^a⁾⁽¹⁾^.^T^h^e^obs^tr^uc^tⁱ^oⁿ^by^phy^sⁱ^c^a^l^vⁱ^oleⁿ^c^e^or^thr^e^a^t^por^tⁱ^oⁿ^of
^su^b^s^ectioⁿ¹⁵¹²^{(a) is sim}^ilarl^y^wo^rd^ed^,^{see 1}⁸^U^.^S.C.¹⁵¹²^(a)(2^).
¹⁰^A^s^use^d^{in se}^c^tions¹⁵¹²^aⁿ^d¹⁵¹³^of^this^title^aⁿ^{d i}ⁿ^t^h^{is se}^c^tion^.^.^{. (4) t}^h^e^te^rm^‘la^w^eⁿ^f^o^rc^e^m^eⁿ^{t of}^fⁱ^c^e^r’^m^e^aⁿ^{s a}ⁿ
^of^fⁱ^c^e^r^or^e^m^plo^y^e^e^o^f^the^Fe^de^r^a^{l G}^o^v^e^rⁿ^m^e^{nt, or}^a^pe^r^s^oⁿ^a^u^t^horⁱ^z^e^d^{to a}^c^t^f^o^r^or^on^be^ha^lf^of^the^Fe^de^r^a^l
^G^o^v^e^rⁿ^m^e^{nt or}^s^e^r^v^ing^the^Fe^de^r^a^{l G}^o^v^e^rⁿ^m^e^{nt a}^s^aⁿ^a^d^vⁱ^s^e^r^or^c^ons^ul^ta^nt^{– (}^A⁾^a^u^thor^iz^e^d^u^nde^r^l^a^w^{to e}ⁿ^g^a^ge^{in or}
^s^upe^r^v^is^e^the^pr^e^v^eⁿ^tio^n,^de^te^c^tio^{n, i}ⁿ^v^e^s^tig^a^tion,^or^pr^os^e^c^u^tioⁿ^of^aⁿ^of^f^e^ns^e^;^or⁽^B⁾^s^e^r^v^ing^a^s^a^pr^oba^ti^on^or^pr^e^t^rⁱ^a^l
^s^e^rv^ic^es^offⁱ^c^e^r^unde^{r this}^title^,”¹⁸^U^.^S.C^.¹⁵¹⁵^(a^)(4).
¹¹^“^T^his^c^h^a^p^te^r^doe^s^not^pr^ohi^bit^o^r^pu^nis^h^the^pr^ov^idiⁿ^g^of^la^w^f^{ul, bona}^fⁱ^de^{, le}^g^a^{l r}^e^pr^e^s^eⁿ^ta^tio^{n s}^e^r^v^ic^e^sⁱⁿ
^coⁿⁿ^ectⁱ^oⁿ^wⁱ^t^h^o^r^an^tⁱ^cⁱ^p^atⁱ^oⁿ^o^f^an^o^f^fⁱ^ci^al^p^r^o^ceedⁱⁿ^g,^{” 1}⁸^U.^S^.^C.¹⁵¹²⁽^c).
¹²^T^h^e^Sa^r^b^aⁿ^e^s^-^O^x^l^ey^A^c^{t r}^e^de^sⁱ^gna^te^{d Se}^c^tioⁿ¹⁵¹²⁽^d)⁽²⁰⁰^{0 e}^d^.)^a^s^Se^c^tion¹⁵¹²⁽^e⁾^{: “}^I^{n a}^pr^os^e^c^u^ti^{on f}^o^r^aⁿ^of^f^e^ns^e
^unde^r^this^s^e^c^tio^n,^{it is}^aⁿ^a^f^fⁱ^r^m^ativ^e^de^f^e^ns^e^,^a^s^{to w}^h^ic^{h the}^de^f^e^nda^nt^ha^s^t^h^e^bu^r^d^eⁿ^of^pr^o^o^f^by^a^pr^e^p^o^nde^r^a^nc^e^of
^the^e^v^ideⁿ^c^e^,^tha^t^the^c^o^nd^uc^{t c}^oⁿ^s^iste^{d sole}^ly^of^la^wf^ul^c^ond^uc^{t a}ⁿ^{d tha}^t^the^de^f^e^nda^nt’^s^s^o^leⁱⁿ^te^nti^{on w}^a^s^to
^eⁿ^c^our^a^g^e^,^ind^u^c^e^,^or^c^a^u^s^e^the^o^t^he^r^pe^r^s^oⁿ^to^te^s^tif^y^tr^uthf^ully^,”^{18 U}^.^S.C^.¹⁵¹²⁽^e⁾^.^Se^e^,^Unⁱ^t^e^{d S}^t^at^{es v.}^L^o^w^e^ry^{, 1}³⁵^th
^F^.^3d⁹⁵^7,⁹⁶^{0 (}⁵^Cir.¹⁹⁹⁸^)(rev^e^rsin^g^th^{e d}^e^f^eⁿ^d^aⁿ^t^’s^o^b^s^tr^u^c^tioⁿ^o^f^ju^{stice co}ⁿ^v^ictioⁿ^f^o^{r th}^e^tr^{ial co}^u^r^{t’s f}^a^ilu^{re to}
^pe^rm^{it e}^v^ideⁿ^c^e^substa^ntia^ting^th^e^de^f^e^nse⁾^;^Uⁿ^ite^{d St}^ate^v^.^T^hom^p^s^on^,⁷⁶^F.^2d⁴⁴^{2 (}^{2d C}ⁱ^r^.¹⁹⁹⁶⁾⁽^u^pho^ldiⁿ^g^the
^coⁿ^s^titu^tioⁿ^a^lity^o^f^th^{e d}^e^f^eⁿ^s^{e in}^th^{e f}^{ace o}^f^{a ch}^allen^g^{e th}^{at it u}ⁿ^c^oⁿ^s^tit^u^tⁱ^oⁿ^a^lly^sh^if^ted^th^{e b}^u^rd^en^o^f^p^r^o^o^f^to^th^e^th
^accu^sed⁾^;^Uⁿ^ite^{d State}^s^v^.^Ar^ias^,²⁵³^F.^3d⁴^53,⁴⁵^{7 (}⁹^Cⁱ^r^.²⁰⁰¹⁾⁽^“^T^his^s^e^c^{tion w}^a^s^a^ppa^r^e^ntl^y^inte^nde^d^{to e}^x^e^m^pt
^judicⁱ^a^l^of^fⁱ^ce^r^s^w^{ho la}^w^f^ully^r^e^mⁱ^{nd w}^itne^s^s^e^s^or^de^f^e^nda^nts^of^theⁱ^r^oa^t^h^to^gⁱ^v^e^tr^ue^te^s^tim^ony^{, altho}^u^g^h^t^h^e
^s^t^a^t^utor^y^la^ng^ua^g^e^its^e^l^f^is^{not s}^o^lim^ite^{d. Se}^e^U^.^{S. v}^.^J^o^hns^oⁿ^,⁹⁶⁸^F.2^d²⁰⁸^,²¹³⁽²^{d C}ⁱ^r^.¹⁹⁹²⁾⁽^q^u^o^tⁱ^ng^le^gⁱ^s^l^a^tiv^e
^his^t^or^y⁾^”⁾^.

Subsections 1512(f) and 1512(g) seek to foreclose a cramped construction of the various offenses
proscribed in Section 1512. Subsection 1512(f) declares that the evidence that is the object of the
obstruction need not be admissible and that the obstructed proceedings need not be either pending
or imminent.
As a consequence of subsection 1512(h), murder, attempted murder, or the use or threat of
physical force – committed overseas to prevent the appearance or testimony of a witness or the
production of evidence in federal proceedings in this country or to prevent a witness from
informing authorities of the commission of a federal offense or a federal parole, probation,
supervised release violation – is a federal crime outlawed in subsection 1512(a) that may be ¹³
prosecuted in this country.
As a general rule, the courts will assume that Congress intends a statute to apply only within the
United States and to be applied consistent with the principles of international law – unless a ¹⁴
contrary intent is obvious. Subsection 1512(h) supplies the obvious contrary intent. Since a
contrary intent may be shown from the nature of the offense, the result would likely be the same
in the absence of subsection 1512(h). In the case of an overseas obstruction of federal
proceedings, the courts could be expected to discern a Congressional intent to confer ¹⁵
extraterritorial jurisdiction and find such an application compatible with the principles of ¹⁶
international law. The existence of extraterritorial jurisdiction is one thing; the exercise of such
jurisdiction is another. Federal investigation and prosecution of any crime committed overseas ¹⁷
generally presents a wide range of diplomatic, legal and practical challenges.
Subsection 1512(i) states that violations of Section 1512 or Section 1503 may be prosecuted in
any district where the obstruction occurs or where the obstructed proceeding occurs or is to occur.
In the case of obstructions committed in this country, the Constitution may limit the trial in the

¹³^{18 U}^.^S.C^.¹⁵¹²⁽^h⁾⁽^“^T^h^e^r^e^is^e^x^tr^a^t^e^r^r^itorⁱ^a^l^Fe^de^r^a^{l j}^u^rⁱ^s^d^ic^ti^on^ov^e^r^aⁿ^of^f^e^ns^e^unde^r^this^s^e^c^tio^n”⁾^;^{see e.}^g^.^,^Unⁱ^t^ed
^S^t^a^t^{es v.}^Fⁱ^sh^er^{, 4}⁹⁴^F.^3d^5,^8-⁹⁽¹^st^Cⁱ^r^.²⁰⁰⁷⁾⁽^c^oⁿ^te^m^p^la^te^{d m}^u^r^d^e^r^{in C}^a^na^da^of^a^f^e^de^r^a^l^w^itne^s^s⁾^.
¹⁴^{EEOC v}^.^Ara^bⁱ^{an Ame}^r^ic^aⁿ^Oil^Co.^,⁴⁹^{9 U}^.^S^.²⁴⁴^,²⁴⁸⁽¹⁹⁹¹⁾⁽^“^I^t^is^a^lo^ng^-^s^ta^nding^pr^incⁱ^ple^of^A^m^e^r^ic^aⁿ^law^tha^t
^le^gⁱ^s^l^a^{tion of}^C^o^ng^r^e^s^s^,^unle^s^s^a^c^ontr^a^r^y^inte^{nt a}^p^pe^a^r^s^,^is^m^e^aⁿ^{t to a}^pply^only^w^{ithin the}^te^rrit^o^ria^l^j^u^risdic^ti^on^of^the
^Unⁱ^t^e^d^S^t^at^es”);^M^u^r^r^a^y^v^.^the^Sc^hoo^ne^r^C^h^ar^mⁱⁿ^g^Be^ts^y^{, 2}^Craⁿ^c^h⁶⁴^,¹¹^{8 (6}^U^.^S.³⁴^,⁶⁷⁾⁽¹⁸^04)(“^[^A^]ⁿ^a^c^t^of
^C^ong^r^e^s^s^oug^ht^ne^v^e^r^to^be^c^ons^tr^ue^{d t}^o^vⁱ^ola^t^e^t^h^e^la^w^of^na^tions^{, i}^f^aⁿ^y^othe^r^pos^sⁱ^ble^c^ons^tr^uc^tio^{n r}^e^m^a^ins^”⁾^;
^Wein^b^e^rg^{er v.}^Ro^ssi^,⁴⁵^{6 U}^.^S^.²⁵^,³²⁽¹⁹⁸²⁾^.
¹⁵^Uⁿ^ite^d^St^ate^s^v^.^Bow^m^an^,²^{60 U}^.^{S. 9}⁴^,⁹⁸⁽¹⁹²²⁾⁽^“^B^u^{t t}^h^e^s^a^m^e^r^u^le^of^inte^r^p^r^e^ta^tioⁿ^[^o^f^pur^e^l^y^do^m^e^s^tic
^a^pplic^a^tioⁿ^]^sh^oul^d^not^be^a^p^plie^d^{to c}^r^im^ina^l^sta^t^ute^s^w^h^ic^{h a}^r^e^,^a^s^a^c^l^a^{ss, not l}^o^gⁱ^c^a^lly^de^pe^nde^{nt o}ⁿ^theⁱ^r^loc^a^lity^f^o^r
^t^h^{e go}^vern^m^eⁿ^t^{’s j}^u^ri^sdⁱ^c^tⁱ^oⁿ^,^b^u^t^{are en}^act^ed^b^ecau^{se o}^f^t^h^{e ri}^gh^t^of^t^h^{e go}^vern^m^eⁿ^t^t^o^d^e^f^eⁿ^dⁱ^t^s^el^f^agaiⁿ^s^t
^o^b^s^t^r^u^c^tⁱ^on^,^o^r^f^r^au^d^w^h^{erever p}^e^rp^et^rat^e^d^.^.^.^.^W^e^can^no^t^s^u^pp^o^s^e^t^h^at^w^h^en^Con^g^{ress en}^act^ed^t^h^e^[f^rau^d^]^st^at^ut^{e o}^r
^am^e^nde^{d it,}^{it d}ⁱ^d^not^ha^v^e^{in m}ⁱⁿ^d^tha^t^a^wⁱ^de^fⁱ^e^l^{d f}^o^r^s^u^c^h^f^r^a^{ud upo}^{n t}^h^e^g^o^v^e^rⁿ^m^e^{nt w}^a^s^{in pr}^iv^a^t^e^a^nd^pu^blic
^v^e^s^s^e^ls^o^f^the^Uⁿ^ite^d^Sta^t^e^s^on^th^e^hig^h^s^e^a^s^a^{nd i}ⁿ^f^o^r^e^ig^{n p}^o^r^t^s^a^nd^be^y^{ond the}^la^nd^jurⁱ^s^d^ic^tio^{n of}^the^Uⁿⁱ^t^e^d^Sta^t^e^s^,
^an^d^t^h^eref^o^r^{e i}ⁿ^t^eⁿ^d^t^oⁱⁿ^cl^ud^{e t}^h^e^mⁱⁿ^t^h^{e sect}ⁱ^oⁿ^”^);^F^o^r^d^v^.^Uⁿ^ite^{d St}^ate^s^,²⁷^{3 U}^,.S^{. 5}⁹³^,⁶²³⁽¹⁹²⁷⁾⁽^“^a^m^aⁿ^w^ho
^o^u^t^si^d^e^o^f^{a co}^uⁿ^try^w^illf^u^l^l^y^p^u^t^{s in}^m^o^tioⁿ^{a f}^o^{rce to}^tak^e^eff^e^{ct in}^{it is an}^sw^erab^{le at th}^{e p}^l^{ace w}^h^{ere th}^{e ev}^{il is}
^done^”⁾^.
¹⁶^Hⁱ^s^t^oric^a^lly^{, the}^c^ourts^ha^v^e^f^{ound c}^o^m^p^a^tibility^w^{ith inte}^rna^tio^na^l^la^w^w^h^e^r^e^a^c^a^s^e^f^a^lls^w^ithin^one^of^the^fⁱ^v^e
^pr^incⁱ^ple^s^up^on^w^h^ic^{h g}^e^og^r^a^phic^a^l^jurⁱ^s^d^ic^ti^on^m^a^y^be^pr^e^d^ic^a^t^e^d^{. Eithe}^r^of^tw^{o s}^u^c^h^pr^incⁱ^ple^s^w^o^u^l^{d a}^p^pe^a^r^{to c}^o^v^e^r
^the^ov^e^r^s^e^a^s^a^pplic^a^tion^of^Se^c^tio^{n 1}⁵¹²^{. T}^h^e^te^r^rⁱ^t^o^rⁱ^a^l^pr^incⁱ^p^l^e^h^o^lds^t^h^a^t^a^c^o^untr^y^m^a^y^a^pply^its^l^a^w^s^{to m}ⁱ^s^c^onduc^t^th
^tha^t^ha^{s a}^su^bsta^ntia^l^im^pa^c^t^w^{ithin its}^bor^de^rs,^Uⁿ^ite^{d St}^ate^s^v^.^N^eⁱ^l^,³^{12 F.3}^d⁴¹^{9, 42}²⁽⁹^Ci^r.²⁰⁰²^);^t^h^{e p}^r^o^t^ectⁱ^v^e
^pr^incⁱ^ple^h^o^lds^tha^t^a^c^o^untr^y^m^a^y^a^pply^its^law^s^{to pr}^o^t^e^c^t^theⁱⁿ^te^g^r^it^y^of^g^o^v^e^rⁿ^m^e^nta^l^f^unc^tions^,^Uⁿ^ite^{d State}^s^v^.
^Yous^e^f^,³²^{7 F}^.³^d⁵⁶^,¹²^{1 (}^{2d C}ⁱ^r^.²⁰⁰³⁾^.^Se^e^a^l^s^o^{, R}^E^S^TA^TE^M^E^N^T^(T^HI^RD⁾^OF^T^H^E^F^ORE^I^GN^R^E^L^AT^I^ONS^L^AW^O^F^T^H^E
^U^NI^T^E^D^S^TA^T^E^S^{, §40}^{2 &}⁴^{02 c}^m^{t. f}⁽¹⁹⁸⁶⁾^.
¹⁷^Se^e^ge^ne^r^a^lly^,^C^R^S^R^e^p^o^r^t^94-¹⁶^6,^Ex^tra^t^e^rritorial^Ap^plic^at^io^{n of}^Am^e^r^ic^{an C}^r^imⁱⁿ^{al L}^a^w^.

district of the obstructed proceedings to instances when a conduct element of the obstruction has ¹⁸
occurred there.
Subsection 1512(k) makes conspiracy to violate Section 1512 a separate offense subject to the
same penalties as the underlying offense. The section serves as an alternative to a prosecution
under 18 U.S.C. 371 that outlaws conspiracy to violate any federal criminal statute. Section 371 is
punishable by imprisonment for not more than 5 years and conviction requires the government to ¹⁹
prove the commission of an overt act in furtherance of the scheme by one of the conspirators.
Subsection 1512(k) has no specific overt act element, and the courts have generally declined to ²⁰
imply one under such circumstances. It remains to be seen whether, in the absence of an overt
act element, venue over a subsection 1512(k) conspiracy is proper in any district in which only an ²¹
overt act in its furtherance is committed. Regardless of which section is invoked, conspirators
are criminally liable under the Pinkerton doctrine for any crime committed in the foreseeable ²²
furtherance of the conspiracy.
Accomplices to a violation of subsection 1512(a) may incur criminal liability by operation of 18
U.S.C. 2, 3, 4, or 373 as well. Section 2 treats accomplices before the fact as principals. That is, it
declares that those who command, procure or aid and abet in the commission of a federal crime ²³
by another, are to be sentenced as if they committed the offense themselves. As a general rule,
“[i]n order to aid and abet another to commit a crime it is necessary that a defendant in some sort
associate himself with the venture, that he participate in it as in something he wishes to bring

¹⁸^T^h^e^Constit^utio^{n re}^q^u^ire^s^f^e^de^ra^{l c}^r^im^e^s^c^o^m^m^itte^{d w}^{ithin the}^Uⁿⁱ^t^e^d^Sta^t^e^s^to^be^trie^{d i}ⁿ^the^sta^t^e^s^a^{nd d}ⁱ^stric^t^{s in}
^w^h^ich^th^ey^o^ccu^{r, U.S. Co}ⁿ^s^{t. A}^r^{t.III, §}²^{, cl.}³^{; A}^m^en^d^.^V^I^{. I}^t^p^e^rm^{its Co}ⁿ^g^{ress to}^d^e^termⁱⁿ^e^w^h^{ere fe}^d^e^{ral crim}^e^s
^c^o^m^m^itte^d^o^u^t^sid^e^t^h^e^Un^ite^d^Sta^t^e^s^m^a^y^b^e^trie^d^,^{U.S. C}^oⁿ^s^t^.^A^r^{t. III, §}²^{, c}^l^.³^;^see^{, 1}⁸^U^.^S^.^C^.³²^38.^T^h^is^m^e^aⁿ^s^a
^f^e^de^ra^{l c}^rⁱ^m^e^c^o^m^m^itte^{d w}^{ithin t}^h^e^Unite^d^Sta^t^e^s^m^a^y^be^trie^{d w}^h^e^r^e^v^e^r^one^of^{its c}^ond^uc^{t e}^l^e^m^eⁿ^t^s^{is c}^o^m^m^itte^d,
^Uⁿ^ite^{d State}^s^v^.^Ro^dr^ig^ue^z^-^M^o^r^e^no,⁵²^{6 U}^.^S.²⁷^5,²⁸^{0 (}¹⁹⁹⁹⁾^{. A}^l^t^houg^h^the^C^our^t^le^f^t^the^q^u^e^s^tion^una^d^d^r^e^s^s^e^d,^id^.^at
²⁷⁹ⁿ^.²^,^t^hⁱ^s^seem^{s t}^o^p^r^ecl^u^d^e^t^rⁱ^a^l^wⁱ^t^hⁱⁿ^t^h^e^dⁱ^st^ri^ct^o^f^t^h^{e ob}^st^ruct^ed^p^r^o^ceedⁱⁿ^{g i}^f^t^h^atⁱ^s^t^h^e^oⁿ^l^yⁿ^e^xu^{s t}^o^an
^o^b^s^tru^c^tⁱ^oⁿ^co^mm^itted^w^ithⁱⁿ^th^e^Un^ited^S^t^{ates in}^t^h^{e d}ⁱ^strⁱ^{ct o}^f^th^e^o^b^s^tr^u^c^ted^p^r^o^ceedⁱⁿ^g^,^Uⁿ^ite^d^St^ate^s^v^.^C^a^br^ale^s^,^th
⁵²⁴^U^.^S.^1,^5-^{6 (}¹⁹⁹⁸⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Bow^e^ns^{, 2}²⁴^F.^3d³⁰^2,³¹^{4 (}⁴^Cⁱ^r^.²⁰⁰⁰⁾^;^Uⁿ^ite^{d St}^ate^s^v^.^Str^aⁱⁿ^{, 39}⁶^F.^3d^th
⁶⁸⁹^,⁶⁹^{4 (}⁵^Cⁱ^r^.²⁰⁰⁵⁾^{. F}^o^r^a^m^o^r^e^de^ta^ile^{d dis}^c^us^sⁱ^on^s^e^e^C^R^S^R^e^por^{t R}^L³³²^23,^Ve^nue^:^{A Le}^g^a^{l A}^naly^s^is^o^f^W^h^e^r^e^a
^Fe^de^{ral Crime}^M^a^y^Be^Trie^d^.
¹⁹^{18 U}^.^S.C^.³^71.
²⁰^E.g.^{, W}^h^itf^ie^{ld v}^.^Uⁿ^ite^d^St^ate^s^{, 5}^{43 U}^.^S.²⁰^9,²¹^4-¹⁵⁽²⁰⁰⁴⁾^;^Uⁿⁱ^t^ed^S^t^a^t^{es v.}^Sh^ab^anⁱ^,⁵¹^{3 U}^.^S^.¹⁰^,¹⁷⁽¹⁹⁹⁴⁾^.
²¹^A^s^g^eⁿ^e^ral^ru^l^e^,^{a cri}^m^{e o}^ccu^{rs a}ⁿ^d^ven^u^eⁱ^s^t^h^u^s^p^r^o^p^e^{r w}^h^{ere a co}ⁿ^d^u^c^t^el^em^en^t^o^ccu^rs,^an^{d “w}^h^e^r^e^{a cri}^m^e
^c^{onsists of}^distiⁿ^c^t^pa^{rts w}^h^ic^h^ha^v^e^diff^e^r^eⁿ^{t loc}^a^litie^{s the}^w^hole^m^a^y^be^trie^{d w}^h^e^r^e^aⁿ^y^pa^{rt c}^aⁿ^b^e^prov^e^d^t^o^ha^v^e
^be^eⁿ^d^one^.^{. .}^c^f^.^H^y^de^v^.^Uⁿ^ite^d^State^s^,²²^{5 U}^.^S^.³⁴⁷^,³^56-⁶⁷⁽¹⁹¹²⁾⁽^v^e^nue^pr^ope^r^a^g^aⁱ^ns^{t de}^f^e^ndaⁿ^tⁱⁿ^dis^t^rⁱ^c^t^w^h^e^r^e
^c^o^-^c^ons^pir^a^t^o^r^c^a^r^rⁱ^e^d^out^ov^e^r^{t a}^c^t^s^e^v^eⁿ^thoug^h^the^r^e^w^a^s^{no e}^v^id^eⁿ^c^e^tha^t^the^de^f^e^nda^{nt ha}^{d e}^v^e^r^eⁿ^te^r^e^{d t}^h^a^t^dis^t^rⁱ^c^t
^o^r^t^h^at^t^h^{e con}^s^pⁱ^racy^w^a^s^f^o^r^m^ed^t^h^ere),^”^Uⁿ^ite^d^St^ate^s^v^.^R^odrⁱ^g^u^e^z^-^M^o^r^e^no^{, 5}^{26 U}^.^S.²⁷^5,²⁸^0-⁸²⁽¹⁹⁹⁹⁾^.^Hyd^e^wa^s
^c^h^a^r^g^e^{d unde}^r^s^e^c^tioⁿ⁵⁴⁴⁰^of^the^R^e^vⁱ^s^e^{d Sta}^t^ute^s^{, a}ⁿ^e^a^r^lie^r^v^e^r^s^ion^of^{18 U}^.^S.C^.³⁷^{1, t}^h^a^t^c^o^ntaⁱⁿ^e^{d a}ⁿ^ov^e^r^{t a}^c^t
^r^e^quir^e^m^e^{nt, 22}^{5 U}^.^S.^a^t³⁴⁹^.
²²^Pⁱⁿ^kert^o^{n v.}^Unⁱ^t^ed^S^t^a^t^es^,³²⁸^U^.^{S. 6}⁴⁰^,⁶^46-⁴⁸⁽¹⁹⁴⁶⁾^;^Uⁿ^ite^d^State^s^v^.^M^o^r^aⁿ^,⁴⁹³^F.3^d¹⁰^02,¹⁰⁰⁹⁽⁹^th^Cir.
²⁰⁰⁷⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Ro^be^r^s^oⁿ^{, 4}⁷⁴^F.^3d⁴³^2,⁴³³⁽⁷^th^Cⁱ^r^.²⁰⁰⁷⁾^;^Unⁱ^t^e^{d S}^t^a^t^{es v.}^L^a^ke^,⁴⁷^{2 F.3}^d¹²⁴^{7, 12}⁶⁵⁽¹⁰^th
^Cⁱ^r^.²⁰⁰⁷⁾^.
²³¹⁸^U^.^S^.^C.²^{(“(a) W}^h^o^e^{ver co}^mmⁱ^t^s^an^o^f^f^eⁿ^s^{e a}^g^aiⁿ^s^t^t^h^{e Un}ⁱ^t^e^{d S}^t^at^{es o}^r^ai^d^s^,^ab^et^s,^couⁿ^s^el^s,^c^o^mman^d^s^,ⁱⁿ^du^ces
^{or pr}^oc^ure^s^{its c}^o^m^mⁱ^s^s^{ion, is}^pu^nisha^b^le^a^s^a^princⁱ^pa^{l. (b)}^W^hoe^v^e^r^w^illf^ull^y^c^a^u^se^{s a}ⁿ^a^c^t^{to be}^d^one^w^h^ic^{h if}
^dir^e^c^tly^pe^r^f^or^m^e^{d by}^him^or^a^nothe^r^w^ould^be^aⁿ^of^f^e^ns^e^a^g^aⁱ^ns^{t the}^Uⁿ^ite^d^Sta^t^e^s^{, is}^pu^nis^h^a^b^le^a^s^a^pr^incⁱ^pa^l”⁾^.

about, that he seek by his action to make it succeed.”²⁴ It is also necessary to prove that someone ²⁵
else committed the underlying offense.
Section 3 outlaws acting as an accessory after the fact,²⁶ which occurs when “one knowing that an
offense has been committed, receives, relieves, comforts or assists the offender in order to hinder ²⁷
his or her apprehension, trial, or punishment.” Prosecution requires the commission of an ²⁸
underlying federal crime by someone else. An offender cannot be both a principal and an ²⁹
accessory after the fact to the same offense. Offenders face sentences set at one half of the
sentence attached to the underlying offense, or if the underlying offense is punishable by life
imprisonment or death, by imprisonment for not more than 15 years (and a fine of not more than ³⁰
$250,000).
Although at first glance section 4’s misprision prohibition may seem to be a failure-to-report ³¹
offense, misprision of a felony under the section is in essence a concealment offense. “The
elements of misprision of a felony under 18 U.S.C. 4 are (1) the principal committed and
completed the felony alleged; (2) the defendant had full knowledge of that fact; (3) the defendant ³²
failed to notify the authorities; and (4) defendant took steps to conceal the crime.” The offense
is punishable by imprisonment for not more than 3 years and/or a fine of not more than ³³
$250,000.
Solicitation to commit an offense under subsection 1512(a), or any other crime of violence, is ³⁴
prohibited in 18 U.S.C. 373. “To establish solicitation under §373, the Government must

²⁴^Nye^&^Ni^ss^en^v.^Unⁱ^t^e^d^S^t^at^es^{, 3}^{36 U}^.^S.⁶¹^3,⁶¹^{9 (}¹⁹⁴⁹⁾^;^Uⁿ^ite^d^State^s^v^.^Pⁿ^a^d^o^Fr^aⁿ^c^o^,⁵⁰^{3 F}^.³^d³⁸^9,³⁹^{6 (}⁵^th^Cir.
²⁰⁰⁷⁾^;^Uⁿ^ite^d^St^ate^s^v^.^K^e^m^p^,⁵⁰^{0 F.}^3d²^57,²^{93 (}³^d^Cⁱ^r^.²⁰⁰⁷⁾^;^{see a}^l^so^,^Uⁿ^ite^d^St^ate^s^v^.^W^ilson^,¹^{60 F.3}^d⁷³^{2, 739}
^{(D.C. Cir.}¹⁹^98)(aⁱ^d^ing^aⁿ^{d a}^b^e^tti^ng^a^subse^c^tio^{n 1}⁵¹²^(a^{) o}^f^f^e^nse^s⁾⁽^“^A^iding^a^{nd a}^b^e^tting^re^q^u^ire^s^t^h^e^g^o^v^e^rn^m^e^{nt to}
^prov^e^:⁽¹⁾^the^spe^cⁱ^fⁱ^c^inte^nt^{to f}^a^c^ilita^te^the^c^o^m^m^{ission of}^a^c^r^im^e^of^by^a^nothe^{r; (2)}^g^u^ilty^k^now^le^d^g^e^;^{(3) tha}^t^t^h^e
^othe^{r w}^a^{s c}^o^m^m^itting^aⁿ^of^f^e^nse^;^a^{nd (4)}^a^ssisting^or^pa^rtic^ipa^tⁱⁿ^gⁱⁿ^the^c^o^m^m^{ission of}^the^of^f^e^nse^”⁾^.
²⁵^Unite^{d St}^ate^s^v^.^Garc^ia-C^a^rrasq^uillo^{, 4}⁸³^F.^3d¹²^4,¹³^{0 (}¹^st^Cⁱ^r^.²⁰⁰⁷⁾^;^Uⁿ^ite^d^St^ate^s^v^.^H^a^s^s^o^un^,⁴⁷⁶^F.^3d¹¹⁸¹^,
¹¹⁸^{3 n.2}⁽¹¹^th^Cⁱ^r^.²⁰⁰⁷⁾^;^Uⁿ^ite^d^State^s^v^.^Reⁱ^fle^r^{, 4}⁴⁶^F.3^d^65,⁹⁶⁽^{2d C}ⁱ^r^.²⁰⁰⁶⁾^.
²⁶¹⁸^U^.^S.C.³^(“W^h^o^e^v^e^{r, k}ⁿ^o^wⁱⁿ^g^th^{at an}^o^f^f^eⁿ^s^{e a}^g^ain^s^t^th^{e Un}^ite^d^{States h}^a^s^b^een^co^mm^itted^,^receiv^e^{s, reliev}^e^s,
^co^mf^o^r^t^s^o^r^assi^st^{s t}^h^{e o}^f^f^eⁿ^d^e^{r i}ⁿ^o^r^d^e^{r t}^o^hⁱ^nd^{er o}^r^p^r^even^t^hi^{s ap}^preh^en^si^oⁿ^,^t^rⁱ^a^l^o^r^p^uⁿⁱ^sh^m^eⁿ^t^,ⁱ^s^an^accesso^r^y^a^f^t^e^r
^the^f^a^c^t^{. . .”}^).
²⁷^Uⁿ^ite^d^St^ate^s^v^.^Gⁱ^a^nak^os^,⁴^{15 F}^.^{3d 91}^{2, 92}^{0 n.4}⁽⁸^th^Cⁱ^r^.²⁰⁰⁵⁾^;^Uⁿ^ite^d^State^s^v^.^D^e^L^a^Ros^a^{, 17}¹^F^.^{3d 21}^{5, 22}¹⁽⁵^th
^Cⁱ^r^.¹⁹⁹⁹⁾^;^Uⁿ^ite^d^State^s^v^.^I^r^wⁱⁿ^{, 1}⁴⁹^F.^3d⁵⁶^5,⁵⁷¹⁽⁷^th^Cⁱ^r^.¹⁹⁹⁸⁾^.
²⁸^Uⁿ^ite^d^St^ate^s^v^.^H^ill^,²⁷^{9 F}^.³^d⁷^31,⁷⁴^{1 (}⁹^th^Cⁱ^r^.²⁰⁰²⁾^;^Uⁿ^ite^d^St^ate^s^v^.^D^e^LaR^o^s^a^,¹⁷^{1 F}^.³^d²¹⁵^,²²¹⁽⁵^th^Cir.
¹⁹⁹⁹⁾^;^Uⁿ^ite^d^St^ate^s^v^.^I^r^wⁱⁿ^{, 1}⁴⁹^F.3^d⁵⁶^5,⁵⁷^{1 (}⁷^th^Cⁱ^r^.¹⁹⁹⁸⁾^.
²⁹^Uⁿ^ite^d^St^ate^s^v^.^Tay^l^or^,³²^{2 F.}^3d¹²^09,¹²¹¹^-²¹²⁽⁹^th^Cⁱ^r^.²⁰⁰³⁾^.
³⁰¹⁸^U^.^S^.^C.³^(“.^.^.^E^xcep^t^as^o^t^h^e^r^wⁱ^s^e^exp^r^essl^y^p^r^o^vⁱ^d^ed^b^y^an^y^Act^o^f^Coⁿ^g^ress,^an^accesso^r^y^a^f^t^e^r^t^h^{e f}^act^sh^al^l^b^e
^im^pr^is^one^{d n}^o^{t m}^o^r^e^thaⁿ^one^-^h^a^l^f^the^m^a^xⁱ^m^u^m^te^r^m^o^fⁱ^m^pr^is^on^m^e^{nt or}⁽^notw^iths^t^aⁿ^ding^s^e^c^tion³⁵⁷¹⁾^fⁱ^ne^d^no^t
^m^o^r^e^thaⁿ^one^-^h^a^l^f^the^m^a^xⁱ^m^u^m^fⁱ^ne^pr^e^s^c^r^ibe^d^f^o^r^the^p^uⁿⁱ^s^h^m^e^{nt of}^the^prⁱⁿ^cⁱ^pa^l,^or^bo^th;^or^if^th^e^pr^incⁱ^pa^{l is}
^p^uⁿⁱ^s^h^a^b^l^e^b^y^lⁱ^f^{e i}^m^p^rⁱ^s^oⁿ^m^en^t^o^r^d^eat^h,^t^h^{e accesso}^ry^sh^al^l^b^eⁱ^m^p^rⁱ^s^oⁿ^e^d^no^t^m^o^{re t}^h^an¹⁵^y^ears^”^).
³¹^{18 U}^.^S.C^.^{4 (}^“^W^hoe^v^e^r^,^ha^vⁱ^ng^k^now^le^dg^e^of^the^a^c^t^ua^{l c}^o^m^m^is^sⁱ^on^of^a^f^e^lon^y^c^o^gⁿ^iz^a^b^le^by^a^c^o^ur^{t of}^the^Uⁿ^ite^d
^S^t^at^es,^coⁿ^ceal^{s an}^d^d^o^e^sⁿ^o^t^{as s}^o^oⁿ^{as po}^ssi^b^l^{e m}^a^k^e^kn^o^wⁿ^t^h^{e sa}^m^e^t^o^so^m^e^j^u^d^g^{e o}^r^o^t^h^e^{r p}^e^rsonⁱⁿ^ci^vi^l^o^r
^m^ilita^r^y^a^u^thority^un^de^{r the}^Uⁿ^ite^{d Sta}^t^e^s^{, sha}^l^l^be^fⁱ^ne^d^un^de^r^th^{is title}^{or im}^prisone^{d not}^m^o^re^thaⁿ^thre^e^y^e^a^r^{s, or}
^bot^h”⁾^.
³²^Uⁿ^ite^d^St^ate^s^v^.^G^e^bbie^,²⁹⁴^F.3^d⁵^40,⁵^{44 (}³^d^Cⁱ^r^.²⁰⁰²⁾^;^Unite^d^Sta^t^e^s^v^.^Ce^fal^u^{, 85 F.3}^d⁹⁶^{4, 96}⁹⁽²^d^Cⁱ^r^.¹⁹⁹⁶⁾^;
^Uⁿ^ite^{d State}^s^v^.^Vas^q^ue^z^-^C^h^aⁿ^{, 9}^{78 F.2}^d⁵⁴^{6, 555}⁽⁹^th^Cⁱ^r^.¹⁹⁹²⁾^;^Uⁿ^ite^{d State}^s^v^.^Ad^am^s^,⁹⁶¹^F^.^3d⁵⁰⁵^,⁵⁰^{8 (}⁵^th^Cir.
¹⁹⁹²⁾^.
³³^{18 U}^.^S.C^.^4,³⁵⁷¹^.
³⁴^{18 U}^.^S.C^.³⁷³⁽^a⁾⁽^“^W^hoe^v^e^r^,^wⁱ^t^hⁱⁿ^te^{nt t}^h^a^t^aⁿ^othe^r^pe^r^s^on^eⁿ^g^a^ge^{in c}^o^nd^uc^{t c}^ons^t^ituti^ng^a^f^e^lony^tha^t^ha^s^a^s^aⁿ
^e^l^em^eⁿ^{t the}^us^e^,^a^tte^m^p^te^{d us}^e^,^or^thr^e^a^t^eⁿ^e^d^us^e^of^phy^sⁱ^c^a^l^f^o^r^c^e^a^g^aⁱ^ns^{t pr}^ope^r^t^y^or^a^g^aⁱ^ns^{t the}^pe^r^s^on^of^a^nothe^rⁱⁿ
⁽^c^onti^nue^d.^..)

demonstrate that the defendant (1) had the intent for another to commit a crime of violence and
(2) solicited, commanded, induced or otherwise endeavored to persuade such other person to
commit the crime of violence under circumstances that strongly corroborate evidence of that ³⁵
intent.” Section 373 provides an affirmative statutory defense if offender prevents the ³⁶
commission of the solicited offense. Offenders face penalties set at one half of the sanctions for
the underlying offense, but imprisonment for not more than 20 years, if the solicited crime of ³⁷
violence is punishable by death or imprisonment for life.
A subsection 1512(a) violation opens up the prospect of prosecution for other crimes for which a
violation of subsection 1512(a) may serve as an element. The racketeering statutes (RICO) outlaw
acquiring or conducting the affairs of an interstate enterprise through a pattern of “racketeering ³⁸
activity.” The commission of any of a series of state and federal crimes (predicate offenses) ³⁹⁴⁰
constitutes a racketeering activity. Section 1512 offenses are RICO predicate offenses. RICO
violations are punishable by imprisonment for not more that 20 years (or imprisonment for life if
the predicate offense carries such a penalty), a fine of not more than $250,000 and the ⁴¹
confiscation of related property.
The money laundering provisions, among other things, prohibit financial transactions involving
the proceeds of a “specified unlawful activity,” that are intended to launder the proceeds or to ⁴²
promote further “specified unlawful activity.” Any RICO predicate offense is by virtue of that ⁴³
fact a specified unlawful activity, i.e., a money laundering predicate offense. Money laundering

^(...c^on^tin^ue^d)
^vⁱ^ola^tion^of^the^la^w^s^of^the^Uⁿ^ite^{d Sta}^t^e^s^{, a}ⁿ^d^un^de^r^cⁱ^r^c^um^s^t^aⁿ^c^e^s^s^t^r^ong^ly^c^o^r^r^obor^a^tiv^e^of^tha^t^int^e^{nt, s}^o^licⁱ^t^s^,
^c^o^m^m^a^nds^{, in}^duc^e^s^{, or}^ot^he^r^w^is^e^e^nde^a^v^or^s^to^pe^r^s^ua^de^s^u^c^h^ot^he^r^pe^r^s^{on t}^o^eⁿ^g^a^g^e^{in s}^u^c^h^c^oⁿ^duc^t^,^s^h^a^{ll be}
^im^pr^is^one^{d n}^o^{t m}^o^r^e^thaⁿ^one^-^h^a^l^f^the^m^a^xⁱ^m^u^m^te^r^m^o^fⁱ^m^pr^is^on^m^e^{nt or}⁽^notw^iths^t^aⁿ^ding^s^e^c^tion³⁵⁷¹⁾^fⁱ^ne^d^no^t
^m^o^r^e^thaⁿ^one^-^h^a^l^f^of^the^m^a^xⁱ^m^u^m^fⁱ^ne^pr^e^s^c^r^ibe^d^f^o^r^the^pu^nis^h^m^e^{nt of}^the^c^r^im^e^s^o^lic^ite^{d, or}^bot^{h; or}^if^the^c^r^im^e
^s^o^lic^ite^{d is}^pu^nis^h^a^b^le^by^lif^eⁱ^m^p^r^is^onm^eⁿ^{t or}^de^a^t^{h, s}^h^a^l^l^be^im^prⁱ^s^one^{d f}^o^r^{not m}^o^r^e^thaⁿ^tw^eⁿ^ty^ye^a^r^s^”⁾^.^Iⁿ^Unite^d^st
^S^t^a^t^{es v.}^Fⁱ^sh^er^{, 4}⁹⁴^F.^3d^5,^7-⁸⁽¹^Cⁱ^r.²⁰^07),^the^Fⁱ^{rst Circ}^ui^{t u}^p^h^e^l^{d a}^c^o^nv^ic^tion^f^o^{r “}^s^olic^ita^tioⁿ^{to c}^o^m^m^{it a}^c^rⁱ^m^e
^o^f^vi^o^l^en^ce,ⁱⁿ^vi^o^l^atⁱ^o^{n o}^f¹⁸^U.^S^.^C.³⁷^3.^T^h^{e p}^a^rtⁱ^c^ul^{ar cri}^m^{e o}^f^vi^o^l^en^{ce sp}^eci^fⁱ^edⁱⁿ^t^h^{e i}ⁿ^di^ct^m^eⁿ^t^w^a^{s t}^h^{e m}^u^rd^er
^of^a^c^oope^r^a^ting^f^e^de^r^a^{l w}^itne^s^s^.^Se^e^{18 U}^.^S.C^.¹⁵¹²⁽^a⁾⁽¹⁾⁽^A⁾^.^”
³⁵^Uⁿ^ite^d^St^ate^s^v^.^C^a^l^d^w^e^ll^{, 43}³^F^.^{3d 37}^{8, 39}⁰⁽⁴^th^Cⁱ^r^.²⁰⁰⁵⁾^;^Uⁿⁱ^t^e^d^St^ate^s^v^.^R^ahm^an^,¹^{89 F.3}^d^88,¹²⁵⁽²^d^Cⁱ^r^.
¹⁹⁹⁹⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Ra^hm^aⁿ^{, 34 F.3}^d¹³^31,¹³³⁷⁽⁷^th^Cⁱ^r^.¹⁹⁹⁴⁾^;^Unⁱ^t^e^{d S}^t^a^t^{es v,}^B^u^cka^l^e^w^,⁸⁵⁹^F^.^2d¹⁰⁵²^,¹⁰⁵²^-^st
^{53 (}¹^Cⁱ^r^.¹⁹⁸⁸⁾^.
³⁶^{18 U}^.^S.C^.³⁷³⁽^b)^{, (}^c⁾⁽^“⁽^b⁾^I^t^is^aⁿ^a^f^fⁱ^r^m^a^tⁱ^v^e^de^f^e^ns^e^{to a}^pr^os^e^c^u^ti^on^un^de^r^th^is^s^e^c^tion^tha^t^,^un^de^r^cⁱ^r^c^um^s^t^aⁿ^c^e^s
^m^a^nif^e^s^ting^a^v^o^lunta^r^y^a^{nd c}^o^m^p^le^te^r^e^nu^nc^ia^tio^{n of}^his^c^r^im^ina^l^inte^nt,^the^de^f^e^nda^{nt pr}^e^v^eⁿ^te^d^th^e^c^o^m^mⁱ^s^sⁱ^{on of}
^the^c^r^im^e^s^o^lic^ite^{d. A}^r^e^nunc^ia^tio^{n is}ⁿ^o^{t “}^v^ol^unta^r^y^a^{nd c}^o^m^p^le^te^”^if^{it is}^m^o^tiv^a^t^e^d^{in w}^hole^orⁱⁿ^p^a^r^t^by^a^de^cⁱ^sⁱ^{on to}
^postp^one^the^c^o^m^mⁱ^s^s^{ion of}^the^c^r^im^e^{until a}^not^he^{r tim}^e^{or to s}^ubst^itute^aⁿ^othe^{r v}ⁱ^c^tim^{or a}ⁿ^o^t^he^{r b}^u^t^sim^ila^{r obje}^c^tiv^e^.
^I^f^the^de^f^e^nda^{nt r}^a^is^e^s^the^a^f^fⁱ^r^m^ativ^e^de^f^e^ns^e^a^t^tr^ia^{l, the}^de^f^e^nda^nt^ha^s^the^bur^deⁿ^of^pr^ov^ing^the^de^f^e^ns^e^by^a
^pr^e^p^o^nde^r^a^nc^e^of^the^e^v^ideⁿ^c^e^.⁽^c⁾^I^t^isⁿ^o^{t a}^de^f^e^ns^e^{to a}^pr^os^e^c^u^ti^on^un^de^r^th^is^s^e^c^tion^tha^t^t^h^e^pe^r^s^{on s}^o^lic^ite^{d c}^oul^d
ⁿ^o^t^b^e^con^vⁱ^c^t^e^d^o^f^t^h^{e cri}^m^{e b}^e^c^a^u^s^{e h}^e^l^acked^t^h^{e st}^at^{e o}^f^mⁱⁿ^d^req^uⁱ^red^f^o^{r i}^t^s^co^mmⁱ^ssi^oⁿ^,^b^{ecause h}^e^w^a^s
ⁱⁿ^co^m^p^et^en^t^o^rⁱ^rrespoⁿ^sⁱ^b^l^e^,^o^r^becau^{se h}^eⁱ^sⁱ^m^m^uⁿ^e^f^r^o^m^p^r^o^s^ec^u^tⁱ^oⁿ^o^rⁱ^sⁿ^o^t^s^u^b^j^ect^t^o^p^r^o^s^ecu^tⁱ^oⁿ^.^”).
³⁷^{18 U}^.^S.C^.³^73.
³⁸^{18 U}^.^S.C^.¹⁹⁶¹^-¹⁹⁶^3.
³⁹¹⁸^U^.^S^.^C^.¹⁹⁶¹^.
⁴⁰^Id^.^E.^g^.^,^Unⁱ^t^ed^S^t^a^t^{es v.}^Di^aⁱ^do^ne^{, 47}^{1 F.}^3d³^{71 (}²^d^Cⁱ^r^.²⁰⁰⁶⁾^.
⁴¹^{18 U}^.^S.C^.¹⁹⁶³^{. F}^o^r^a^g^e^ne^r^a^{l dis}^c^us^sⁱ^on^of^R^I^C^O^s^e^e^,^T^w^en^t^y^-S^ecoⁿ^d^Su^{rvey o}^f^Whⁱ^t^e^C^o^l^l^a^{r Cri}^m^{e: R}^a^cket^eer
^Iⁿ^flueⁿ^c^e^d^a^{nd C}^o^r^r^u^{pt O}^r^g^aniz^a^tions^{, 44}^A^ME^RI^C^A^N^C^RI^M^I^N^A^L^L^AW^R^EV^I^E^W^{901 (}²⁰⁰⁷⁾^{; C}^R^S^R^e^po^r^t^96-⁹⁵^0,^RICO:
^A^B^rⁱ^e^f^S^ket^ch^.
⁴²¹⁸^U^.^S^.^C^.¹⁹⁵⁶^.
⁴³^{18 U}^.^S.C^.¹⁹⁵⁶⁽^c⁾⁽⁷⁾⁽^A⁾^.^A^s^e^c^o^{nd m}^one^y^la^unde^rⁱ^ng^s^t^a^t^ute^,¹⁸^U^.^S.C^.¹⁹^57,^o^u^tla^w^s^m^one^ta^r^y^tr^aⁿ^s^a^c^tions
ⁱⁿ^vo^l^vⁱⁿ^{g m}^o^{re t}^h^an^$1^0,⁰⁰⁰^c^o^nsi^s^tⁱⁿ^{g o}^f^p^r^o^ceed^{s gen}^e^rat^e^d^b^y^an^y^o^f^t^h^{e p}^r^edⁱ^cat^{e o}^f^fen^s^{es i}^d^en^tⁱ^fⁱ^edⁱⁿ^S^ectⁱ^oⁿ
⁽^c^onti^nue^d.^..)

is punishable by imprisonment for not more than 20 years, a fine ranging from $250,000 to ⁴⁴
$500,000 depending upon the nature of the offenses, and the confiscation of related property.
A subsection 1512(a) offense is by definition a crime of violence.⁴⁵ Commission of a crime of
violence is an element of, or a sentence enhancement factor for, several other federal crimes, e.g.:
• 18 U.S.C. 25 (use of a child to commit a crime of violence),⁴⁶
• 521 (criminal street gang),⁴⁷
• 924(c)(carrying a firearm during and in relation to a crime of violence),⁴⁸
• 929 (carrying a firearm with restricted ammunition during and in relation to a ⁴⁹
crime of violence),
• 1028 (identity fraud in connection with a crime of violence).⁵⁰
The second group of offenses within Section 1512 outlaws obstruction of federal Congressional,
judicial, or administrative activities by intimidation, threat, corrupt persuasion or deception, 18
U.S.C. 1512(b). Parsed to its elements, it provides that:
I. Whoever
II. knowingly
A. uses intimidation
B. threatens, or
C. corruptly persuades another person, or

^(...c^on^tin^ue^d)
¹⁹⁵^6,¹⁸^U^.^S.C^.¹⁹⁵⁷⁽^f⁾^.
⁴⁴^{18 U}^.^S.C^.¹⁹⁵⁶^,⁹⁸^1,⁹⁸^{2. F}^o^r^a^g^e^ne^r^a^{l dis}^c^us^sⁱ^on^of^the^m^oney^la^unde^rⁱ^ng^s^t^a^t^ute^s^s^e^e^,^Tw^eⁿ^ty^-^S^e^c^{ond Sur}^{vey o}^f
^W^h^ite^C^o^ll^ar^C^r^im^e^:^M^one^y^La^un^de^rⁱ^ng^{, 44}^A^ME^RI^C^A^N^C^RI^M^I^N^A^L^L^AW^R^EV^IE^W⁷⁶⁹⁽²⁰⁰⁷⁾^{; C}^R^S^R^e^por^{t R}^L³³³¹^5,
^M^one^y^Lau^nde^rⁱ^ng:^{An O}^v^e^r^vⁱ^e^w^of^{18 U}^.^S.C^.¹⁹⁵⁶^aⁿ^d^Re^late^{d F}^e^de^r^a^{l C}^r^imⁱⁿ^{al L}^a^w^.
⁴⁵¹⁸^U^.^S^.^C.¹⁶^(a)(“T^h^{e t}^e^r^m^‘cri^{me o}^f^vi^o^l^en^{ce’ mean}^{s –}^{(a) an}^o^f^f^eⁿ^s^{e t}^h^at^h^a^{s as an}^el^emen^t^t^h^{e u}^s^e^,^at^t^e^m^p^t^e^d^u^s^e,
^o^r^t^h^reat^en^{ed u}^s^{e o}^f^ph^y^sⁱ^cal^f^o^rc^{e agai}ⁿ^s^t^t^h^{e p}^e^rsoⁿ^o^r^p^r^op^ert^y^o^f^an^o^t^h^e^r”).
⁴⁶^Off^eⁿ^d^e^{rs face a}^fⁱⁿ^e^an^d^term^o^f^im^p^r^isoⁿ^m^en^{t tw}^ic^{e th}^{at o}^f^th^{e o}^f^f^eⁿ^s^{e co}^mm^itted^b^y^th^{e ch}^ild^{, 1}⁸^U.S.C.²⁵⁽^b⁾^.
⁴⁷^Off^eⁿ^d^e^{rs face a ter}^m^o^fⁱ^m^p^r^isoⁿ^m^en^{t o}^fⁿ^o^t^m^o^{re th}^an¹⁰^y^{ears in}^ad^d^itioⁿ^t^o^t^h^{e p}^eⁿ^a^lty^im^p^o^s^ed^f^o^{r th}^{e crim}^{e o}^f
^vⁱ^oleⁿ^c^e^,¹⁸^U^.^S.C^.⁵²¹⁽^b)^.
⁴⁸^Off^eⁿ^d^e^{rs face a t}^e^r^m^o^fⁱ^m^p^rⁱ^s^oⁿ^m^en^t^ran^gⁱⁿ^{g f}^r^o^mⁱ^m^p^rⁱ^s^oⁿ^m^en^t^f^o^{r n}^o^t^l^e^{ss t}^h^an⁵^y^{ears t}^oⁱ^m^p^rⁱ^s^oⁿ^m^en^t^f^o^{r l}ⁱ^f^e
^de^pe^nd^ing^u^p^oⁿ^t^h^e^cⁱ^rc^um^staⁿ^c^e^{s of}^the^of^f^e^nse^s^{in a}^dditio^{n t}^o^t^h^e^pe^na^lty^im^pose^d^f^o^{r the}^un^de^rlyⁱ^ng^c^r^im^e^o^f^th
^vⁱ^oleⁿ^c^e^,¹⁸^U^.^S.C^.⁹²⁴⁽^c⁾⁽¹⁾^.^Iⁿ^Uⁿ^ite^d^State^s^v^.^H^a^r^rⁱ^s^{, 4}⁹⁸^F.^3d²⁷⁸⁽⁴^Cⁱ^r^.²⁰⁰⁷⁾^{, the}^Fo^ur^th^Cⁱ^r^c^{uit u}^phe^l^d^a
^c^onv^ic^tion^f^o^r^vⁱ^ola^ting^s^u^bs^e^c^tio^ns¹⁵¹²⁽^a⁾^a^nd⁹²⁴⁽^c⁾ⁱⁿ^c^o^nne^c^tⁱ^{on w}^{ith t}^h^e^fⁱ^r^e^bom^bing^of^a^w^itne^s^s^’^s^hom^e⁽^f^or
^pur^pos^e^s^of⁹²⁴⁽^c⁾^a^fⁱ^r^e^a^r^m^inc^l^ude^s^e^x^plos^iv^e^or^inc^eⁿ^dia^r^y^de^vⁱ^ce^s^,^{18 U}^.^S.C^.⁹²¹⁽^a⁾⁽³⁾^,⁽⁴⁾⁾^.
⁴⁹^Off^eⁿ^d^e^{rs face a t}^e^r^m^o^fⁱ^m^p^rⁱ^s^oⁿ^m^en^t^o^fⁿ^o^t^l^e^{ss t}^h^aⁿ^{5 y}^e^{ars i}ⁿ^ad^dⁱ^tⁱ^oⁿ^t^o^t^h^{e p}^eⁿ^a^l^t^yⁱ^m^p^o^s^ed^f^o^{r t}^h^e^uⁿ^d^e^rl^yⁱⁿ^g
^c^r^im^e^of^vⁱ^oleⁿ^c^e^,^{18 U}^.^S^.^C^.⁹²⁹⁽^a⁾⁽¹⁾^.
⁵⁰^Off^eⁿ^d^e^{rs face a t}^e^r^m^o^fⁱ^m^p^rⁱ^s^oⁿ^m^en^t^o^fⁿ^o^t^m^o^{re t}^h^an²⁰^y^ears,¹⁸^U.^S^.^C.¹⁰²⁸⁽^b⁾⁽³⁾^.

D. attempts to do so, or
E. 1. engages in misleading conduct⁵¹

2. toward another person,

III. with intent to
A. 1. a. influence,
b. delay, or
c. prevent
2. the testimony of any person
3. in an official proceeding,⁵² or
B. cause or induce any person to
1. a. i. withhold testimony, or
ii. withhold a
(I) record,
(II) document, or
(III) other object,
b. from an official proceeding, or

2. a. i. alter,

ii. destroy,

⁵¹^“^A^s^us^e^d^{in s}^e^c^tions¹⁵^{12 a}^nd¹⁵¹³^of^this^tit^le^a^ndⁱⁿ^this^s^e^c^tio^{n .}^{. . (}³⁾^t^h^e^te^r^m^‘^m^is^le^a^d^ing^c^ondu^c^t^’^m^e^aⁿ^s^{– (}^A⁾
^k^now^ing^l^y^m^a^kⁱ^ng^a^fa^lse^sta^t^e^m^eⁿ^{t; (B) i}ⁿ^te^nti^ona^lly^om^itting^inf^o^rm^a^{tion f}^r^om^a^sta^t^e^m^eⁿ^{t a}^{nd th}^e^r^e^b^y^c^a^u^sing^a
^p^o^r^tⁱ^oⁿ^o^f^su^ch^st^at^em^en^t^t^o^b^e^mⁱ^sl^eadⁱⁿ^g,^o^rⁱⁿ^t^e^ntⁱ^oⁿ^a^l^l^y^coⁿ^cealⁱⁿ^{g a m}^a^t^e^ri^al^f^a^ct^,^an^d^t^h^ereb^y^cr^eatⁱⁿ^{g a f}^a^l^s^e
^im^pre^{ssion by}^suc^h^sta^t^e^m^eⁿ^{t; (C) w}^{ith inte}^nt^to^mⁱ^sle^a^d^{, k}^now^ing^l^y^sub^m^itting^{or i}ⁿ^v^iting^re^lia^nc^e^oⁿ^a^w^r^iting^or
^reco^rdⁱⁿ^{g t}^h^atⁱ^s^f^a^l^s^e,^f^o^rged^,^al^t^e^red^,^o^r^o^t^h^e^rwⁱ^s^{e l}^ack^ing^{in a}^u^th^eⁿ^tic^ity^{; (D)}^w^{ith inte}^{nt t}^o^mⁱ^sle^a^{d, k}^now^ing^l^y
^s^ubm^itting^{or i}ⁿ^v^iting^re^lia^nc^e^oⁿ^a^s^a^m^p^le^{, s}^p^e^cⁱ^m^e^{n, m}^a^{p, phot}^og^ra^ph,^bo^un^da^ry^m^a^r^k^{, or othe}^r^ob^je^c^t^tha^t^is
^mⁱ^sl^e^a^d^ing^{in a}^m^a^te^ria^l^re^spe^c^{t; or (E) k}ⁿ^o^wⁱ^ng^l^y^using^a^tric^k^,^s^c^he^m^e^{, or de}^vⁱ^c^e^w^{ith inte}^nt^to^mⁱ^s^l^e^a^d^,”¹⁸^U^.^S.C.
¹⁵¹⁵⁽^a⁾⁽³⁾^.
⁵²^“⁽^a⁾^A^s^use^d^{in se}^c^tions¹⁵^{12 a}ⁿ^{d 1}⁵¹³^of^th^{is title}^aⁿ^{d i}ⁿ^t^h^{is se}^c^ti^on^{– (}¹^{) t}^h^e^te^rm^‘off^ic^ia^{l proc}^e^e^ding^{’ m}^e^aⁿ^{s –}
^(A^{) a p}^r^o^ceedⁱⁿ^{g b}^e^f^o^{re a j}^u^d^g^{e or co}^u^r^t^o^f^t^h^{e Un}ⁱ^t^e^d^S^t^at^es,^{a U}ⁿⁱ^t^ed^S^t^at^{es m}^a^gi^st^r^a^t^e^,^{a b}^aⁿ^k^ru^p^t^c^y^j^u^d^g^e,^{a j}^u^d^g^{e o}^f
^t^h^{e Un}ⁱ^t^e^{d S}^t^at^{es T}^a^{x Co}^u^r^t^,^{a speci}^al^t^rⁱ^a^l^j^u^d^g^{e o}^f^t^h^{e T}^a^{x Co}^u^r^t^,^{a j}^u^d^g^{e o}^f^t^h^{e Un}ⁱ^t^ed^S^t^at^{es Cl}^ai^{ms Co}^u^r^t^,^o^r^a
^F^e^d^e^ral^gran^d^j^u^ry^;^{(B) a p}^r^o^ceedⁱⁿ^{g b}^e^f^o^{re t}^h^{e Con}^g^ress;^{(C) a p}^r^oceedⁱⁿ^{g b}^e^f^o^{re a F}^e^d^e^ral^G^o^vern^men^t^agen^c^y^w^hⁱ^c^h
^{is au}^th^o^r^ized^b^y^law^;^o^r^{(D) a p}^r^o^ceedⁱⁿ^gⁱⁿ^v^o^lvⁱⁿ^g^th^e^b^u^sⁱⁿ^{ess o}^fⁱⁿ^su^ran^{ce w}^h^o^s^e^activ^{ities affect}ⁱⁿ^terstate
^c^o^m^m^e^r^c^e^bef^o^r^e^aⁿ^y^ins^u^r^a^nc^e^r^e^g^u^la^tor^y^of^fⁱ^cⁱ^a^l^or^a^g^eⁿ^cy^or^aⁿ^y^a^g^eⁿ^{t or}^e^x^am^ine^r^a^ppoin^t^e^d^by^s^u^c^h^of^fⁱ^cⁱ^a^l^or
^a^g^eⁿ^c^y^{to e}^x^a^m^ine^the^a^f^f^a^{irs of}^aⁿ^y^pe^{rson e}ⁿ^g^a^g^e^{d in th}^e^busiⁿ^e^{ss of}^insura^nc^e^w^hose^a^c^tiv^itie^{s a}^ffe^c^t^inte^rsta^te
^c^o^m^m^e^r^c^e^,^”^{18 U}^.^S.C^.¹⁵¹⁵⁽^a⁾⁽¹⁾^.

iii. mutilate, or
iv. conceal
b. an object
c. with intent to impair
d. the object's
i. integrity or
ii. availability for use
e. in an official proceeding,
3. a. evade
b. legal process
c. summoning that person
i. to appear as a witness, or
ii. to produce a
(I) record,
(II) document, or
(III) other object,
iii. in an official proceeding, i.e., a
(I) federal court proceeding,
(II) federal grand jury proceeding,
(III) Congressional proceeding,
(IV) federal agency proceeding, or
(V) proceeding involving the insurance business; or
4. a. be absent
b. from an official proceeding,
c. to which such person has been summoned by legal process; or

C. 1. a. hinder,
b. delay, or
c. prevent
2. the communication to a
a. federal judge or
b. federal law enforcement officer⁵³
3. of information relating to the
a. commission or
b. possible commission of a
4. a. federal offense or
b. [a] violation of conditions of
i. probation,
ii. supervisor release,
iii. parole, or
iv. release pending judicial proceedings;
shall be fined under this title or imprisoned not more than 10 years, or both.⁵⁴
In more general terms, subsection 1512(b) bans (1) knowingly, (2) using one of the prohibited
forms of persuasion (intimidation, threat, misleading or corrupt persuasion), (3) with the intent to
prevent a witness’s testimony or physical evidence from being truthfully presented at
Congressional or other official federal proceedings or with the intent to prevent a witness from ⁵⁵
cooperating with authorities in a matter relating to a federal offense. It also bans any attempt to

⁵³^“⁽^a⁾^A^s^use^d^{in se}^c^tions¹⁵^{12 a}ⁿ^{d 1}⁵¹³^of^th^{is title}^aⁿ^{d i}ⁿ^t^h^{is se}^c^tion^{. .}^{. (4)}^the^te^rm^‘la^w^eⁿ^f^o^rc^e^m^eⁿ^{t of}^fⁱ^c^e^r’
^m^e^aⁿ^s^aⁿ^of^fⁱ^c^e^r^or^e^m^plo^y^e^e^o^f^the^Fe^de^r^a^{l G}^o^v^e^rⁿ^m^e^{nt, or}^a^pe^r^s^{on a}^u^th^or^iz^e^d^t^o^a^c^t^f^o^r^or^on^be^h^a^lf^of^the^Fe^de^r^a^l
^G^o^v^e^rⁿ^m^e^{nt or}^s^e^r^v^ing^the^Fe^de^r^a^{l G}^o^v^e^rⁿ^m^e^{nt a}^s^aⁿ^a^d^vⁱ^s^e^r^or^c^ons^ul^ta^nt^{– (}^A⁾^a^u^thor^iz^e^d^u^nde^r^l^a^w^{to e}ⁿ^g^a^ge^{in or}
^s^upe^r^v^is^e^the^pr^e^v^eⁿ^tio^n,^de^te^c^tio^{n, i}ⁿ^v^e^s^tig^a^tion,^or^pr^os^e^c^u^tioⁿ^of^aⁿ^of^f^e^ns^e^;^or⁽^B⁾^s^e^r^v^ing^a^s^a^pr^oba^ti^on^or^pr^e^t^rⁱ^a^l
^s^e^rv^ic^es^offⁱ^c^e^r^unde^{r this}^title^,”¹⁸^U^.^S.C^.¹⁵¹⁵^(a^)(4).
⁵⁴¹⁸^U^.^S^.^C.¹⁵¹²^(b^).^“S^h^a^l^l^b^e^fⁱⁿ^e^d^un^d^e^{r t}^hⁱ^s^tⁱ^t^l^{e” ref}^e^{rs t}^o^t^h^{e f}^a^c^t^t^h^at^{as a gen}^e^ral^ru^l^eⁱⁿ^t^h^{e case o}^f^fel^oⁿⁱ^{es 18}
^U^.^S.C^.³⁵^{71 c}^a^lls^f^o^r^fⁱ^ne^s^of^not^m^o^r^e^thaⁿ^the^g^r^e^a^t^e^r^of^$25^0,0⁰⁰^f^o^r^indivⁱ^dua^ls⁽^$⁵⁰^0,⁰⁰^{0 f}^o^r^or^g^a^niz^a^tions⁾^or^of
^tw^ic^e^the^am^{ount of}^the^g^aⁱⁿ^or^l^o^s^s^a^s^s^o^cⁱ^a^t^e^d^w^{ith the}^of^f^e^ns^e^.
^A^s^{in the}^c^a^s^e^of^subse^c^{tion 1}⁵¹²⁽^a⁾^{, if}^a^subse^c^tion¹⁵¹²⁽^b)^obstr^u^c^{tion is c}^o^m^m^itte^{d in c}^o^nne^c^tioⁿ^w^{ith the}^tria^{l of}^a
^c^r^im^ina^l^c^h^a^r^ge^w^h^ic^{h is}^m^o^r^e^s^e^v^e^r^e^l^y^punis^h^a^b^le^,^the^hⁱ^g^h^e^r^peⁿ^a^lty^a^pplie^s^to^the^s^u^bs^e^c^tion¹⁵¹²⁽^b⁾^vⁱ^o^l^a^tio^{n a}^s
^w^e^l^l^,¹⁸^U.^S^.^C^.¹⁵¹²⁽^j⁾^.
⁵⁵^S^{ee e.}^g^.^,^Unⁱ^t^e^{d S}^t^a^t^{es v.}^Vⁱ^ct^o^r^,⁹⁷³^F.^2d⁹^75,⁹⁷^{8 (}¹^st^Cⁱ^r^.¹⁹⁹²⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Th^om^ps^on^,⁷⁶^F.^3d⁴⁴^2,⁴⁵^2-⁵³
⁽²^d^Cⁱ^r^.¹⁹⁹⁶⁾^;^Uⁿ^ite^d^St^ate^s^v^.^H^o^lt^,⁴⁶⁰^F.^3d⁹³^4,⁹³^{8 (}⁷^th^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^d^St^ate^s^v^.^G^u^r^r^{, 47}¹^F^.^{3d 14}^{4, 15}⁴⁽^D^.C^.^th
^Cⁱ^r^.²⁰⁰⁷⁾^;^Uⁿ^ite^{d State}^s^v^.^Tam^p^as^,⁴⁹^{3 F}^.³^d¹²⁹¹^,¹³⁰⁰⁽¹¹^Cⁱ^r^.²⁰⁰⁷⁾^.

so intimidate, threaten, or corruptly persuade, id. The term “corruptly” in the phrase “corruptly
persuades” as it appears in subsection 1512(b) has been found to refer to the manner of ⁵⁶⁵⁷⁵⁸
persuasion, the motive for persuasion, and the manner of obstruction. Prosecution for
obstructing official proceedings under subsection 1512(b)(2) will require proof that the defendant ⁵⁹
intended to obstruct a particular proceeding.
The attributes common to Section 1512 as a whole, apply to subsection 1512(b); some of which
may fit more comfortably in a subsection 1512(b) corrupt persuasion setting than they do in a
1512(a) violence prosecution. The affirmative defenses in subsections 1512(e) and 1515(c) are
prime examples. Subsection 1512(e) removes by way of an affirmative defense good faith
encouragements of a witness to speak or testify truthfully, although it does not excuse urging a ⁶⁰
witness to present fabrications as the truth. Subsection 1515(d) makes it clear that bona fide
legal advice and related services cannot be used to provide the basis for subsection 1512(b)

⁵⁶^Uⁿ^ite^d^St^ate^s^v^.^La^Sh^ay^,⁴¹^{7 F.}³^d⁷^15,⁷^{18 (}⁷^th^Ci^r.²⁰⁰⁵^)(“co^rrupt^p^e^rsu^a^si^on^o^ccu^{rs w}^h^{ere a d}^e^f^eⁿ^d^aⁿ^t^t^e^l^l^s^a
^poteⁿ^tia^{l w}^itne^{ss a}^f^a^ls^e^story^a^s^if^the^story^w^e^r^e^true^{, in}^te^ndi^ng^th^a^t^the^w^itne^{ss be}^lie^v^e^the^story^a^{nd te}^stify^to
^it”⁾⁽^v^e^r^y^m^u^c^h^lik^e^the^of^f^e^ns^e^s^els^e^w^h^e^r^e^{in s}^ubs^e^c^tioⁿ¹⁵¹²⁽^b)^of^“^k^now^ing^l^y^{. . . e}ⁿ^g^a^g^[^ing^]ⁱⁿ^mⁱ^s^c^ond^uc^{t tow}^a^r^d
^a^nothe^r^pe^r^s^on”^w^{ith obs}^tr^uc^tiv^e^inte^nt)^;^Uⁿ^ite^d^St^ate^s^v^.^F^a^rre^ll^{, 1}²⁶^F.3^d⁴⁸^4,⁴⁸⁸⁽³^{d C}ⁱ^r^.¹⁹⁹⁷⁾⁽^e^m^pha^sⁱ^s^{in the}
^orig^ina^l^)(“^T^{hus, w}^e^a^r^e^c^onf^ideⁿ^{t tha}^t^b^o^th^a^tte^m^p^ting^to^br^ibe^s^o^m^e^one^to^with^ho^ldⁱⁿ^f^o^rm^a^{tion a}^nd^a^tte^m^p^ting^to
^pe^r^s^uade^s^o^m^e^one^{to pr}^ov^ide^fa^l^s^e^inf^o^r^m^a^{tion to f}^e^de^r^a^{l inv}^e^s^tig^a^t^or^s^c^ons^ti^tute^‘^c^or^r^u^p^t^pe^r^s^ua^sⁱ^on^’^un^de^r
^§¹⁵¹²^(b^)”).
⁵⁷^Uⁿ^ite^d^St^ate^s^v^.^G^o^tti^{, 4}⁵⁹^F.^3d²⁹⁶^{, 3}⁴³⁽²^{d C}ⁱ^r^.²⁰⁰⁶⁾⁽^“^T^h^is^Cⁱ^r^c^{uit ha}^s^de^fⁱ^ne^{d ‘}^c^or^r^u^pt^pe^r^s^ua^sⁱ^on’^a^s^pe^r^s^ua^sⁱ^on
^tha^t^is^‘^m^otiv^a^t^e^d^by^aⁿ^im^pr^ope^r^pur^pos^e^.^’^Uⁿ^ite^{d State}^s^v^.^Th^om^p^s^on^,⁷⁶^F.^3d⁴⁴^2,⁴⁵^{2 (}^{2d C}ⁱ^r^.¹⁹⁹⁶⁾^.^W^e^ha^v^e^a^l^s^o
^sp^eci^fⁱ^c^a^l^l^y^st^at^ed^t^h^at^t^h^{e O}^b^st^ructⁱ^oⁿ^o^f^Ju^stⁱ^{ce A}^c^t^can^b^e^vi^o^l^at^ed^b^y^co^rru^p^t^l^yⁱⁿ^f^l^u^eⁿ^cⁱⁿ^{g a w}ⁱ^tⁿ^e^{ss t}^oⁱⁿ^vo^{ke t}^h^e
^Fif^t^{h Am}^eⁿ^d^m^eⁿ^{t priv}^ile^g^e^{in his}^g^r^a^{nd jury}^te^stim^on^y^.^Se^e^Uⁿ^ite^d^State^s^v^.^Cⁱ^offi^{, 4}⁹³^F.^2d¹¹^1,¹¹^{18 (}²^d^Cⁱ^r^.¹⁹⁷⁴⁾^”^th
^);^Uⁿ^ite^d^St^ate^s^v^.^K^h^atamⁱ^,²⁸⁰^F^.^3d⁹⁰^7,⁹¹¹^-¹²⁽⁹^Cⁱ^r^.²⁰⁰²⁾⁽^“^Sy^nthe^sⁱ^zⁱ^ng^the^s^e^v^a^rⁱ^ous^de^fⁱ^nitⁱ^ons^of^“^c^o^r^r^upt”
^an^d^“p^ersu^ad^e,^{” w}^eⁿ^o^t^{e t}^h^{e st}^at^ut^{e st}^roⁿ^g^l^y^su^gge^st^{s t}^h^at^oⁿ^e^w^h^o^at^t^e^m^p^t^s^t^o^“co^rrup^t^l^y^p^e^rsu^a^d^{e” an}^o^t^h^e^rⁱ^s^,^gi^ven
^t^h^{e p}^e^j^o^ratⁱ^v^{e p}^l^aiⁿ^m^eanⁱⁿ^{g o}^f^t^h^{e ro}^o^t^a^d^j^ectⁱ^v^{e “co}^rru^p^t^,^”^m^o^tⁱ^v^at^ed^b^y^anⁱⁿ^app^r^op^ri^at^{e o}^rⁱ^m^p^r^o^p^{er p}^u^r^po^{se t}^o
^c^onv^inc^e^a^not^he^r^t^o^eⁿ^g^a^g^e^{in a}^c^our^s^e^of^be^ha^vⁱ^or^-^s^uc^{h a}^s^im^pe^ding^aⁿ^oⁿ^g^o^ing^c^r^im^ina^l^inv^e^s^tig^a^tion”⁾^;^Uⁿ^ite^d^th
^State^s^v^.^Sh^otts^,¹⁴⁵^F.^3d¹²⁸⁹^,⁽¹¹^{Cir. 1}⁹⁹⁸^)(“^{It is re}^a^s^oⁿ^a^b^le^t^o^a^ttrib^ut^e^t^o^t^h^e^‘^c^or^r^u^ptly^pe^r^s^ua^de^’^la^ng^ua^g^eⁱⁿ
^Se^c^tion¹⁵¹²⁽^b)^{, t}^h^e^s^a^m^e^w^e^ll-^esta^blis^he^{d m}^e^aⁿ^ing^a^l^r^e^a^d^y^a^ttr^ibute^d^by^the^c^our^ts^t^o^t^h^e^c^o^m^p^a^r^a^b^le^la^ng^ua^g^eⁱⁿ
^Se^c^tion¹⁵⁰³⁽^a⁾^,^i.e^{., m}^o^tiv^a^t^e^d^b^y^aⁿ^im^pr^ope^r^p^u^r^p^os^e^”⁾^.
⁵⁸^Uⁿ^ite^d^St^ate^s^v^.^Burⁿ^s^,²⁹^{8 F}^.³^d⁵²³^,⁵⁴^{0 (}⁶^th^Cⁱ^r^.²⁰⁰²⁾⁽^“^B^u^rⁿ^s^a^t^te^m^p^te^{d to ‘}^c^or^r^u^ptly^pe^r^s^ua^de^’^W^a^lke^r^by^ur^gⁱ^ng
^him^{to lie}^a^b^o^u^t^the^ba^sis^of^theⁱ^r^re^la^tionshi^p,^to^de^ny^tha^t^W^a^l^k^er^kn^ew^Bu^rn^{s as a d}^r^u^g^d^eal^er,^an^d^t^o^di^scl^aⁱ^m^t^h^at
^Bu^rn^{s w}^a^{s W}^a^l^t^e^r’^{s so}^u^r^{ce o}^f^cra^c^{k co}^caiⁿ^e”);^Uⁿ^ite^{d St}^ate^s^v^.^H^u^l^l^{, 4}⁵⁶^F.3^d¹³^{3, (}^{3d C}ⁱ^r^.²⁰⁰⁶⁾⁽^“^t^h^e^r^e^w^a^s^am^ple
^evi^d^en^{ce f}^r^o^m^w^hⁱ^c^h^t^h^{e j}^u^ry^co^ul^d^con^c^l^u^d^e^t^h^at^H^u^l^l^kno^wⁱ^ng^l^y^atte^m^p^te^{d to c}^o^r^r^u^ptly^pe^r^s^ua^de^R^u^s^c^{h, w}^{ith t}^h^e
^inte^nt^{to c}^h^aⁿ^g^e^he^{r te}^stim^ony^.^Se^e^Uⁿ^ite^d^State^s^v^.^Far^r^e^ll^,¹²^{6 F.}^3d⁴⁸^4,⁴⁸^{8 (}³^{d C}ⁱ^r^.¹⁹⁹⁷⁾⁽^h^ol^din^g^tha^t^‘^c^or^r^u^pt
^pe^r^s^ua^sⁱ^on’^inc^l^ude^s^‘^a^tte^m^p^ting^{to pe}^r^s^ua^de^s^o^m^e^one^{to pr}^ov^ide^f^a^ls^e^inf^o^r^m^a^{tion t}^o^f^e^de^r^a^{l inv}^e^s^tig^a^t^or^s^’⁾^”⁾^;^Unite^d^st
^State^s^v^.^C^r^uz^ad^o-^L^aur^e^a^no^{, 40}⁴^F^.^3d⁴⁷^0,⁴⁸^{7 (}¹^Cir.²⁰⁰⁵^)(“^T^r^yⁱ^ng^{to pe}^rsua^de^a^w^itne^{ss to g}ⁱ^v^e^f^a^lse^te^sti^m^on^y^th
^c^ounts^a^s^‘^c^or^r^u^p^tly^pe^r^s^ua^ding^’^unde^r^§1⁵¹²⁽^b)^”⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Peⁿⁿⁱⁿ^gtoⁿ^,¹⁶^{8 F.}^3d¹⁰⁶⁰^,¹⁰⁶⁶⁽⁸^Cir.
¹⁹⁹^9)(“^A^f^t^e^{r c}^a^r^e^f^ull^y^e^x^a^m^ining^{this a}^m^e^ndm^eⁿ^{t a}^{nd its le}^gⁱ^sla^tiv^e^history^,^the^T^h^{ird Circ}^{uit c}^o^nc^lu^de^{d t}^h^a^t^the
^am^big^uous^te^r^m^‘^c^or^r^uptly^pe^r^s^ua^de^s^’^inc^l^u^d^e^s^‘^a^tte^m^p^ting^to^pe^r^s^u^ade^s^o^m^e^one^to^pr^ov^ide^falseⁱⁿ^f^o^r^m^a^{tion t}^o^f^e^de^r^a^l
^inv^e^stig^a^t^ors.’^Unite^d^Sta^t^e^s^v^.^Fa^rre^ll^,¹²⁶^F^.³^d⁴⁸⁴^,⁴⁸⁸⁽³^{d Ci}^r.¹⁹⁹⁷⁾^(em^p^h^a^si^{s i}ⁿ^t^h^{e o}^rⁱ^gⁱⁿ^al^).^W^e^a^g^ree”).
⁵⁹^E^v^en^t^h^o^u^g^h^t^h^{e st}^at^u^t^e,¹⁸^U.^S^.^C.¹⁵¹²⁽^f⁾^,^p^r^o^vⁱ^d^{es t}^h^at^t^h^e^o^b^s^t^r^u^c^t^e^d^p^r^o^ceedⁱⁿ^{gs n}^eed^b^eⁿ^eⁱ^t^h^e^r^oⁿ^g^oⁱⁿ^g^no^r
^p^eⁿ^dⁱⁿ^g^at^t^h^{e t}ⁱ^m^e^o^f^t^h^{e o}^b^s^t^r^u^c^tⁱ^o^n,ⁱ^tⁱ^s^“oⁿ^e^t^hⁱⁿ^{g t}^o^say^t^h^at^{a p}^r^o^ceedⁱⁿ^gⁿ^eed^no^t^b^e^p^e^ndⁱⁿ^g^{or ab}^o^u^t^t^o^b^e
ⁱⁿ^stitu^ted^{at t}^h^{e tim}^{e o}^f^th^{e o}^f^fen^s^{e, an}^d^q^u^{ite a}ⁿ^o^t^h^e^{r to}^sa^y^{a p}^r^o^ceedⁱⁿ^gⁿ^eedⁿ^o^{t ev}^en^b^e^f^o^reseen^{. A}^kⁿ^o^wⁱⁿ^g^l^y^{. . .}
^c^o^r^r^upt^pe^r^s^ua^de^r^c^aⁿ^not^be^s^o^m^e^one^w^ho^pe^r^s^ua^de^s^ot^he^r^s^{to s}^h^r^e^{d d}^o^c^u^m^e^nts^un^de^r^a^c^o^m^m^eⁿ^{t r}^e^t^e^ntio^{n p}^o^lic^y^w^h^eⁿ
^h^e^d^o^e^sⁿ^o^t^h^a^{ve i}ⁿ^con^t^em^p^l^atⁱ^oⁿ^an^y^p^a^rtⁱ^c^u^l^{ar o}^f^fⁱ^ci^al^p^r^o^ceedⁱ^{ng i}ⁿ^w^hⁱ^c^h^t^h^o^s^{e do}^cu^m^eⁿ^t^s^mⁱ^gh^t^b^e
^mat^e^ri^al^,^”^Ar^thur^An^de^r^s^e^{n LLP v}^.^Uⁿ^ite^d^St^ate^s^{, 5}^{44 U}^.^S.⁶⁹^6,⁷⁰⁷^-^{8 (}²⁰⁰⁵⁾^;^Uⁿⁱ^t^e^d^S^t^at^{es v.}^V^a^m^pⁱ^r^{e Na}^tⁱ^oⁿ^{, 45}¹
^F^.^3d¹⁸^9,²⁰^{5 (}³^d^Cⁱ^r^.²⁰⁰⁶⁾⁽^“^{We r}^ead^t^hⁱ^sⁱⁿ^st^r^u^ct^ioⁿ^{as r}^e^quⁱ^rⁱⁿ^{g t}^h^{e ju}^r^y^t^o^fⁱⁿ^d^so^m^e^coⁿⁿ^ectⁱ^oⁿ^–ⁱ^.^e.^{, a n}^e^xu^{s –}
^b^e^t^w^een^Ban^k^{s’s a}^c^tⁱ^oⁿ^s^an^{d an}^offⁱ^ci^al^p^r^o^ceedⁱⁿ^{g i}ⁿ^t^h^at^Ban^k^{s co}^u^l^d^no^t^b^e^coⁿ^vⁱ^c^t^e^d^uⁿ^l^e^{ss t}^h^{e j}^u^ry^f^ound^he
ⁱⁿ^t^e^nd^ed^t^o^p^e^rsu^a^d^e^Do^t^oⁱ^m^p^e^{de an}^o^f^fⁱ^ci^al^p^r^o^ceedⁱⁿ^g,^w^hⁱ^c^h^o^f^fⁱ^ci^al^p^r^o^ceedⁱⁿ^{g –}^gi^ven^Do^{’s emai}^l^regardⁱⁿ^{g h}ⁱ^s^st
^s^ubp^oe^na^–^B^a^nk^s^w^a^s^w^e^{ll aw}^a^r^e^of^”⁾^;^Uⁿ^ite^{d St}^ate^s^v^.^Mⁱ^s^l^a-^A^l^d^a^r^oⁿ^d^o^,⁴⁷^{8 F}^.³^d⁵²^,⁶⁹⁽¹^Cⁱ^r^.²⁰⁰⁷⁾^.
⁶⁰^Uⁿ^ite^d^St^ate^s^v^.^C^r^uz^a^do-^La^ur^e^a^no^{, 40}^{4 F.3}^d⁴⁷⁰⁽¹^st^Cir^.²⁰⁰⁵^)(“^Cruz^a^do^did^a^s^k^tha^t^the^y^te^{ll the}^truth;^h^o^w^e^ve^r,
^his^v^e^r^s^ion^of^‘^t^he^tr^ut^h’^t^h^a^t^he^u^r^g^e^{d upo}^{n t}^h^e^m^w^a^s^aⁿ^y^t^hing^but^the^tr^ut^h”⁾^.

corrupt persuasion prosecution.⁶¹ Conversely, a charge of soliciting a crime of violence or of
using a child to commit a crime of violence are more likely to be prosecutorial companions of a
charge under subsection 1512(a) than under subsection 1512(b).
On the other hand, the extraterritorial and venue statements of subsections 1512(h) and 1512(i)
are as readily applicable to subsection 1512(b) persuasion prosecutions as they are to a subsection

1512(a) violent obstruction case. The same can be said of aiding and abetting, accessories after ⁶²

the fact, misprision, and predicate offense status under RICO or the money laundering statutes.
And, it likewise is a separate offense to conspire to violate subsection 1512(b) under either
section 371 or subsection 1512(k).
The obstruction by destruction of evidence offense found in subsection 1512(c) is the creation of ⁶³
the Sarbanes-Oxley Act, and proscribes obstruction of Congressional proceedings, or of federal ⁶⁴
administrative or judicial proceedings, by destruction of evidence.
More specifically, subsection 1512(c) provides that
I. Whoever
II. corruptly
III. A. 1. alters,

2. destroys,

3. mutilates, or
4. conceals
B. 1. a record,
2. document, or
3. other object, or
C. attempts to do so,

⁶¹^E.g.^,^Unⁱ^t^ed^S^t^a^t^{es v.}^Kel^lⁱⁿ^g^t^oⁿ^,²¹⁷^F^.³^d¹⁰⁸⁴^,¹⁰⁹⁸^-¹¹⁰⁰⁽⁹^th^Cⁱ^r^.²⁰⁰⁰⁾^.
⁶²^E.g.^,^Unⁱ^t^ed^S^t^a^t^{es v.}^G^o^t^tⁱ^,⁴⁵⁹^F.3^d²⁹⁶^,³⁰¹⁽²^{d C}ⁱ^r^.²⁰⁰⁶⁾⁽¹⁸^U^.^S.C^.¹⁵¹²⁽^b)^a^s^a^R^I^C^O^pr^e^d^ic^a^t^e^of^f^e^ns^e⁾^;
^Se^pulv^e^d^{a v}^.^Uⁿ^ite^d^Sta^t^e^s^{, 3}³⁰^F^.^3d⁵⁵^{, 5}⁸⁽¹^st^ci^r.²⁰⁰³^)(sam^e).
⁶³^P^.^L.¹⁰⁷^-²⁰^4,¹¹^{6 S}^t^at^{, 80}⁷⁽²⁰⁰⁰⁾^.
⁶⁴^E.g.^{, U}ⁿⁱ^t^e^d^State^s^v^.^Ar^bol^ae^z^{, 4}⁵⁰^F.3^d¹²^83,¹²⁸⁶^-²^{87 (}¹¹^th^Cⁱ^r^.²⁰⁰⁶⁾⁽^w^he^{n f}^e^de^r^a^{l a}^g^eⁿ^ts^a^s^k^e^d^the^de^f^e^nda^nt^to
^ideⁿ^tif^y^a^ce^{ll pho}^ne^t^h^e^y^ha^{d s}^e^iz^e^d^{in a}^dr^ug^tr^a^f^fⁱ^ck^ing^inv^e^s^tig^ation^,^the^de^f^e^nda^{nt “}^g^r^a^bbe^d^one^of^the^ph^one^s^,
^rⁱ^ppe^d^{it a}^p^a^r^t^aⁿ^d^theⁿ^he^s^m^a^s^he^{d it}^{on t}^h^e^g^r^ou^nd^aⁿ^d^tr^ie^d^{to s}^t^e^p^on^it.^T^h^is^m^a^de^{it im}^pos^sⁱ^ble^{to r}^e^tr^ie^v^e^num^be^r^s
^a^{nd o}^t^he^rⁱⁿ^f^o^r^m^a^{tion thr}^o^ug^{h t}^h^e^ph^one^’^s^dis^p^la^y^.^”^T^h^e^def^e^nda^nt^w^a^s^c^onv^ic^te^{d of}^vⁱ^ola^ting^s^ubs^e^c^tion¹⁵¹²⁽^c⁾⁾^.

D. with the intent to impair the object’s
1. integrity, or
2. availability for use
E. in an official proceeding, or
IV. otherwise
A. 1. obstructs,
2. influences, or
3. impedes
B. an official proceeding, or
C. attempts to do so
shall be fined under this title or imprisoned not more than 20 years, or both.⁶⁵
As is generally true of attempts to commit a federal offense, attempt to violate subsection 1512(c)
requires an intent to violate the subsection and a substantial step toward the accomplishment of ⁶⁶
that goal.
As for the necessary nexus between the defendant’s destructive conduct and the obstructed
proceedings: “the defendant’s conduct must ‘have a relationship in time, causation, or logic with
the [official]. . . proceedings’; in other words, ‘the endeavor must have the natural and probable ⁶⁷
effect of interfering with the due administration of justice.’”
Like subsection 1512(a) and 1512(b) offenses, subsection 1512(c) offenses are RICO and money ⁶⁸
laundering predicate offenses, and may provide the foundation for criminal liability as a ⁶⁹
principal, accessory after the fact, conspirator, or one guilty of misprision. If the federal judicial,
administrative or Congressional proceedings are obstructed, prosecution may be had in the United ⁷⁰⁷¹
States even if the destruction occurs overseas, the proceedings are yet pending, or the offender ⁷²
is unaware of their federal character.

⁶⁵¹⁸^U^.^S^.^C^.¹⁵¹²⁽^c⁾^.
⁶⁶^Uⁿ^ite^d^St^ate^s^v^.^Luc^a^s^,⁴⁹^{9 F}^.³^d⁷⁶⁹^,⁷⁸^{1 (}⁸^th^Cⁱ^r^.²⁰⁰⁷⁾^.
⁶⁷^Uⁿ^ite^d^St^ate^s^v^.^Re^ic^h^,⁴⁷⁹^F.^3d¹⁷⁹^,¹⁸^{4 (}²^d^Cⁱ^r^.²⁰⁰⁷⁾^.
⁶⁸^{18 U}^.^S.C^.¹⁹⁶¹^,¹⁹⁵⁶⁽^c⁾⁽⁷⁾⁽^A⁾^.
⁶⁹^{18 U}^.^S.C^.^2,^3,³^71,¹⁵¹²⁽^k⁾^,^4.
⁷⁰¹⁸^U^.^S^.^C^.¹⁵¹²⁽^h⁾^.
⁷¹¹⁸^U^.^S^.^C^.¹⁵¹²⁽^f⁾^.
⁷²¹⁸^U^.^S^.^C^.¹⁵¹²⁽^g⁾^.

The obstruction by harassment prohibition in subsection 1512(d) appeared in subsection 1512(c)
until redesignated by Sarbanes-Oxley, and declares:
I. Whoever,
II. intentionally,
III. harasses another person, and thereby
IV. A. hinders,
B. delays,
C. prevents, or
D. dissuades,
V. any person from
A. 1. attending or
2. testifying in
3. an official proceeding, or
B. reporting
1. a. to a law enforcement officer, or
b. judge
c. of the United States,
2. a. the commission, or
b. possible commission, of
3. a. a federal offense, or
b. a violation of the conditions of
i. probation,
ii. supervised release,
iii. parole, or
iv. release pending judicial proceedings, or

C. 1. arresting, or
2. seeking to arrest
3. another person
4. in connection with a federal offense, or
D. causing
1. a. a criminal prosecution, or
b. a parole revocation proceeding, or
c. a probation revocation proceeding
2. a. to be sought, or
b. instituted, or
3. assisting in such prosecution or proceeding, or
VI. attempts to do so
shall be fined under this title or imprisoned not more than one year, or both.⁷³
The fine of crimes punishable by imprisonment for not more than one year is not more than ⁷⁴
$100,000 (not more than $200,000 for organizations). The subsection does not proscribe
obstructing a private individual who seeks information of criminal activity in order to report it to ⁷⁵
federal authorities.
Subsection 1512(d) harassment offenses are RICO and money laundering predicate offenses.⁷⁶
The provisions of law relating to principals, accessories after the fact, and conspiracy apply with ⁷⁷
equal force to offenses under subsection 1512(d), as do the provisions elsewhere in Section ⁷⁸

1512 relating to extraterritorial application, and abolition of the need to show pendency or ⁷⁹

knowledge of the federal character of the obstructed proceedings or investigation. Subsection

1512(d) harassment, however, cannot provide the basis for a misprision prosecution since the ⁸⁰

subsection’s offenses are not felonies.

⁷³¹⁸^U^.^S^.^C^.¹⁵¹²⁽^d⁾^.
⁷⁴^{18 U}^.^S.C^.³⁵⁷¹^,³⁵^81.
⁷⁵^Came^{lio v}^.^Ame^r^ic^{an Fe}^de^ratioⁿ^{, 13}⁷^F.3^d⁶⁶^{6, 6}⁷¹^-⁷²⁽¹^st^Cⁱ^r^.¹⁹⁹⁸⁾^.
⁷⁶^{18 U}^.^S.C^.¹⁹⁶¹^,¹⁹⁵⁶⁽^c⁾⁽⁷⁾⁽^A⁾^.
⁷⁷^{18 U}^.^S.C^.^2,^3,³^71,¹⁵¹²⁽^k⁾^.
⁷⁸¹⁸^U^.^S^.^C^.¹⁵¹²⁽^h⁾^.
⁷⁹¹⁸^U^.^S.C.¹⁵¹²^(f^{), (g}^).
⁸⁰^{18 U}^.^S.C^.^{4 (}^“^W^hoe^v^e^r^,^ha^vⁱ^ng^k^now^le^dg^e^of^the^a^c^t^ua^{l c}^o^m^m^is^sⁱ^on^of^a^f^e^lon^y^{. . .”}⁾^.^C^r^im^e^s^punis^h^a^b^le^by
ⁱ^m^p^rⁱ^s^oⁿ^m^en^t^f^o^{r n}^o^t^m^o^{re t}^h^an^on^{e y}^e^{ar are cl}^ass^A^mⁱ^sd^e^m^ean^o^r^s,¹⁸^U.^S^.^C^.³⁵⁸¹^.

Section 1505 outlaws interfering with Justice Department civil investigative demands issued in ⁸¹
antitrust cases, but deals primarily with obstructing Congressional or federal administrative
proceedings:
I. Whoever
II. A. corruptly, or
B. by threats or
C. force, or
D. by any threatening letter or communication
III. A. influences,
B. obstructs, or
C. impedes or
D. endeavors to

1. influence,

2. obstruct, or
3. impede
IV. A. 1. the due and proper administration of the law under which
2. any pending proceeding is being had
3. before any department or agency of the United States, or
B. 1. the due and proper exercise of the power of inquiry under which
2. any inquiry or investigation is being had

⁸¹^“W^h^o^e^ver,^wⁱ^t^hⁱⁿ^t^eⁿ^t^t^o^avoⁱ^d^,^evad^e,^p^r^even^t^,^o^r^o^b^s^t^r^u^c^t^co^m^p^lⁱ^an^ce,ⁱⁿ^w^h^o^l^{e o}^rⁱⁿ^p^a^rt^,^wⁱ^t^h^any^ci^vi^l
^inv^e^s^tig^a^tiv^e^dem^a^{nd duly}^a^{nd pr}^ope^rly^m^a^de^unde^{r t}^h^e^Aⁿ^titrus^t^Civ^{il Proc}^e^s^s^A^c^t,^w^illf^ull^y^w^ithh^o^lds^,^mⁱ^s^r^e^p^re^s^e^nts^,
^re^m^o^v^e^s^f^r^o^m^an^y^p^l^{ace, co}ⁿ^{ceals, co}^v^e^{rs u}^p^,^d^e^stro^y^s^{, m}^u^tila^{tes, al}^{ters, o}^r^b^y^o^t^h^e^{r m}^ean^{s f}^a^lsi^f^{ies a}ⁿ^y^d^o^c^u^m^en^tar^y
^m^a^te^ria^l^{, a}ⁿ^swe^r^{s to w}^r^itte^{n inte}^rr^og^a^t^orie^{s, or}^ora^l^te^stim^ony^,^w^h^ic^{h is t}^h^e^sub^j^e^c^t^of^suc^h^de^m^a^{nd; o}^r^a^tte^m^p^{ts to do}^so
^{or solic}^{its a}^not^he^{r to}^d^o^so^{. .}^{. S}^h^a^{ll be}^fⁱ^ne^{d u}^nde^r^this^t^itle^{, im}^prisone^d^no^{t m}^o^re^thaⁿ^fⁱ^v^e^y^e^a^r^{s or,}^if^the^of^fe^nse
^inv^o^lv^e^s^inte^rⁿ^a^tⁱ^ona^l^or^dom^e^s^{tic te}^r^r^o^rⁱ^s^m⁽^a^s^de^fⁱ^ne^{d in s}^e^c^tion²³³¹⁾^,^im^pr^is^one^{d n}^o^{t m}^o^r^e^thaⁿ⁸^y^e^a^r^s^,^or^bot^h,”
^{18 U}^.^S.C^.¹⁵⁰⁵^.

3. by
a. either House, or
b. any committee of either House or
c. any joint committee of the Congress
shall be fined under this title or imprisoned not more than 5 years (not more than 8 years if ⁸²
the offense involves domestic or international terrorism), or both.
Prosecutions under Section 1505 have been relatively few, at least until recently, and most of ⁸³
these arise as obstructions of administrative proceedings. “The crime of obstruction of [such]
proceedings has three essential elements. First, there must be a proceeding pending . . . Second,
the defendant must be aware of the pending proceeding. Third, the defendant must have ⁸⁴
intentionally endeavored corruptly to influence, obstruct or impede the pending proceeding.”
Perhaps due to the breadth of judicial construction, the question of what constitutes a pending
proceeding has arisen most often. Taken as a whole, the cases suggest that a “proceeding”
describes virtually any manner in which an administrative agency proceeds to do its business. The
District of Columbia Circuit, for example, has held that an investigation by the Inspector General
of the Agency for International Development may qualify as a “proceeding” for purposes of
Section 1505. In doing so, it rejected the notion “that [section] 1505 applies only to adjudicatory ⁸⁵
or rule-making activities, and does not apply to wholly investigatory activity.” Moreover,
proximity to an agency’s adjudicatory or rule-making activities, such as auditors working under
the direction of an officer with adjudicatory authority, has been used to support a claim that an ⁸⁶
obstructed agency activity constitutes a proceeding. The courts seem to see comparable breadth

⁸²¹⁸^U^.^S^.^C^.¹⁵⁰⁵^.
⁸³^E.g.^,^Unⁱ^t^ed^S^t^a^t^es^v.^B^l^a^ckwel^l^,⁴⁵⁹^F.^3d⁷^39,⁷⁶^{1 (}⁶^th^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Q^u^a^ttr^oⁿ^e^,⁴⁴¹^F^.^3d¹⁵^3,¹⁷^{4 (}²^d
^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^{d State}^s^v^.^Bh^ag^at^,⁴³^{6 F.}^3d¹¹⁴⁰^,¹¹^{46 (}⁹^th^Cⁱ^r^.²⁰⁰⁶⁾^.
⁸⁴^Uⁿ^ite^d^St^ate^s^v^.^Pr^ic^e^,⁹^{51 F.2}^d¹⁰²^{8, 10}³¹⁽⁹^th^Cir.¹⁹⁹¹⁾^{, c}^iting^,^Uⁿ^ite^d^St^ate^s^v^.^S^u^ttoⁿ^,⁷³^{2 F}^.²^d¹⁴^83,¹⁴⁹⁰⁽¹⁰^th
^Cⁱ^r^.¹⁹⁸⁴⁾^and^Unⁱ^t^ed^St^a^t^{es v.}^L^a^u^rⁱⁿ^s^{, 8}⁵⁷^F.^2d⁵²^9,⁵³^6-³⁷⁽⁹^th^Cⁱ^r^.¹⁹⁸⁸⁾^;^{see a}^l^s^o^,^Uⁿ^ite^d^State^s^v^.^Blac^k^w^e^l^l^{, 45}⁹^th
^F^.^3d⁷³^9,⁷⁶¹^-⁶²⁽⁶^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^d^State^s^v^.^Q^uat^tr^one^,⁴^{41 F}^.^{3d 15}^{3, 17}⁴⁽^2d^Cⁱ^r^.²⁰⁰⁶⁾^;^Unⁱ^t^ed^S^t^a^t^{es v.}^th
^Bha^gat^,⁴³^{6 F}^.³^d¹¹⁴⁰^,¹¹⁴⁷⁽⁹^Cⁱ^r^.²⁰⁰⁶⁾^.
⁸⁵^Uⁿ^ite^d^St^ate^s^v^.^K^e^lle^y^{, 3}⁶^F.^3d¹¹¹^8,¹¹²⁷⁽^D^.C^.C^ir^.¹⁹⁹⁴⁾^.^T^h^e^c^our^{t a}^l^s^o^o^b^s^e^r^v^e^d^tha^t^“^o^t^h^e^r^c^o^ur^ts^ha^v^e^he^ld
^th^{at ag}^en^c^yⁱⁿ^v^e^stig^ativ^{e activ}^itie^{s are p}^r^o^ceedⁱⁿ^g^s^w^ithⁱⁿ^t^h^e^sco^p^{e o}^f^[^s^ectioⁿ^]¹⁵⁰⁵^{. I}ⁿ^th^o^s^{e cases}^{, th}^{e i}ⁿ^v^e^stig^atioⁿ^s
^t^y^pⁱ^cal^l^y^h^a^v^eⁱⁿ^vo^l^v^ed^agen^ci^es^wⁱ^t^h^so^m^e^ad^j^u^dⁱ^catⁱ^v^{e p}^o^w^er,^o^r^wⁱ^t^h^t^h^{e po}^w^e^{r t}^o^en^h^aⁿ^{ce t}^h^ei^rⁱⁿ^vestⁱ^g^atⁱ^oⁿ^s
^thr^o^ug^{h t}^h^e^is^s^u^aⁿ^c^e^of^s^u^b^poe^na^s^or^w^a^r^r^a^nts^,^”^id.
⁸⁶^Uⁿ^ite^d^St^ate^s^v^.^Q^u^a^ttr^oⁿ^e^,⁴⁴¹^F^.^3d¹⁵^3,¹⁷^{5 (}²^d^Cⁱ^r^.²⁰⁰⁶⁾⁽^“^Quat^t^r^oⁿ^e^’^s^B^rⁱ^e^f^co^u^l^{d b}^e^r^ead^{as r}^aⁱ^sⁱⁿ^{g a d}ⁱ^stⁱⁿ^ctⁱ^oⁿ
^be^tw^e^eⁿ^the^inf^o^rm^a^l^a^{nd f}^o^r^m^a^l^sta^g^e^s^o^f^the^{SEC i}ⁿ^v^e^stig^a^{tion a}^{nd w}^h^e^t^he^{r c}^r^im^ina^l^lia^bility^f^o^{r obstruc}^ti^ng^aⁿ
^agen^c^y^‘p^ro^ceedⁱⁿ^{g’ can}^oⁿ^l^y^ari^s^{e i}ⁿ^t^h^{e co}ⁿ^t^ext^o^f^t^h^e^l^a^t^t^e^r.^{In our vi}^e^w^,^t^h^at^argu^m^eⁿ^t^co^{mes u}^p^sh^o^r^t^”^);^Uⁿ^ite^d^th
^S^t^a^t^es^v.^T^echⁿⁱ^{c S}^e^rvi^ces,^In^c.^{, 3}¹⁴^F.3^d¹⁰^31,¹⁰⁴⁴⁽⁹^Cir.²⁰⁰²^)(“Ho^w^e^v^e^{r, th}^{e reco}^rd^sh^o^w^{s th}^a^t^T^S^{I’s co}ⁿ^d^u^c^t,
^w^h^ile^rem^o^vⁱ^ng^the^a^s^be^s^t^os^a^t^th^e^pul^{p m}^{ill, w}^a^s^unde^{r inv}^e^s^tig^a^tion^by^the^E^P^A^a^t^the^re^le^v^a^{nt tim}^e^.^{. . A}ⁿ
^inv^e^stig^a^{tion in}^{to a}^possi^ble^vⁱ^ola^tion^of^the^Cle^aⁿ^Aⁱ^{r A}^c^{t or}^Cle^aⁿ^W^a^te^r^A^c^t,^w^h^ic^{h c}^oul^{d le}^a^d^{to a}^cⁱ^v^{il or c}^r^im^ina^l
^p^r^o^ceedⁱⁿ^{gs i}^s^{a ki}^nd^o^f^p^r^o^ceedⁱⁿ^g”);^Uⁿ^ite^d^Sta^t^e^s^v^.^Le^o^,⁹⁴¹^F.^2d¹⁸^1,¹⁹^8-⁹⁹⁽^{3d C}ⁱ^r^.¹⁹⁹¹⁾⁽^“^th^e^g^o^v^e^rⁿ^m^e^{nt . . .}
^argu^{es t}^h^at^t^h^{e agen}^cy^t^h^at^Bad^o^l^at^{e o}^b^s^t^r^u^c^t^e^{d act}^ed^un^d^e^{r t}^h^{e d}ⁱ^r^ectⁱ^oⁿ^o^f^t^h^{e A}^r^{my’s co}ⁿ^t^ractⁱⁿ^{g o}^f^fⁱ^cer,^w^h^o^h^a^{d t}^h^e
^a^u^thor^ity^{to m}^a^k^e^a^d^judic^a^tions^oⁿ^be^ha^lf^of^the^D^e^f^e^ns^e^D^e^pa^r^t^m^e^{nt. .}^{. .}^O^t^he^r^c^o^ur^ts^of^a^ppe^a^l^s^ha^v^e^br^oa^dly
^coⁿ^s^t^r^u^e^{d t}^h^{e t}^e^rm^‘p^ro^ceedⁱⁿ^{g’ a}^s^t^h^at^t^e^rmⁱ^s^u^s^edⁱⁿ^§1⁵⁰⁵^.^T^h^{e S}ⁱ^xt^h^Ci^rcuⁱ^t^,ⁱⁿ^Uⁿⁱ^t^e^d^State^s^v^.^Fr^uc^htm^aⁿ^{, 42}¹^th
^F^.^2d¹⁰¹⁹^,¹⁰²¹⁽⁶^Ci^r.¹⁹⁷⁰⁾^re^j^ect^ed^t^h^{e con}^t^en^tⁱ^oⁿ^t^h^at^t^h^{e w}^o^rd^‘p^r^o^ceedⁱⁿ^{gs’ ref}^e^{rs o}ⁿ^l^y^t^o^t^h^{ose st}^ep^{s b}^e^f^o^{re a}
^f^e^d^e^ral^a^g^en^c^y^t^h^at^{are j}^u^dⁱ^ci^al^o^r^ad^mⁱⁿⁱ^st^ratⁱ^v^{e i}ⁿⁿ^a^t^u^re.^T^h^{e T}^eⁿ^t^h^Ci^rcuⁱ^t^,ⁱⁿ^Unⁱ^t^ed^S^t^a^t^es^v.^B^r^ownⁱ^ng^,^Iⁿ^c.^{, 57}²^th
^F^.^2d⁷²^0,⁷²^{4 (}¹⁰^Ci^r.¹⁹⁷⁸^),^w^r^o^t^e:^{‘In su}^m^,^t^h^{e t}^e^rm^p^r^o^ceedⁱⁿ^{g i}^sⁿ^o^t^.^.^.^lⁱ^mⁱ^t^e^d^t^o^so^m^e^t^hⁱⁿ^{g i}ⁿ^t^h^{e n}^a^t^u^{re o}^f^a
^{trial. T}^h^{e g}^r^o^w^th^an^d^ex^p^aⁿ^s^ioⁿ^o^f^a^g^en^c^y^acti^v^{ities h}^a^v^e^resu^ltedⁱⁿ^{a m}^eanⁱⁿ^g^b^eⁱⁿ^g^gⁱ^v^eⁿ^to^p^r^o^ceedⁱⁿ^g^w^h^ich^is
⁽^c^onti^nue^d.^..)

in the Congressional equivalent (“obstructing the due and proper exercise of the power of ⁸⁷
inquiry” by Congress and its committees).
In the case of either Congressional or administrative proceedings, Section 1505 condemns only
that misconduct which is intended to obstruct the administrative proceedings or the due and ⁸⁸
proper exercise of the power of inquiry. In order to overcome judicially-identified uncertainty as ⁸⁹
to the intent required, Congress added a definition of “corruptly” in 1996: “As used in Section
1505, the term ‘corruptly’ means acting with an improper purpose, personally or by influencing
another, including making a false or misleading statement, or withholding, concealing, altering, or
destroying a document or other information,” 18 U.S.C. 1515(b). Examples of the type of conduct ⁹⁰
that has been found obstructive vary.
Section 1505 offenses are not RICO or money laundering predicate offenses.⁹¹ Section 1505 has
neither a separate conspiracy provision nor an explicit exterritorial jurisdiction provision.
However, conspiracy to obstruct administrative or Congressional proceedings may be prosecuted ⁹²
under 18 U.S.C. 371, and the courts would likely find that overseas violations of Section 1505 ⁹³
may be tried in this country. Moreover, the general aiding and abetting, accessory after the fact,

^(...c^on^tin^ue^d)
^m^o^re^inc^l^usiv^e^a^{nd w}^h^ic^{h no}^lo^ng^e^r^lim^{its itse}^l^f^{to f}^o^rm^a^l^a^c^tiv^itie^s^{in a}^c^o^{urt of}^la^w^.^Ra^the^r^{, the}ⁱⁿ^v^e^stig^a^{tion or}^se^a^r^c^h
^f^o^{r t}^h^{e t}^r^u^e^f^act^{s .}^.^.ⁱ^sⁿ^o^t^t^o^b^e^r^u^l^e^d^{as a no}ⁿ^-^p^r^o^ceedⁱⁿ^{g si}^m^p^l^y^b^ecau^{se i}^tⁱ^s^p^r^elⁱ^mⁱⁿ^ary^t^oⁱⁿ^dⁱ^ct^men^t^an^d^t^rⁱ^a^l^.^’^S^ee^th
^als^o^{. .}^.^Rⁱ^{ce v.}^Unⁱ^t^ed^S^t^a^t^es^,³⁵^{6 F.}^2d⁷^09,⁷^{12 (}⁸^Ci^r.¹⁹⁶⁶^)(‘^P^r^o^ceedⁱⁿ^{gs b}^e^f^o^{re a go}^vern^m^eⁿ^t^al^d^e^p^a^rt^m^eⁿ^t^o^r
^agen^c^y^si^m^p^l^y^mean^p^r^o^ceedⁱⁿ^{g i}ⁿ^t^h^{e m}^aⁿⁿ^e^{r an}^{d f}^o^rm^p^r^escri^b^ed^f^o^{r co}ⁿ^d^u^c^tⁱⁿ^g^b^u^sⁱⁿ^ess^b^e^f^o^{re t}^h^{e d}^e^p^a^rt^m^eⁿ^t^o^r
^agen^c^y^.^.^.^’).^Gⁱ^ven^t^h^{e b}^r^o^a^d^m^eanⁱⁿ^{g o}^f^t^h^{e w}^o^rd^‘^p^ro^ceedⁱⁿ^{g’ and}^t^h^{e Def}^eⁿ^s^{e Co}ⁿ^t^ract^A^u^dⁱ^t^A^g^eⁿ^cy^{’s p}^a^rtⁱ^c^u^l^ar
^mⁱ^s^sⁱ^oⁿ^,^w^e^agree^wⁱ^t^h^t^h^{e go}^vern^m^eⁿ^t^t^h^at^w^h^en^Bad^o^l^at^{e ob}^st^ruct^ed^S^t^ern^’^{s search}^f^o^{r t}^h^{e t}^r^u^e^purch^{ase o}^r^d^e^{r d}^a^t^e^s,
^Bad^o^l^at^{e ob}^st^ru^ct^ed^a^p^r^o^ceedⁱⁿ^{g w}ⁱ^t^hⁱⁿ^t^h^{e m}^eanⁱⁿ^{g o}^f^§¹⁵⁰⁵^”^).
⁸⁷^Uⁿ^ite^d^St^ate^s^v^.^M^itc^he^ll^{, 87}⁷^F.^{2d 29}^{4, 30}^0-³^{01 (}⁴^th^Cⁱ^r^.¹⁹⁸⁹⁾⁽^“^T^h^e^que^s^tion^of^w^h^e^t^he^r^a^gⁱ^v^e^{n cong}^r^e^s^sⁱ^ona^l
^inv^e^s^tig^a^{tion is}^a^‘^d^ue^aⁿ^{d pr}^ope^r^e^x^e^r^cⁱ^se^of^the^pow^e^r^of^inquir^y^’^f^o^r^pur^p^o^s^e^s^of^[^s^e^c^tioⁿ^]¹⁵⁰⁵^c^a^{n n}^o^t^be^aⁿ^s^w^e^r^e^d
^b^y^a^my^o^pⁱ^c^f^o^cu^{s o}ⁿ^f^o^rm^alⁱ^t^y^.^Rat^h^er,ⁱ^tⁱ^s^p^r^op^erl^y^an^s^w^ered^b^y^{a care}^f^u^l^exa^mⁱⁿ^atⁱ^oⁿ^o^f^al^l^t^h^{e s}^u^rrouⁿ^dⁱⁿ^g
^cⁱ^rc^um^st^aⁿ^c^e^s^{. If}^{it is a}^ppa^re^{nt th}^a^t^the^inv^e^stig^a^tion^is^a^le^g^itim^a^t^e^e^x^e^r^cⁱ^se^o^f^inv^e^stig^a^tive^a^u^thorit^y^b^y^a
^c^ong^r^e^s^sⁱ^ona^{l c}^o^m^m^itte^e^{in a}ⁿ^a^r^e^a^w^{ithin t}^h^e^c^o^m^m^itte^e^'^s^pur^vⁱ^ew^{, it s}^houl^d^be^pr^ote^c^t^e^d^by^[^s^e^c^tⁱ^oⁿ^]¹⁵⁰⁵^{. W}^h^ile
^f^o^r^m^al^au^t^h^o^rⁱ^zatⁱ^oⁿⁱ^s^cert^aⁱⁿ^l^y^{a f}^act^o^r^t^h^at^w^eⁱ^g^h^s^h^eav^il^y^{in this de}^te^rm^ina^{tion, its}^p^r^esen^{ce o}^r^ab^s^eⁿ^{ce i}^sⁿ^o^t
^dis^posⁱ^tiv^e^.^T^o^gⁱ^v^e^[^S^e^c^tio^{n 1}⁵⁰⁵^]^the^pr^o^t^e^c^tiv^e^f^o^r^c^e^it^w^a^s^inte^nde^d,^c^o^r^r^u^{pt e}^nde^a^v^or^s^to^inf^l^ue^nc^e^c^ong^r^e^s^sⁱ^ona^l
ⁱⁿ^vestⁱ^g^atⁱ^oⁿ^s^m^u^st^b^e^p^r^o^s^cri^b^{ed even}^w^h^en^t^h^ey^o^ccu^{r p}^rⁱ^o^{r t}^o^f^o^rmal^co^mmi^t^t^{ee au}^t^h^o^rⁱ^zatⁱ^oⁿ^”^).
⁸⁸^Uⁿ^ite^d^St^ate^s^v^.^Le^o^{, 94}¹^F^.^2d¹⁸¹^,¹⁹^{9 (}³^d^Cⁱ^r^.¹⁹⁹¹⁾^;^Uⁿ^ite^d^Stat^e^s^v^.^M^itc^he^ll^{, 8}^{77 a}^t²⁹^9;^Uⁿ^ite^{d State}^s^v^.
^Laurⁱⁿ^s^,⁸⁵^{7 F.}^2d⁵^29,⁵^36-^{37 (}⁹^th^Cⁱ^r^.¹⁹⁸⁸⁾^.
⁸⁹^Unⁱ^t^e^d^S^t^a^t^{es v.}^P^oⁱⁿ^d^ext^er^,⁹⁵¹^F.2^d³⁶⁹⁽^D^.C^.C^ir^.¹⁹⁹¹⁾⁽^h^oldi^ng^tha^t^a^m^big^u^ity^of^the^te^r^m^“^c^o^r^r^uptly^”^{in the}
^c^onte^x^{t of}¹⁵⁰⁵^re^nde^re^d^{it u}ⁿ^c^oⁿ^s^tituti^ona^lly^v^a^g^u^e^a^t^le^a^s^t^w^h^eⁿ^a^pplie^{d to}^f^a^lse^sta^t^e^m^eⁿ^{ts m}^a^de^dire^c^t^l^y^to
^C^ong^r^e^s^s⁾^.
⁹⁰^Unⁱ^t^e^d^S^t^a^t^{es v.}^B^l^a^ckwel^l^{, 45}⁹^F^.^{3d 73}^{9, 76}¹⁽⁶^th^Ci^r.²⁰⁰⁶^)(sub^mi^ssi^oⁿ^o^fⁱⁿ^accu^rat^eⁱⁿ^f^o^rm^atⁱ^oⁿ^pu^rsu^aⁿ^t^t^o^aⁿ
^Se^c^u^ritie^{s a}^nd^Ex^c^h^aⁿ^g^e^Com^m^is^{sion s}^u^b^poe^na^);^Uⁿ^ite^{d St}^ate^s^v^.^Bha^gat^,⁴³^{6 F}^.³^d¹¹⁴⁰^,¹¹⁴⁹⁽⁹^th^{Cir. 2}⁰⁰⁶^{) (f}^alse^th
^sta^t^e^m^eⁿ^{ts to SEC i}ⁿ^v^e^stig^a^t^ors);^Unⁱ^t^e^d^S^t^a^t^es^v.^T^echⁿⁱ^{c S}^e^rvi^ces,^In^c.^,³¹^{4 F.}^3d¹⁰³¹^,¹⁰^{44 (}⁹^Cir.
²⁰⁰²⁾⁽^t^a^m^pe^rⁱ^ng^w^{ith a}ⁱ^r^m^onitorⁱ^ng^de^vⁱ^c^e^s^dur^ing^aⁿ^Envⁱ^r^o^nm^enta^l^P^r^ote^c^tion^A^g^eⁿ^cy^inv^e^s^tig^a^tⁱ^on)^;^Uⁿ^ite^d^St^ate^s
^v^.^Ke^lle^y^{, 36}^F.3^d¹¹^18,¹¹²⁷^-¹²⁸⁽^D^.C^.C^ir^.¹⁹⁹⁴⁾⁽^eⁿ^lis^ting^othe^r^s^t^o^lie^t^o^A^I^D^Iⁿ^s^p^e^c^t^or^G^e^ne^r^a^l’^s^O^f^fⁱ^ce^th
^inv^e^stig^a^t^ors);^Unite^d^Sta^t^e^s^v^.^Pr^ic^e^{, 95}^{1 F.}^2d¹⁰²⁸^,¹⁰^{31 (}⁹^Cⁱ^r^.¹⁹⁹¹⁾⁽^u^sⁱ^ng^t^h^r^e^a^t^s^{to a}^v^oi^{d a}ⁿⁱⁿ^te^r^v^ie^w^w^{ith I}^R^S
^o^f^fⁱ^ci^al^s;^Uⁿ^ite^{d St}^ate^s^v^.^Le^o^,⁹⁴^{1 F.}^2d¹^81,¹^{98 (}³^d^Cⁱ^r^.¹⁹⁹¹⁾⁽^m^a^k^ing^f^a^ls^e^s^t^a^t^em^eⁿ^ts^{to a}^D^e^f^e^nse^D^e^pa^r^t^m^e^nt
^a^udit^o^r⁾^;^Uⁿⁱ^t^e^d^State^s^v^.^Sc^hw^ar^t^z^{, 92}^{4 F}^.²^d⁴¹⁰⁽²^{d C}ⁱ^r^.¹⁹⁹¹⁾⁽^l^yⁱ^ng^{to C}^u^s^t^om^s^Se^r^v^ic^e^of^fⁱ^cⁱ^a^l^s⁾^;^Uⁿ^ite^{d State}^s^v^.^th
^M^itc^he^ll^,⁸^{77 F.2}^d²⁹^{4, 29}^9-³⁰⁰⁽⁴^Cⁱ^r^.¹⁹⁸⁹⁾⁽^e^nde^a^v^orⁱⁿ^g^to^us^e^f^a^mⁱ^l^y^r^e^la^tions^hi^{p to}^o^b^s^t^r^u^c^t^a^C^ong^r^e^s^sⁱ^ona^l^th
^inv^e^stig^a^tion);^Unⁱ^t^ed^S^t^a^t^es^v.^L^a^u^rⁱⁿ^s^,⁸⁵^{7 F}^.²^d⁵²⁹^,⁵^36-³⁷⁽⁹^{Cir. 1}⁹⁸⁸^)(subm^itting^f^a^lse^doc^u^m^eⁿ^ta^{tion i}ⁿ
^r^e^s^pons^e^to^aⁿ^I^R^S^s^u^b^poe^na⁾^.
⁹¹¹⁸^U^.^S.C.¹⁹⁶¹⁽¹^),¹⁹⁵⁶^(c)(7^).
⁹²^E.g.^,^Unⁱ^t^ed^S^t^a^t^es^v.^B^l^a^ckwel^l^,⁴⁵⁹^F.^3d⁷^39,⁷⁴^{8 (}⁶^th^Cⁱ^r^.²⁰⁰⁶⁾^.
⁹³^Cf.^,^Uⁿ^ite^d^Sta^t^e^s^v^.^Bow^m^an^,²⁶^{0 U}^.^S.⁹⁴^,^{98 (}¹⁹²²⁾⁽^“^W^e^c^aⁿ^no^t^s^u^p^pos^e^tha^t^w^h^eⁿ^C^ong^r^e^s^s^eⁿ^a^c^t^e^d^the^[^f^r^a^ud^]
^s^t^a^t^ute^or^a^m^e^nde^{d it,}^it^didⁿ^o^{t h}^a^v^e^{in m}ⁱ^{nd tha}^t^a^wⁱ^de^fⁱ^e^l^{d f}^o^r^s^u^c^h^f^r^a^{ud u}^p^oⁿ^t^h^e^g^o^v^e^rⁿ^m^e^{nt w}^a^s^{in pr}^iv^a^t^e^aⁿ^d
⁽^c^onti^nue^d.^..)

and misprision statutes are likely to apply with equal force in the case of obstruction of an ⁹⁴
administrative or Congressional proceeding.
Congress outlawed retaliation against federal witnesses under Section 1513 at the same time it ⁹⁵
outlawed witness tampering under Section 1512. Although somewhat more streamlined, Section

1513 shares a number of attributes with Section 1512. The definitions in Section 1515 apply to ⁹⁶

both sections. Consequently, the prohibitions apply to witnesses in judicial, Congressional and ⁹⁷⁹⁸
administrative proceedings. There is extraterritorial jurisdiction over both offenses. In slightly
different terms, both protect witnesses against murder and physical abuse – committed,
attempted, conspired, or threatened. Offenses under the two are comparably punished.
Section 1513 prohibits witness or informant retaliation in the form of killing, attempting to kill,⁹⁹ ¹⁰⁰
inflicting or threatening to inflict bodily injury, damaging or threatening to damage property,

^(...c^on^tin^ue^d)
^pub^lic^v^e^s^s^e^ls^of^the^Uⁿ^ite^{d Sta}^t^e^s^{on t}^h^e^hⁱ^g^h^s^e^a^s^a^{nd i}ⁿ^f^o^r^e^igⁿ^por^ts^aⁿ^d^be^y^{ond the}^la^nd^jurⁱ^s^d^ic^tion^of^the^Uⁿⁱ^t^e^d
^S^t^at^es,^an^d^t^h^eref^o^r^{e i}ⁿ^t^eⁿ^d^t^oⁱⁿ^c^l^u^d^e^t^h^emⁱⁿ^t^h^{e sect}ⁱ^oⁿ^”^);^For^d^v^.^Uⁿ^ite^d^St^ate^s^,²⁷^{3 U,}^.^S^.⁵⁹^3,⁶²³⁽¹⁹²⁷⁾⁽^{“a m}^aⁿ
^w^h^o^o^u^t^si^d^e^o^f^{a co}^uⁿ^try^w^illf^u^l^l^y^p^u^t^sⁱⁿ^m^o^tioⁿ^{a f}^o^{rce to}^tak^e^{effect in}^{it is}^an^sw^erab^{le at th}^{e p}^l^{ace w}^h^{ere th}^{e ev}^{il is}
^done^”⁾^.
⁹⁴^{18 U}^.^S.C^.^2,^3,^4.^E.g^.^,^Uⁿ^ite^d^St^ate^s^v^.^Le^o^,⁹^{41 F.2}^d¹⁸^{1, 18}⁴⁽³^d^Cⁱ^r^.¹⁹⁹¹⁾^.
⁹⁵^P^.^L^.^97-²⁹^{1, 96}^Sta^t^.¹²⁴⁹^{, 12}^{50 (}¹⁹⁸²⁾^.
⁹⁶¹⁸^U^.^S^.^C^.¹⁵¹⁵⁽^a⁾^.
⁹⁷^{18 U}^.^S.C.¹⁵¹⁵^(a^)(1)(“^A^s^use^d^{in se}^c^tions¹⁵¹²^aⁿ^d¹⁵¹³^of^this^t^itle^a^nd^{in t}^h^{is se}^c^tio^{n –}⁽¹⁾^the^te^rm^‘o^ff^ic^ia^l
^p^r^o^ceedⁱⁿ^{g’ m}^ean^{s –}^(A^{) a p}^r^o^ceedⁱⁿ^{g b}^e^f^o^{re a j}^u^d^g^{e o}^r^cou^r^t^o^f^t^h^{e Un}ⁱ^t^e^d^S^t^at^es,^{a Un}ⁱ^t^e^d^S^t^at^{es magi}^st^rat^e^,^a
^ba^nk^r^uptc^y^judg^e^,^a^ju^dg^e^of^the^Uⁿ^ite^{d S}^t^a^t^e^s^T^a^x^C^our^{t, a}^s^p^e^cⁱ^a^l^tr^ia^{l j}^udg^e^of^the^T^a^x^C^our^{t, a}^j^u^dg^e^of^the^Uⁿ^ite^d
^S^t^at^{es Cl}^ai^m^s^Co^u^r^t^,^o^r^{a F}^e^d^e^ral^gran^d^j^u^ry^;^{(B) a p}^r^o^ceedⁱⁿ^{g b}^e^f^o^{re t}^h^{e Con}^g^ress;^{(C) a p}^r^o^ceedⁱⁿ^g^b^e^f^o^{re a F}^e^d^e^ral
^G^o^vern^men^t^agen^c^y^w^hⁱ^c^hⁱ^s^au^t^h^o^rⁱ^zed^b^y^l^a^w^;^o^r^{(D) a p}^r^o^ceedⁱⁿ^{g i}ⁿ^vo^l^vⁱⁿ^{g t}^h^{e bu}^siⁿ^e^{ss o}^fⁱⁿ^su^r^aⁿ^{ce w}^h^o^s^e
^a^c^tiv^itie^{s a}^f^f^e^c^t^inte^rsta^te^c^o^m^m^e^r^c^e^be^f^o^re^aⁿ^y^insura^nc^e^re^g^u^la^tory^o^f^fⁱ^cⁱ^a^l^{or a}^g^eⁿ^c^y^{or a}ⁿ^y^a^g^eⁿ^{t or e}^x^a^m^ine^r
^a^ppoi^nte^d^by^s^u^c^h^of^fⁱ^cⁱ^a^l^or^a^g^eⁿ^cy^{to e}^x^am^ine^the^a^f^f^a^ir^s^o^f^aⁿ^y^pe^r^s^{on e}ⁿ^g^a^g^e^{d in t}^h^e^b^u^sⁱ^ne^s^s^ofⁱⁿ^s^u^r^a^nc^e^w^hos^e
^activ^{ities a}^f^f^{ect in}^{terstate co}^mm^er^ce”).
⁹⁸¹⁸^U^.^S^.^C^.¹⁵¹²⁽^h⁾^,¹⁵¹³⁽^d⁾^.
⁹⁹^“⁽^a⁾^W^hoe^v^e^{r k}^{ills or a}^tte^m^p^{ts to k}^{ill a}^not^he^{r pe}^rsoⁿ^w^{ith i}ⁿ^te^nt^to^re^ta^lia^te^a^g^aⁱ^{nst a}ⁿ^y^pe^{rson f}^o^{r –}^(A^{) the}
^at^t^eⁿ^d^aⁿ^{ce o}^f^{a w}ⁱ^tⁿ^{ess o}^r^p^a^rt^y^a^t^an^o^f^fⁱ^ci^al^p^r^o^ceedⁱⁿ^g,^o^r^an^y^t^e^stⁱ^m^oⁿ^y^gi^v^eⁿ^o^r^an^y^reco^rd^,^do^c^u^m^eⁿ^t^,^o^r^o^t^h^e^r
^o^b^j^ect^pro^d^u^ced^b^y^a^wⁱ^tⁿ^{ess i}ⁿ^an^o^f^fⁱ^ci^al^p^r^o^ceedⁱⁿ^g;^o^r^(B)^p^r^o^vⁱ^dⁱⁿ^{g t}^o^{a l}^a^w^en^f^o^rce^m^en^t^o^f^fⁱ^c^e^{r an}^yⁱⁿ^f^o^r^m^atⁱ^oⁿ
^r^e^la^ting^{to t}^h^e^c^o^m^m^is^sⁱ^{on or}^pos^sⁱ^ble^c^o^m^m^is^sⁱ^{on of}^a^Fe^de^r^a^{l of}^f^e^ns^e^or^a^vⁱ^ola^tⁱ^on^of^c^ondi^tio^ns^o^f^pr^oba^tioⁿ
^su^p^e^rvi^s^ed^rel^ease,^p^a^ro^l^e^,^o^r^rel^{ease p}^eⁿ^dⁱⁿ^g^j^u^dⁱ^ci^al^p^r^o^ceedⁱⁿ^{gs –}^sh^al^l^b^e^puⁿⁱ^s^h^ed^{as p}^r^o^vⁱ^d^{ed i}ⁿ^p^a^ragrap^h⁽²^).⁽²⁾
^T^h^e^punis^h^m^e^{nt f}^o^{r a}ⁿ^of^fe^ns^e^un^de^{r this}^s^ubs^e^c^tio^{n is}^{– (A}^{) in t}^h^e^c^a^s^e^of^a^k^illing^,^the^pu^nis^h^m^e^{nt prov}^ide^dⁱⁿ
^sectⁱ^oⁿ^s¹¹¹¹^and¹¹¹²^;^and^(B)ⁱⁿ^t^h^{e case o}^f^an^at^t^e^m^p^t^,ⁱ^m^p^rⁱ^s^oⁿ^men^t^f^o^{r n}^o^t^m^o^{re t}^h^{an 20}^y^{ears .}^.^.^{(c) If}^t^h^e
^ret^a^lⁱ^a^tⁱ^oⁿ^o^ccu^rred^b^ecau^{se o}^f^at^t^eⁿ^d^aⁿ^{ce at}^o^r^t^e^stⁱ^m^oⁿ^yⁱⁿ^{a cri}^mⁱⁿ^al^case,^t^h^{e m}^a^xi^m^u^m^t^e^r^m^o^fⁱ^m^p^rⁱ^s^oⁿ^m^en^t
^w^h^ic^{h m}^a^y^beⁱ^m^pos^e^d^f^o^r^the^of^f^e^ns^e^unde^r^this^s^e^c^tio^{n s}^h^a^l^l^be^t^h^e^hig^h^e^r^of^tha^t^othe^r^w^is^e^pr^ov^ide^d^by^la^w^or^the
^maxi^m^u^m^t^e^r^m^t^h^at^co^u^l^d^h^a^{ve b}^eenⁱ^m^p^o^s^ed^f^o^{r an}^y^o^ffen^s^{e ch}^ar^gedⁱⁿ^su^{ch case,}^{” 1}⁸^U.^S^.^C.¹⁵¹³^(a),^(c).
¹⁰⁰^“⁽^b)^W^hoe^v^e^r^k^now^ing^l^y^eⁿ^g^a^g^e^s^{in a}ⁿ^y^c^ond^uc^{t a}ⁿ^d^the^r^e^b^y^c^a^u^s^e^s^bodi^ly^injur^y^{to a}^not^he^r^pe^r^s^oⁿ^or^da^m^a^g^e^s^the
^ta^ng^ible^pr^ope^r^t^y^of^a^nothe^r^pe^r^s^oⁿ^{, o}^r^thr^e^a^t^eⁿ^s^t^o^{do s}^o^{, w}^{ith i}ⁿ^teⁿ^t^{to r}^e^ta^lia^te^a^g^aⁱ^ns^{t a}ⁿ^y^pe^r^s^{on f}^o^r^{– (}¹⁾^the
^at^t^eⁿ^d^aⁿ^{ce o}^f^{a w}ⁱ^tⁿ^{ess o}^r^p^a^rt^y^a^t^an^o^f^fⁱ^ci^al^p^r^o^ceedⁱⁿ^g,^o^r^an^y^t^e^stⁱ^m^oⁿ^y^gi^v^eⁿ^o^r^an^y^reco^rd^,^do^c^u^m^eⁿ^t^,^o^r^o^t^h^e^r
^o^b^j^ect^pro^d^u^ced^b^y^a^wⁱ^tⁿ^{ess i}ⁿ^an^o^f^fⁱ^ci^al^p^r^o^ceedⁱⁿ^g;^o^r⁽²^{) an}^yⁱⁿ^f^o^rmatⁱ^oⁿ^rel^a^tⁱⁿ^{g t}^o^t^h^{e co}^mmⁱ^ssi^oⁿ^o^r^po^ssi^b^l^e
^c^o^m^mⁱ^s^sⁱ^{on of}^a^Fe^de^r^a^{l of}^f^e^ns^e^or^a^vⁱ^ola^tⁱ^on^of^c^ondi^tio^ns^of^pr^o^b^a^tio^{n s}^u^pe^r^v^is^e^d^r^e^le^a^s^e^,^pa^r^o^le^,^or^r^e^le^a^s^e^pe^ndi^ng
^ju^dⁱ^cial^p^r^o^ceedⁱⁿ^g^s^gⁱ^v^eⁿ^b^y^{a p}^e^rsoⁿ^to^{a law}^en^f^o^rce^m^en^{t o}^f^fⁱ^ce^{r; o}^r^attem^p^{ts to}^d^o^s^o^{, s}^h^{all b}^e^fⁱⁿ^e^d^uⁿ^d^e^r^th^{is t}^itle
^o^rⁱ^m^p^rⁱ^s^oⁿ^e^{d no}^t^m^o^{re t}^h^an^t^eⁿ^years,^o^r^bo^t^h^.^{(c) If}^t^h^{e ret}^a^lⁱ^a^tⁱ^oⁿ^o^ccu^rred^b^ecau^{se o}^f^at^t^eⁿ^d^aⁿ^{ce at}^o^r^t^e^stⁱ^m^oⁿ^yⁱⁿ^a
^c^r^im^ina^l^c^a^s^e^,^the^m^a^xⁱ^m^u^m^te^r^m^of^im^pr^is^onm^eⁿ^t^w^h^ic^{h m}^a^y^beⁱ^m^pos^e^d^f^o^r^the^of^f^e^ns^e^unde^r^this^s^e^c^{tion s}^h^a^l^l^be^t^h^e
^hig^h^e^r^of^tha^t^othe^r^w^is^e^pr^ov^ide^d^by^law^or^the^m^a^xⁱ^m^u^m^te^r^m^tha^t^c^ould^ha^v^e^be^eⁿ^im^pos^e^d^f^o^r^aⁿ^y^of^f^e^ns^e^c^h^a^r^g^e^d
ⁱⁿ^su^{ch case,}^{” 1}⁸^U.^S^.^C.¹⁵¹³⁽^b⁾^,⁽^c).

and conspiracies to do so.¹⁰¹ It also prohibits economic retaliation against federal witnesses, but ¹⁰²
only witnesses in court proceedings and only on criminal cases. It does not reach economic
retaliation against witnesses on the basis of information relating to the violations of supervised
release, bail, parole, or probation conditions.
To satisfy the assault prong of Section 1513, the government must prove that the defendant bodily ¹⁰³
injured another in retaliation for the victim’s testimony or service as a government informant. ¹⁰⁴¹⁰⁵
The extent of the injuries need not be extensive, nor in the case of a threat even carried out. ¹⁰⁶
As a general rule, the intent to retaliate need not have been the sole motivation for the attack.
Section 1513 offenses are RICO predicate offenses and consequently money laundering predicate ¹⁰⁷
offenses. They are also violent offenses and therefore may result in the application of those ¹⁰⁸
statutes in which the commission of a violent crime is an element or sentencing factor. Those
who aid and abet a Section 1513 offense are liable as principals and are punishable as if they ¹⁰⁹
committed the offense themselves. An individual who knows another has committed a Section

1513 offense and nevertheless assists the offender in order to hinder his capture, trial or ¹¹⁰

punishment is in turn punishable as an accessory after the fact. And an individual who ¹¹¹
affirmatively conceals the commission of a Section 1513 by another is guilty of misprision.

¹⁰¹^“^W^hoe^v^e^{r c}^ons^pire^s^{to c}^o^m^m^{it any}^offe^ns^e^unde^{r t}^h^is^s^e^c^tio^{n s}^h^a^l^l^be^s^u^bje^c^t^to^the^s^a^m^e^pe^na^ltie^s^a^s^thos^e
^p^r^escri^b^ed^f^o^{r t}^h^e^o^f^f^eⁿ^s^{e t}^h^{e co}^mmi^ssi^oⁿ^o^f^w^hⁱ^c^h^w^a^{s t}^h^{e o}^b^j^ect^o^f^t^h^{e co}ⁿ^s^pⁱ^racy^,^”¹⁸^U.^S^.^C.¹⁵¹³⁽^e)^*^.^T^h^{ere are}
^tw^{o s}^ubs^e^c^tions¹⁵¹³⁽^e⁾^;^one^pr^o^h^ibits^e^c^onom^ic^r^e^ta^lia^{tion a}^nd^ot^he^r^c^ons^pⁱ^r^a^c^y^{; 1513(}^e⁾^*^is^the^c^o^ns^pir^a^c^y
^s^ubs^e^c^tion^.^C^o^ns^pir^a^c^y^{to v}ⁱ^ola^t^e^Se^c^tion¹⁵¹³^m^a^y^be^pr^os^e^c^u^te^{d a}^lte^rⁿ^a^tiv^e^l^y^unde^r¹⁸^U^.^S^.^C^.³⁷¹^,^e.^g^.^,^Unite^d^th
^State^s^v^.^Te^m^p^le^m^aⁿ^{, 4}⁸¹^F.^3d¹²^63,¹²⁶⁴⁽¹⁰^Cⁱ^r^.²⁰⁰⁷⁾^.
¹⁰²^“⁽^e⁾^W^hoe^v^e^{r k}^now^ing^l^y^,^w^{ith th}^e^inte^nt^{to re}^ta^lia^te^{, ta}^{kes an}^y^actⁱ^oⁿ^h^a^rmf^u^l^t^o^an^y^p^e^rsoⁿ^,ⁱⁿ^cl^udⁱⁿ^{g i}ⁿ^t^e^rf^eren^ce
^w^{ith the}^la^w^f^{ul e}^m^plo^y^m^e^{nt or}^li^v^e^lihoo^{d of}^aⁿ^y^pe^r^s^{on, f}^o^r^pr^ov^iding^t^o^a^la^w^eⁿ^f^o^r^c^em^eⁿ^{t of}^fⁱ^ce^r^aⁿ^y^tr^uthf^ul
^inf^o^rm^a^{tion re}^la^ting^{to t}^h^e^c^o^m^m^is^sⁱ^on^{or p}^o^s^sⁱ^ble^c^o^m^mⁱ^s^s^{ion of}^aⁿ^y^Fe^de^ra^{l off}^e^ns^e^,^s^h^a^{ll be}^fⁱ^ne^d^unde^r^this^title^or
^im^pr^is^one^{d n}^o^{t m}^o^r^e^thaⁿ¹⁰^y^e^a^r^s^,^or^bot^h,”¹⁸^U^.^S.C^.¹⁵¹³⁽^e⁾^.^T^h^e^pla^c^e^m^e^{nt of}^s^ubs^e^c^tion¹⁵¹³⁽^c⁾^{– a}^f^te^r^vⁱ^oleⁿ^t
^pr^os^c^r^iptⁱ^oⁿ^s^of^s^ubs^e^c^tio^ns¹⁵¹³⁽^a⁾^a^{nd 1}⁵¹³⁽^b⁾^,^b^u^t^be^f^o^r^e^the^e^c^onom^ic^r^e^ta^lia^tion^pr^os^c^rⁱ^p^tioⁿ^of^s^ubs^e^c^tioⁿ
¹⁵¹³⁽^e⁾^–^m^a^y^r^a^ise^s^o^m^e^que^s^tio^{n ov}^e^r^w^h^e^t^he^r^s^ubs^e^c^tioⁿ⁽^c⁾^pr^o^vⁱ^de^s^aⁿ^a^lte^rⁿ^a^tiv^e^s^e^nteⁿ^cⁱ^ng^pr^ov^is^{ion f}^o^r
^su^b^s^ectⁱ^o^{n 15}¹³^(e).^S^u^b^s^ectⁱ^oⁿ¹⁵¹³^{(c) st}^at^es,^“If^t^h^{e ret}^a^lⁱ^a^tⁱ^oⁿ^occu^rred^b^ecau^{se o}^f^at^t^eⁿ^d^aⁿ^{ce at}^o^r^t^e^stⁱ^m^oⁿ^yⁱⁿ^a
^c^r^im^ina^l^c^a^s^e^,^the^m^a^xⁱ^m^u^m^te^r^m^of^im^pr^is^onm^eⁿ^t^w^h^ic^{h m}^a^y^beⁱ^m^pos^e^d^f^o^r^the^of^f^e^ns^e^unde^r^this^s^e^c^{tion s}^h^a^l^l^be^t^h^e
^hig^h^e^r^of^tha^t^othe^r^w^is^e^pr^ov^ide^d^by^law^or^the^m^a^xⁱ^m^u^m^te^r^m^tha^t^c^ould^ha^v^e^be^eⁿ^im^pos^e^d^f^o^r^aⁿ^y^of^f^e^ns^e^c^h^a^r^g^e^d
ⁱⁿ^su^{ch case.}^”
¹⁰³^Uⁿ^ite^d^St^ate^s^v^.^Ta^pi^a^,⁵⁹^F^.^3d¹¹³⁷^,¹¹⁴⁰⁽¹¹^th^Cⁱ^r^.¹⁹⁹⁵⁾^;^Uⁿ^ite^{d St}^ate^s^v^.^B^o^leⁿ^{, 45}^F^.³^d¹⁴⁰^,¹⁴²⁽⁷^th^Cⁱ^r^.¹⁹⁹⁵⁾^;
^Unite^d^Sate^s^v^.^C^o^fie^ld^{, 1}¹^F^.³^d⁴^13,⁴¹^{9 (}⁴^th^Cⁱ^r^.¹⁹⁹⁴⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Br^owⁿ^,⁹³^{7 F.}^2d³²^,^{36 (}²^{d C}ⁱ^r^.¹⁹⁹¹⁾^;^st
^Unⁱ^t^e^d^S^t^a^t^es^v.^B^e^lⁱ^vea^u^,⁸⁰²^F.2^d⁵^53,⁵^{62 (}¹^Cⁱ^r^.¹⁹⁸⁶⁾^.
¹⁰⁴^Uⁿ^ite^d^St^ate^s^v^.^C^uⁿⁿⁱ^ng^ham^,⁵⁴^F.3^d²⁹^5,²⁹^{9 (}⁷^th^Cⁱ^r^.¹⁹⁹⁵⁾^.
¹⁰⁵^Uⁿ^ite^d^St^ate^s^v^.^M^a^g^g^itt^,⁷⁹⁴^F.2^d⁵^90,⁵^93-⁹⁴⁽⁵^th^Cⁱ^r^.¹⁹⁸⁶⁾^.
¹⁰⁶^Uⁿ^ite^d^St^ate^s^v^.^M^o^lin^a^{, 40}^{7 F.3}^d⁵^11,⁵^29-^{30 (}¹^st^Cⁱ^r^.²⁰⁰⁵⁾⁽^“^the^r^e^is^not^hi^ng^{in Se}^c^tⁱ^on¹⁵¹³^tha^t^r^e^quir^e^s
^re^ta^lia^{tion t}^o^be^the^so^le^m^o^tiv^e^{for a}^m^u^rde^r^{. A}^s^long^a^s^th^{ere i}^s^s^u^f^fⁱ^ci^en^t^evi^d^en^{ce f}^r^o^m^w^hⁱ^c^h^t^h^e^j^u^ry^canⁱⁿ^f^e^{r t}^h^at
^re^ta^lia^{tion w}^a^{s a}^substa^ntia^{l m}^o^ti^v^a^ting^f^a^c^t^{or be}^hi^{nd t}^h^e^k^illingⁱ^t^doe^{s n}^o^{t m}^a^tte^{r tha}^t^de^f^e^nda^{nt m}^a^y^ha^v^e^ha^{d ot}^he^r
^m^o^tiv^e^s^”⁾^.
¹⁰⁷¹⁸^U^.^S.C.¹⁹⁶¹⁽¹^),¹⁹⁵⁶^(c)(7^)(A^).
¹⁰⁸^E.g.^,^Uⁿⁱ^t^e^d^Stats^v^.^C^a^l^d^w^e^ll^,⁴³^{3 F.}^3d³^78,³^{84 (}⁴^th^Cⁱ^r^.²⁰⁰⁵⁾⁽^c^on^vi^ctⁱ^oⁿ^f^o^r^vi^ol^atⁱ^oⁿ^o^f¹⁸^U.^S^.^C^.¹⁵¹³^,³⁷³
^(solic^ita^tio^{n t}^o^c^o^m^m^{it a}^c^rⁱ^m^e^{of v}ⁱ^oleⁿ^c^e⁾^{, 1}¹¹⁴^(a^tte^m^p^te^d^m^u^r^d^e^r^of^aⁿ^indⁱ^vⁱ^dua^{l a}^s^sⁱ^s^ting^f^e^de^r^a^{l of}^fⁱ^ce^r^s^or
^em^ploy^ee^s⁾^.
¹⁰⁹^{18 U}^.^S.C^.^2.
¹¹⁰^{18 U}^.^S.C^.^3.
¹¹¹^{18 U}^.^S.C^.^4.

^If^t^w^{o or}^m^o^{re pers}^on^s^cons^pi^{re ei}^t^h^{er t}^o^co^m^mⁱ^t^any^off^e^ns^e^ag^ai^ns^t^t^h^{e U}ⁿⁱ^t^e^{d S}^t^at^es^{or t}^o
^def^r^au^{d t}^h^e^Uⁿⁱ^t^e^d^S^t^at^es^{, or a}ⁿ^y^a^g^eⁿ^c^y^t^h^ereofⁱⁿ^aⁿ^y^m^a^{nner or f}^o^{r any}^pu^rpos^{e, an}^{d on}^e
^{or m}^o^{re of su}^{ch pers}^on^s^{do any}^act^t^o^e^f^f^ect^t^h^{e obj}^{ect of}^th^e^con^s^pirac^y^{, eac}^h^s^h^{all be}^fⁱⁿ^e^d¹¹²
^uⁿ^d^{er this}^{title or i}^m^pri^s^on^{ed n}^o^t^m^o^{re th}^aⁿ^fiv^e^y^ears^,^{or both}^.^{18 U.S.C}^.^371.
Section 371 contains both a general conspiracy prohibition and a specific obstruction conspiracy
prohibition in the form of a conspiracy to defraud proscription. The elements of conspiracy to
defraud the United States are: (1) an agreement of two more individuals; (2) to defraud the United ¹¹³
States; and (3) an overt act by one of conspirators in furtherance of the scheme. The “fraud
covered by the statute ‘reaches any conspiracy for the purpose of impairing, obstructing or ¹¹⁴
defeating the lawful functions of any department of Government” by “deceit, craft or trickery, ¹¹⁵
or at least by means that are dishonest.” The scheme may be designed to deprive the United
States of money or property, but it need not be so; a plot calculated to frustrate the functions of a ¹¹⁶
governmental entity will suffice.
The elements of conspiracy to commit a substantive federal offense are: “(1) an agreement
between two or more persons to commit a specified federal offense, (2) the defendant’s knowing
and willful joinder in that common agreement, and (3) some conspirator’s commission of an overt ¹¹⁷
act in furtherance of the agreement.” Conspirators must be shown to have exhibited the same

¹¹²^For^a^dditi^on^dis^c^us^sⁱ^on^of^Se^c^tio^{n 1}⁵¹²^s^e^e^,^T^w^en^t^y^-^S^ecoⁿ^d^Su^{rvey o}^f^Whⁱ^t^e^C^o^l^l^a^r^Cri^m^{e: F}^e^d^e^ra^l^Cri^mⁱⁿ^a^l
^C^ons^pir^a^c^y^{, 4}⁴^A^ME^RI^C^A^N^C^RI^M^I^NAL^L^AW^R^EV^I^E^W^{523 (}²⁰⁰⁷⁾^.
¹¹³^Uⁿ^ite^d^St^ate^s^v^.^W^o^r^l^{d W}ⁱ^de^M^o^vⁱ^ng^,⁴^{11 F.3}^d⁵⁰^{2, 51}⁶⁽⁴^th^Cir.²⁰⁰⁵^);^Uni^t^e^d^State^s^v^.^Ballistre^a^,¹⁰¹^F.^3d⁸^27,
⁸³²⁽²^d^Cir.¹⁹⁹⁶^).
¹¹⁴^Ta^nne^r^v^.^Uⁿⁱ^t^e^d^State^s^,⁴⁸^{3 U.}^S^.¹⁰^7,¹²^{8 (}¹⁹⁸⁷⁾^{, c}^iting^,^Deⁿⁿ^{is v}^.^Unite^{d Sta}^t^e^s^{, 3}^{84 U}^.^S.⁸⁵^5,⁸⁶^{1 (}¹⁹⁶⁶⁾^;
^Gla^{sser v.}^Un^ited^S^t^ates^{, 3}^{15 U}^.^S^.⁶⁰^{, 6}⁶⁽¹⁹⁴²⁾^;^Ha^mmersch^m^id^{t v.}^Un^ited^S^t^ates^{, 2}^{65 U}^.^S.¹⁸^2,¹⁸^{8 (}¹⁹²⁴⁾^{; a}ⁿ^d
^Ha^a^s^v.^Hen^kel^,²¹^{6 U}^.^S^.⁴⁶²^,⁴⁷⁹⁽¹⁹¹⁰⁾^.
¹¹⁵^Ha^mmersch^m^id^{t v.}^Unⁱ^t^ed^Sta^t^es^{, 26}^{5 U}^.^{S. a}^t¹⁸^{8 (}^“^T^o^c^ons^pir^e^to^de^f^r^a^{ud the}^Uⁿ^ite^{d S}^t^a^t^e^s^m^e^aⁿ^s^pr^im^a^r^il^y^to
^c^h^e^a^t^the^G^o^v^e^rⁿ^m^e^{nt out}^of^pr^o^p^e^r^t^y^or^m^oney^,^{but a}^l^s^o^m^e^ns^{to i}ⁿ^te^r^f^e^r^e^w^{ith or}^o^b^s^t^r^u^c^t^one^of^its^la^w^f^ul
^go^vern^m^eⁿ^t^al^f^uⁿ^c^tⁱ^oⁿ^s^b^y^d^ecei^t^,^craf^t^o^r^t^rⁱ^c^ker^y^,^o^r^at^l^east^b^y^me^an^{s t}^h^at^{are d}ⁱ^s^h^on^est^”^);^Gla^{sser v.}^Un^ited^S^t^ates^,
³¹⁵^U^.^S.^a^t⁶⁶⁽^“^T^h^e^indⁱ^c^t^m^e^{nt c}^h^a^r^g^e^s^tha^t^the^Uⁿⁱ^t^e^d^Sta^t^e^s^w^a^s^de^f^r^a^ude^{d by}^de^pr^iv^ing^it^of^its^la^w^f^ul
^g^o^v^e^rn^m^e^nta^l^f^unc^{tions by}^dish^on^e^s^{t m}^e^aⁿ^{s; it}^{is se}^ttle^{d t}^h^a^t^th^{is is}^a^‘de^f^ra^uding^{. . .’”}⁾^.
¹¹⁶^Ha^mmersch^m^id^{t v.}^Unⁱ^t^ed^Sta^t^es^{, 26}^{5 U}^.^{S. a}^t¹⁸^{8 (}^“^I^t^is^not^ne^c^e^s^s^a^r^y^tha^t^the^g^o^v^e^rⁿ^m^e^{nt s}^h^a^{ll be}^s^ubje^c^t^e^d^t^o
^pro^p^e^r^ty^{or pe}^c^unia^r^y^{loss by}^the^f^r^a^{ud, but}^oⁿ^ly^tha^t^its^le^g^itim^a^t^e^of^fⁱ^cⁱ^a^l^a^c^{tion a}ⁿ^d^p^u^rp^ose^sha^{ll b}^e^de^f^e^a^t^e^d^by^th
^mⁱ^s^r^e^p^r^e^s^e^nta^{tion. .}^.”⁾^;^Uⁿ^ite^d^St^ate^s^v^.^W^o^r^l^{d W}ⁱ^de^M^o^vⁱ^ng^,⁴¹¹^F^.^3d⁵⁰^2,⁵¹^{6 (}⁴^Cⁱ^r^.²⁰⁰⁵⁾^;^Uⁿⁱ^t^ed^S^t^a^t^{es v.}^st
^G^o^ldbe^r^g^{, 1}⁰⁵^F.^3d⁷^70,⁷⁷^{3 (}¹^Cⁱ^r^.¹⁹⁹⁷⁾^;^Un^ite^{d State}^s^v^.^Ball^istre^a^{, 1}⁰¹^F.3^d⁸²^7,⁸³^{2 (}²^{d C}ⁱ^r^.¹⁹⁹⁶⁾⁽ⁱⁿ^t^e^r^na^l
^citatioⁿ^s^o^m^itted⁾^(T^hⁱ^{s “p}^ro^vⁱ^sioⁿ^‘n^o^t^oⁿ^l^y^reach^{es sch}^e^m^e^s^w^h^ich^d^e^p^r^iv^{e th}^{e g}^o^v^e^rn^m^eⁿ^t^o^f^m^oⁿ^e^y^o^r^p^r^o^p^erty^{, b}^u^t
^al^soⁱ^s^d^e^si^gn^ed^t^o^p^r^o^t^ect^t^h^{e i}ⁿ^t^e^gri^t^y^o^f^t^h^{e Un}ⁱ^t^e^d^S^t^at^{es an}^dⁱ^t^s^a^g^en^ci^es’”);^Uⁿ^ite^{d St}^ate^s^v^.^D^e^an^,^{55 F.}^{3d 64}^{0, 64}⁷
^{(D.C. Cir.}¹⁹⁹⁵⁾⁽ⁱⁿ^t^e^rⁿ^a^{l c}^ita^ti^oⁿ^s^o^m^itte^d^)(If^“^t^h^e^g^o^v^e^rn^m^eⁿ^t^{’s e}^v^id^eⁿ^c^e^sh^o^w^e^d^th^a^t^De^aⁿ^c^oⁿ^s^pⁱ^r^e^d^to^im^p^a^{ir th}^e
^f^unc^tioni^ng^of^the^de^pa^r^t^m^e^{nt of}^the^H^ousⁱⁿ^g^a^{nd U}^r^ba^{n D}^e^v^e^lopm^eⁿ^{t, ‘}ⁿ^o^othe^r^f^o^r^m^of^injur^y^{to th}^e^Fe^de^r^a^l
^G^o^v^e^rⁿ^m^e^{nt ne}^e^d^be^e^s^ta^bl^is^he^{d f}^o^r^the^c^ons^pⁱ^r^a^cy^{to f}^a^{ll unde}^r^§3^71’^”⁾^.
¹¹⁷^Uⁿ^ite^d^St^ate^s^v^.^Sⁿ^y^p^e^,⁴⁴^{1 F.}^3d¹¹⁹^{, 1}⁴²⁽²^{d C}ⁱ^r^.²⁰⁰⁶⁾^;^{see a}^l^s^o^,^Uⁿ^ite^d^St^ate^s^v^.^M^uⁿ^o^z^-^Fr^nac^o^,⁴⁸⁷^F.^3d²⁵^,⁴⁵
⁽¹^st^Cⁱ^r^.²⁰⁰⁷⁾^;^Uⁿ^ite^d^St^ate^s^v^.^M^ann^{, 4}⁹³^F.^3d⁴⁸^4,⁴⁹^{2 (}⁵^th^{Cir. 2}⁰⁰⁷^);^Unⁱ^t^ed^S^t^a^t^es^v.^B^l^a^ckwel^l^,⁴⁵⁹^F.^3d⁷^39,⁷⁶⁰^th^th
⁽⁶^Cⁱ^r^.²⁰⁰⁶⁾^;^Unⁱ^t^ed^S^t^a^t^es^v.^So^y^,⁴^{54 F.3}^d⁷⁶^{6, 76}⁸⁽⁷^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^d^St^ate^s^v^.^C^h^on^g^{, 41}^{9 F.3}^d¹⁰⁷⁶^{, 10}⁷⁹^th^th
⁽⁹^Cⁱ^r^.²⁰⁰⁵⁾^;^Uⁿⁱ^t^e^d^State^s^v^.^W^e^idne^r^,⁴³^{7 F}^.³^d¹⁰²³^,¹⁰³³⁽¹⁰^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^d^St^ate^s^v^.^N^dⁱ^a^y^e^{, 434}^F.^3d¹²⁷⁰^,^th
¹²⁹^{4 (}¹¹^Cⁱ^r^.²⁰⁰⁶⁾^.

level of intent as required for the underlying substantive offense.¹¹⁸ The overt act need only be
furtherance of the scheme; it need not be the underlying substance offense or even a crime at ¹¹⁹
all. Conspirators are liable for the underlying offense should it be accomplished and for any
reasonably foreseeable offense committed by a coconspirator in furtherance of the common ¹²⁰
plot.
As noted earlier, a number of federal statues including sections 1512 and 1513 include within
their proscriptions a separate conspiracy feature that outlaws plots to violate the section’s ¹²¹
substantive provisions. The advantage for prosecutors of these individual conspiracy provisions
is that they carry the same penalties as the underlying substantive offense and that they ordinarily ¹²²
do not require proof of an overt act. The disadvantage is that they may lack the venue
flexibility afforded by subsection 371 and other conspiracy provisions that contain an overt act ¹²³
element. Although sections 1512 and 1513 provide an alternative means of prosecuting a
charge of conspiracy to violate their underlying prohibitions, the government may elect to
proceed under general conspiracy statute, 18 U.S.C. 371.
Contempt of Congress is punishable by statute and under the inherent powers of Congress.¹²⁴ ¹²⁵
Congress has not exercised its inherent contempt power for some time. The statutory contempt
of Congress provision, 2 U.S.C. 192, has been employed only slightly more often and rarely in
recent years. Much of what we know of the offense comes from Cold War period court decisions.
Parsed to its elements, Section 192 states that

¹¹⁸^Uⁿ^ite^d^St^ate^s^v^.^Fe^ol^a^,⁴²^{0 U}^.^S^.⁶⁷¹^{, 6}⁸⁶⁽¹⁹⁷⁵⁾^;^Uⁿ^ite^{d Sta}^t^e^s^v^.^M^unoz^-^F^r^a^nc^o^,⁴⁸⁷^F.3^d^25,⁴⁵⁽¹^st^Cⁱ^r^.²⁰⁰⁷⁾^;
^Uⁿ^ite^{d State}^s^v^.^Soy^,⁴⁵⁴^F.3^d⁷⁶^{6, 7}⁶⁸⁽⁷^th^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^{d St}^at^e^s^v^.^W^e^idne^r^{, 43}^{7 F}^.³^d¹⁰²³^,¹⁰^{33 (}¹⁰^th^Cⁱ^r^.²⁰⁰⁶⁾^;^th
^cf^.,^Uⁿ^ite^d^St^ate^s^v^.^C^hⁱⁿ^{g T}^aⁿ^g^L^o^,⁴⁴^{7 F}^.³^d¹²¹²^,¹²³²⁽⁹^{Cir. 2}⁰⁰⁶^).
¹¹⁹^Uⁿ^ite^d^St^ate^s^v^.^S^o^y^,⁴⁵^{4 F}^.³^d⁷⁶⁶^,⁷⁶^{8 (}⁷^th^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^{d St}^at^e^s^v^.^M^a^y^{, 35}^{9 F.}^3d⁶^83,⁶⁹⁴^n.¹⁸⁽⁴^th^Cⁱ^r^.²⁰⁰⁴⁾^;
^Unⁱ^t^e^d^S^t^a^t^es^v.^L^u^ken^s^,¹¹^{4 F}^.³^d¹²^20,¹²²²⁽^D^.C^.^Cⁱ^r^.¹⁹⁹⁷⁾^;^cf^.^,^B^r^a^vermaⁿ^v.^Unⁱ^t^ed^S^t^a^t^es^{, 31}^{7 U}^.^S.⁴⁹^{, 53}
⁽¹⁹⁴²⁾^.
¹²⁰^Pⁱⁿ^kert^o^{n v.}^Unⁱ^t^ed^S^t^a^t^es^,³²⁸^U^.^{S. 6}⁴⁰^,⁶^46-⁴⁸⁽¹⁹⁴⁶⁾^;^Uⁿ^ite^d^State^s^v^.^M^o^r^aⁿ^,⁴⁹³^F.3^d¹⁰^02,¹⁰⁰⁹⁽⁹^th^Cir.
²⁰⁰⁷⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Ro^be^r^s^oⁿ^{, 4}⁷⁴^F.^3d⁴³^2,⁴³³⁽⁷^th^Cⁱ^r^.²⁰⁰⁷⁾^;^Unⁱ^t^e^{d S}^t^a^t^{es v.}^L^a^ke^,⁴⁷^{2 F.3}^d¹²⁴^{7, 12}⁶⁵⁽¹⁰^th
^Cⁱ^r^.²⁰⁰⁷⁾^.
¹²¹^E.g.^{, 1}⁸^U^.^S.C^.¹⁵¹²⁽^k⁾⁽^“^W^hoe^v^e^r^c^ons^pir^e^s^t^o^c^o^m^m^{it a}ⁿ^y^o^f^f^e^nse^unde^r^this^s^ubs^e^c^tio^{n s}^h^a^ll^be^s^u^bje^c^t^to^the
^sa^m^e^pe^na^ltie^{s a}^s^those^pre^s^c^r^ibe^d^f^o^{r the}^of^fe^nse^the^c^o^m^m^{ission of}^w^h^ic^{h wa}^{s the}^obje^c^t^of^the^c^o^nspira^c^y^”⁾^.
^Subs^e^c^tioⁿ¹⁵¹³⁽^e⁾^is^sⁱ^m^ila^r^l^y^w^o^r^d^e^d^.
¹²²^W^h^{ere Co}ⁿ^g^{ress en}^act^{s a co}ⁿ^s^pⁱ^r^a^c^y^p^r^o^vⁱ^sⁱ^oⁿ^wⁱ^t^h^ou^t^{an exp}^lⁱ^cⁱ^t^o^v^ert^act^req^uⁱ^rem^eⁿ^t^{as i}ⁿ^t^h^{e S}^h^er^m^aⁿ^Act^,
^c^onv^ic^tion^m^a^y^be^ha^{d w}^ithout^pr^oof^of^aⁿ^ov^e^r^{t a}^c^t^,^W^h^itfie^l^d^v^.^Uⁿ^ite^d^Sta^t^e^s^{, 5}^{43 U}^.^S.²⁰^9,²¹^2-¹⁴
⁽²⁰⁰⁵^)(coⁿ^struⁱⁿ^g¹⁸^U.S^.^{C. 1}⁹⁵⁶^(h^));^Uⁿⁱ^t^e^{d S}^t^a^t^{es v.}^Sh^ab^anⁱ^,⁵^{13 U}^.^S.^10,¹⁴⁽¹⁹⁹⁴⁾⁽^c^oⁿ^s^t^r^uⁱⁿ^g^{21 U}^.^S.C^.⁸⁴⁶⁾^.
¹²³^T^h^{e Co}ⁿ^s^tⁱ^t^u^tⁱ^oⁿ^p^r^o^vⁱ^d^{es t}^h^at^crⁱ^m^e^s^m^u^st^b^e^t^rⁱ^e^dⁱⁿ^t^h^{e st}^at^{e an}^{d d}ⁱ^st^ri^ctⁱⁿ^w^hⁱ^c^h^t^h^ey^o^ccu^r,^U.^S^.^Coⁿ^s^t^.^A^r^t^.^II,
^{§2, c}^l^.3;^Am^e^{nd. V}^I^.^T^h^e^Supre^m^e^Court^ha^{s sa}^{id t}^h^a^t^w^h^eⁿ^the^e^l^e^m^eⁿ^{ts of}^a^c^rⁱ^m^e^a^r^e^c^o^m^m^itte^{d in m}^o^re^thaⁿ^oⁿ^e
^sta^t^e^{or distric}^t^the^c^r^im^e^m^a^y^be^t^r^ie^{d in}^aⁿ^y^di^stric^t^{in w}^h^ic^h^one^o^f^{its e}^l^e^m^eⁿ^{ts is c}^o^m^m^itte^d,^Uⁿ^ite^{d St}^ate^s^v^.
^Rodrⁱ^gue^z^-^M^o^r^e^no^,⁵^{26 U}^.^S.²⁷^5,²⁸^0-⁸²⁽¹⁹⁹⁹⁾^.^C^o^ns^pir^a^cⁱ^e^s^wⁱ^t^h^aⁿ^ov^e^r^{t a}^c^t^e^l^em^eⁿ^{t m}^a^y^be^tr^ie^{d a}ⁿ^y^w^he^r^e^aⁿ
^ov^e^r^{t a}^c^t^{in f}^u^rthe^ra^nc^e^of^the^c^oⁿ^s^pira^c^y^{is c}^o^m^m^itte^d,^Uⁿ^ite^{d St}^at^e^s^v^.^C^abr^ale^s^{, 52}⁴^U^.^{S. 1, 8-}⁹⁽¹⁹⁹⁸⁾^.
¹²⁴^{2 U}^.^S^.^C^.¹⁹^2-¹^96;^An^de^r^s^{on v}^.^D^unn^{, 1}⁹^U^.^{S. (}⁶^W^h^e^a^t^{.) 2}^{04 (}¹⁸²¹^);^M^c^G^r^{ain v}^.^D^a^u^ghe^r^t^y^{, 27}³^U^.^{S. 13}⁵⁽¹⁹²⁷⁾^.
¹²⁵^For^a^m^o^r^e^e^x^te^ns^iv^e^dis^c^us^sⁱ^on^of^c^onte^m^{pt of}^C^ong^r^e^s^s^s^e^e^C^R^S^R^e^por^{t R}^L³⁴⁰⁹^7,^C^o^ng^ress'^{s C}^oⁿ^t^emp^t^P^o^wer:
^Law^,^Hⁱ^s^t^or^y^,^Pr^ac^tic^e^,^an^{d Pr}^oc^e^dur^e^.

I. Every person
II. summoned as a witness
III. by the authority of either House of Congress
IV. to
A. give testimony, or
B. to produce papers
V. upon any matter under inquiry
VI. before
A. either House,
B. any joint committee,
C. any committee of either House
VII. who willfully
A. makes default, or
B. refuses
1. to answer any question
2. pertinent to the matter under inquiry
shall be guilty of a misdemeanor, punishable by a fine of not more than $1,000 or less than
$100 and imprisonment in a common jail for not less than one month nor more than twelve ¹²⁶
months.
The Dictionary Act states that, unless the context suggests otherwise when the term “person” ¹²⁷
appears in the United States Code, it includes organizations as well. Nevertheless, prosecution
appears to have been limited to individuals, although the custodians of organizational documents
have been charged. The term “summoned,” on the other hand, has been read broadly, so as to
extend to those who have been served with a testimonial subpoena, to those who have been
served with a subpoena to produce documents or other items (subpoena duces tecum), and to ¹²⁸
those who have appeared without the benefit of subpoena.

¹²⁶^{2 U}^.^S^.^C^.¹⁹^{2. B}^y^ope^r^a^tio^{n of}¹⁸^U^.^S.C^.³⁵⁷¹^the^m^a^xⁱ^m^u^m^fⁱ^ne^is^$1^00,⁰⁰^{0 (}^$²^00,⁰⁰^{0 f}^o^r^or^g^a^niz^a^tions⁾^.
¹²⁷^{1 U}^.^S^.^C^.^{1 (}^“^Iⁿ^de^te^r^m^ining^the^m^e^aⁿ^ing^of^aⁿ^y^A^c^{t of}^C^ong^r^e^s^s^,^unle^s^s^the^c^onte^x^{t in}^dic^a^t^e^s^ot^he^r^w^is^e^{. . . the}
^w^o^r^d^s^‘^p^e^r^s^on’^aⁿ^{d ‘}^w^hoe^v^e^r^’^inc^l^ude^c^o^r^por^a^tⁱ^ons^,^c^o^m^p^aⁿ^ie^s^,^a^s^s^o^cⁱ^a^tions^,^fⁱ^r^m^s^,^pa^r^t^ne^r^s^hips^{, s}^o^cⁱ^e^tie^s^,^a^{nd j}^oⁱⁿ^t
^st^o^c^{k co}^m^p^anⁱ^e^s,^as^w^e^l^l^{as i}ⁿ^dⁱ^vi^d^u^a^l^s^.^.^.^”).
¹²⁸^Sinc^l^a^ir^v^.^Uⁿ^ite^d^Sta^t^e^s^,²⁷⁹^U.S^.²⁶^3,²⁹^{6 (}¹⁹²⁹⁾^.

Section 192 applies only to those who have been summoned by the “authority of either House of
Congress.” As a consequence, the body which issues the subpoena must enjoy the authority of ¹²⁹
either the House or Senate to do so, both to conduct the inquiry and to issue the subpoena.
Authority may be vested by resolution, rule, or statute. Section 192 speaks only of the Houses of
Congress and their committees, but there seems little question that the authority may be conferred ¹³⁰
upon subcommittees.
The testimony or documents sought by the subpoena or other summons must be sought for “a
matter under inquiry” and in the case of an unanswered question, the question must be “pertinent ¹³¹
to the question under inquiry.” The statute outlaws “refusal” to answer pertinent questions, but
the courts have yet to say whether the proscription includes instances where the refusal takes the
form of false or deceptive testimony. There is no word on whether the section outlaws any refusal
to answer honestly or only unequivocal obstinance. On at least two occasions, however,
apparently the courts have accepted nolo contendere pleas under Section 192 based upon a false ¹³²
statement predicate.
Section 192 bans only “willful” recalcitrance. Thus, when a summoned witness interposes an
objection either to an appearance in response to the summons or in response to a particular
question, the objection must be considered, and if found wanting, the witness must be advised ¹³³
that the objection has been overruled before he or she may be successfully prosecuted. The
grounds for a valid objection may be found in rule, statute, or the Constitution, and they may be ¹³⁴
lost if the witness fails to raise them in a timely manner.
The Fifth Amendment protects witnesses against self-incrimination.¹³⁵ The protection reaches
wherever incriminating testimonial communication is compelled whether in criminal proceedings ¹³⁶
or elsewhere. It covers communications that are either directly or indirectly incriminating, but

¹²⁹^Go^j^a^{ck v.}^Uni^t^e^d^S^t^at^es^{, 3}^{84 U}^.^S^.⁷⁰^2,⁷¹^{3 (}¹⁹⁶⁶⁾^;^Si^nc^lair^v^.^Uⁿ^it^e^d^St^ate^s^{, 2}⁷⁹^U^.^S.²⁶^3,²⁹^{6 (}¹⁹²⁹⁾^.
¹³⁰^Go^j^a^{ck v.}^Uni^t^e^d^S^t^at^es^{, 3}^{84 U}^.^S^.⁷⁰^2,⁷¹^{4 (}¹⁹⁶⁶⁾⁽^“^W^e^do^no^{t q}^u^e^s^tion^the^a^u^t^hor^ity^of^the^C^o^m^m^itt^e^e
^a^ppro^p^ria^t^e^l^y^{to de}^le^g^a^te^f^unc^tion^s^{to a}^su^bc^om^m^itte^e^of^its^m^e^m^b^e^r^{s, nor}^d^o^w^e^dou^{bt t}^h^e^a^v^a^ila^bilit^y^o^f^§19^{2 f}^o^r
^p^uⁿⁱ^s^h^m^en^t^o^f^coⁿ^t^em^p^t^b^e^f^o^{re su}^ch^{a sub}^c^o^m^mⁱ^t^t^{ee i}ⁿ^p^r^op^{er cases”).}
¹³¹^Russe^{ll v}^.^Un^ite^d^State^s^,³⁶^{9 U.}^S^.⁷⁴^9,⁷⁵^5-5⁶⁽¹⁹⁶²⁾^{, c}^iting^,^Si^nc^lair^v^.^Uⁿⁱ^t^e^d^State^s^,²⁷^{9 U}^.^S^.²⁶³^,²⁷^{3 (}¹⁹²⁹⁾^.
¹³²^P^e^te^r^s^on,^P^r^o^s^ecu^tⁱⁿ^g^E^xecu^tⁱ^ve^B^r^aⁿ^c^h^Of^fⁱ^cⁱ^a^l^s^f^o^{r C}^oⁿ^t^emp^t^o^f^C^ongr^e^s^s^{, 66}^N^EW^Y^ORK^U^NI^V^E^RS^I^T^Y^L^AW
^R^EV^I^E^W^563,⁵⁷¹^n.4⁵⁽¹⁹⁹¹⁾⁽^“^Rⁱ^c^h^a^r^{d H}^e^lm^s⁽^f^or^m^e^r^Dⁱ^r^e^c^t^or^of^the^C^I^A⁾^a^{nd R}ⁱ^c^h^a^r^{d K}^l^eⁱ^ndieⁿ^s^t⁽^f^or^m^e^r^A^ttorⁿ^e^y
^G^eⁿ^e^r^a^{l) were in}^dⁱ^cted^f^o^{r g}ⁱ^vⁱⁿ^g^f^a^ls^{e testi}^m^oⁿ^y^b^e^f^o^re^Coⁿ^g^{ress. Ultim}^atel^y^,^each^p^l^ead^edⁿ^o^lo^coⁿ^t^en^d^e^{re t}^o
^vⁱ^ola^tions^of^{2 U}^.^S^.^C^.^§¹⁹²^.^{. .}^S^e^e^Uⁿ^ite^{d Sta}^t^e^s^v^.^H^e^lm^s^,^C^R^.^N^o^{. 6}⁵⁰⁽^D^.D^.C^.¹⁹⁷⁷⁾^{; U}ⁿ^ite^{d Sta}^t^e^s^v^.^K^l^eⁱ^ndieⁿ^s^t^,
^C^R^N^o^.²⁵^{6 (}^D^.D^.C^.¹⁹⁷⁴⁾^{; W}^a^s^h^.^P^o^s^t^,^N^o^v^.^1,¹⁹^77,^a^t^A⁴^”⁾^{; a}^f^o^r^m^e^r^C^ouns^e^l^t^o^t^h^e^C^l^e^r^k^of^the^H^ous^e^de^s^c^rⁱ^be^d
^t^h^{e t}^w^o^{cases i}ⁿ^m^u^ch^t^h^{e same}^wa^yⁱⁿ^Ho^u^s^{e Jud}ⁱ^ci^ary^Co^mmⁱ^t^t^ee^h^eariⁿ^gs,^Pr^os^e^c^u^tioⁿ^{of C}^onte^m^p^t^{of C}^oⁿ^g^r^e^s^s^:
^H^e^ar^{ing Be}^f^o^r^e^the^Su^bc^om^m^.^on^Admⁱ^nis^t^r^a^tiv^e^Law^a^{nd G}^o^v^e^r^nm^eⁿ^{tal Re}^l^a^ti^ons^{of t}^h^e^H^o^us^e^C^o^m^m^{. on}^the^th^st
^J^udicⁱ^ar^y^{, 98}^Co^ng^{., 1}^Se^s^s^.^a^t^{29 (}¹⁹⁸³⁾⁽^p^r^e^pa^r^e^{d s}^t^a^t^e^m^eⁿ^{t of}^Staⁿ^le^y^B^r^a^nd)^.
¹³³^F^l^a^{xer v.}^Unⁱ^t^e^d^St^a^t^es,³⁵^{8 U}^.^S^.¹⁴^7,¹⁵^{1 (}¹⁹⁵⁸⁾⁽^“^Iⁿ^the^Q^uⁱⁿ^{n c}^a^s^e^the^w^itne^s^s^w^a^s^‘ⁿ^e^v^e^r^c^onf^r^onte^d^w^{ith a}
^cl^ear-cu^t^ch^oⁱ^{ce b}^e^t^w^een^co^m^p^lⁱ^aⁿ^{ce an}^dⁿ^oⁿ^c^o^m^p^lⁱ^aⁿ^ce,^b^e^t^w^een^an^sw^eriⁿ^{g t}^h^{e q}^u^e^stⁱ^o^{n an}^{d ri}^ski^{ng p}^r^o^s^ecu^tⁱ^oⁿ^f^o^r
^coⁿ^t^em^p^t^.^’^T^h^{e ru}^lⁱⁿ^{gs w}^e^{re so}ⁱ^m^p^r^eci^s^e^{as t}^o^l^{eave t}^h^{e w}ⁱ^tⁿ^{ess t}^o^‘gu^e^{ss w}^h^et^h^e^{r o}^r^no^t^t^h^{e co}^mmi^t^t^{ee h}^a^d^accep^t^e^d
^hⁱ^{s ob}^j^ectⁱ^oⁿ^.^{’ .}^.^.^W^e^rep^eat^w^h^a^t^w^e^sai^dⁱⁿ^t^h^{e Qui}ⁿⁿ^case:^Gⁱ^viⁿ^g^{a w}ⁱ^tⁿ^{ess a}^f^aⁱ^r^ap^p^rⁱ^s^al^o^f^t^h^{e co}^mmⁱ^t^t^{ee’s ru}^lⁱⁿ^g
^{on a}ⁿ^o^b^je^c^tio^{n re}^c^o^gⁿ^iz^e^s^the^le^g^itim^a^t^e^inte^re^s^t^s^of^{both t}^h^e^w^itne^s^s^a^{nd the}^c^o^m^m^itte^e^.^”⁾^{, quoti}ⁿ^g^Quⁱⁿ^{n v.}^Unⁱ^t^ed
^State^s^,³⁴⁹^U.^S.¹⁵^5,¹⁶^{6 (}¹⁹⁵⁵⁾^;^Deu^t^ch^v.^Unⁱ^t^ed^St^a^t^es^,³⁶^{7 U}^.^S^.⁴⁵^6,⁴⁶^{8 (}¹⁹⁶¹⁾⁽^“^‘^U^nle^s^s^the^s^u^b^j^e^c^t^m^a^tte^r^ha^s
^be^eⁿ^m^a^de^{to a}^ppe^a^r^w^{ith u}^ndis^p^uta^b^le^c^l^a^r^ity^{, it is}^the^dut^y^of^the^inv^e^s^tig^a^tiv^e^body^{, upon}^o^b^je^c^tio^{n of}^the^w^itne^s^s^on
^gro^uⁿ^d^s^o^f^p^e^rtⁱⁿ^eⁿ^cy^,^t^o^st^at^{e f}^o^{r t}^h^{e reco}^{rd t}^h^{e sub}^j^ect^un^d^e^rⁱⁿ^q^uⁱ^r^y^at^t^h^at^tⁱ^m^e^an^d^t^h^{e m}^aⁿⁿ^e^{r i}ⁿ^w^hⁱ^c^h^t^h^e
^p^r^op^ou^nd^ed^qu^estⁱ^oⁿ^s^{are p}^e^rtⁱⁿ^en^t^t^h^eret^o^’^”),^qu^otⁱⁿ^g,^W^a^tkⁱⁿ^s^v^.^Uⁿ^ite^{d State}^s^{, 35}⁴^U^.^{S. 17}^{8, 21}^4-¹⁵⁽¹⁹⁵⁷⁾^.
¹³⁴^M^c^Phaul^v^.^Uⁿ^ite^{d S}^t^ate^s^{, 36}⁴^U^.^{S. 37}^{2, 37}⁹⁽¹⁹⁶⁰⁾^;^Uⁿⁱ^t^e^d^S^t^at^{es v.}^B^r^yaⁿ^,³^{39 U}^.^S.³²^3,³³^2-³³⁽¹⁹⁵⁰⁾^.
¹³⁵^U.^S^.^C^oⁿ^s^t^.^Am^en^d^.^V^{(“No p}^e^rs^oⁿ^.^.^.^sh^al^l^b^e^co^m^p^el^l^e^dⁱⁿ^an^y^cri^mⁱⁿ^al^cas^{e t}^o^b^e^{a w}ⁱ^tⁿ^{ess agai}ⁿ^s^t^hⁱ^m^s^el^f^.^.^.^”^).
¹³⁶^W^a^tk^{ins v}^.^Un^ite^d^State^s^,³^{54 U}^.^{S. 1}⁷⁸^,¹^95-⁹⁶⁽¹⁹⁵⁷⁾⁽^“^I^t^w^a^s^dur^ing^this^pe^rⁱ^o^d^t^h^a^t^the^Fif^t^{h A}^m^endm^eⁿ^t
⁽^c^onti^nue^d.^..)

only those that are “testimonial.”¹³⁷ Organizations enjoy no Fifth Amendment privilege from self-¹³⁸
incrimination, nor in most cases do the custodians of an organization’s documents unless their
act of producing the subpoenaed documents is itself an incriminating testimonial ¹³⁹
communication. An individual’s voluntarily created papers and records are by definition not ¹⁴⁰
compelled communications and thus ordinarily fall outside the privilege as well. Moreover, the ¹⁴¹
protection may be waived if not invoked, and the protection may be supplanted by a grant of
immunity which promises that the truthful testimony the witness provides or is compelled to ¹⁴²
provide will not be used directly or derivatively in his or her subsequent prosecution.
Aside from the Fifth Amendment, the status of constitutionally-based objections to a
Congressional summons or question is somewhat more amorphous. The First Amendment affords
a qualified immunity from subpoena or interrogation, whose availability is assessed by balancing ¹⁴³
competing individual and Congressional interests. Although a subpoena or question clearly in
furtherance of a legislative purpose ordinarily carries dispositive weight, the balance may shift to
individual interests when the nexus between Congress’ legitimate purpose and the challenged ¹⁴⁴
subpoena or question is vague or nonexistent. In cases of such imprecision, the government’s ¹⁴⁵
assertion of the pertinence necessary for conviction of statutory contempt may become suspect.
The Fourth Amendment may also supply the basis for a witness to disregard a Congressional
subpoena or question. The Amendment condemns unreasonable governmental searches and ¹⁴⁶
seizures. The Supreme Court in Watkins confirmed that witness in Congressional proceedings

^(...c^on^tin^ue^d)
^priv^ile^g^e^a^g^aⁱ^{nst se}^l^f^-inc^ri^mⁱ^na^tio^{n w}^a^s^f^r^e^que^ntly^inv^o^k^e^{d a}^{nd re}^c^o^gⁿ^iz^e^d^a^s^le^g^a^{l lim}^{it upo}^{n t}^h^e^a^u^thority^of^a
^c^o^m^m^ittee^{to re}^quire^tha^t^a^w^itne^s^s^aⁿ^s^w^e^r^its^que^s^tions^.^So^m^e^e^a^r^l^y^doubts^a^s^to^the^a^p^plic^a^bⁱ^lity^of^tha^t^priv^ile^g^e
^be^f^o^re^a^le^gⁱ^sla^tive^c^o^m^m^itte^e^ne^v^e^r^m^a^ture^{d. W}^h^eⁿ^the^m^a^tte^{r re}^a^c^he^{d this}^Co^{urt, t}^h^e^G^o^v^e^rnm^e^{nt did}^no^{t c}^h^a^lle^ng^eⁱⁿ
^an^y^wa^y^t^h^at^t^h^{e F}ⁱ^f^t^h^Am^en^d^m^eⁿ^t^p^r^o^t^ectⁱ^oⁿ^w^a^{s avai}^l^a^b^l^{e t}^o^t^h^e^wⁱ^tⁿ^ess,^an^d^su^ch^{a ch}^al^l^eⁿ^g^{e co}^ul^d^no^t^h^a^ve
^pr^e^v^a^ile^d”⁾^.
¹³⁷^{Ohio v}^.^Re^ine^r^,⁵³^{2 U}^.^S^.¹⁷^,¹⁹⁽²⁰⁰¹⁾⁽^“^the^pr^iv^ile^g^e^a^g^aⁱ^ns^{t s}^e^lf^-ⁱ^nc^rⁱ^mⁱ^na^{tion a}^p^plie^s^w^h^e^r^e^a^w^itn^e^s^s^’^aⁿ^sw^e^r^s
^‘^c^ould^r^e^a^s^ona^bly^f^u^rⁿ^is^{h a}^li^nk^{in the}^c^h^aⁱⁿ^of^e^v^ideⁿ^c^e^’^a^g^aⁱ^ns^{t him}^”⁾^,^quoting^,^H^o^ffmaⁿ^v^.^Uⁿ^ite^d^State^s^{, 34}¹^U^.^S^.
⁴⁷⁹^{, 4}⁸⁶⁽¹⁹⁵¹⁾^;^Uⁿ^ite^{d Sta}^t^e^s^v^.^H^ubbe^ll^,⁵³^{0 U.}^S^.²⁷^,³⁴⁽²⁰⁰⁰⁾⁽^“^Th^e^w^o^r^d^‘^wⁱ^tⁿ^e^{ss’ in the}^c^o^nstit^utio^na^{l te}^x^t^lim^its
^t^h^{e rel}^e^van^t^cat^ego^r^y^o^f^co^m^p^el^l^e^dⁱⁿ^cri^mⁱⁿ^atⁱⁿ^{g co}^mm^uⁿⁱ^catⁱ^oⁿ^s^t^o^t^h^o^s^{e t}^h^at^{are ‘t}^estⁱ^m^oⁿⁱ^al^{’ i}ⁿ^c^h^aract^er”);^Hib^e^{l v.}
^Six^t^{h J}^u^dicⁱ^{al D}ⁱ^s^t^rⁱ^c^t^C^o^ur^t^,⁵⁴²^U.^S^.¹⁷^7,¹⁸^{9 (}²⁰⁰⁴⁾^.
¹³⁸^Br^as^w^e^{ll v}^.^Uⁿⁱ^t^e^d^State^s^,⁴⁸^{7 U}^.^{S. 9}⁹^,¹⁰^7-¹⁰⁸⁽¹⁹⁸⁸⁾^.
¹³⁹^U^nde^r^t^h^e^a^c^t^of^pr^o^duc^ti^on^d^o^c^t^rⁱ^ne^{, a}^c^u^s^t^o^d^ia^n’^s^te^s^tim^onia^l^a^c^t^of^turⁿⁱⁿ^g^ov^e^r^doc^um^eⁿ^ts^{in r}^e^s^p^ons^e^to^a
^subp^oe^na^{is e}ⁿ^title^d^to^Fif^t^{h Am}^e^ndm^eⁿ^{t prote}^c^tⁱ^on^if^{his a}^c^tioⁿ^–^by^c^onf^ir^mⁱ^ng^the^e^x^iste^nc^e^of^th^e^doc^um^eⁿ^{ts, or}^his
^c^ontr^o^{l of}^the^m^{, or}^hⁱ^s^be^lie^f^tha^t^the^y^c^a^m^e^w^{ithin the}^de^s^c^rⁱ^pti^on^of^the^doc^um^eⁿ^ts^s^oug^{ht i}ⁿ^the^s^u^bpoe^na^{– w}^oul^d
^inc^r^im^ina^t^e^him^{or prov}^ide^a^li^nk^{in t}^h^e^c^h^aⁱⁿ^le^a^d^ing^to^his^inc^r^im^ina^tio^n,^Uⁿ^ite^d^State^s^v^.^H^u^b^b^e^l^l^,⁵³⁰^U^.^S.²⁷^,^36-⁸
⁽²⁰⁰⁰⁾^.
¹⁴⁰^Fⁱ^sh^{er v.}^Unⁱ^t^ed^St^a^t^es^,⁴²^{5 U}^.^S^.³⁹^1,⁴⁰^9-¹⁰⁽¹⁹⁷⁶⁾^;^Uⁿ^ite^d^St^ate^s^v^.^D^o^e^{, 4}⁶⁵^U^.^S.⁶⁰^5,⁶¹^1-¹²⁽¹⁹⁸⁴⁾^.
¹⁴¹^H^u^tc^he^s^oⁿ^v^.^Uⁿⁱ^t^e^d^State^s^,³⁶⁹^U^.^{S. 5}⁹⁹^,⁶^08-⁶⁰^{9 (}¹⁹⁶²⁾^;^Em^s^p^a^k^v^.^Uⁿ^ite^d^Sta^t^e^s^{, 3}^{49 U}^.^S.¹⁹^0,¹⁹⁵^-⁹^{6 (}¹⁹⁵⁵⁾^.
¹⁴²¹⁸^U^.^S^.^C.⁶⁰⁰¹^-60⁰⁵⁽ⁱ^mm^uⁿⁱ^t^y^gen^e^ral^l^y⁾^,^p^a^rtⁱ^c^u^l^arl^y¹⁸^U.^S^.^C.⁶⁰⁰⁵⁽ⁱ^m^m^uⁿⁱ^t^yⁱⁿ^Coⁿ^g^ressi^oⁿ^a^l^p^r^o^ceedⁱⁿ^gs);
^Ka^stⁱ^g^a^r^v.^Unⁱ^t^ed^St^a^t^es^,⁴⁰^{6 U.}^{S. 4}⁴¹^,⁴⁶²⁽¹⁹⁷^2)(u^ph^oldi^ng^the^c^onstitu^tio^na^lity^of^the^im^m^unit^y^sta^t^ute⁾^.
¹⁴³^B^a^ren^b^l^a^t^t^v.^Unⁱ^t^ed^St^a^t^es^,³⁶⁰^U.^S^.¹⁰^9,¹²^{6 (}¹⁹⁵⁹⁾⁽^b^al^an^cin^g^t^h^{e go}^verⁿ^m^eⁿ^t^alⁱⁿ^t^e^r^e^stⁱⁿⁱⁿ^vesti^g^atⁱⁿ^g
^Com^m^{unist a}^c^tiv^itie^{s in the}^Uⁿ^ite^{d Sta}^t^e^s^a^g^aⁱ^{nst the}^w^itne^{ss’ inte}^r^e^st^{in the}^c^onf^ideⁿ^tia^li^ty^of^{his a}^s^socⁱ^a^{tions a}ⁿ^d
^coⁿ^c^l^u^dⁱⁿ^g^“t^h^a^t^t^h^e^b^a^l^aⁿ^{ce b}^e^t^w^een^t^h^{e i}ⁿ^dⁱ^vi^du^al^and^t^h^{e go}^vernmen^t^alⁱⁿ^t^e^rest^{s h}^e^{re at}^st^{ake m}^u^s^t^b^e^st^ru^{ck i}ⁿ^f^a^vo^r
^of^the^la^tte^r^,^aⁿ^{d tha}^t^the^r^e^f^or^e^the^pr^ov^is^io^ns^of^the^Fir^s^{t A}^m^e^ndm^{ent ha}^v^eⁿ^o^{t be}^eⁿ^of^f^e^nde^d”⁾^;^.
¹⁴⁴^W^a^tk^{ins v}^.^Un^ite^d^State^s^,³⁵^{4 U}^.^{S. 1}⁷⁸^,¹^96-²⁰^{6 (}¹⁹⁵⁷⁾^.
¹⁴⁵^Uⁿ^ite^d^St^ate^s^v^.^Rum^e^ly^,³⁴^{5 U}^.^S^.⁴¹^{, 4}⁶^-⁸⁽¹⁹⁵³⁾^;^W^a^tkⁱⁿ^s^v^.^Uⁿⁱ^t^e^{d St}^ate^s^{, 3}⁵⁴^U^.^S.¹⁷^8,²⁰^7-¹⁶⁽¹⁹⁵⁷⁾^.
¹⁴⁶^U^.^{S. C}^ons^t.^A^m^e^{nd. I}^V⁽^“^T^h^e^rⁱ^g^h^{t of}^the^pe^op^le^to^be^s^e^c^u^r^eⁱⁿ^th^eⁱ^r^pe^r^s^ons^,^ho^us^e^s^{, pa}^pe^r^s^{, a}^{nd e}^f^f^e^c^t^s^,^a^g^aⁱ^ns^t
^uⁿ^r^easoⁿ^a^bl^{e search}^{es an}^d^sei^z^u^r^es,^sh^al^l^no^t^b^e^vi^o^l^at^ed^.^.^.^”^).

are entitled to Fourth Amendment protection, but did not explain what such protection entails.¹⁴⁷
In fact, the courts have addressed only infrequently the circumstances under which the Fourth
Amendment cabins the authority of Congress to compel a witnesses to produce papers or
response to questions.
When dealing with the subpoenas of administrative agencies, the Court noted sometime ago that
the Fourth Amendment “at the most guards against abuse only by way of too much indefiniteness
or breadth in the things required to be ‘particularly described,’ if also the inquiry is one the
demanding agency is authorized by law to make and the materials specified are relevant. The gist
of the protection is in the requirement, expressed in terms, that the disclosure sought shall not be ¹⁴⁸
unreasonable.” At the same time, it pointed out that as in the case of a grand jury inquiry ¹⁴⁹
probable cause is not a prerequisite for a reasonable subpoena. In later years, it explained that
where a grand jury subpoena is challenged on relevancy grounds, “the motion to quash must be
denied unless the district court determines that there is no reasonable possibility that the category
of materials the Government seeks will produce information relevant to the general subject of the ¹⁵⁰
grand jury’s investigation.” The administrative subpoena standard has been cited on the those
infrequent occasions when the validity of a Congressional subpoena has been challenged on ¹⁵¹
Fourth Amendment grounds. Contempt convictions have been overturned, however, when a ¹⁵²
Fourth Amendment violation taints the underlying subpoena or question.
Perhaps most unsettled of all is the question the extent to which, if any, the separation of powers
doctrine limits the subpoena power of Congress over members and former members of the other
branches of government. As a practical matter, however, the other branches of government
ultimately control the prosecution and punishment for statutory contempt of Congress, at least
under the current state of the law. Section 194 states that the United States Attorney to whom

¹⁴⁷^W^a^tk^{ins v}^.^Un^ite^d^State^s^,³⁵^{4 U}^.^{S. 1}⁷⁸^,¹⁸⁸⁽¹⁹⁵⁷⁾⁽^W^itne^s^s^e^s^“^c^a^nno^{t be}^s^ubje^c^t^e^d^to^unr^e^a^s^ona^ble^s^e^a^r^c^h^e^s^a^nd
^sei^z^u^r^es”).
¹⁴⁸^O^k^lahom^{a Pr}^e^s^s^Pu^{b. C}^o^{. v}^.^W^a^l^ling^{, 3}²⁷^U^.^S.¹⁸^6,²⁰^{8 (}¹⁹⁴⁶⁾^.
¹⁴⁹^“^T^he^re^{sult the}^r^e^f^ore^sustaⁱ^{ns the}^A^d^mⁱ^nistra^{tor’s p}^o^sitio^{n t}^h^a^t^his^inv^e^stig^a^tiv^e^f^unc^tion,^{in se}^a^r^c^hⁱⁿ^g^{out v}ⁱ^ola^tⁱ^ons
^w^{ith a}^vⁱ^e^w^{to se}^c^u^ring^eⁿ^f^o^rc^e^m^eⁿ^{t of}^the^A^c^{t, is e}^sse^ntia^lly^t^h^{e s}^a^m^e^{as t}^h^{e gran}^d^j^u^ry^’s^{or the}^c^o^u^r^{ts in issu}^ing^ot^he^r
^p^r^et^ri^al^o^r^d^e^{rs f}^o^{r d}ⁱ^sco^v^ery^o^f^evⁱ^d^en^ce,^an^{d i}^s^go^vern^ed^b^y^t^h^{e same l}ⁱ^mⁱ^t^a^tⁱ^oⁿ^s^.^T^h^{ese are t}^h^at^h^e^sh^al^l^no^t^act
^a^r^bitr^a^r^ily^or^{in e}^x^c^e^s^s^of^his^s^t^a^t^utor^y^a^u^thor^ity^{, but}^this^doe^s^not^m^e^aⁿ^tha^t^hⁱ^sⁱⁿ^quir^y^m^u^s^t^be^lim^it^e^d^by^f^o^r^e^ca^s^t^s^of
^the^pr^oba^ble^re^su^lt^of^the^inv^e^stig^a^tion,”^Id^{. a}^t²¹^{6 (i}^nte^r^na^l^qu^ota^tⁱ^{on m}^a^rk^{s o}^m^itte^d);^{see a}^l^so^,^Uⁿⁱ^t^ed^S^t^a^t^{es v.}^P^o^wel^l^,
³⁷⁹^U^.^S.⁴⁸^,^{57 (}¹⁹⁶⁴⁾^.
¹⁵⁰^Un^ited^S^t^a^t^{es v.}^R.^En^terp^rises,^Iⁿ^c.^{, 4}⁹⁸^U^.^S.²^92,³^{01 (}¹⁹⁹¹⁾^{. Str}ⁱ^c^tly^s^p^e^a^kⁱ^ng^,^R.^En^terp^risesⁱⁿ^v^o^lv^e^s^the
^pr^o^h^ibit^io^{n a}^g^aⁱ^ns^{t “}^unr^e^a^s^oⁿ^a^b^le^or^op^pr^e^s^sⁱ^v^e^”^s^ubpoe^na^s^f^oun^{d i}ⁿ^R^u^le¹⁷⁽^c⁾^of^the^Fe^de^r^a^{l R}^u^le^s^of^C^r^im^ina^l
^P^r^oc^e^dur^e^,^a^pr^os^c^rⁱ^p^tioⁿ^no^le^s^s^de^m^a^nding^thaⁿ^t^h^e^Fo^ur^t^h^A^m^e^ndm^eⁿ^t.
¹⁵¹^M^c^Phaul^v^.^Uⁿ^ite^{d S}^t^ate^s^,³⁶^{4 U}^.^S.³⁷^{2, (}¹⁹⁶⁰⁾⁽^“^I^t^t^hus^a^ppe^a^r^s^th^a^t^the^r^e^c^o^r^d^s^c^a^lle^{d f}^o^r^by^the^s^ubpoe^na^w^e^r^e^not
^‘pla^inly^inc^o^m^p^e^t^eⁿ^{t or irre}^le^v^a^nt^{to a}ⁿ^y^la^wf^{ul purp}^o^se^(o^f^the^S^u^b^c^om^m^itte^e⁾^{in the}^disc^ha^rg^e^of^{(its) dutie}^s,’^bu^t,^on
^the^c^ont^r^a^r^y^w^e^r^e^r^e^a^s^ona^bly^‘^r^e^l^e^v^a^{nt to the}^inq^u^ir^y^.^’^Fina^lly^{, pe}^ti^tione^r^c^onteⁿ^ds^t^h^a^t^the^s^u^b^poe^na^w^a^s^s^o^br^oa^d^a^s^to
^c^onstitu^te^aⁿ^unre^a^s^ona^ble^se^a^r^c^h^a^{nd se}^iz^ureⁱⁿ^vⁱ^ola^tⁱ^oⁿ^of^the^F^o^{urth A}^m^eⁿ^d^m^eⁿ^{t of}^the^Consti^tuti^on.^‘(A^)de^qua^c^y
^or^e^x^c^e^s^s^{in the}^br^e^a^d^t^h^of^the^s^u^b^poe^na^a^r^e^m^a^tte^r^s^v^a^rⁱ^a^b^le^{in r}^e^la^tⁱ^on^{to t}^h^e^na^t^u^r^e^,^pur^pos^e^s^aⁿ^d^s^c^ope^of^theⁱⁿ^q^u^ir^y^.
^T^h^e^Subc^om^m^itte^e^’^s^inquir^y^he^r^e^w^a^s^a^r^e^l^a^tiv^e^l^y^br^oa^{d one}^{. .}^{. a}ⁿ^{d the}^pe^r^m^is^sⁱ^ble^s^c^ope^of^m^a^te^rⁱ^a^l^s^tha^t^c^o^u^l^d
^r^e^a^s^ona^bly^be^s^oug^{ht w}^a^s^ne^c^e^s^s^a^r^ily^e^qua^ll^y^br^oa^d”⁾^,^c^iti^ng^the^F^o^ur^{th A}^m^eⁿ^d^m^eⁿ^{t s}^t^a^nda^r^d^f^o^r^a^d^mⁱ^nis^t^r^a^tiv^e
^search^{es f}^r^o^m^O^k^lahom^a^Pr^e^s^s^Publis^hin^g^C^o^{. v}^.^W^a^l^lin^g^,³²^{7 U}^.^S^.¹⁸^6,²⁰^{9 (}¹⁹⁴⁶⁾^.^S^{ee al}^so^,^Pac^k^w^ood^v^.^Se^nate
^S^e^l^ect^Co^mmi^t^t^{ee o}ⁿ^E^t^hⁱ^cs^{, 5}¹⁰^U^.^{S. 1}³¹⁹^,¹³²⁰⁽¹⁹⁹⁴⁾⁽^“^A^s^w^e^sta^t^e^dⁱⁿ^Ok^l^a^h^o^{ma Pre}^{ss Pu}^blis^hi^{ng C}^o^{. v}^.^W^a^llin^g
^de^te^r^m^ining^w^h^e^t^he^r^a^s^ubpoe^naⁱ^s^ov^e^r^l^y^br^oa^{d ‘}^c^aⁿ^not^be^r^e^d^u^c^e^d^{to f}^o^r^m^ula^;^f^o^r^r^e^le^v^a^ncy^a^{nd a}^d^e^qua^c^y^or^e^x^c^e^s^s
^{in t}^h^e^br^e^a^d^t^h^of^the^s^u^b^poe^na^a^r^e^m^a^tte^r^s^v^a^rⁱ^a^b^le^{in r}^e^la^tion^to^the^na^tur^e^,^pur^pos^e^s^aⁿ^{d s}^c^ope^theⁱⁿ^quir^y^’^”⁾⁽^C^{h. J}^.
^R^e^hnq^uis^t^de^ny^ing^the^a^pplic^a^tⁱ^o^{n f}^o^r^a^s^t^a^y^pe^nding^a^ppe^a^l^t^o^t^h^e^C^our^t^of^A^ppe^a^l^s^of^a^Dⁱ^s^t^rⁱ^c^t^C^our^{t or}^de^r^eⁿ^f^o^r^c^ing
^a^Cong^re^ssiona^{l su}^bp^oe^na^duc^e^s^t^e^c^u^m^)(inte^r^na^{l c}^ita^{tions om}^itte^d).
¹⁵²^Uⁿ^ite^d^St^ate^s^v^.^M^c^Sur^e^l^y^{, 4}⁷³^F^.^2d¹¹⁷⁸^{, 1}¹⁹⁴⁽^D^.C^{. C}ⁱ^r^.¹⁹⁷²⁾^.

Congress refers a violation of Section 192 has a duty to submit the matter to the grand jury.¹⁵³
Should a grand jury indictment be forthcoming further prosecution is at the discretion of the ¹⁵⁴
Executive Branch in proceedings presided over by the Judicial Branch.
The rules governing the Congressional hearing may also afford a witness the basis to object to a
Congressional summons or interrogation and to defend against a subsequent prosecution for
violation of Section 192. No successful prosecution is possible if the Congressional tribunal in ¹⁵⁵
question has failed to follow its own rules to the witness’s detriment. Among other things those
rules may identify evidentiary privileges available to a witness. The evidentiary rules that control ¹⁵⁶
judicial proceedings do not govern legislative proceedings, unless and to the extent they are
constitutionally required or have been made applicable by Congressional rule and decision of the
tribunal. To the extent the rules or body issuing the subpoena afford a witness an attorney-client
or attorney work product protection or any other evidentiary privilege, the privilege provides a
valid basis to object and defend.
Section 192 states that violations are punishable by imprisonment for not less than one month nor ¹⁵⁷
more than twelve months and a fine of not less than $100 nor more than $1,000. By virtue of
generally applicable amendments enacted after the section, class A misdemeanors (crimes
punishable by imprisonment for not more than one year) are subject to a fine of not more than ¹⁵⁸
$100,000 for individuals and not more than $200,000 for organizations.

¹⁵³^“^W^he^ne^v^e^{r a}^w^itne^{ss su}^m^m^one^{d a}^s^m^e^ntione^dⁱⁿ^Se^c^tion¹⁹²^of^th^{is title}^f^a^{ils to a}^p^pe^a^r^to^te^stif^y^{or f}^a^{ils to pro}^duc^e
^aⁿ^y^book^s^,^pa^pe^r^s^{, r}^e^c^o^r^d^s^,^or^d^o^c^um^eⁿ^ts^{, a}^s^r^e^quir^e^{d, or}^w^h^eⁿ^e^v^er^aⁿ^y^w^itne^s^s^s^o^s^u^m^m^one^{d r}^e^f^u^se^s^{to a}ⁿ^s^w^e^r^aⁿ^y
^que^s^tioⁿ^pe^r^tineⁿ^t^to^the^s^ubje^c^t^u^nde^rⁱⁿ^q^u^ir^y^be^f^o^r^e^e^ithe^r^House^,^{or a}ⁿ^y^{joint c}^o^m^m^itt^e^e^e^s^ta^blishe^{d by}^a^joint^or
^c^onc^ur^r^e^nt^r^e^s^o^lutⁱ^oⁿ^of^the^tw^o^H^ous^e^s^of^C^ong^r^e^s^s^,^or^aⁿ^y^c^o^m^m^itte^e^or^s^ubc^om^m^itte^e^of^e^ithe^r^H^ous^e^of^C^ong^r^e^s^s^,
^a^{nd t}^h^e^f^a^c^t^of^s^u^c^h^f^a^ilur^e^or^f^a^il^ur^e^s^is^r^e^por^te^{d t}^o^e^ithe^r^H^ous^e^w^h^ile^C^o^ng^r^e^s^s^is^{in s}^e^s^sⁱ^on^or^w^h^eⁿ^C^o^ng^r^e^s^s^is^not
^{in se}^ssion,^a^sta^t^e^m^eⁿ^{t of}^f^a^c^t^c^onstituti^ng^suc^h^f^a^ilure^{is re}^p^o^rte^d^t^o^aⁿ^d^f^ile^{d w}^{ith the}^P^r^e^s^ideⁿ^t^of^the^Se^na^te^or^the
^S^p^{eaker o}^f^t^h^{e Ho}^u^s^e,ⁱ^t^s^h^al^l^b^e^t^h^{e d}^u^t^y^o^f^t^h^{e sai}^d^P^r^esi^d^en^t^o^f^t^h^{e S}^eⁿ^a^t^e^o^r^S^p^{eaker o}^f^t^h^{e Ho}^u^s^e,^{as t}^h^{e case}^m^a^y
^b^e^,^t^o^certⁱ^f^y^,^an^d^h^e^sh^al^l^s^o^certⁱ^fy^,^t^h^{e st}^at^e^m^en^t^o^f^f^act^{s a}^f^o^r^es^ai^d^un^d^e^{r t}^h^{e seal}^o^f^t^h^{e S}^eⁿ^a^t^e^o^r^Ho^u^s^e,^{as t}^h^{e case}
^m^a^y^be^{, to the}^a^ppr^opria^te^Un^ite^d^Sta^t^e^s^a^ttorne^y^{, w}^hose^duty^it^sha^{ll be}^t^o^br^ing^t^h^e^m^a^tte^{r be}^f^o^re^th^e^g^r^a^{nd jury}^f^o^{r its}
^actⁱ^oⁿ^,^{” 2 U.}^S^.^C^.¹⁹^4.
^Di^ct^{a i}ⁿ^t^w^o^Di^st^ri^ct^o^f^Co^l^u^m^bⁱ^a^Di^st^ri^ct^Co^urt^{cases i}ⁿ^dⁱ^cat^{e t}^h^at^t^h^{e Un}ⁱ^t^e^{d S}^t^at^{es A}^t^t^o^rn^ey^w^a^{s re}^q^uⁱ^{red t}^o^p^r^esen^t
^the^m^a^tte^{r to the}^g^r^a^{nd j}^u^ry^,^Unⁱ^t^e^d^S^t^a^t^{es v.}^Hou^s^{e o}^f^R^e^p^r^esen^t^a^tⁱ^ves^,^{556 F.S}^u^p^p^{. 15}^{0, 15}¹⁽^D^.D^.C^.¹⁹⁸³⁾^;^Ex^par^te
^Frank^fe^ld^,³²^F^.^S^u^p^p^.⁹¹^5,⁹¹^{6 (}^D^.^D^.^C^.¹⁹⁴⁰^).^Bet^w^een^t^h^{e t}^w^o^,^h^o^w^ever,^t^h^{e Co}^u^r^t^o^f^A^p^p^eal^{s f}^o^{r t}^h^{e Di}^st^ri^ct^o^f
^Colum^b^ia^he^ld^to^be^dⁱ^sc^re^tiona^ry^the^sim^ila^{r w}^o^rde^d^duty^of^t^h^{e S}^p^eaker,^w^h^en^t^h^{e Ho}^u^s^{e i}^sⁿ^o^tⁱⁿ^sessi^oⁿ^,^t^o^ref^e^{r a}
^coⁿ^t^em^p^t^ci^t^a^tⁱ^oⁿ^t^o^t^h^{e Un}ⁱ^t^ed^S^t^at^es^A^t^t^o^rn^ey^,^W^ils^{on v}^.^Uⁿ^ite^d^St^ate^s^,³^{69 F.2}^d¹⁹^{8, 20}^1-²⁰⁵⁽^D^.C^.^Cⁱ^r^.¹⁹⁶⁶⁾^.^I^t
^ma^y^b^e^argu^ed^t^h^at^si^mⁱ^l^a^rl^y^w^o^r^d^ed^du^tⁱ^e^{s sho}^u^l^d^b^e^si^mⁱ^l^a^rl^y^coⁿ^s^t^r^u^e^d^aⁿ^d^t^h^at^t^h^eref^o^r^{e t}^h^{e Un}ⁱ^t^ed^S^t^at^es
^A^ttorne^y^{’s duty}^{to re}^f^e^{r the}^c^a^s^e^t^o^th^e^g^r^aⁿ^{d ju}^ry^{is lik}^e^w^ise^disc^re^tiona^ry^.
¹⁵⁴^Ru^l^e⁷⁽^c)(¹^{) o}^f^t^h^e^F^e^d^e^ral^Ru^l^e^s^o^f^Cri^mⁱⁿ^al^P^r^o^cedu^r^{e requ}ⁱ^r^{es t}^h^atⁱⁿ^dⁱ^ct^m^eⁿ^t^{s b}^e^si^gn^ed^b^y^an^at^t^o^rn^ey^f^o^{r t}^h^e
^g^o^v^e^rⁿ^m^e^{nt a}^s^a^de^m^ons^tr^a^{tion of}^the^a^s^s^e^{nt of}^the^g^o^v^e^rⁿ^m^e^{nt to g}^o^f^o^r^w^a^r^d^w^ithout^w^h^ic^{h a}^pr^os^e^c^u^tio^{n m}^a^y^{not be}^th^th
^ha^d,^Uⁿ^ite^d^Sta^t^e^s^v^.^C^o^x^{, 34}²^F^.^{2d 16}^{7, 17}¹⁽⁵^Cⁱ^r^.¹⁹⁶⁵⁾^;^Unⁱ^t^ed^S^t^a^t^{es v.}^Wri^g^h^t^,³⁶^{5 F.}^2d¹^35,¹³⁷⁽⁷^Cⁱ^r^.¹⁹⁶⁶⁾^.
^S^{ee a}^l^so^,^Wa^t^{ye v.}^Unⁱ^t^e^d^S^t^a^t^es^,⁴⁷⁰^U^.^S.⁵^98,⁶^{07 (}¹⁹⁸⁵⁾⁽^“^S^o^l^oⁿ^g^a^s^the^pr^os^e^c^u^t^o^r^ha^s^pr^o^b^a^b^le^c^a^us^e^{to be}^lie^v^e
^th^{at th}^{e accu}^sed^co^m^m^itted^an^o^f^fen^s^{e d}^e^fⁱⁿ^e^d^b^y^statu^t^{e, th}^e^d^ecisi^oⁿ^w^h^eth^e^{r o}^rⁿ^o^{t t}^o^p^r^o^s^ecu^{te, an}^d^w^h^{at ch}^arg^e^to
^f^ile^or^br^ing^be^f^o^r^e^a^g^r^a^{nd j}^u^r^y^{, g}^e^ne^r^a^ll^y^r^e^s^t^s^eⁿ^tir^e^l^y^{in his}^dis^c^r^e^tion”⁾^.
¹⁵⁵^Ye^{llin v}^.^Unite^{d St}^ate^s^,³⁷^{4 U}^.^S.¹⁰⁹^{, 1}²³^-²⁴⁽¹⁹⁶³⁾^.
¹⁵⁶^T^h^{e Co}ⁿ^s^tⁱ^t^u^tⁱ^oⁿ^gi^{ves each}^Ho^{use t}^h^{e au}^t^h^o^rⁱ^t^y^t^o^“d^et^ermⁱⁿ^e^t^h^{e ru}^l^e^{s o}^fⁱ^t^s^p^r^o^ceedⁱⁿ^gs,^”^U.^S^.^C^oⁿ^s^t^.^A^r^t^.^I,^§5^,
^cl^.²^.^T^h^{e F}^e^d^e^ral^R^u^l^e^{s o}^f^E^vⁱ^d^{ence as su}^ch^ap^p^l^y^oⁿ^l^y^t^o^cert^aⁱⁿ^j^u^dⁱ^ci^al^p^r^o^ceedⁱⁿ^gs,^F^.^R^.^E^vⁱ^d^.¹¹⁰¹^.
¹⁵⁷^“^E^v^e^r^y^pe^r^s^{on w}^{ho ha}^vⁱ^ng^be^eⁿ^s^u^m^m^one^{d a}^s^a^w^itne^s^s^b^y^the^a^u^thor^ity^of^e^ithe^r^H^ous^e^of^C^o^ng^r^e^s^s^{to g}ⁱ^v^e
^te^stim^on^y^{or to}^pro^duc^e^pa^pe^{rs .}^.^{. w}^illf^ull^y^m^a^k^e^{s de}^f^a^ult,^{or w}^ho,^ha^vⁱ^ng^a^ppe^a^r^e^d^{, re}^f^u^se^{s to a}ⁿ^sw^e^r^aⁿ^y^que^stion
^pe^rtineⁿ^t^to^the^que^sti^on^un^de^{r in}^quiry^{, sha}^{ll be}^de^e^m^e^d^g^u^ilty^of^a^mⁱ^sde^m^e^a^{nor, p}^unis^h^a^b^le^by^a^fⁱ^ne^of^not^m^o^re^thaⁿ
^$1,⁰⁰^{0 n}^o^r^le^s^s^t^h^aⁿ^$1^{00 a}^{nd im}^pr^is^onm^eⁿ^{t in}^a^c^o^m^m^{on ja}^{il f}^o^r^not^le^s^s^thaⁿ^one^m^ont^{h n}^o^r^m^o^r^e^thaⁿ^tw^e^l^v^e
^m^onths^,”^{2 U}^.^S^.^C^.¹⁹^2.
¹⁵⁸^Iⁿ¹⁹^84,^C^ong^r^e^s^s^e^s^ta^blis^he^d^a^unif^o^r^m^fⁱ^ne^s^c^he^dule^w^h^ic^{h am}^endsⁱ^ndivⁱ^dua^{l s}^t^a^t^u^t^or^y^m^a^xⁱ^m^u^m^fⁱ^ne^pr^ov^is^ions
⁽^c^onti^nue^d.^..)

Congress’ exercise of its inherent power to punish for contempt of its authority predates the 1857 ¹⁵⁹
enactment of the original version of its statutory contempt provisions. The statute has always ¹⁶⁰
been recognized as a supplement rather than a replacement of the inherent power. In fact for the
first half of the statute’s existence, Congress continued to rely upon its inherent power
notwithstanding the presence of a statutory alternative. Thereafter, Congress began to resort to the ¹⁶¹
statutory alternatives more regularly. The inherent power lay dormant and does not appear to ¹⁶²
have been invoked any time within the last half century.
There are two statutory provisions available to permit Congress to call upon the courts to
overcome the resistance of witnesses in Congressional proceedings. One covers immunity orders ¹⁶³
where the witness has claimed his Fifth Amendment privilege against self-incrimination.
Continued recalcitrance after the grant of immunity is punishable under the court’s civil and
criminal contempt powers. The second permits the court enforcement of a Senate subpoena but ¹⁶⁴
apparently only to the extent of the court’s civil contempt powers.
In addition to the basic six federal crimes of obstruction of justice, federal law features a host of
criminal statutes that proscribe various obstructions according to the obstructive means used.
Thus, several federal statutes outlaw use of threats or violence to obstruct federal government
activities, quite aside from the general obstruction provisions of sections 1512, 1513, 1505, and

1503.

Section 115 prohibits certain acts of violence against Members of Congress, Members-elect,
judges, jurors, officials, former officials, and their families in order to impede the performance of

^(...c^on^tin^ue^d)
^lik^e^thos^e^of^Se^c^tion¹^{92 s}^u^b^s^ile^ntio^{, 1}⁸^U^.^S^.^C^.³⁵^71.^U^nde^r^the^s^c^he^dule^,^c^l^a^s^s^A^mⁱ^s^d^em^e^a^nor^s⁽^c^rⁱ^m^e^s^punis^h^a^b^le
^byⁱ^m^pr^is^onm^eⁿ^{t f}^o^r^{not m}^o^r^e^thaⁿ^{1 y}^e^a^r^{, 18 U}^.^S.C^.³⁵⁵⁹⁾^a^r^e^puⁿⁱ^s^h^a^b^le^by^a^fⁱ^ne^of^{not m}^o^r^e^thaⁿ^$1^00,⁰⁰^{0 f}^o^r
^indivⁱ^d^u^a^l^s^aⁿ^{d n}^o^{t m}^o^r^e^thaⁿ^$2^00,⁰⁰^{0 f}^o^r^or^g^a^niz^a^tio^ns^,^{18 U}^.^S.^C^.³⁵⁷¹⁽^b)^,⁽^c⁾^.
¹⁵⁹^Ande^r^s^o^{n v}^.^D^uⁿⁿ^,^{19 U}^.^{S. (}⁶^W^h^e^a^t^.)²^{04 (}¹⁸²¹⁾^{. T}^h^e^or^ig^ina^l^v^e^r^s^ion^of^{2 U}^.^S.C^.¹⁹²^a^ppe^a^r^sⁱⁿ¹¹^Sta^t^.¹⁵⁵
⁽¹⁸⁵⁷⁾^.
¹⁶⁰^Ju^rn^{ey v.}^Ma^cCra^cken^{, 2}^{94 U}^.^S.¹²⁵^{, 1}⁵¹⁽¹⁹³⁵⁾^;^Iⁿ^r^e^C^h^apm^an^,¹⁶⁶^U^.^S.⁶^61,⁶^71-^{72 (}¹⁸⁹⁷⁾^.
¹⁶¹^Iⁿ^a^d^diti^on^to^Se^c^tion¹^92,^s^o^m^e^of^the^mⁱ^s^c^onduc^{t tha}^t^mⁱ^g^h^{t ha}^v^e^be^eⁿ^p^uⁿⁱ^s^h^e^d^un^de^r^C^o^ng^r^e^s^s^’^inhe^r^e^nt
^c^onte^m^{pt pow}^e^r^m^a^y^be^pr^os^e^c^u^te^{d un}^de^r¹⁸^U^.^S.C^.¹⁰⁰¹⁽^f^a^l^s^e^s^t^a^t^em^eⁿ^ts⁾^,¹⁶²^{1 (}^p^e^r^jur^y⁾^,¹⁵^{05 (}^obs^tr^uc^tⁱ^oⁿ^of
^justic^e^be^f^o^re^Cong^re^ssiona^{l c}^o^m^m^itte^e^s^),^{or 1}⁵¹²^(o^bstruc^ti^on^of^j^u^stic^e⁾^.
¹⁶²^C^ong^r^e^s^s^doe^s^{not a}^ppe^a^r^t^o^ha^v^e^c^a^lle^{d up}^on^itsⁱⁿ^he^r^e^nt^pow^e^r^o^f^c^onte^m^{pt s}ⁱ^nc^e^the^mⁱ^d-¹⁹³⁰^’^s^,^{4 D}^ESC^H^LER^’^S
^P^RE^CE^DE^NTS^O^F^THE^H^OUS^E^O^F^R^EP^RE^SE^N^T^A^T^I^V^E^S^{, c}^h^{. 15,}^§1⁷^n.7⁽¹⁹⁷⁴⁾^{; B}^e^c^k^{, C}^ONT^E^M^P^T^O^F^C^ONG^RE^S^S^{, A}^pp.A^,^a^t
²¹³⁽¹⁹⁵⁹⁾^.
¹⁶³^{18 U}^.^S.C^.⁶⁰⁰¹^-⁶⁰⁰^5.
¹⁶⁴²⁸^U^.^S^.^C^.¹³⁶⁵^.

their duties or to retaliate for the performance of those duties. The section consists of three related
offenses. One designed to protect the families of judges, officials, and Members against threats
and acts of violence, 18 U.S.C. 115(a)(1)(A); another to protect Members, judges and officials
from threats, 18 U.S.C. 115(a)(1)(B); and a third to protect former Members, former judges,
former officials and their families from retaliatory threats and acts of violence, 18 U.S.C.

115(a)(2). In more precise terms, they declare:

(1)(Family)
I. Whoever
II. A. assaults
B. kidnaps,
C. murders,
D. attempts to assault, kidnap, or murder,
E. conspires to assault, kidnap, or murder, or
F. threatens to assault, kidnap, or murder
III. a member of the immediate family of
A. a federal judge,
B. a Member of Congress,
C. the President and any other federal officer or employee
IV. with the intent
A. either to

1. a. impede,

b. intimidate, or
c. interfere with

2. a. a federal judge,

b. a Member of Congress,
c. the President and any other federal officer or employee

3. in the performance of official duties;

B. or to
1. retaliate against

2. a. a federal judge,

b. a Member of Congress,
c. the President and any other federal officer or employee
3. for the performance of official duties
shall be punished as provided in subsection (b).¹⁶⁵
Subsection 115(a)(1)(A) only condemns violence against the families of federal officials not ¹⁶⁶
violence committed against the officials themselves. Subsection 115(b) makes assault,
kidnaping, murder, and attempts and conspiracies to commit such offenses in violation of the
section subject to penalties imposed for those crimes when committed under other sections of the
Code, i.e., 18 U.S.C. 111, 1201, 1111, 1113, and 1117. It makes threats to commit an assault
punishable by imprisonment for not more than 6 years and threats to commit any of the other
offenses under the section punishable by imprisonment for not more than 10 years, 18 U.S.C.
115(b)(4). A fine of not more than $250,000 is available as an alternative or supplementary
sanction in either instance. Id.
(2)(Threats)
I. Whoever
II. threatens to
A. assault
B. kidnap, or
C. murder
III.A. a federal judge,
B. a Member of Congress,
C. the President and any other federal officer or employee

¹⁶⁵¹⁸^U^.^S.C.¹¹⁵⁽^a)(1^)(A^).
¹⁶⁶^Uⁿ^ite^d^St^ate^s^v^.^Beⁿⁿ^e^t^t^,³⁶^{8 F.}³^d¹³⁴³^,¹³^52-³⁵^{4 (}¹¹^th^Cⁱ^r^.²⁰⁰⁴⁾^,^v^a^c^’^{d on ot}^he^r^gr^o^uⁿ^d^s^{, 5}⁴³^U^.^S^.¹¹¹⁰⁽²⁰⁰⁵⁾^.

IV. with the intent
A. either to

1. a. impede,

b. intimidate, or
c. interfere with

2. a. a federal judge,

b. a Member of Congress,
c. the President and any other federal officer or employee

3. in the performance of official duties;

B. or to
1. retaliate against

2. a. a federal judge,

b. a Member of Congress,
c. the President and any other federal officer or employee
3. for the performance of official duties
shall be punished as noted earlier by imprisonment for not more than 6 years in the case of a
threatened assault and not more than 10 years in the case of all other threats outlawed in the ¹⁶⁷
section.
The circuits are divided over the question of whether a violation of subsection 115(a)(1)(B) is a
specific intent offense. The Eleventh Circuit has held that it is not and as a consequence the ¹⁶⁸
government need not show that the defendant knew that his victim was a federal official. The
Sixth Circuit, on the other hand, held that it is a specific intent offense and as a consequence a ¹⁶⁹
defendant is entitled to present a defense of intoxication or diminished capacity.
They were at one point likewise divided over whether the threat proscribed in the section is one
that would instill fear in a reasonable person to whom it was communicated or one a reasonable ¹⁷⁰
defendant would understand would convey a sense of fear. The Ninth Circuit has suggested that

¹⁶⁷¹⁸^U^.^S.C.¹¹⁵⁽^a)(1^)(B)^,^(b⁾⁽⁴⁾^.
¹⁶⁸^Uⁿ^ite^d^St^ate^s^v^.^Be^r^kⁱ^{, 9}³⁶^F.2^d⁵²⁹^{, 5}³²^-³⁴⁽¹¹^th^Cⁱ^r^.¹⁹⁹¹⁾^.
¹⁶⁹^Uⁿ^ite^d^St^ate^s^v^.^Ve^ac^h^,⁴⁵⁵^F.^3d⁶²⁸^{, 6}³²^-³⁴⁽⁶^th^Cⁱ^r^.²⁰⁰⁶⁾^.
¹⁷⁰^Uⁿ^ite^d^St^ate^s^v^.^S^a^u^nde^r^s^{, 1}⁶⁶^F.^3d⁹⁰^7,⁹¹^{3 n}^.^{6 (}⁷^th^Cⁱ^r^.¹⁹⁹⁹⁾⁽^“^T^hos^e^c^a^s^e^s^holdⁱ^ng^tha^t^the^te^s^t^s^h^oul^{d be}^aⁿ
^o^b^j^ectⁱ^v^{e sp}^eaker-b^ased^oⁿ^eⁱⁿ^cl^ud^e^Uⁿ^ite^d^St^ate^s^v^.^Sc^hie^f^eⁿ^,¹³⁹^F^.^3d⁶³^8,⁶³^{9 (}⁸^th^{Cir. 19}^{98) .}^{. .}^Uⁿ^ite^{d State}^s^v^.^st^th
^Fulme^r^,¹^{08 F.3}^d¹⁴^86,¹⁴⁹¹^-⁹^{2 (}¹^Cⁱ^{r. 19}^{97) .}^{. .}^Uⁿ^ite^{d S}^t^ate^s^v^.^O^r^oz^c^o^-^S^anti^llaⁿ^,⁹⁰³^F.^2d¹²⁶²^,¹²⁶⁵⁽⁹^Cir.
⁽^c^onti^nue^d.^..)

the Supreme Court may have resolved the split when it defined those “true threats” that lie
beyond the protection of the First Amendment’s free speech clause as “those statements where the
speaker means to communicate a serious expression of an intent to commit an act of unlawful ¹⁷¹
violence to a particular individual or group of individuals.”
(3)(Former Officials)
I. Whoever
II. A. assaults
B. kidnaps,
C. murders,
D. attempts to assault, kidnap, or murder, or
E. conspires to assault, kidnap, or murder, or
III. A. a former federal judge,
B. a former Member of Congress,
C. the former President and any other former federal officer or employee, or
D. a member of the immediate family of such former judge, Member or individual
IV. on account of the performance of their former official duties
shall be punished as provided in subsection (b) as described above.¹⁷²
Section 1114 of Title 18 of the United States Codes outlaws murder, manslaughter, and attempted
murder and manslaughter of federal officers and employees as well as those assisting them, ¹⁷³
committed during or on account of the performance of their duties. The section’s coverage

^(...c^on^tin^ue^d)
¹⁹⁹⁰⁾^.^{. .a}^nd^Uⁿ^ite^d^St^ate^s^v^.^W^e^lc^h^,⁷^{45 F.2}^d⁶¹^{4, 61}⁹⁽¹⁰^th^Ci^r.¹⁹⁸⁴^).^.^.^T^h^o^s^{e cases t}^r^eatⁱⁿ^{g t}^h^e^o^b^j^ectⁱ^v^{e t}^e^st^as
^reci^pⁱ^en^t^-^b^a^sedⁱⁿ^cl^ud^e^Unite^d^St^ate^s^v^.^M^a^lik^{, 16 F.3}^d³⁴^{5, 48}⁽²^d^Cⁱ^r^.¹⁹⁹⁴⁾^;^a^nd^Uⁿ^ite^{d St}^ate^s^v^.^M^a^is^one^r^,⁴⁸^{4 F}^.²^d^th
¹³⁵^{6, 13}⁵⁸⁽⁴^Cⁱ^r^.¹⁹⁷³⁾^”⁾^.
¹⁷¹^Uⁿ^ite^d^St^ate^s^v^.^Ste^w^ar^t^,⁴⁰^{3 F}^.^3d¹⁰⁰⁷^,¹⁰¹⁶^-¹⁹⁽⁹^th^Cⁱ^r^.²⁰⁰⁵⁾^,^q^uotiⁿ^g^,^Virgⁱⁿⁱ^a^v^.^B^l^ac^k^{, 5}³⁸^U^.^S^.³⁴^3,³⁴^9-⁵⁰
⁽²⁰⁰³⁾^.
¹⁷²^{18 U}^.^S.C^.¹¹⁵⁽^a⁾⁽²⁾^.
¹⁷³^{18 U}^.^S.C.¹¹¹⁴^(“^W^hoe^v^e^{r k}^{ills or a}^tte^m^p^{ts to k}^{ill a}ⁿ^y^of^fⁱ^c^e^r^{or e}^m^plo^y^e^e^o^f^the^Unite^d^Sta^t^e^s^or^o^f^aⁿ^y^a^g^eⁿ^c^yⁱⁿ
^an^y^b^r^an^ch^o^f^t^h^{e Un}ⁱ^t^e^{d S}^t^at^{es G}^o^vern^m^eⁿ^t⁽ⁱⁿ^c^l^u^dⁱⁿ^g^an^y^m^e^m^b^e^r^o^f^t^h^{e un}ⁱ^f^o^r^m^e^d^servi^ces)^w^hⁱ^l^e^su^ch^o^f^fⁱ^{cer o}^r
^em^ploy^ee^is^eⁿ^g^a^g^e^{d in or}^oⁿ^a^c^c^oun^{t of}^the^pe^r^f^or^m^a^nc^e^of^of^fⁱ^cⁱ^{al du}^tie^s^,^or^aⁿ^y^pe^r^s^{on a}^s^sⁱ^s^ting^s^u^c^h^aⁿ^of^fⁱ^c^e^r^or
^e^m^p^l^o^y^e^eⁱⁿ^t^h^e^p^e^rf^o^r^man^{ce o}^f^s^u^ch^du^tⁱ^e^s^o^r^on^acco^un^t^o^f^t^h^at^assi^st^an^ce,^sh^al^l^b^e^puⁿⁱ^sh^ed^–⁽¹⁾ⁱⁿ^t^h^{e case o}^f
^m^u^r^d^e^r^{, a}^s^pr^ov^ide^d^un^de^r^Se^c^tio^{n 1}¹¹¹^{; (}²⁾ⁱⁿ^the^c^a^s^e^of^m^a^ns^la^u^g^hte^r^{, a}^s^pr^ov^ide^d^u^nde^r^Se^c^tion¹¹¹^2;^or⁽³⁾ⁱⁿ^t^h^e
⁽^c^onti^nue^d.^..)

extends to government witnesses.¹⁷⁴ Other provisions outlaw kidnaping or assaults against federal
officers and employees committed during or account of the performance of their duties, but their ¹⁷⁵
coverage of those assisting them is less clear.
Beyond these general prohibitions, federal law proscribes the murder, kidnaping, or assault of ¹⁷⁶
Members of Congress, Supreme Court, or the Cabinet; and a number of statutes outlaw assaults
on federal officers and employees responsible for the enforcement of particular federal statutes ¹⁷⁷
and programs.

^(...c^on^tin^ue^d)
^c^a^s^e^of^a^ttem^p^te^d^m^u^r^d^e^r^or^m^a^ns^la^ug^hte^r^{, a}^s^pr^ov^ide^dⁱⁿ^Se^c^tⁱ^on¹^113”⁾^.
¹⁷⁴^Se^e^,^Unite^{d St}^ate^s^v^.^C^a^ldwe^ll^,⁴³³^F.3^d³⁷^8,³⁸⁴⁽²⁰⁰⁵⁾^{, a}^f^fⁱ^r^m^ing^the^c^onv^ic^tio^{n a}^de^f^e^nda^{nt w}^h^o^s^o^lic^ite^{d t}^h^e
^m^u^r^d^e^r^of^a^g^o^v^e^rⁿ^m^e^{nt w}^itne^s^s^{on c}^h^a^r^g^e^s^of^vⁱ^ola^ting¹⁸^U^.^S^.^C^.³⁷³⁽^s^olic^ita^ti^on^of^m^u^r^d^e^r⁾^,¹¹¹⁴⁽^a^tte^m^p^te^d
^m^u^rde^{r), 151}^2(a⁾^(w^itne^{ss ta}^m^p^e^r^ing⁾^{, 1}⁵¹³^(w^itne^{ss re}^ta^lia^tion),³^{71 (c}^oⁿ^spira^c^y^{to m}^u^rde^r^a^g^o^v^e^rⁿ^m^e^{nt w}^itne^ss).
¹⁷⁵^{18 U}^.^S.C^.¹²⁰¹⁽^a⁾⁽^e^m^pha^sⁱ^s^a^dde^d)⁽^“^W^hoe^v^e^r^unla^w^f^u^ll^y^s^e^iz^e^s^,^c^onf^ine^s^{, inv}^e^ig^le^s^,^de^c^o^y^s^{, k}ⁱ^dna^ps^{, a}^b^duc^ts^,^or
^c^a^r^rⁱ^e^s^aw^ay^a^{nd hol}^ds^f^o^r^r^a^ns^o^m^or^r^e^w^a^r^d^or^ot^he^r^w^is^e^aⁿ^y^pe^r^s^{on, e}^x^c^e^p^{t in}^the^c^a^s^e^of^a^mⁱ^nor^by^the^pa^r^e^nt
^the^r^e^o^f^,^w^h^eⁿ^{. . . (}⁵^{) t}^h^e^pe^rs^oⁿⁱ^s^a^m^ong^t^h^o^s^e^o^f^fⁱ^{cers a}ⁿ^d^emp^l^{oyees d}^e^scri^b^e^dⁱⁿ^S^ectⁱ^oⁿ¹¹¹⁴^of^{this ti}^tle^aⁿ^d^aⁿ^y
^su^ch^act^agaiⁿ^s^t^t^h^{e p}^e^rs^oⁿⁱ^s^d^{one w}^hⁱ^l^e^t^h^{e p}^e^rsoⁿⁱ^s^en^gagedⁱⁿ^,^o^r^on^acco^un^t^o^f^,^t^h^{e p}^e^rf^o^r^m^aⁿ^c^e^o^f^o^f^fⁱ^ci^al^d^u^tⁱ^e^{s .}
^{. . t}^h^e^s^e^nteⁿ^c^e^u^nde^r^t^h^is^s^e^c^tioⁿ^f^o^r^s^u^c^h^of^f^e^ns^e^s^h^a^{ll inc}^l^ude^im^pr^is^onm^eⁿ^{t f}^o^r^not^le^s^s^thaⁿ²⁰^y^ear^s^”⁾^;¹¹¹
⁽^e^m^pha^sⁱ^s^a^dde^d)⁽^“^W^hoe^v^e^r^–⁽¹⁾^f^o^r^c^ibly^a^s^s^a^ults^{, r}^e^sⁱ^s^t^s^,^op^pos^e^s^{, im}^pe^de^s^,^intim^ida^t^e^s^{, or}ⁱⁿ^te^r^f^e^r^e^s^w^{ith a}ⁿ^y^pe^r^s^on
^d^e^sigⁿ^atedⁱⁿ^Sectioⁿ¹¹¹⁴^o^f^th^is^{title w}^h^{ile en}^g^a^g^e^dⁱⁿ^o^r^oⁿ^acc^ount^of^the^pe^r^f^or^m^a^nc^e^of^o^f^fⁱ^cⁱ^a^l^dutie^s^;^or⁽²⁾
^f^o^rc^ibly^a^ssa^{ults or intim}^ida^t^e^s^aⁿ^y^pe^{rson w}^{ho f}^o^r^m^e^r^l^y^s^e^rv^e^d^a^s^a^pe^r^s^oⁿ^de^sⁱ^gⁿ^a^t^e^dⁱⁿ^Se^c^{tion 11}^{14 on ac}^c^o^uⁿ^{t of}
^the^pe^rforma^nc^e^of^officⁱ^a^l^dut^ie^{s durin}^{g s}^u^c^h^pe^rsoⁿ^'^{s te}^{rm of se}^rvⁱ^c^e^,^sh^al^l^,^w^h^{ere t}^h^{e act}^{s i}ⁿ^vi^o^l^atⁱ^oⁿ^o^f^t^hⁱ^s^sectⁱ^oⁿ
^c^onstitu^te^oⁿ^ly^si^m^p^le^a^ssa^{ult, be}^fⁱ^ne^{d un}^de^{r this}^title^or^im^prisone^{d n}^o^{t m}^o^re^thaⁿ^one^y^e^a^r^{, or b}^o^th,^a^{nd i}ⁿ^a^ll^ot^he^r
^c^a^s^e^s^{, be}^fⁱ^ne^{d unde}^{r t}^h^is^t^itle^orⁱ^m^pris^one^{d n}^o^{t m}^o^re^thaⁿ^{8 y}^e^a^r^s^,^{or b}^o^th”⁾^.
¹⁷⁶^{18 U}^.^S.C^.³^51.
¹⁷⁷^E.g^.^,⁷^U^.^S.C^.⁶⁰⁽^a^s^s^a^{ult de}^sⁱ^gⁿ^e^d^to^inf^l^ue^nc^e^a^d^mⁱ^nis^t^r^a^tio^{n of}^f^e^de^r^a^{l c}^o^tto^{n s}^t^aⁿ^da^r^d^s^pr^og^r^a^m⁾^{, 87b}⁽^a^s^s^a^ult
^de^sⁱ^gⁿ^e^d^to^inf^l^ue^nc^e^a^d^mⁱ^nis^t^r^a^tion^of^f^e^de^r^a^{l g}^r^aⁱ^{n s}^t^a^nda^r^d^s^pr^og^r^a^m⁾^{, 473c}^-¹⁽^a^s^s^a^ults^oⁿ^c^o^t^t^oⁿ^s^a^m^p^le^r^s^to
^inf^l^ue^nc^e^a^d^mⁱ^nis^t^r^a^tion^of^f^e^de^r^a^{l c}^o^tto^{n s}^t^aⁿ^da^r^d^s^pr^og^r^a^m⁾^{, 511i}⁽^a^s^s^a^ults^on^de^sⁱ^gⁿ^e^d^to^inf^l^ue^nc^e^a^d^mⁱ^nis^t^r^a^tion^of
^f^e^d^e^ral^t^o^b^accoⁱⁿ^sp^ectⁱ^oⁿ^p^r^o^g^ram⁾^,^{2146 (}^a^s^s^a^ult^of^Uⁿ^ite^d^Sta^t^e^s^aⁿ^im^a^l^tr^aⁿ^s^por^ta^tio^{n i}ⁿ^s^p^e^c^t^or^s⁾^{; 15}
^U.S.C.1⁸²⁵^(a)(2^{)(C) (assau}^lts^oⁿ^th^o^s^{e en}^f^o^rcin^g^th^{e H}^o^rse^P^r^ote^c^t^{ion A}^c^t)⁾^;¹⁶^U^.^S.C^.⁷^73e⁽^a^s^s^a^ult^s^on^of^fⁱ^cⁱ^a^l^s
^r^e^s^ponsⁱ^b^le^f^o^r^eⁿ^f^o^r^c^ing^the^N^o^r^t^he^rⁿ^P^a^cⁱ^fⁱ^c^H^a^{libut A}^c^t)^{, 97}^3c⁽^a^s^s^a^ults^on^of^fⁱ^cⁱ^a^l^s^r^e^s^pons^ib^le^f^o^r^eⁿ^f^o^r^c^ing^the
^Sout^h^P^a^cⁱ^fⁱ^c^tuna^c^onv^eⁿ^ti^on^pr^o^vⁱ^sⁱ^ons⁾^,¹⁴¹⁷⁽^a^s^s^a^ults^on^of^fⁱ^cⁱ^als^c^ond^uc^ting^s^e^a^r^c^h^e^s^orⁱⁿ^s^p^e^c^tⁱ^ons^w^{ith r}^e^s^p^e^c^t
^{to t}^h^e^g^l^oba^{l m}^o^r^a^torⁱ^um^{on tu}^na^ha^r^v^e^s^ting^pr^a^c^tic^e^s⁾^,¹⁴³^{6 (}^a^s^s^a^u^lts^on^of^fⁱ^cⁱ^a^l^s^c^onduc^ting^s^e^a^r^c^h^e^s^or^ins^p^e^c^tions
^w^{ith r}^e^s^p^e^c^t^{to the}^m^a^rⁱ^ne^s^a^nc^tua^r^ie^s⁾^{, 18}^57,¹⁸⁵⁹⁽^a^s^s^a^ults^oⁿ^of^fⁱ^cⁱ^a^l^s^c^onduc^tⁱ^ng^s^e^a^r^c^h^e^s^or^ins^p^e^c^tions^w^ith
^r^e^s^p^e^c^t^{to the}^f^e^de^r^a^{l f}ⁱ^s^h^e^r^ie^s^m^a^na^g^e^m^e^{nt a}^{nd c}^ons^e^r^v^a^tion^pr^og^r^a^m⁾^{, 240}^3,²⁴⁰⁸⁽^a^s^s^a^ults^oⁿ^f^e^de^r^a^{l of}^fⁱ^cⁱ^a^l^s
^coⁿ^d^u^c^tⁱⁿ^{g search}^{es o}^rⁱⁿ^sp^ectⁱ^{ons o}ⁿ^vessel^s^su^b^j^ect^t^o^t^h^e^j^u^ri^s^dⁱ^c^tⁱ^o^{n o}^f^t^h^{e Un}ⁱ^t^ed^S^t^at^{es w}ⁱ^t^h^resp^ect^Aⁿ^t^a^rctⁱ^c
^c^ons^e^r^v^a^tion)^,²⁴³⁵⁽^a^s^s^a^ults^on^f^e^de^r^a^{l of}^fⁱ^cⁱ^a^l^s^c^onduc^ti^ng^s^e^a^r^c^h^e^s^or^ins^p^e^c^tions^on^v^e^s^s^e^ls^s^ubje^c^t^{to t}^h^e
^j^u^ri^sdⁱ^c^tⁱ^oⁿ^o^f^t^h^{e Un}ⁱ^t^ed^S^t^at^{es i}ⁿ^en^f^o^rcemen^t^o^f^t^h^{e A}ⁿ^ta^r^c^tic^Ma^rⁱ^ne^Lⁱ^vⁱ^ng^R^e^s^our^c^e^s^C^onv^eⁿ^ti^on)^,³⁶³⁷⁽^a^s^s^a^ults
^{on f}^e^de^r^a^{l of}^fⁱ^cⁱ^a^l^s^c^onduc^ting^s^e^a^r^c^h^e^s^or^ins^p^e^c^tⁱ^ons^{on v}^e^s^s^e^ls^s^ubje^c^t^t^o^t^h^e^jurⁱ^s^d^ic^tioⁿ^of^the^Uⁿ^ite^d^Sta^t^e^s^w^ith
^r^e^s^p^e^c^t^P^a^cⁱ^fⁱ^c^s^a^l^m^{on c}^ons^e^r^v^a^tion)^,⁵⁰⁰⁹⁽^a^s^s^a^ults^oⁿ^f^e^de^r^a^{l of}^fⁱ^cⁱ^a^l^s^c^onduc^tⁱ^ng^s^e^a^r^c^h^e^s^or^ins^p^e^c^tions^{on v}^e^s^s^e^ls
^su^b^j^ect^t^o^t^h^{e j}^u^ri^sdi^c^tⁱ^oⁿ^o^f^t^h^e^Unⁱ^t^e^d^S^t^at^{es w}ⁱ^t^h^resp^ect^No^rt^h^P^aci^fⁱ^{c an}^ad^ro^m^o^u^s^st^o^c^{k co}ⁿ^s^ervatⁱ^oⁿ⁾^,⁵⁵⁰⁵
⁽^a^s^s^a^ults^{on f}^e^de^r^a^{l of}^fⁱ^cⁱ^a^l^s^c^ond^uc^ting^s^e^a^r^c^h^e^s^or^ins^p^e^c^ti^ons^oⁿ^v^e^sse^{ls subje}^c^t^{to the}^j^u^risdic^ti^on^of^the^Unite^d
^Sta^t^e^s^w^{ith r}^e^s^p^e^c^t^hig^h^s^e^a^s^fⁱ^s^h^ing^c^o^m^p^lia^nc^e⁾^{, 56}^{06 (}^a^s^s^a^ults^on^f^e^de^r^a^{l of}^fⁱ^cⁱ^a^l^s^c^onduc^ting^s^e^a^r^c^h^e^s^orⁱⁿ^s^p^e^c^tio^ns
^{on v}^e^sse^{ls subje}^c^t^to^the^j^u^risd^ic^ti^on^of^the^Unite^d^Sta^t^e^s^w^{ith re}^spe^c^t^Northw^e^s^{t A}^tla^ntic^Fishe^r^ie^{s Conv}^eⁿ^ti^on
^c^o^m^p^lia^nc^e⁾^{; 18 U.S}^.^C.1⁵⁰¹^(a^ssa^{ult o}ⁿ^a^se^rv^e^r^of^fe^de^ra^{l proc}^e^{ss), 1}⁵⁰²^(a^ssa^ulting^a^f^e^de^ra^{l e}^x^tra^d^itio^{n a}^g^eⁿ^t);²¹
^U.S.C.4^61(c⁾^(a^ssa^ulti^ng^f^e^de^ra^{l pou}^ltry^inspe^c^t^{ors), 2}¹^U.^S.C.⁶⁷⁵^(a^ssa^ulting^f^e^de^ra^l^m^e^a^t^inspe^c^t^{ors), 21}
^U^.^S.C.1⁰⁴¹^(c^{) (a}^s^s^a^ulting^f^e^de^ra^{l e}^g^g^ins^p^e^c^t^{or); 3}⁰^U^.^S^.^C.1⁴⁶¹^(a^s^s^a^ults^on^of^fⁱ^cⁱ^a^l^s^c^onduc^ting^s^e^a^r^c^h^e^s^or
^inspe^c^tio^{ns w}^{ith re}^spe^c^t^to^the^De^e^p^Se^a^b^e^d^Ha^rd^Mine^ra^{l Re}^so^urc^e^s^Ac^{t); 42 U.}^S.C.2⁰⁰⁰^e^-¹³^(a^ssa^ulting^E^E^OC
^pe^r^s^on^ne^l)^{, 2}²⁸³⁽^a^s^s^a^ulti^ng^f^e^de^r^a^{l nuc}^le^a^r^ins^p^e^c^t^or^s⁾^.

Section 1512(b) outlaws witness tampering by corrupt persuasion. Several other federal statutes
outlaw bribery in one form or another. The main federal bribery statute is 18 U.S.C. 201 which
prohibits bribing Members of Congress, other federal officials, employees, jurors and witnesses.
Although it makes no mention of bribery, the honest services component of the mail and wire
fraud statutes, 18 U.S.C. 1341, 1343, 1346, in some circumstances may afford prosecutors of
public corruption greater latitude and more severe penalties than section 201. The Hobbs Act, 18
U.S.C. 1951, condemns public officials who use their position for extortion. A few other statutes,
noted below, outlaw bribery to obstruct specific governmental activities.
Section 201 outlaws offering or soliciting bribes or illegal gratuities in connection with judicial, ¹⁷⁸
congressional and administrative proceedings. Bribery is a quid pro quo offense. In simple
terms, bribery under “§201(b)(1) as to the giver, and §201(b)(2) as to the recipient . . . require[] a
showing that something of value was corruptly given, offered, or promised to a public official (as
to the giver) or corruptly demanded, sought, received, accepted, or agreed to be received or
accepted by a public official (as to the recipient) with intent . . . to influence any official act ¹⁷⁹
(giver) or in return for being influenced in the performance of any official act (recipient).” In
the case of witnesses, subsection 201(b)(3) as to the giver and subsection 201(b)(4) as to the
recipient require a showing that something of value was corruptly offered or sought with the
intent to influence or be influenced with respect to testimony before, or flight from, a federal ¹⁸⁰
judicial, congressional committee, or administrative trial, hearing or proceeding.

¹⁷⁸^T^h^e^dif^f^e^r^eⁿ^c^e^be^t^w^e^eⁿ^bribe^s^aⁿ^{d g}^r^a^t^uitie^{s u}^nde^{r s}^e^c^tioⁿ²⁰^{1 is t}^h^a^t^“^f^{or bribe}^r^y^the^r^e^m^u^{st be}^a^{quid pr}^{o qu}^o^–^a
^sp^eci^fⁱ^{c i}ⁿ^t^eⁿ^t^t^o^gi^{ve o}^r^recei^{ve so}^m^e^t^hⁱⁿ^{g o}^f^val^u^e^{in e}^x^c^han^ge^”^{for te}^stim^ony^{or a}^v^o^te^{in t}^h^e^jury^room^{. “}^A^{n ille}^g^a^l
^g^r^a^t^uity^{, on the}^othe^r^ha^nd^{, m}^a^y^cons^tit^ute^m^e^r^e^l^y^a^r^e^w^a^r^d^f^o^r^s^o^m^e^”^pa^s^t^or^f^u^tur^e^te^s^tim^ony^or^jur^y^s^e^r^v^ic^e^,^Unite^d
^State^s^v^.^Su^n-^Dⁱ^am^on^{d G}^r^ow^e^r^s^,⁵²⁶^U^.^S.³^98,⁴^04-⁴⁰^{5 (}¹⁹⁹⁹⁾^.^Se^c^tion²⁰¹^outla^w^s^bot^{h b}^u^t^pu^nis^h^e^s^br^ibe^r^y^m^o^r^e
^se^v^e^r^e^l^y^{. For a}^d^d^itioⁿ^disc^ussioⁿ^of^Se^c^tion¹⁵^{12 se}^e^,^T^w^ent^y^-S^econ^d^S^u^r^{vey o}^f^Whi^t^e^Co^l^l^a^r^Cri^m^{e: P}^u^blⁱ^c
^C^o^r^r^upti^oⁿ^{, 4}⁴^A^ME^RI^C^A^N^C^RI^M^I^NAL^L^AW^R^EV^I^E^W^{855 (}²⁰⁰⁷⁾^.
¹⁷⁹^Id^.^a^t⁴⁰^{4. T}^h^e^C^o^ur^t’^s^opiⁿⁱ^{on r}^e^f^e^r^s^{to pu}^blic^of^fⁱ^cⁱ^a^l^s^r^a^the^r^thaⁿ^jur^o^r^s^.^Se^c^tion²⁰¹^d^e^f^ine^s^publi^c^of^fⁱ^cⁱ^a^l^s^to
^inc^l^u^d^e^jur^o^r^s^{, 1}⁸^U^.^S.C^.²⁰¹⁽^a⁾⁽¹⁾^.^S^ubs^e^c^tio^ns²⁰¹⁽^b)⁽¹⁾^,⁽²⁾^pr^o^vⁱ^de^tha^t^“^W^hoe^v^e^r^{– (}¹⁾^dir^e^c^tly^orⁱⁿ^dir^e^c^tly^,
^c^o^r^r^upt^ly^gⁱ^v^e^s^,^of^f^e^r^s^or^pr^om^is^es^aⁿ^y^t^hing^of^v^a^lue^{to a}ⁿ^y^public^of^fⁱ^cⁱ^a^l^or^pe^r^s^on^w^{ho ha}^s^be^eⁿ^s^e^le^c^t^e^d^{to be}^a
^pub^lic^of^fⁱ^cⁱ^a^l^{, or}^of^f^e^r^s^or^pr^omⁱ^s^e^s^aⁿ^y^public^of^fⁱ^cⁱ^a^l^or^aⁿ^y^pe^r^s^{on w}^ho^ha^s^be^eⁿ^s^e^le^c^t^e^d^t^o^be^a^pub^lic^of^fⁱ^cⁱ^a^l^to
^gⁱ^v^e^aⁿ^y^t^hing^of^v^a^lue^{to a}ⁿ^y^othe^r^pe^r^s^on^or^eⁿ^t^ity^{, w}^{ith inte}^nt^{– (}^A⁾^{to inf}^l^ue^nc^e^aⁿ^y^of^fⁱ^cⁱ^a^l^a^c^{t; or}⁽^B⁾^to^inf^l^ue^nc^e
^suc^h^p^ubl^ic^of^fⁱ^cⁱ^a^l^{or pe}^{rson w}^h^{o ha}^s^be^eⁿ^se^le^c^t^e^d^to^be^a^p^ubl^ic^of^fⁱ^cⁱ^a^l^{to c}^o^m^m^{it or a}ⁱ^{d i}ⁿ^c^o^m^m^itting^,^{or c}^o^ll^ude
^in,^or^a^llow^,^aⁿ^y^f^r^a^{ud, or}^m^a^ke^oppo^r^t^uⁿ^ity^f^o^r^the^c^o^m^m^issⁱ^{on of}^aⁿ^y^f^r^a^{ud, on}^the^Uⁿ^ite^{d S}^t^a^t^e^s^{; o}^r⁽^C⁾^toⁱⁿ^duc^e
^s^u^c^h^p^ubl^ic^of^fⁱ^cⁱ^a^l^or^s^u^c^h^pe^r^s^oⁿ^w^{ho ha}^s^be^eⁿ^s^e^le^c^t^e^d^to^be^a^p^ublic^of^fⁱ^cⁱ^a^l^{to do}^or^om^{it to}^d^o^aⁿ^y^a^c^t^{in v}ⁱ^ola^tion
^of^the^la^w^f^{ul duty}^of^s^u^c^h^of^fⁱ^cⁱ^a^l^or^pe^r^s^{on; (}²⁾^be^ing^a^p^ubl^ic^of^fⁱ^cⁱ^a^l^or^pe^r^s^oⁿ^s^e^le^c^t^e^d^to^be^a^pu^b^lic^of^fⁱ^cⁱ^a^l^,
^dⁱ^rect^l^y^o^rⁱⁿ^dⁱ^rect^l^y^,^co^rru^p^t^l^y^d^e^man^d^s^,^seeks,^recei^v^e^s,^acc^ep^t^s^,^{or agrees t}^o^recei^v^e^o^r^accep^t^an^y^t^hⁱⁿ^g^o^f^val^u^e
^pe^r^s^ona^lly^or^f^o^r^aⁿ^y^othe^r^pe^r^s^on^or^eⁿ^t^ity^{, in r}^e^turⁿ^f^o^r^:⁽^A⁾^be^ing^inf^l^ue^nc^e^dⁱⁿ^the^pe^r^f^or^m^a^nc^e^of^aⁿ^y^o^f^fⁱ^cⁱ^a^l^a^c^t;
^{(B) be}^ingⁱⁿ^f^l^ue^nc^e^d^{to c}^o^m^m^{it or a}ⁱ^{d i}ⁿ^c^o^m^m^itting^,^{or t}^o^c^o^l^l^u^d^e^in,^{or a}^llow^,^aⁿ^y^f^r^a^{ud, or}^m^a^ke^oppo^rtuⁿ^ity^f^o^{r the}
^c^o^m^mⁱ^s^sⁱ^{on of}^aⁿ^y^f^r^a^{ud, o}ⁿ^t^h^e^Uⁿ^ite^{d S}^t^a^t^e^s^{; or}⁽^C⁾^be^ingⁱⁿ^d^u^c^e^d^to^do^or^om^{it to}^{do a}ⁿ^y^a^c^t^{in v}ⁱ^ola^tioⁿ^of^the
^of^fⁱ^cⁱ^a^l^duty^of^s^u^c^h^of^fⁱ^cⁱ^a^l^or^pe^r^s^{on .}^{. .s}^ha^{ll be}^fⁱ^ne^d^un^de^r^t^h^is^ti^tle^or^{not m}^o^r^e^thaⁿ^thr^e^e^tim^e^s^the^m^one^ta^r^y
^e^quiv^a^le^{nt of}^the^t^hⁱⁿ^g^of^v^a^lue^,^w^h^ic^he^v^e^r^is^g^r^e^a^t^e^r^{, or}^im^pr^is^on^e^d^f^o^r^not^m^o^r^e^thaⁿ^fⁱ^f^t^e^eⁿ^y^e^a^r^s^,^or^bot^{h, a}ⁿ^{d m}^a^y
^be^dis^q^ua^lif^ie^{d f}^r^om^holding^aⁿ^y^of^fⁱ^c^e^of^honor^,^tr^us^t^,^or^pr^of^{it un}^de^r^the^Uⁿ^ite^{d S}^t^a^t^e^s^.
¹⁸⁰^T^h^a^t^is^{, “}^W^hoe^v^e^r^{. . . (}³⁾^dⁱ^r^e^c^tly^or^indir^e^c^tly^{, c}^o^r^r^uptly^gⁱ^v^e^s^,^of^f^e^r^s^{, or}^pr^om^is^e^s^aⁿ^y^t^hing^of^v^a^lue^{to a}ⁿ^y^pe^r^s^on,
^{or of}^f^e^{rs or prom}^ise^s^su^c^h^pe^rson^{to g}ⁱ^v^e^aⁿ^y^t^hing^of^v^a^lue^{to a}ⁿ^y^othe^{r pe}^rsoⁿ^or^eⁿ^tity^{, w}^{ith inte}^nt^t^o^inf^l^ue^nc^e^t^h^e
^te^s^tim^on^y^unde^r^oa^t^h^o^r^a^f^fⁱ^r^m^a^tⁱ^on^of^s^u^c^h^fⁱ^r^s^t-^m^e^ntione^d^pe^r^s^oⁿ^a^s^a^w^itne^s^s^{upon a}^tr^ia^l,^he^a^r^ing^,^or^othe^r
^p^r^o^ceedⁱⁿ^g^,^b^e^f^o^{re an}^y^co^u^r^{t, an}^y^co^mm^{ittee o}^f^eith^{er Ho}^u^s^e^o^r^b^o^t^h^Ho^u^s^{es o}^f^Coⁿ^g^{ress, o}^r^an^y^ag^eⁿ^cy^{, co}^mm^issioⁿ^,
^o^r^o^f^fⁱ^{cer au}^t^h^o^rⁱ^zed^b^y^t^h^{e l}^a^w^s^o^f^t^h^{e Un}ⁱ^t^e^d^S^t^at^{es t}^o^h^e^a^r^e^v^ideⁿ^c^e^{or ta}^k^e^te^stim^on^y^,^{or w}^{ith int}^e^{nt to}^inf^l^ue^nc^e
⁽^c^onti^nue^d.^..)

The subsections condemn invitations and solicitations to corruption, but the entreaties need not be ¹⁸¹¹⁸²
successful nor does it matter that corruption was unnecessary. The intent required for bribery,
and the difference between the bribery and illegal gratuity offenses, is the intent to deliberately
offer or accept something of value in exchange for the performance or omission of an official ¹⁸³
act. Section 201 defines the public officials covered broadly to cover federal and District of ¹⁸⁴
Columbia officers and employees as well as those acting on their behalf. This includes anyone ¹⁸⁵
who “occupies a position of public trust with official federal responsibilities.” Although there is ¹⁸⁶
a statutory definition of “official act,” it has been a matter of some dispute, perhaps because of ¹⁸⁷
its sweeping language. The question becomes particularly difficult when the bribery charge
alleges that a bribe was provided in exchange for some unspecified official act or acts or for some ¹⁸⁸
general course of conduct. The application difficulties seem to have been exemplified by one

^(...c^on^tin^ue^d)
^su^ch^p^e^rson^t^o^ab^sen^t^hⁱ^m^s^el^f^t^h^er^ef^ro^m^;^[^o^r^]⁽⁴^{) di}^rect^l^y^o^rⁱⁿ^dⁱ^rect^l^y^,^co^rru^p^t^l^y^d^e^m^aⁿ^d^s^,^seeks,^receⁱ^v^es,^accep^t^s^,^o^r
^ag^ree^s^to^receiv^e^o^r^accep^{t an}^y^t^hⁱⁿ^g^o^f^v^a^lu^{e p}^e^rsoⁿ^a^lly^o^r^f^o^{r an}^y^o^t^h^e^r^p^e^rsoⁿ^o^r^en^tityⁱⁿ^retu^rn^f^o^{r b}^eⁱⁿ^gⁱⁿ^f^l^u^eⁿ^ced
^{in te}^s^tim^ony^unde^r^oa^t^h^or^a^f^fⁱ^r^m^a^{tion a}^s^a^w^itne^s^s^up^{on a}ⁿ^y^s^u^c^h^tr^ia^{l, he}^a^r^ing^,^or^o^t^he^r^pr^o^ceedⁱⁿ^g,^o^rⁱⁿ^ret^u^rⁿ^f^o^r
^a^b^se^nting^him^s^e^l^f^the^r^e^f^ro^m^;^sha^{ll be}^fⁱ^ne^{d u}^nde^r^this^title^orⁿ^o^{t m}^o^re^thaⁿ^thre^e^tim^e^s^the^m^one^ta^r^y^e^quiv^a^le^nt^of^the
^thing^of^v^a^lue^,^w^h^ic^he^v^e^r^is^g^r^e^a^t^e^r^{, or}^im^pr^is^one^{d f}^o^rⁿ^o^{t m}^o^r^e^thaⁿ^fⁱ^f^t^e^eⁿ^y^e^a^r^s^,^or^bot^{h, a}^{nd m}^a^y^be^dis^q^ua^lif^ie^d
^f^r^o^m^holdi^ng^aⁿ^y^of^fⁱ^c^e^o^f^hon^or^,^tr^us^t,^or^pr^of^{it u}^nde^r^t^h^e^Uⁿⁱ^t^e^d^S^t^a^t^e^s^,”^{18 U}^.^S^.^C^.²⁰³⁽^b)⁽³⁾^,⁽⁴⁾^.
¹⁸¹^Uⁿ^ite^d^St^ate^s^v^.^M^u^h^a^m^m^a^d^{, 1}²⁰^F.3^d⁶⁸^8,⁶⁹^{3 (}⁷^th^Cⁱ^r^.¹⁹⁹⁷⁾^{, c}^iti^ng^,^Uⁿ^ite^d^St^ate^s^v^.^G^a^l^l^o^,⁸^{63 F.}^{2d 18}^{5, 18}⁹⁽²^d
^Cⁱ^r^.¹⁹⁸⁸⁾^.
¹⁸²^Uⁿ^ite^d^St^ate^s^v^.^O^r^e^nug^a^,⁴³⁰^F.^3d¹¹^58,¹¹⁶⁵^-¹⁶⁶⁽^D^.C^{. C}ⁱ^r^.²⁰⁰⁵⁾⁽^f^inding^{no f}^a^{ult w}^{ith a}^j^u^r^y^ins^t^r^u^c^tio^{n w}^h^ic^h
^st^at^ed^,^“Itⁱ^s^no^t^a^d^e^f^eⁿ^s^{e t}^o^t^h^{e c}^rⁱ^m^{e o}^f^b^rⁱ^b^ery^t^h^at^h^a^d^t^h^{ere b}^een^no^bri^b^e,^t^h^{e pu}^blⁱ^c^o^f^fⁱ^ci^al^mⁱ^g^h^t^h^a^{ve l}^a^wf^u^l^l^y^th
^a^{nd pr}^ope^r^l^y^pe^r^f^or^m^e^{d the}^s^a^m^e^a^c^t^”⁾^;^Uⁿ^ite^{d St}^ate^s^v^.^Q^uⁱⁿⁿ^{, 35}⁹^F.3^d⁶⁶^{6, 67}⁵⁽⁴^Cir.²⁰⁰^)(“it^d^o^{es n}^o^t^m^a^tter
^w^h^e^t^he^r^the^g^o^v^e^rⁿ^m^e^{nt of}^fⁱ^cⁱ^a^l^w^{ould ha}^v^e^{to c}^h^aⁿ^g^e^his^or^he^r^c^ond^uc^{t t}^o^s^a^tis^f^y^the^pa^y^o^r^’^s^e^x^pec^t^a^tions^”⁾^;^Unite^d
^State^s^v^.^A^lfisi^,³⁰⁸^F^.³^d¹⁴⁴^,¹⁵⁰^-⁵¹⁽²^d^Cir^.²⁰⁰²^)(rejectin^g^th^e^d^e^f^eⁿ^d^aⁿ^t^{’s co}ⁿ^t^en^tⁱ^oⁿ^th^at^th^{e m}^oⁿ^e^y^gⁱ^v^eⁿ^th^e
^p^u^b^lⁱ^c^o^f^fⁱ^ci^al^w^a^{s t}^o^en^su^{re an}^hoⁿ^e^st^and^accu^rat^eⁱⁿ^sp^ectⁱ^oⁿ⁾^.
¹⁸³^Uⁿ^ite^d^St^ate^s^v^.^S^un-^Dⁱ^am^on^{d G}^r^ow^e^r^s^{, 52}^{6 U}^.^S.³^98,⁴^04-⁴⁰^{5 (}¹⁹⁹⁹⁾^;^Unⁱ^t^ed^S^t^a^t^{es v.}^Q^uⁱⁿⁿ^,³⁵⁹^F^.^3d⁶⁶⁶^,
⁶⁷⁴⁽⁴^th^Cⁱ^r^.²⁰⁰⁴⁾^;^Uⁿⁱ^t^e^{d S}^t^a^t^es^v.^L^eyva^,²^{82 F.3}^d⁶²^{3, 62}⁶⁽⁹^th^Cⁱ^r^.²⁰⁰²⁾^.
¹⁸⁴^{18 U}^.^S.C^.²⁰¹⁽^a⁾⁽¹⁾⁽^“^t^h^e^te^r^m^‘^public^of^fⁱ^cⁱ^a^l^’^m^e^aⁿ^s^Mem^b^e^r^of^C^ong^r^e^s^s^,^D^e^le^g^a^te^{, or}^R^e^sⁱ^de^nt^C^o^m^m^is^sⁱ^one^r^,
^e^ithe^r^be^f^o^r^e^or^a^f^te^r^s^u^c^h^of^fⁱ^cⁱ^a^l^ha^s^q^u^a^lif^ie^{d, or}^aⁿ^of^fⁱ^c^e^r^or^em^ploy^e^e^or^pe^r^s^{on a}^c^tⁱⁿ^g^f^o^r^or^oⁿ^be^ha^lf^of^the
^Unⁱ^t^e^d^S^t^at^es,^o^r^an^y^d^e^p^a^rt^m^eⁿ^t^,^agen^c^y^o^r^b^r^an^ch^o^f^G^o^vern^m^eⁿ^t^t^h^ereo^f^,ⁱⁿ^cl^udⁱⁿ^{g t}^h^{e Di}^st^ri^ct^o^f^Co^l^u^m^bⁱ^a^,ⁱⁿ^an^y
^of^fⁱ^cⁱ^a^l^f^unc^tion,^un^de^r^or^by^a^u^th^or^ity^of^aⁿ^y^s^u^c^h^de^pa^r^t^m^e^{nt, a}^g^enc^y^{, or}^br^aⁿ^c^h^of^G^ove^rⁿ^m^e^{nt, or}^a^jur^o^r^”⁾^.
¹⁸⁵^Dⁱ^x^s^{on v}^.^Uⁿ^ite^d^Sta^t^e^s^{, 4}^{65 U}^.^S^.⁴⁸^2,⁴⁹^{6 (}¹⁹⁸⁴⁾⁽^o^f^fⁱ^cⁱ^a^l^s^o^f^a^pr^iv^a^t^e^or^g^a^niz^a^{tion, c}^o^ntr^a^c^t^e^d^by^t^h^e^c^ity^{, to}
^a^d^mⁱ^nis^t^e^r^a^f^e^de^r^a^{l pr}^og^r^a^m^unde^r^w^h^ic^{h the}^c^ity^r^e^ce^iv^e^d^f^unds⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Bay^m^oⁿ^,³¹^{2 F}^.³^d⁷^25,⁷^28-²⁹⁽⁵^th^th
^{Cir. 2}⁰⁰²^)(co^o^k^{at a f}^e^d^e^{ral p}^r^isoⁿ^);^Uⁿⁱ^t^e^d^State^s^v^.^K^e^nne^y^,¹⁸^{5 F}^.^3d¹²¹⁷^,¹²²²⁽¹¹^Cⁱ^r^.¹⁹⁹⁹⁾⁽^de^f^e^ns^e^c^ontr^a^c^t^or
^em^ploy^ee^w^{ho a}^s^sⁱ^s^t^e^d^Aⁱ^r^For^c^e^{to pr}^oc^ur^e^m^a^te^rⁱ^a^l^a^{nd e}^qui^pm^eⁿ^t)^.
¹⁸⁶^{18 U}^.^S.C^.²⁰¹⁽^a⁾⁽³⁾⁽^“^t^h^e^te^r^m^‘^o^f^f^ic^ia^{l a}^c^t^’^m^e^aⁿ^s^aⁿ^y^de^cⁱ^sⁱ^{on or}^a^c^{tion o}ⁿ^aⁿ^y^que^s^tⁱ^on,^m^a^tte^r^,^c^a^us^e^,^s^u^it,
^p^r^o^ceedⁱⁿ^g^o^r^con^t^ro^versy^,^w^hⁱ^c^h^m^a^{y at}^an^y^tⁱ^m^e^b^e^p^eⁿ^dⁱⁿ^g^,^o^r^w^hⁱ^c^h^m^a^y^b^y^l^a^w^b^e^b^r^o^u^ght^b^e^f^o^r^e^an^y^public
^o^f^fⁱ^ci^al^,ⁱⁿ^su^{ch o}^f^fⁱ^ci^al^{’s o}^f^fⁱ^ci^al^cap^aci^t^y^,^o^rⁱⁿ^s^u^ch^o^f^fⁱ^ci^al^{’s p}^l^{ace o}^f^t^r^u^s^t^o^r^p^r^o^fⁱ^t^”^).
¹⁸⁷^T^h^{e j}^u^d^g^{es o}^f^t^h^{e Di}^st^ri^ct^o^f^Co^l^u^m^bⁱ^a^Ci^rcuⁱ^t^recen^t^l^y^h^a^d^great^dⁱ^f^fⁱ^cu^l^t^y^a^g^reeiⁿ^g^oⁿ^w^h^et^h^e^{r a po}^lⁱ^{ce o}^f^fⁱ^{cer h}^a^d
^be^eⁿ^re^w^a^rde^d^f^o^{r a}ⁿ^“^o^ff^ic^ia^{l a}^c^t^,”^{in v}ⁱ^ola^tⁱ^oⁿ^of^se^c^tion²⁰^{1’s ill}^e^g^a^l^g^r^a^t^uit^y^prohib^itio^{n, w}^h^eⁿ^he^c^h^e^c^k^e^d^polic^e
^de^pa^r^t^m^e^{nt da}^ta^ba^s^e^s^f^o^r^m^o^tor^v^e^hic^l^e^a^nd^outs^t^aⁿ^di^ng^a^r^r^e^s^t^w^a^r^r^aⁿ^{t inf}^o^r^m^a^{tion u}ⁿ^r^e^la^te^{d i}ⁿ^aⁿ^y^polic^e
^inv^e^stig^a^{tion. Six}^m^e^m^b^e^r^{s of}^the^c^ourt^he^ld^tha^t^t^h^e^te^rm^“^o^f^f^ic^ia^l^a^c^t^”^doe^s^not^inc^l^ude^e^v^e^r^y^t^hing^{a pu}^blic^of^fⁱ^cⁱ^a^l^is
^au^t^h^o^rⁱ^zed^t^o^do^and^reversed^t^h^e^o^f^fⁱ^{cer’s co}ⁿ^vⁱ^c^tⁱ^oⁿ^,^V^a^lde^s^v^.^Uⁿ^ite^{d St}^ate^s^,⁴⁷^{5 F.}^3d¹³¹⁹^,¹³^23-³²⁶⁽^D^.C^{. C}ⁱ^r^.
²⁰⁰⁷⁾^.^Fiv^e^m^e^m^b^e^r^s^dis^s^e^nte^d^,^id^.^a^t¹³^33.
¹⁸⁸^Uⁿ^ite^d^St^ate^s^v^.^J^eⁿⁿⁱ^ngs^,¹^{60 F.}^{3d 10}^06,¹⁰¹³^{, 10}¹⁴⁽⁴^th^{Cir. 1}⁹⁹⁸^)(“^A^g^{ood w}^{ill g}ⁱ^f^t^{to a}ⁿ^of^fⁱ^cⁱ^a^l^{to f}^o^s^t^e^r^a
^f^a^v^o^ra^ble^busiⁿ^e^{ss c}^lim^a^t^e^,^gⁱ^v^eⁿ^sim^p^l^y^w^{ith the}^g^e^ne^ra^liz^e^d^ho^pe^{or e}^x^pe^c^t^a^tion^of^ultim^a^t^e^be^ne^f^{it on t}^h^e^pa^rt^of^the
^don^or^doe^s^{not c}^ons^tit^ute^a^b^r^ibe^.^”^B^u^{t, “}^I^{t is}^no^{t ne}^c^e^s^s^a^r^y^f^o^r^the^g^o^v^e^rⁿ^m^e^{nt to pr}^ov^e^tha^t^t^h^e^pa^y^o^rⁱⁿ^te^nde^d^to
ⁱⁿ^du^{ce t}^h^{e o}^f^fⁱ^ci^al^t^o^p^e^rf^o^r^m^{a se}^tⁿ^u^m^b^e^{r o}^f^o^f^fⁱ^ci^al^a^c^t^sⁱⁿ^ret^u^rn^f^o^{r t}^h^{e p}^a^ymen^t^s^.^.^.^F^o^{r exam}^p^l^e,^p^a^ymen^t^s^ma^y^b^e
^mad^e^wⁱ^t^h^t^h^{e i}ⁿ^t^e^nt^t^o^ret^aⁱⁿ^t^h^e^o^f^fⁱ^ci^al^{’s servi}^{ces o}ⁿ^an^{as n}^eed^e^d^b^a^si^s,^s^o^t^h^at^w^h^en^{ever t}^h^{e o}^p^p^o^r^t^uⁿⁱ^t^y^p^r^esen^t^s
^itse^l^f^the^offⁱ^cⁱ^a^l^w^{ill ta}^k^e^spe^cⁱ^fⁱ^c^a^c^{tion o}ⁿ^t^h^e^pa^y^o^{r’s be}^ha^lf^”⁾^;^Uⁿ^ite^d^State^s^v^.^K^e^m^p^,⁵⁰^{0 F}^.³^d²⁵⁷^,²⁸^{2 (}³^d^Cⁱ^r^.
²⁰⁰⁷⁾⁽^e^m^pha^sⁱ^s^of^the^c^our^t)⁽^“^M^o^r^e^ov^e^r^{, w}^e^ag^r^e^e^w^{ith the}^g^o^vern^m^eⁿ^t^t^h^at^t^h^{e Di}^st^ri^ct^C^our^{t’s ins}^t^ruc^tio^{n t}^o^t^h^e^jury
^tha^t^{it c}^oul^{d c}^o^nv^ic^{t up}^on^fⁱ^ndi^ng^a^‘stre^a^m^of^be^ne^f^its’^wa^{s le}^g^a^ll^y^c^o^rre^c^t^{. T}^h^e^k^e^y^{to w}^h^e^t^he^{r a}^gⁱ^f^t^c^onstitu^te^{s a}
⁽^c^onti^nue^d.^..)

appellate panel which held that governmental plea bargain practices fell within the reach of ¹⁸⁹
section 201’s prohibitions. No such difficulties seem to attend the provisions of subsection

201(d) which make it clear that prohibitions do not preclude the payment of witness fees, travel ¹⁹⁰

costs or other reasonable witness expenses.
The penalty structure for illegal gratuities under section 201 is typical. Illegal gratuities, that is,
offering or soliciting a gift as a reward for an official act, is punishable by imprisonment for not ¹⁹¹
more than 2 years and/or a fine of not more than $250,000. The penalty structure for bribery,
however, is fairly distinctive: imprisonment for not more than 15 years; a fine of the greater of
three times the amount of the bribe or $250,000; and disqualification from holding any federal ¹⁹²
position of honor or trust thereafter.
Section 201 offenses are RICO and money laundering predicate offenses.¹⁹³ Federal law
governing principals, accessories after the fact, misprision, conspiracy and extraterritorial ¹⁹⁴
jurisdiction apply with equal force to bribery and illegal gratuities under section 201.
The mail fraud and wire fraud statutes have been written and constructed with such sweep that
they cover among other things, obstruction of government activities by corruption. They reach
any scheme to obstruct the lawful functioning in the judicial, legislative or executive branch of

^(...c^on^tin^ue^d)
^br^ibe^is^w^h^e^t^he^r^t^h^e^pa^r^tie^sⁱⁿ^te^nd^e^d^f^o^r^the^be^ne^f^{it to be}^m^a^de^{in e}^x^c^h^aⁿ^g^e^f^o^r^s^o^m^e^of^fⁱ^cⁱ^a^l^a^c^tion;^the^g^o^v^e^rⁿ^m^e^nt
ⁿ^eed^no^t^p^r^o^v^{e t}^h^at^each^gi^f^t^w^a^s^p^r^o^vⁱ^d^{ed w}ⁱ^t^h^t^h^{e i}ⁿ^t^eⁿ^t^t^o^p^r^o^m^pt^{a sp}^eci^fⁱ^{c o}^f^fⁱ^ci^al^act^.^Se^e^Uⁿ^ite^{d St}^ate^s^v^.^th
^J^eⁿⁿⁱⁿ^g^s^,¹⁶^{0 F}^.³^d¹⁰⁰⁶^,¹⁰¹⁴⁽⁴^Cⁱ^r^.¹⁹⁹⁸⁾^{. R}^a^the^r^,^‘^[^t^]^he^qu^id^pr^{o q}^uo^r^e^quir^e^m^e^{nt is}^s^a^tis^fⁱ^e^d^s^o^l^ong^a^s^the
^e^v^ideⁿ^c^e^s^how^s^a^c^our^s^e^of^c^ondu^c^t^of^f^a^v^o^r^s^a^{nd g}ⁱ^f^t^s^f^l^o^w^ing^{to a}^pub^lic^of^fⁱ^cⁱ^a^l^{in e}^x^c^hange^for^a^pat^t^e^rn^o^f^o^f^fⁱ^ci^al
^a^c^tions^f^a^v^o^r^a^ble^{to the}^do^nor^.’^Id^.^T^hus^{, ‘}^p^a^y^m^e^nts^m^a^y^be^m^a^de^w^{ith the}^inte^nt^t^o^re^taⁱⁿ^the^of^fⁱ^cⁱ^a^l^{’s se}^rv^ic^e^s^{on a}ⁿ
^a^s^ne^e^d^e^d^ba^{sis, so}^tha^t^w^h^eⁿ^e^v^e^r^the^o^p^p^o^rt^unity^pre^s^eⁿ^{ts itse}^l^f^the^of^fⁱ^cⁱ^a^l^w^{ill ta}^k^e^spe^cⁱ^fⁱ^c^a^c^tion^{on t}^h^e^pa^y^o^r’s^st
^be^ha^lf^.’^I^d^.;^s^e^e^als^o^Uⁿ^ite^{d S}^t^ate^s^v^.^Saw^y^e^r^,⁸⁵^F.^3d⁷¹^3,⁷³^{0 (}¹^Cⁱ^r^.¹⁹⁹⁶⁾⁽^s^ta^ting^t^h^a^t^‘^a^pe^r^s^oⁿ^w^{ith c}^ontin^ui^ng
^a^{nd l}^ong^-^t^e^r^m^inte^r^e^s^t^s^be^f^o^r^e^aⁿ^of^fⁱ^cⁱ^a^l^mⁱ^g^h^{t e}ⁿ^g^a^g^e^{in a}^pa^tte^rⁿ^of^r^e^pe^a^t^e^d^{, inte}^nt^io^na^{l g}^r^a^t^uity^of^f^e^ns^e^s^{in or}^de^r^to
^c^o^a^x^ong^oing^f^a^v^o^r^a^ble^of^fⁱ^cⁱ^a^l^a^c^{tion i}ⁿ^de^r^o^g^a^tion^of^the^pu^b^lic^'^s^rig^h^{t to}^im^pa^rtia^{l of}^fⁱ^cⁱ^a^l^s^e^rv^ic^e^s^{’). W}^h^ile^the^f^o^rm
^a^{nd n}^u^m^b^e^r^of^gⁱ^f^t^s^m^a^y^v^a^r^y^{, the}^gⁱ^f^t^{s still c}^onstitu^te^a^bri^b^e^a^s^lon^g^a^s^the^e^sse^ntia^{l inte}^nt-a^s^p^e^cⁱ^fⁱ^c^inte^nt^to^gⁱ^v^e^or
^recei^{ve so}^met^hⁱⁿ^{g o}^f^val^u^e^{in e}^x^c^han^ge^f^o^{r an}^o^f^fⁱ^ci^al^act^-exi^st^s^”^).
¹⁸⁹^Uⁿ^ite^d^St^ate^s^v^.^Si^ngle^t^on^{, 1}⁴⁴^F.^3d¹³⁴³⁽¹⁰^th^Cⁱ^r^.¹⁹⁹⁸⁾^,^v^a^c^’^{d f}^o^r^r^e^he^a^r^ing^eⁿ^ba^nc^{, 1}⁴⁴^F.3^d¹³⁶¹⁽¹⁰^th^Cir.
¹⁹⁹⁸⁾^.^T^h^e^de^cⁱ^sⁱ^{on w}^a^s^ov^e^r^turⁿ^eⁿ^ba^nc^a^{nd i}^t^s^vⁱ^e^w^unif^o^r^m^l^y^r^e^je^c^t^e^d^by^othe^r^f^e^de^r^a^{l a}^ppe^lla^te^c^our^t^Uⁿ^ite^{d Sta}^t^e^s^th^th
^v^.^Sin^g^le^toⁿ^,¹⁶^{5 F}^.³^d¹²⁹⁷^,¹²⁹⁸⁽¹⁰^Cⁱ^r^.¹⁹⁹⁸⁾^;^Uⁿ^ite^{d St}^ate^s^v^.^I^hⁿ^a^te^nk^o^,⁴⁸²^F.3^d¹⁰^97,¹⁰⁹⁹^-¹^{10 (}⁹^Cir.
²⁰⁰⁷^)(ci^tⁱⁿ^g^{cases i}ⁿ^t^h^{e acco}^rd^f^r^o^m^t^h^{e F}ⁱ^rst^,^F^o^u^r^t^h^,^Fⁱ^f^t^h^,^and^Eⁱ^gh^t^h^Ci^rcuⁱ^t^s^);^Uⁿ^ite^{d S}^t^ate^s^v^.^So^uffr^oⁿ^t^{, 33}⁸^F^.³^d^th
⁸⁰⁹^,⁸²^{7 (}⁷^Cⁱ^r^.²⁰⁰³⁾^.
¹⁹⁰^{18 U}^.^S.C^.²⁰¹⁽^d)⁽^“^P^a^r^a^g^r^a^phs⁽³⁾^a^{nd (}⁴⁾^of^s^ubs^e^c^{tion (}^b⁾^aⁿ^d^pa^r^a^g^r^a^phs⁽²⁾^aⁿ^d⁽³⁾^of^s^ubs^e^c^tioⁿ⁽^c⁾^[^r^e^la^ting^t^o
^b^r^ib^ery^an^d^receip^t^o^f^illeg^a^{l g}^r^atu^{ities in}^v^o^l^vⁱⁿ^g^w^itn^esses]^sh^{all n}^o^{t b}^e^c^oⁿ^s^tr^u^e^d^t^o^p^r^o^h^ib^it^th^e^p^a^y^m^en^{t o}^r^receip^t^o^f
^wⁱ^tⁿ^ess^f^e^e^s^p^r^o^vⁱ^d^ed^b^y^l^a^w^,^o^r^t^h^{e p}^a^ym^en^t^,^b^y^t^h^{e p}^a^rt^y^u^p^oⁿ^w^h^o^s^{e b}^e^h^a^l^f^{a w}ⁱ^tⁿ^{ess i}^s^cal^l^e^d^an^d^recei^p^t^b^y^a
^wⁱ^tⁿ^ess,^o^f^t^h^{e reaso}ⁿ^a^b^l^{e co}^st^o^f^t^r^avel^an^d^su^b^sⁱ^s^t^eⁿ^{ce i}ⁿ^cu^rred^aⁿ^d^t^h^{e reason}^ab^l^e^val^u^{e o}^f^tⁱ^m^{e l}^o^stⁱⁿ^at^t^eⁿ^d^aⁿ^{ce at}
^an^y^su^ch^t^rⁱ^a^l^,^h^eariⁿ^g,^o^r^p^r^o^ceedⁱⁿ^g,^o^rⁱⁿ^t^h^{e case o}^f^exp^e^rt^wⁱ^tⁿ^e^sses,^{a reaso}ⁿ^a^b^l^{e f}^ee^f^o^{r t}ⁱ^m^{e sp}^en^tⁱⁿ^t^h^e
^pr^e^p^a^r^a^tion^of^s^u^c^h^opiⁿⁱ^on,^aⁿ^dⁱⁿ^a^ppe^a^rⁱⁿ^g^a^{nd te}^s^tif^yⁱ^ng^”⁾^.
¹⁹¹^{18 U}^.^S.C^.²⁰¹⁽^c⁾^.
¹⁹²^{18 U}^.^S.C^.²⁰¹⁽^b)^.
¹⁹³¹⁸^U^.^S.C.¹⁹⁶¹⁽¹^),¹⁹⁵⁶^(c)(7^)(A^).
¹⁹⁴^{18 U}^.^S.C^.^2,^3,^4,³^71;^Uⁿ^ite^d^St^ate^s^v^.^Bow^m^an^,²^{60 U}^.^S.^94,⁹⁸⁽¹⁹²²⁾^;^F^o^{rd v.}^Unⁱ^t^ed^St^a^t^es^,²⁷^{3 U}^,.S^{. 5}⁹³^,⁶²³
⁽¹⁹²⁷⁾^.

government that involves (1) the deprivation of money, property or honest services, and (2) the ¹⁹⁵
use of the mail or wire communications as an integral part of scheme.
The elements of the two offenses are similar. Mail fraud is the federal crime of scheming to ¹⁹⁶
defraud and of using the mail to further the scheme, 18 U.S.C. 1341. Wire fraud is the federal
crime of scheming to defraud and of using wire communications to further the scheme, 18 U.S.C. ¹⁹⁷¹⁹⁸

1343. Other than for their jurisdictional elements, the courts read them the same way. Thus,

what constitutes a scheme to defraud is the same in both instances: any act or omission that
“wrong[s] one in his property rights by dishonest methods or schemes and usually signif[ies] the ¹⁹⁹
deprivation of something of value by trick, deceit, chicane or overreaching.” Both crimes ²⁰⁰
require a specific intent to defraud, and they are punishable regardless of whether the scheme ²⁰¹²⁰²
succeeds. The deception that is part of the scheme, however, must be material; that is, it must

¹⁹⁵^For^a^dditi^on^dis^c^us^sⁱ^on^of^Se^c^tio^{n 1}⁵¹²^s^e^e^,^T^w^en^t^y^-^S^ecoⁿ^d^Su^{rvey o}^f^Whⁱ^t^e^C^o^l^l^a^r^Cri^m^{e: Ma}ⁱ^l^and^Wi^{re F}^r^a^u^d^,
^{44 A}^ME^RI^C^A^N^C^RI^MI^N^A^L^L^AW^R^EV^I^E^W^{745 (}²⁰⁰⁷⁾^.
¹⁹⁶^Uⁿ^ite^d^St^ate^s^v^.^Ro^be^r^t^s^oⁿ^,⁴⁹^{3 F}^.^3d¹³²²^,¹³³⁰⁽¹¹^th^Cⁱ^r^.²⁰⁰⁷⁾^;^Uⁿ^ite^d^State^s^v^.^M^aⁿⁿ^,⁴⁹^{3 F}^.³^d⁴⁸⁴^,⁴⁹^{3 (}⁵^th^Cir.
²⁰⁰⁷⁾^;^Uⁿ^ite^d^St^ate^s^v^.^J^eⁿⁿⁱ^ngs^,⁴⁸⁷^F.^3d⁵^64,⁵⁷^{7 (}⁸^th^Cⁱ^r^.²⁰⁰⁷⁾^;^Uⁿ^ite^d^St^ate^s^v^.^M^o^r^a^le^s^-^Ro^dr^ig^ue^z^{, 4}^{67 U}^.^S.^1,⁷^st
⁽¹^Cⁱ^r^.²⁰⁰⁶⁾^.¹⁸^U^.^S.C^.¹³⁴¹⁽^“^W^hoe^v^e^r^,^ha^vⁱ^ng^de^vⁱ^s^e^{d or}^inteⁿ^d^ing^t^o^de^vⁱ^s^e^aⁿ^y^s^c^hem^e^or^a^r^tif^ic^e^{to de}^f^r^a^ud,^or
^f^o^r^obtaⁱⁿⁱ^ng^m^one^y^or^pr^ope^r^t^y^by^m^e^aⁿ^s^of^f^a^ls^e^or^f^r^a^uduleⁿ^t^pr^e^t^eⁿ^s^e^s^,^r^e^pr^e^s^eⁿ^ta^tions^,^or^pr^om^is^e^s^{, or}^to^s^e^ll,
^dis^pos^e^of^{, loa}ⁿ^,^e^x^c^h^aⁿ^g^e^{, a}^lte^r^,^gⁱ^v^e^aw^ay^{, dis}^t^rⁱ^bute^,^s^u^p^p^ly^{, or}^f^u^rⁿ^is^h^or^pr^oc^ur^e^f^o^r^un^la^w^f^{ul us}^e^aⁿ^y^c^ounte^r^f^e^{it or}
^s^pur^io^us^c^oⁱⁿ^,^ob^lig^a^tion,^s^e^c^u^r^ity^{, or}^othe^r^a^r^tic^le^,^or^aⁿ^y^t^hing^r^e^pr^e^s^eⁿ^te^{d to}^be^or^intim^a^t^e^d^or^he^ld^out^to^be^s^u^c^h
^c^ounte^r^f^e^{it or}^s^p^urⁱ^ous^a^r^tic^le^{, f}^o^r^the^p^u^r^p^os^e^of^e^x^e^c^u^ting^s^u^c^h^s^c^he^m^e^or^a^r^tif^ice^or^a^tte^m^p^ting^s^o^{to d}^o^,^pl^{aces i}ⁿ^an^y
^post^of^fⁱ^c^e^or^a^u^th^oriz^e^d^de^posit^o^r^y^f^o^{r m}^a^{il m}^a^tte^r,^aⁿ^y^m^a^tte^r^or^thing^w^h^a^t^e^v^e^r^{to be}^s^e^nt^or^de^liv^e^r^e^d^by^the^P^o^s^t^a^l
^Se^r^v^ic^e^,^or^de^p^o^s^its^or^c^a^u^s^e^s^{to b}^e^de^pos^ite^d^aⁿ^y^m^a^tte^r^or^thing^w^h^a^t^e^v^e^r^{to be}^s^e^nt^or^de^liv^e^r^e^d^by^aⁿ^y^pr^iv^a^t^e^or
^co^mmerci^a^lⁱⁿ^t^e^rst^a^t^e^carri^er,^o^r^t^a^{kes o}^r^recei^v^e^{s t}^h^ere^f^ro^m^,^an^y^s^u^ch^m^a^t^t^e^{r o}^r^t^hⁱⁿ^g,^o^r^kno^wⁱⁿ^g^l^y^cau^{ses t}^o^b^e
^d^e^lⁱ^v^ered^b^y^m^aⁱ^l^o^r^su^ch^carri^er^acco^rdⁱⁿ^{g t}^o^t^h^e^dⁱ^rectⁱ^o^{n t}^h^er^eon,^o^r^at^t^h^{e pl}^{ace at}^w^hⁱ^c^hⁱ^tⁱ^s^di^rect^ed^t^o^b^e^d^e^lⁱ^v^ered
^by^the^pe^{rson t}^o^w^hom^{it is a}^ddre^sse^{d, a}ⁿ^y^suc^h^m^a^tte^{r or th}ⁱⁿ^g^,^sh^a^{ll be}^fⁱ^ne^{d u}^nde^r^{this t}^itle^or^im^prisone^d^no^{t m}^o^re
^thaⁿ^{20 y}^e^a^r^{s, or bo}^th.^If^the^vⁱ^ola^tion^a^f^f^e^c^t^{s a}^fⁱ^na^nc^ia^{l institut}ⁱ^oⁿ^,^suc^h^pe^{rson s}^h^a^{ll be}^fⁱ^ne^d^no^{t m}^o^re^thaⁿ
^$1,⁰⁰^0,0⁰⁰^or^im^pr^is^one^d^not^m^o^r^e^thaⁿ^{30 y}^e^a^r^s^,^or^bo^th”⁾^.
¹⁹⁷^Uⁿ^ite^d^St^ate^s^v^.^M^aⁿⁿ^,⁴⁹^{3 F.}^3d⁴⁸⁴^{, 4}⁹³⁽⁵^th^Cⁱ^r^.²⁰⁰⁷⁾⁽^“^Wⁱ^r^e^f^r^{aud is}⁽¹⁾^t^h^e^f^o^r^m^a^{tion of}^a^s^c^hem^e^or^a^r^tif^ic^e^to
^de^f^r^a^{ud, a}^{nd (}²⁾^us^e^of^the^wⁱ^r^e^s^{in f}^u^r^t^he^r^a^nc^e^of^the^s^c^he^m^e^”⁾^;^Uⁿ^ite^{d St}^ate^s^v^.^R^obe^r^t^s^oⁿ^,⁴⁹^{3 F}^.^3d¹³^22,¹³³¹⁽¹¹^th^th^th
^Cⁱ^r^.²⁰⁰⁷⁾^;^Uⁿ^ite^{d State}^s^v^.^Alleⁿ^{, 4}⁹¹^F.^3d¹⁷^8,¹⁸⁵⁽⁴^Cⁱ^r^.²⁰⁰⁷⁾^;^Unite^d^St^ate^s^v^.^Gale^,⁴⁶⁸^F.3^d⁹²⁹^{, 9}³⁶^-³⁷⁽⁶
^Cⁱ^r^.²⁰⁰⁶⁾^.^{18 U}^.^S.C^.¹³⁴³⁽^“^W^hoe^v^e^r^,^ha^vⁱ^ng^de^vⁱ^s^e^{d or}ⁱⁿ^te^ndⁱⁿ^g^{to de}^vⁱ^s^e^aⁿ^y^s^c^hem^e^or^a^r^tif^ic^{e to}^de^f^r^a^{ud, or}^f^o^r
^obtaⁱ^ning^m^one^y^or^pr^ope^r^t^y^by^m^e^aⁿ^s^of^f^a^ls^e^or^f^r^a^uduleⁿ^{t pr}^e^t^eⁿ^s^e^s^,^r^e^pr^e^s^eⁿ^ta^tions^{, or}^pr^om^is^e^s^{, tr}^aⁿ^s^m^its^or
^c^a^u^se^{s to be}^traⁿ^sm^itte^{d by}^m^e^aⁿ^s^of^wⁱ^re^{, ra}^{dio, or}^te^le^vⁱ^{sion c}^o^m^m^unic^a^{tion in}ⁱⁿ^te^rsta^te^{or f}^o^re^ig^{n c}^o^m^m^e^r^c^e^{, a}ⁿ^y
^w^r^iting^s^{, sig}ⁿ^{s, sig}ⁿ^a^l^{s, pic}^t^ure^s^,^{or so}^un^{ds f}^o^{r the}^pur^pose^of^e^x^e^c^uting^suc^h^sc^he^m^e^{or a}^r^tif^ic^e^,^sha^{ll be}^fⁱ^ne^d^un^de^r
^{this tit}^le^{or im}^prisoⁿ^e^d^{not m}^o^re^t^h^aⁿ²⁰^y^e^a^r^{s, or bot}^{h. If}^the^vⁱ^o^l^a^{tion a}^f^f^e^c^t^{s a}^fⁱ^na^nc^ia^{l instituti}^on^,^suc^h^pe^rsoⁿ^sha^l^l
^be^fⁱ^ne^{d n}^o^{t m}^o^r^e^thaⁿ^$1,⁰⁰^0,⁰⁰^{0 or}^im^pr^is^one^d^not^m^o^r^e^thaⁿ³⁰^y^e^a^r^s^,^or^bot^h”⁾^.
¹⁹⁸^Pas^q^ua^nti^{no v}^.^Uⁿ^ite^d^St^ate^s^{, 5}⁴⁴^U^.^S.³^49,³⁵⁵^n.^{2 (}²⁰⁰⁵⁾⁽^“^w^e^ha^v^e^c^ons^tr^ue^{d ide}ⁿ^tic^a^l^la^ng^ua^g^eⁱⁿ^the^wⁱ^r^e^a^nd
^m^a^{il f}^r^a^{ud s}^t^a^t^ute^s^{in pari}^m^a^te^ria^”⁾^{, c}^iting^,^N^e^de^r^v^.^Uⁿ^ite^d^St^ate^s^{, 52}^{7 U}^.^S.^1,^{20 (}¹⁹⁹⁹⁾^aⁿ^d^Carpeⁿ^te^{r v}^.^Unite^d
^State^s^,⁴⁸^{4 U}^.^S^.¹⁹^,²⁵^aⁿ^d^n.^{6 (}¹⁹⁸⁷⁾^;^{see a}^l^so^,^Uni^t^e^d^S^t^ate^s^v^.^R^e^ifle^r^{, 44}^{6 F.}^3d⁶⁵^,^{95 (}²^d^Cⁱ^r^.²⁰⁰⁶⁾⁽^“^Iⁿ
^inte^r^p^r^e^ti^ng^§1³⁴^{3, w}^e^look^not^oⁿ^ly^{to c}^a^s^e^s^de^cⁱ^de^{d un}^de^r^tha^t^s^e^c^tion^but^a^l^s^o^t^o^c^a^s^e^s^inv^o^lv^ing¹⁸^U^.^S.C^.^§¹³⁴¹^,
^the^m^a^{il f}^r^a^{ud s}^t^a^t^ute^,^a^s^§1³⁴^{1 u}^s^e^s^the^s^a^m^e^r^e^lev^a^{nt la}^ng^ua^g^e^{in pr}^o^h^ibit^ing^t^h^e^f^u^r^t^he^r^a^nc^e^of^f^r^audu^le^{nt s}^c^he^m^e^s^b^y^th
^use^of^the^m^a^ils”⁾^;^Uⁿ^ite^{d St}^ate^s^v^W^a^r^d^,⁴⁸^{6 F}^.³^d¹²¹²^,¹²²¹⁽¹¹^Cⁱ^r^.²⁰⁰⁷⁾⁽^“^A^s^ide^f^r^o^m^the^m^e^ans^by^w^h^ic^{h a}^f^r^a^ud
ⁱ^s^eff^e^ct^u^a^t^e^d^,^t^h^{e el}^em^en^t^s^o^f^m^aⁱ^l^f^r^au^d^,¹⁸^U.^S^.^C.¹³⁴¹^,^an^{d w}ⁱ^re^f^r^au^d^,¹⁸^U.^S^.^C^.¹³⁴³^,^{are i}^d^en^tⁱ^cal^”);^Unite^d^th
^State^s^v^.^Slo^aⁿ^{, 4}⁹²^F.^3d⁸⁸^4,⁸⁹^{0 (}⁷^Cⁱ^r^.²⁰⁰⁷⁾^.
¹⁹⁹^M^c^Nally^v^.^Unite^d^St^ate^s^,⁴⁸^{3 U.S}^.³⁵^0,³⁵^{8 (}¹⁹⁸⁷⁾^;^Uni^t^e^d^State^s^v^.^Ratc^liff^{, 4}⁸⁸^F.^3d⁶³^9,⁶⁴^{6 (}⁵^th^Cⁱ^r^.²⁰⁰⁷⁾^;
^Uⁿ^ite^{d State}^s^v^.^Sl^oaⁿ^,⁴⁹^{2 F.}^3d⁸^84,⁸⁹^{0 (}⁷^th^Ci^r.²⁰⁰⁷^{)(“a sch}^e^m^e^t^o^d^e^f^r^au^d^exi^s^t^s^w^h^en^t^h^{e co}ⁿ^duct^atⁱ^ssu^{e h}^a^s
^de^m^ons^tr^a^t^e^d^a^de^pa^r^t^ur^e^f^r^om^the^f^unda^m^e^nta^l^hone^s^t^y^,^m^o^r^a^{l upr}^ig^htne^s^s^a^{nd c}^aⁿ^did^de^a^ling^sⁱⁿ^t^h^e^g^e^ne^r^a^{l lif}^e^o^f
^t^h^{e co}^mm^uⁿⁱ^t^y^”).
²⁰⁰^Uⁿ^ite^d^St^ate^s^v^.^Sl^oaⁿ^,⁴⁹^{2 F}^.³^d⁸⁸⁴^{, 8}⁹¹⁽⁷^th^Cir.²⁰^07)(“^T^o^sh^o^w^aⁿ^inte^{nt t}^o^de^f^r^a^{ud, w}^e^re^quire^a^w^illf^{ul a}^c^t^b^y
^th^{e d}^e^f^eⁿ^d^aⁿ^t^w^ith^t^h^{e sp}^ecifⁱ^{c in}^t^eⁿ^t^to^d^eceiv^e^o^r^ch^{eat, u}^s^u^a^lly^f^o^{r th}^{e p}^u^rp^o^s^{e o}^f^g^e^ttin^g^fⁱⁿ^aⁿ^c^{ial g}^aⁱⁿ^f^o^{r o}ⁿ^e^{’s self}^th
^or^c^a^u^sⁱ^ng^fⁱ^na^nc^ia^{l los}^s^t^o^aⁿ^ot^he^r^”⁾^;^Unite^d^Sta^t^e^s^v^.^M^c^Auliffe^,⁴⁹^{0 F.}^3d⁵^26,⁵^{31 (}⁶^Cⁱ^r^.²⁰⁰⁷⁾^;^Uⁿ^ite^{d Sta}^t^e^s^v^.^th^th
^M^ann^,⁴^{93 F.3}^d⁴⁸^{4, 49}³⁽⁵^Cⁱ^r^.²⁰⁰⁷⁾^;^Uⁿ^ite^{d St}^ate^s^v^W^a^r^d^,⁴⁸⁶^F.3^d¹²^12,¹²²²⁽¹¹^Cⁱ^r^.²⁰⁰⁷⁾^.
²⁰¹^Uⁿ^ite^d^St^ate^s^v^.^G^a^le^,⁴⁶^{8 F}^.³^d⁹^29,⁹³^{7 (}⁶^th^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Sc^h^u^le^r^,⁴⁵^{8 F.}^3d¹¹⁴⁸^,¹¹⁵³⁽¹⁰^th^Cir.
⁽^c^onti^nue^d.^..)

have a natural tendency to induce reliance in the victim to his detriment or the offender’s ²⁰³
benefit.
Both statutes refer to a “scheme or artifice to defraud, or for obtaining money or property by
means of false or fraudulent pretenses. . .” The extent to which that phrase encompasses
intangibles has not always been clear. In spite of a generous interpretation by many of the lower
federal appellate courts that encompassed frustration of governmental functions in many forms,
the Supreme Court in McNally declared that the mail fraud statute did not proscribe schemes to ²⁰⁴
defraud the public of the honest and impartial services of its public employees or officials.
Lest McNally be read to limit the mail and wire fraud statutes exclusively to tangible money or
property, the Court explained in Carpenter, soon thereafter, that the “property” of which the mail
and wire fraud statutes speak includes recognized intangible property rights. There, it upheld
application of the mail fraud statute to a scheme to deny a newspaper its pre-publication property ²⁰⁵
right to its confidential information. The Court later confirmed that the wire fraud statute could
be used against a smuggling scheme that deprived a governmental entity of its intangible right to ²⁰⁶
collect tax revenues.
In the interim, Congress expanded the scope of the mail and wire fraud statutes with the passage
of 18 U.S.C. 1346 which defines the “scheme to defraud” element in the fraud statutes to include
a scheme “to deprive another of the intangible right of honest services.” Section 1346 extends
mail and wire fraud to prohibit the deprivation of their intangible right to honest services of both
public and private officers and employees. In the private realm, it proscribes bribery, kickbacks
and various forms of self-dealing committed to the detriment of those to whom the offender owes ²⁰⁷
a fiduciary duty of some kind. In the public sector, it condemns dishonesty in public officers
and employees, although the exact scope of that proscription remains largely undefined. Some
courts have said that honest services fraud in the public sector “typically occurs in either of two
situations: (1) bribery, where a public official was paid for a particular decision or action; or (2) ²⁰⁸
failure to disclose a conflict of interest resulting in personal gain.” The bribery examples cause

^(...c^on^tin^ue^d)
²⁰⁰⁶⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Re^ifle^r^,⁴⁴^{6 F.}^3d⁶⁵^,^{96 (}²^d^Cⁱ^r^.²⁰⁰⁶⁾^.
²⁰²^N^e^de^r^v^.^Uⁿ^ite^d^St^ate^s^,⁵²^{7 U.}^S^.¹^,²⁰^-⁶⁽¹⁹⁹⁹⁾^.
²⁰³^N^e^de^r^v^.^Uⁿ^ite^d^St^ate^s^,⁵²^{7 U.}^S^.^at²²ⁿ^.⁵^(“T^h^{e Rest}^at^e^m^en^tⁱⁿ^st^r^u^ct^{s t}^h^at^{a m}^a^t^t^e^{r i}^s^mat^e^ri^alⁱ^f^‘(a^{) a reaso}ⁿ^a^b^l^e
^m^a^{n w}^{ould a}^tta^c^h^im^por^ta^nc^e^t^oⁱ^t^s^e^x^is^te^nc^e^or^no^ne^xⁱ^s^t^eⁿ^c^e^{in de}^te^rm^ining^{his c}^hoic^e^of^a^c^tionⁱⁿ^t^h^e^traⁿ^sa^c^tionⁱⁿ
^que^s^tio^n;^or⁽^b⁾^the^m^a^k^e^r^of^the^r^e^pr^e^s^eⁿ^ta^{tion k}ⁿ^o^w^s^or^ha^s^re^a^s^oⁿ^to^k^now^tha^t^{its re}^cⁱ^pⁱ^eⁿ^{t re}^g^a^rd^{s or is lik}^e^l^y^to
^r^e^g^a^r^d^the^m^a^tte^r^a^sⁱ^m^por^ta^{nt in}^de^te^r^m^ining^his^c^hoic^e^of^a^c^tion,^a^ltho^u^g^h^a^r^e^a^s^ona^ble^m^a^{n w}^ould^not^s^o^r^e^g^a^r^d^it.^’^th
^R^e^s^t^a^t^em^eⁿ^{t (}^S^e^c^ond)^of^T^o^r^t^s^§⁵^{38 (}¹⁹⁷⁷⁾^”⁾^{1, 2}⁰^-⁶⁽¹⁹⁹⁹⁾^;^Uⁿ^ite^{d St}^ate^s^v^.^M^c^Aulif^fe^,⁴⁹^{0 F}^.³^d⁵²⁶^,⁵³^{1 (}⁶^Cir.
²⁰⁰^7)(“^Ma^te^ria^lity^of^fa^ls^e^{hood i}^s^a^re^quis^ite^e^l^e^m^eⁿ^{t of}^m^a^{il f}^r^a^{ud. T}^h^e^mⁱ^s^r^e^p^re^s^e^nta^{tion m}^u^s^t^ha^v^e^the^pur^pos^e^of
^ind^u^cⁱ^ng^the^vⁱ^c^tim^of^the^f^r^a^{ud t}^o^pa^r^t^w^{ith t}^h^e^pr^ope^r^t^y^or^u^nde^r^t^a^k^e^s^o^m^e^a^c^{tion tha}^t^he^w^oul^d^no^{t ot}^he^r^w^is^e^do
^a^b^s^e^{nt the}^mⁱ^s^r^e^p^r^e^s^e^nta^tion^or^o^m^issⁱ^{on. A}^mⁱ^s^r^e^p^r^e^se^nta^{tion is}^m^a^te^ria^l^if^{it ha}^{s a}^na^tura^{l te}ⁿ^d^eⁿ^c^y^{to i}ⁿ^f^l^ue^nc^e^{or is}
^c^a^p^a^b^le^of^inf^l^ue^nc^ing^,^t^h^e^de^cⁱ^sⁱ^on^of^the^de^cⁱ^sⁱ^oⁿ^m^a^kⁱ^ng^body^{to w}^h^ic^{h it w}^a^s^a^ddr^e^s^s^e^d”⁾^;^Uⁿ^ite^{d St}^ate^s^v^.^F^a^ll^on^,^th
⁴⁷⁰^F.^3d⁵^42,⁵⁴^{6 (}³^d^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Ros^b^y^,⁴⁵^{4 F}^.³^d⁶⁷⁰^,⁶⁷^{4 (}⁷^Cⁱ^r^.²⁰⁰⁶⁾^.
²⁰⁴^Uⁿ^ite^d^St^ate^s^v^.^M^c^N^a^lly^,⁴⁸^{3 U.S}^.³⁵^0,³⁶^1,³⁵⁵ⁿ^.⁴⁽¹⁹⁸⁷⁾^.
²⁰⁵^C^a^r^p^eⁿ^te^r^v^.^Uⁿ^ite^d^St^ate^s^{, 4}⁸⁴^U^.^{S. 1}⁹^,^26-^{7 (}¹⁹⁸⁷⁾^.
²⁰⁶^Pas^q^ua^nti^{no v}^.^Uⁿ^ite^d^St^ate^s^{, 5}⁴⁴^U^.^S.³^49,³^{57 (}²⁰⁰⁵⁾^.
²⁰⁷^Uⁿ^ite^d^St^ate^s^v^.^Br^owⁿ^,⁴⁵^{9 F.}^3d⁵⁰^9,⁵²^{1 (}⁵^th^Cⁱ^r^.²⁰⁰⁶⁾^;^Unⁱ^t^ed^S^t^a^t^{es v.}^R^y^bⁱ^cki^{, 3}⁵⁴^F.^3d¹²^4,¹^39-^{44 (}²^d^Cⁱ^r^.
²⁰⁰³⁾^.
²⁰⁸^Uⁿ^ite^d^St^ate^s^v^.^K^e^m^p^,⁵⁰^{0 F.}^3d²⁵⁷^{, 2}⁷⁹⁽³^{d C}ⁱ^r^.²⁰⁰⁷⁾^;^{see a}^l^s^o^,^Unⁱ^t^e^d^S^t^a^t^{es v.}^Wa^l^ker^{, 4}⁹⁰^F.3^d¹²⁸²^,¹²⁹⁷
⁽¹¹^th^Cⁱ^r^.²⁰⁰⁷⁾⁽^“^Public^of^fⁱ^cⁱ^a^l^sⁱ^nhe^r^e^ntly^ow^e^a^fⁱ^duc^ia^r^y^dut^y^to^the^p^ublic^{to m}^a^k^e^g^ove^rⁿ^m^e^nta^l^de^cⁱ^sⁱ^{on i}ⁿ^t^h^e
^pub^lic^’^s^be^s^tⁱⁿ^te^r^e^s^t^{. I}^f^aⁿ^of^fⁱ^cⁱ^{al ins}^t^e^a^d^s^e^c^r^e^tly^m^a^k^e^s^his^de^cⁱ^sⁱ^ons^ba^s^e^{d o}ⁿ^his^ow^{n pe}^r^s^oⁿⁱⁿ^te^r^e^s^t^s^–^as^w^h^eⁿ^aⁿ
⁽^c^onti^nue^d.^..)

little pause; more perplexing are the issues of how broadly the conflict-of-interest provision may
sweep and what atypical situations the honest services fraud prohibition may also reach.
If bribery cases turn on the search for the quid pro quo, the other honest services fraud cases
begin, and in some cases end, with the quid. Little more seems to be required than a substantial ²⁰⁹
benefit conferred upon a public official and the inferences that flow from that fact. Although
technically the crime is complete when a scheme to defraud is accompanied by a mailing or
interstate wire communication, the courts usually require that some other breach of law or duty
attend the conveyance, if for no other reason than to confirm fraudulent intent. The circuits
apparently do not agree on the nature of the taint that must attend the official receipt of a benefit, ²¹⁰
particularly whether some breach of ethical or disclosure statutes must also be involved.
While Section 1346 protects governmental entities from the deprivation of the honest services of
its officers and employees, it does not protect government entities from the deprivation of other
nonproperty benefits. For example, it does not protect them from outside fraud that obstructs the

^(...c^on^tin^ue^d)
^o^fficia^{l a}^ccep^ts^a^b^rⁱ^b^{e o}^r^p^e^rsoⁿ^a^{lly b}^eⁿ^e^f^its^fro^m^aⁿ^uⁿ^dⁱ^sclo^se^d^coⁿ^{flict o}^fⁱⁿ^terest^–^t^h^{e o}^f^fⁱ^ci^al^h^a^{s d}^e^p^rⁱ^v^ed^t^h^e
^pub^lic^of^his^ho^ne^s^t^s^e^r^v^ic^e^s^”⁾⁽^e^m^pha^sⁱ^s^a^dde^d)^;^Uⁿ^ite^{d St}^ate^s^v^.^Saw^y^e^r^{, 2}³⁹^F.3^d^31,⁴⁰⁽²⁰⁰¹⁾⁽^“^[^W^]^e^note^d^tw^{o of}
^t^h^{e w}^a^{ys t}^h^at^{a p}^u^b^lⁱ^c^o^f^fⁱ^ci^al^can^st^eal^hⁱ^{s ho}ⁿ^e^st^servi^{ces f}^r^o^m^hⁱ^{s p}^u^b^lⁱ^c^em^p^l^o^y^er:⁽¹^{) t}^h^{e o}^f^fⁱ^ci^al^can^b^eⁱⁿ^f^l^u^eⁿ^ced
^o^r^o^t^h^e^rwⁱ^s^{e i}^m^p^r^o^p^e^rl^y^a^f^f^ect^edⁱⁿ^t^h^{e p}^e^rf^o^r^m^aⁿ^{ce o}^f^hⁱ^{s o}^f^fⁱ^ci^al^d^u^tⁱ^e^s;^o^r⁽²^{) t}^h^e^o^f^fⁱ^ci^al^can^f^aⁱ^l^t^o^dⁱ^scl^o^{se a}
^c^onf^lic^{t of}^inte^re^{st re}^sultingⁱⁿ^pe^rsona^{l g}^a^in”⁾^.
²⁰⁹^Unⁱ^t^e^d^S^t^a^t^{es v.}^Wa^l^ker^{, 4}⁹⁰^F.3^d¹²⁸²^,¹²^{97 (}¹¹^th^Cⁱ^r^.²⁰⁰⁷⁾⁽^e^m^pha^sⁱ^s^of^the^c^o^ur^t)⁽^“^A^publ^ic^of^fⁱ^cⁱ^a^l^’^s
^und^isc^l^ose^d^c^o^nf^lic^{t of}^inte^re^{st . .}^.^doe^s^by^its^e^l^f^ha^rm^the^c^onstitueⁿ^{ts’ in}^te^re^{st in t}^h^e^eⁿ^d^f^o^{r w}^h^ic^{h t}^h^e^of^fⁱ^cⁱ^a^l^se^r^v^e^[^s]^st
^{– h}^one^s^t^g^o^v^e^rⁿ^m^e^{nt in t}^h^e^p^ublic^’^s^be^s^t^inte^r^e^s^t^”⁾^;^Unⁱ^t^ed^St^a^t^{es v.}^P^o^t^t^e^r^,⁴⁶^{3 F.}^3d^9,¹⁷^-⁸⁽¹^Cir.²⁰⁰⁶^)(“Ev^en^if^th^e
^de^f^e^nda^nts^e^x^pe^c^t^e^d^the^pa^y^m^eⁿ^t^s^{to be}^ne^f^{it H}^a^r^w^ood,^[^a^{n inf}^l^ueⁿ^t^ia^{l s}^t^a^t^e^le^gⁱ^s^l^a^t^or^,]^de^f^e^nda^nts^s^a^y^tha^t^the^r^e^w^a^s^no
^dir^e^c^t^e^v^ideⁿ^c^e^tha^t^s^u^c^h^pa^y^m^eⁿ^ts^w^e^r^e^f^o^r^a^s^p^e^cⁱ^fⁱ^c^le^gⁱ^s^l^a^tⁱ^v^e^a^c^{t, s}^u^c^h^a^s^a^v^o^te^by^H^a^r^w^{ood; the}^g^o^v^e^rⁿ^m^e^nt
^stⁱ^p^u^l^at^{ed t}^h^at^Harw^o^o^d^,^p^r^esu^m^ab^l^y^b^ecau^{se o}^f^hⁱ^{s p}^a^rtⁿ^e^{r’s n}^o^r^m^a^l^w^o^rk^f^o^{r L}ⁱⁿ^c^o^lⁿ^P^a^rk,^h^a^d^recu^sed^hⁱ^m^s^el^f^f^r^o^m
^v^o^ting^oⁿ^m^a^tte^r^s^tha^t^mⁱ^g^h^{t a}^f^f^{ect the}^c^o^m^p^aⁿ^y^.^T^h^e^g^ove^rⁿ^m^e^{nt, s}^a^y^de^f^e^nda^nts^,^ne^v^e^r^pr^ov^e^d^tha^t^t^h^e^y^s^oug^{ht to}
^ha^v^e^H^a^r^w^{ood m}ⁱ^s^u^s^e^his^of^fⁱ^cⁱ^a^l^pow^e^r^a^{nd t}^h^e^r^e^b^y^de^priv^e^the^s^t^a^t^e^’^s^c^itiz^eⁿ^s^of^his^ho^ne^s^t^s^e^rv^ic^es^{. It is}^c^o^m^m^on
^k^now^le^dg^e^tha^t^pow^e^r^f^u^{l le}^gⁱ^s^l^a^tⁱ^v^e^le^a^d^e^r^s^a^r^e^{not de}^peⁿ^d^eⁿ^t^on^t^h^eⁱ^r^ow^{n v}^o^te^s^to^m^a^k^e^thing^s^ha^ppe^n.^T^h^e^ho^ne^s^t
^servi^c^e^s^t^h^at^{a l}^e^gi^sl^at^o^r^o^w^{es t}^o^ci^tⁱ^zen^{s f}^aⁱ^r^l^yⁱⁿ^cl^u^d^e^t^h^{e i}ⁿ^f^o^rm^a^l^an^d^b^e^hⁱⁿ^d^t^h^{e scen}^{es i}ⁿ^f^l^u^eⁿ^ce^oⁿ^l^e^gi^sl^atⁱ^oⁿ^.
^T^h^e^r^e^w^a^s^a^d^e^qua^te^e^v^ideⁿ^c^e^,^if^any^w^a^s^ne^e^d^e^d^bey^{ond t}^h^e^sⁱ^z^e^of^the^pa^y^m^eⁿ^{t, tha}^t^B^u^c^cⁱ^aⁿ^d^Pott^e^r^bot^{h be}^lie^v^e^d
^H^a^r^w^{ood t}^o^be^pow^e^r^f^u^{l. A}^nd^S^a^{wyer II}^{, 239}^F.^3d^a^t⁴⁰ⁿ^.^8,^f^o^r^e^c^l^os^e^s^aⁿ^y^a^r^g^u^m^e^{nt tha}^t^the^g^o^v^e^rⁿ^m^e^nt^m^u^s^t^pr^ov^e
^t^h^{e sp}^eci^fⁱ^{c o}^f^fⁱ^ci^al^act^t^a^rg^et^ed^b^y^t^h^{e d}^e^fen^d^aⁿ^t^s”).
²¹⁰^Uⁿ^ite^d^St^ate^s^v^.^J^eⁿⁿⁱ^ngs^,⁴^{87 F.}^{3d 56}^{4, 57}^7-⁷⁸⁽⁸^th^Cⁱ^r^.²⁰⁰⁷⁾⁽^“^J^e^nning^s^ur^g^e^s^us^t^o^a^d^op^{t the}^T^h^ir^{d C}ⁱ^r^c^uit’^s
^a^ppr^oa^c^h^,^aⁿ^d^to^lim^{it the}^s^c^ope^o^f^§134⁶^by^r^e^quirⁱ^ng^a^link^be^tw^ee^{n the}^m^a^{il f}^r^a^{ud pr}^os^e^c^u^ti^on^of^loc^a^l^of^fⁱ^cⁱ^a^l^s^a^nd
^theⁱ^r^vⁱ^ola^tⁱ^on^of^s^t^a^t^e^dis^c^los^u^r^e^l^a^w^s^.^Se^e^Uⁿ^ite^d^State^s^v^.^Pa^nar^e^l^la^,²⁷^{7 F.}^3d⁶^78,⁶^92-^{93 (}³^d^Cⁱ^r^.²⁰⁰²⁾⁽^hol^ding
^tha^t^‘sta^te^la^w^off^e^{rs a}^be^tte^{r li}^m^iting^priⁿ^cⁱ^ple^f^o^{r p}^u^rp^ose^s^of^de^te^rm^ining^w^h^eⁿ^aⁿ^of^fⁱ^cⁱ^a^l^{’s fa}^ilure^{to d}ⁱ^sc^lose^a
^c^onf^lic^{t of}^inte^r^e^s^t^a^m^ounts^to^ho^ne^s^t^s^e^r^v^ic^e^s^f^r^a^ud’⁾^;^{see a}^l^so^Unⁱ^t^ed^S^t^a^t^{es v.}^Mu^rph^y^{, 3}²³^F.^3d¹⁰^{2, 1}⁰⁴⁽³^{d C}ⁱ^r^.
²⁰⁰³⁾⁽^s^ta^ti^ng^tha^t^{, i}ⁿ^a^d^diti^on^to^a^vⁱ^ola^tio^{n of}^a^s^t^a^t^e^dis^c^los^u^r^e^s^t^a^t^ute^,^t^h^e^r^e^m^u^s^t^a^l^s^o^be^a^fⁱ^duc^ia^r^y^r^e^la^tions^hⁱ^pⁱⁿ
^or^de^r^t^o^pr^os^e^c^u^te^loc^a^l^pu^blic^of^fⁱ^cⁱ^a^l^s^f^o^r^hone^s^t^s^e^r^v^ic^e^s^m^a^{il f}^r^aud)^.^Iⁿ^c^o^ntr^a^s^t^,^the^g^o^v^e^rⁿ^m^e^{nt e}ⁿ^c^our^a^g^e^s^us^to
^a^dopt^the^Fir^s^{t C}ⁱ^r^c^ui^t’^s^te^s^t^{, w}^h^ic^{h the}^dis^t^rⁱ^c^t^c^o^ur^{t s}^e^e^m^e^d^{to f}^o^ll^ow^{in c}^r^a^f^ting^J^e^nning^’^s^jur^y^ins^t^r^u^c^tio^ns^{. T}^h^e^Fir^s^t
^Cⁱ^r^c^{uit ha}^s^ta^k^e^{n a}^br^oa^de^r^a^p^pr^o^a^c^h^thaⁿ^t^h^e^T^h^ir^d^Cⁱ^r^c^uit.^A^c^c^o^r^d^ing^t^o^the^{First Circ}^u^{it, t}^h^e^d^u^ty^{to d}ⁱ^sc^lose^a
^p^o^t^entⁱ^a^l^con^f^lⁱ^c^t^can^co^m^eⁿ^o^t^oⁿ^l^y^f^r^o^m^sp^eci^fⁱ^{c st}^at^{e d}ⁱ^scl^o^su^{re l}^a^ws,^b^u^t^al^{so f}^r^o^m^t^h^{e l}^e^gi^sl^at^o^r’s^gen^e^ral^fⁱ^d^u^cⁱ^a^r^y^st
^duty^{to the}^pu^blic^.^Uⁿ^ite^d^St^ate^s^v^.^W^o^o^d^w^a^r^d^,¹⁴^{9 F}^.³^d⁴⁶^,⁶²⁽¹^Ci^r.¹⁹⁹⁸^).^A^p^u^b^lⁱ^c^o^f^fⁱ^ci^al^h^a^{s an}^affⁱ^r^m^atⁱ^v^{e d}^u^t^y^th
^{to d}ⁱ^sc^lose^m^a^te^ria^l^inf^o^r^m^a^{tion to the}^pu^blic^e^m^ploy^e^r^”⁾^;^se^{e a}^l^so^,^Uⁿ^ite^d^St^ate^s^v^.^Th^om^ps^on^{, 48}⁶^F^.^3d⁸⁷^7,⁽⁷^Cir.
²⁰⁰⁷^)(“T^r^eatⁱⁿ^{g an}ⁱⁿ^co^rrect^app^lⁱ^catⁱ^oⁿ^o^f^st^at^{e p}^r^o^c^u^r^em^en^t^l^a^w^a^s^{a m}ⁱ^su^{se o}^f^o^f^fⁱ^{ce an}^d^{a rai}^s^{e as}^{a p}^rⁱ^v^at^{e gai}ⁿ
^w^{ould la}ⁿ^d^us^ba^c^k^{in t}^h^e^s^o^u^p^–^onc^e^a^g^aⁱ^{n, s}ⁱ^m^p^le^vⁱ^ola^tions^of^a^d^mⁱ^nis^t^r^a^tiv^e^law^w^ould^be^c^o^m^e^c^r^im^e^s^{. N}^o^thingⁱⁿ
^t^h^{e l}^aⁿ^g^u^a^{ge o}^f^§¹³⁴¹^o^r^§¹³⁴⁶^suggest^{s t}^h^at^C^oⁿ^g^r^e^{ss h}^a^{s cr}^eat^ed^su^ch^an^e^q^u^a^tⁱ^oⁿ^,^w^hⁱ^c^h^w^o^u^l^dⁱ^m^p^l^y^t^h^at^ever^y
^tim^e^a^c^our^{t s}^e^ts^a^s^ide^a^de^cⁱ^sⁱ^on^unde^r^the^A^d^mⁱ^nis^t^r^a^tiv^e^P^r^oc^ur^e^s^A^c^{t, a}^c^rⁱ^m^e^ha^s^oc^c^u^r^r^e^{d if}^aⁿ^y^oneⁱⁿ^v^o^lv^e^dⁱⁿ^the
^ad^mⁱⁿⁱ^st^ratⁱ^v^{e d}^eci^si^oⁿ^recei^ved^a^g^ood^pe^r^f^or^m^a^nc^e^r^e^vⁱ^ew^tha^t^le^{d to}^a^s^t^e^pⁱⁿ^c^r^e^a^s^e^unde^r^t^h^e^G^e^ne^r^a^{l Sc}^he^dule^of^th
^co^m^p^en^satⁱ^oⁿ^”^);^cf^.^,^Uⁿ^ite^d^Sta^t^e^s^v^.^Br^owⁿ^,⁴^{59 F.3}^d⁵⁰^{9, 52}^1-²³⁽⁵^Ci^r.²⁰⁰⁶^{) (ho}^l^diⁿ^g^t^h^atⁱⁿ^t^h^e^p^rⁱ^v^at^{e sect}^o^r^,^no
^hone^s^t^s^e^r^v^ic^e^s^f^r^a^{ud oc}^c^u^r^s^w^h^eⁿ^aⁿ^e^m^ploy^e^e^’^s^f^r^a^uduleⁿ^t^c^oⁿ^d^u^c^{t s}^e^r^v^e^s^the^g^o^a^l^s^of^his^em^ploy^er^w^{ho r}^e^w^a^r^d^s^him
^f^o^{r reach}ⁱⁿ^{g t}^h^o^s^{e go}^al^s).

lawful administration of their licensing regimes²¹¹ or taints their elections²¹² – as long as the
governmental entities are not defrauded of any money or property.
As for the jurisdictional elements, a defendant causes the use of mail or the interstate wire
communications when the use of the mails or interstate wire communication is a foreseeable ²¹³
consequence of his action. He need not personally use the mail or transmit an interstate wire ²¹⁴²¹⁵
communications nor intend that they be used. Nor need the mailing or transmission be an
essential component of the scheme to defraud; it is enough if the mailing or wire communication ²¹⁶
is incidental to the scheme.
Prosecutors may favor a mail or wire fraud charge over or in addition to bribery charge if for no
other reason than that under both fraud sections offenders face imprisonment for not more than 20 ²¹⁷
years rather than the 15-year maximum found in section 201.
Mail fraud and wire fraud are both RICO and money laundering predicate offenses.²¹⁸ The legal
precipes relating to principals, accessories after the fact, misprision, and conspiracy apply to mail
fraud and wire fraud as well. However, the courts are unlikely to conclude that either applies to
misconduct occurring entirely overseas, since their jurisdictional elements (United States) mails
and interstate and foreign commerce of the United States) are clearly domestic.

²¹¹^Cl^evel^{and v}^.^Uⁿ^ite^d^St^ate^s^,⁵³¹^U^.^{S. 1}²^,^18-²⁰⁽²⁰⁰⁰⁾⁽^f^ootn^o^te²^of^the^opⁱⁿⁱ^onⁱⁿ^br^a^c^k^e^t^s⁾⁽ⁱ^nte^rⁿ^a^{l qu}^ota^tio^ns^aⁿ^d
^c^ita^{tions om}^itte^d)(“^M^c^Nally^re^v^e^r^s^e^d^the^m^a^{il f}^r^a^{ud c}^onv^ic^tions^of^tw^{o indiv}ⁱ^d^u^a^l^{s c}^h^a^r^g^e^{d w}^{ith pa}^rt^ic^ipa^tingⁱⁿ^a^se^lf^-
^de^a^ling^pa^troⁿ^a^g^e^s^c^hem^e^tha^t^de^f^r^a^ude^{d K}^e^ntuc^k^y^c^itizeⁿ^s^of^the^rig^h^{t to}^ha^v^e^the^Com^m^oⁿ^w^e^a^lth’s^a^f^f^a^irs^c^onduc^te^d
^hone^s^tly^{. A}^t^the^tim^e^Mc^Nally^w^a^s^de^cⁱ^de^{d f}^e^de^r^a^{l pr}^os^e^c^u^t^o^r^s^ha^d^be^eⁿ^usⁱⁿ^g^§1³⁴^{1 t}^o^a^tta^c^k^v^a^rⁱ^ou^s^f^o^r^m^s^of
^c^o^r^r^upt^io^{n tha}^t^de^pr^iv^e^d^vⁱ^c^tim^s^of^inta^ng^ible^rⁱ^g^h^ts^uⁿ^r^e^la^te^{d t}^o^m^one^y^or^pr^ope^r^t^y^.^[^E.^g^.^,^Uⁿ^ite^{d S}^t^at^e^s^v^.^C^l^ap^ps^,⁷³²
^F.2^d¹¹⁴⁸^,¹¹⁵³⁽^C^A³¹⁹⁸⁴⁾⁽^e^le^c^t^or^a^l^b^ody^’^s^rⁱ^g^h^{t to f}^a^ir^e^l^e^c^tions⁾^;^Unⁱ^t^e^{d S}^t^a^t^{es v.}^B^r^on^st^on^,⁶⁵⁸^F^.^2d⁹²^0,⁹²⁷
^(CA²¹⁹⁸^1)(c^lie^{nt’s rig}^h^t^to^a^ttorⁿ^e^y^{’s lo}^y^a^lt^y⁾^;^Uⁿ^ite^d^State^s^v^.^B^oho^no^us^,⁶²⁸^F^.²^d¹¹⁶⁷^,¹¹⁷²^(C^A⁹¹⁹⁸⁰^)(rig^h^{t t}^o
^hone^s^t^s^e^r^v^ic^e^s^of^aⁿ^a^g^eⁿ^{t or}^e^m^ploy^e^e⁾^;^Uⁿ^ite^{d St}^ate^s^v^.^I^s^a^a^c^s^{, 4}⁹³^F.2^d¹¹^24,¹¹⁵⁰⁽^C^A⁷¹⁹⁷⁴⁾⁽^r^ig^{ht to}^ho^ne^s^t
^s^e^r^v^ic^es^of^public^of^fⁱ^cⁱ^a^l^s⁾^.]^R^e^vⁱ^e^w^ing^the^his^t^or^y^of^§134^{1, w}^e^c^onc^lude^{d tha}^t^the^or^ig^ina^l^im^pe^tus^be^hin^d^t^h^e^m^a^il
^f^r^a^{ud s}^t^a^t^ute^w^a^s^{to pr}^ote^c^t^t^h^e^pe^ople^f^r^om^s^c^hem^e^s^{to de}^pr^iv^e^the^m^o^f^theⁱ^r^m^oney^or^pr^o^p^e^r^ty^{. . . .}^Sooⁿ^a^f^te^r
^M^c^Nally^{, in}^C^a^r^p^eⁿ^te^r^v^.^Uⁿ^ite^d^State^s^,^w^e^a^g^aⁱ^{n s}^t^a^t^e^d^tha^t^§1³⁴¹^pr^ote^c^t^s^pr^o^p^e^r^ty^ne^rⁱ^g^h^ts^only^.^{. . . T}^h^e^f^o^llowⁱ^ng
^year,^Coⁿ^g^{ress a}^m^en^d^e^d^t^h^{e l}^a^w^s^p^eci^fⁱ^cal^l^y^t^o^co^{ver o}ⁿ^e^o^f^t^h^{e ‘i}^nt^an^gi^b^l^{e ri}^gh^t^s^{’ t}^h^at^l^o^w^e^{r co}^u^r^t^s^had^p^r^ot^ect^ed
^unde^r^§1³⁴^{1 pr}^ior^to^M^c^Nally^{: th}^e^inta^ng^ible^rig^h^t^t^o^h^one^{st se}^rv^ic^e^s^{. Sig}ⁿ^if^ic^aⁿ^tly^{, Cong}^re^{ss c}^o^v^e^r^e^{d o}ⁿ^ly^the
^inta^ng^ible^rig^h^t^t^o^h^one^{st se}^rv^ic^e^s^e^v^eⁿ^tho^u^g^h^f^e^de^ra^{l c}^{ourts, re}^ly^ing^on^McN^a^ll^y^{, ha}^{d d}ⁱ^s^m^is^s^e^{d, f}^o^r^w^a^{nt of}
^m^one^ta^r^y^los^s^{to a}ⁿ^y^vⁱ^c^tⁱ^m^{, pr}^os^e^c^u^tions^f^o^r^div^e^r^s^e^f^o^r^m^s^of^public^c^o^r^r^u^p^tio^{n i}ⁿ^c^l^ud^ing^lic^eⁿ^sⁱ^ng^f^r^a^ud.”
²¹²^Uⁿ^ite^d^St^ate^s^v^.^Turⁿ^e^r^{, 4}⁶⁵^F.^3d⁶⁶^7,⁶⁷^{4 (}⁶^th^Cⁱ^r^.²⁰⁰⁶⁾⁽^S^e^c^tioⁿ^“¹³⁴^{6 d}ⁱ^d^no^{t r}^e^vⁱ^v^e^thos^e^c^a^s^e^s^inv^o^lv^ing
^pr^os^e^c^u^ti^ons^un^de^r^the^m^a^{il f}^r^a^{ud s}^t^a^t^ute^f^o^r^de^pr^iv^a^tio^ns^of^the^int^a^ng^ible^rⁱ^g^h^t^of^hone^s^t^e^l^e^c^tio^ns^”⁾^;^Uⁿ^ite^d^St^ate^s^v^.^th
^Ratc^liff^,⁴^{88 F.3}^d⁶³^{9, 64}^4-⁴⁶⁽⁵^Cⁱ^r^.²⁰⁰⁷⁾^.
²¹³^Uⁿ^ite^d^St^ate^s^v^.^W^a^r^d^{, 48}⁶^F^.³^d¹²¹^{2, 12}²²⁽¹¹^th^Cⁱ^r^.²⁰⁰⁷⁾^,^q^u^o^tⁱⁿ^g,^Pe^r^e^ir^{a v}^.^Uⁿ^ite^{d S}^t^ate^s^{, 34}^{7 U}^.^S.¹^,^8-⁹
⁽¹⁹⁵⁴⁾^;^Uⁿ^ite^d^St^ate^s^v^.^R^a^tliff-W^h^ite^,⁴⁹^{3 F.}^3d⁸^12,⁸^17,⁸^{18 (}⁷^th^Cⁱ^r^.²⁰⁰⁷⁾^;^Uⁿ^ite^{d State}^s^v^.^Am^ic^o^,⁴⁸^{6 F}^.³^d⁷⁶⁴^,
⁷⁸¹⁽²^d^Cir.²⁰⁰⁷^).
²¹⁴^Uⁿ^ite^d^St^ate^s^v^.^M^o^r^a^le^s^-^Ro^dr^ig^ue^z^,⁴^{67 F.3}^d^{1, 7}⁽¹^st^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^d^State^s^v^.^Iⁿ^g^l^e^s^,⁴⁴⁵^F^.^3d⁸³⁰^,⁸³^{5 (}⁵^th^Cir.
²⁰⁰⁶⁾^.
²¹⁵^Uⁿ^ite^d^St^ate^s^v^.^M^aⁿⁿ^,⁴⁹^{3 F.}^3d⁴⁸⁴^{, 4}⁹³⁽⁵^th^Cⁱ^r^.²⁰⁰⁷⁾^.
²¹⁶^Sc^hm^uc^k^v^.^Uⁿ^ite^d^Sta^t^e^s⁴⁸^{9 U}^.^{S. 7}⁰⁵^,⁷^01-¹¹⁽¹⁹⁸⁹⁾^;^Uⁿⁱ^t^e^d^Sta^t^e^s^v^.^M^o^r^a^le^s^-^Rodrⁱ^gue^z^,⁴⁶^{7 F}^.³^d^1,⁷⁽¹^st^Cir.
²⁰⁰⁶⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Re^ifle^r^,⁴⁴^{6 F.}^3d⁶⁵^,^{95 (}²^d^Cⁱ^r^.²⁰⁰⁶⁾^;^Unⁱ^t^ed^S^t^a^t^{es v.}^L^e^e^{, 4}²⁷^F.^3d⁸⁸^1,⁸⁸^{7 (}¹¹^th^Cⁱ^r^.²⁰⁰⁵⁾^.
²¹⁷^{18 U}^.^S.C^.¹³⁴¹^,¹³^43.^A^lthoug^h^not^or^dⁱ^na^r^ily^r^e^le^v^a^{nt in a}ⁿ^o^b^s^t^r^u^c^tio^{n of}^g^o^v^e^rⁿ^m^e^nta^l^f^unc^tions^c^onte^x^{t, m}^a^il
^a^{nd w}ⁱ^re^f^r^a^{ud off}^e^nde^{rs f}^a^c^eⁱ^m^prisonm^eⁿ^{t f}^o^{r not m}^o^re^th^aⁿ³⁰^y^e^a^r^{s a}^{nd a}^fⁱ^ne^of^{not m}^o^re^$1^m^illion^w^h^eⁿ^a
^fⁱ^na^nc^ia^{l institut}ⁱ^oⁿ^{is t}^h^e^vⁱ^c^tim^of^the^f^r^a^ud,^id^.
²¹⁸¹⁸^U^.^S.C.¹⁹⁶¹⁽¹^),¹⁹⁵⁶^(c)(7^)(A^).

The Hobbs Act outlaws the obstruction of interstate or foreign commerce by means of robbery or ²¹⁹
extortion. Extortion under the Act comes in two forms: extortion induced by fear and extortion ²²⁰
under color of official right. Extortion under color of official right occurs when a public official
receives a payment to which he is not entitled, knowing it is being provided in exchange for the ²²¹
performance of an official act. Liability may be incurred by public officers and employees,
those in the process of becoming public officers or employees, those who hold themselves out to
be public officers or employees, their coconspirators, or those who aid and abet public officers or ²²²
employees in extortion under color or official right. The payment need not have been ²²³²²⁴
solicited, nor need the official act for which it is exchanged have been committed. The
prosecution must establish that the extortion obstructed, delayed, or affected interstate or foreign
commerce, but proof of a potential impact even one that is not particularly severe may be ²²⁵
sufficient.
Hobbs Act violations are punishable by imprisonment for not more than 20 years and a fine of not ²²⁶²²⁷
more than $250,000. Hobbs Act offenses are RICO and money laundering predicates. The
Act has a separate conspiracy component, but recourse to prosecution of conspiracy under 18

²¹⁹^{18 U}^.^S.C^.¹⁹⁵¹⁽^“⁽^a⁾^W^hoe^v^e^rⁱⁿ^aⁿ^y^w^a^y^or^de^g^r^e^e^obs^tr^uc^ts^,^de^la^y^s^{, or}^a^f^f^e^c^t^s^c^o^m^m^e^r^c^e^or^the^m^o^v^e^m^e^{nt of}^aⁿ^y
^a^r^tic^le^or^c^o^m^m^odity^{in c}^o^m^m^e^r^c^e^,^by^r^obbe^r^y^or^e^x^tor^tion^or^a^tte^m^p^ts^or^c^ons^pir^e^s^s^o^to^d^o^,^or^c^o^m^m^its^or^thr^e^a^t^eⁿ^s
^phy^sⁱ^c^a^l^vⁱ^oleⁿ^c^e^{to a}ⁿ^y^pe^r^s^{on o}^r^pr^o^p^e^r^ty^{in f}^u^r^t^he^r^a^nc^e^of^a^plaⁿ^or^pur^pos^e^to^d^o^aⁿ^y^t^hingⁱⁿ^vⁱ^ol^a^tion^of^this
^s^e^c^{tion s}^h^a^ll^be^fⁱ^ne^{d u}^nde^r^this^tⁱ^tle^or^im^pr^is^one^{d n}^o^{t m}^o^r^e^thaⁿ^t^w^eⁿ^t^y^y^e^a^r^s^,^or^bot^{h. (}^b⁾^A^s^us^e^d^{in t}^h^is^s^e^c^tion^{. .}^.
⁽²⁾^T^h^e^te^r^m^‘^e^x^t^or^tion’^m^e^aⁿ^s^the^obtaⁱⁿⁱ^ng^of^pr^ope^r^t^y^f^r^o^m^a^nothe^r^,^w^{ith his}^c^ons^eⁿ^t,ⁱⁿ^duc^e^d^by^w^r^ongf^{ul us}^e^of
^act^u^a^l^o^r^t^h^reat^en^ed^f^o^rce,^vi^o^l^en^c^e^,^o^r^f^ear,^o^r^un^d^e^{r col}^o^r^o^f^o^f^fⁱ^ci^al^ri^gh^t^.⁽³⁾^T^h^{e t}^e^rm^‘co^mmerce’^m^e^an^{s co}^mmerce
^wⁱ^t^hⁱⁿ^t^h^{e Di}^st^ri^ct^o^f^Co^l^u^m^bⁱ^a^,^{or an}^y^T^e^rri^t^o^r^y^o^r^P^o^ssessi^oⁿ^o^f^t^h^{e Un}ⁱ^t^e^{d S}^t^at^es;^al^l^co^m^m^{erce b}^e^t^w^een^an^y^p^oⁱⁿ^tⁱⁿ
^{a S}^t^at^e,^T^e^rri^t^o^ry^,^P^o^ssessi^oⁿ^,^o^r^t^h^{e Di}^st^ri^ct^o^f^Co^l^u^m^bⁱ^a^an^d^an^y^p^oⁱⁿ^t^ou^t^sⁱ^d^{e t}^h^ereo^f^;^al^l^co^mm^er^c^e^b^e^t^w^een^p^oⁱⁿ^t^s
^wⁱ^t^hⁱⁿ^t^h^{e sam}^e^S^t^at^{e t}^h^ro^u^g^h^aⁿ^{y p}^l^{ace o}^u^t^si^d^e^su^{ch S}^t^at^e;^and^al^l^o^t^h^e^{r co}^m^m^{erce o}^v^er^w^hⁱ^c^h^t^h^{e Un}ⁱ^t^e^d^S^t^at^{es h}^a^s
^juris^d^ic^ti^on^{. .}^{. .”}^).
²²⁰^Uⁿ^ite^d^St^ate^s^v^.^C^r^uz^-^A^r^r^o^y^o^{, 4}⁶¹^F.^3d⁶⁹^,^{73 (}¹^st^Cⁱ^r^.²⁰⁰⁶⁾^;^Unⁱ^t^ed^S^t^a^t^{es v.}^Kel^l^e^y^,⁴^{61 F.3}^d⁸¹^{7, 826}⁽⁶^th^Cir.
²⁰⁰⁶⁾^.
²²¹^Ev^ans^v^.^Uⁿ^ite^d^St^ate^s^,⁵⁰^{4 U.}^S^.²⁵⁵^,²⁶^{8 (}¹⁹⁹²⁾^;^Uⁿ^ite^{d Sta}^t^e^s^v^.^D’Amic^o^,⁴^{96 F.}^{3d 95,}¹^{01 (}¹^st^Cⁱ^r^.²⁰⁰⁷⁾^;
^Uⁿ^ite^d^State^s^v^.^K^e^lle^y^,⁴⁶^{1 F}^.³^d⁸¹⁷^{, 8}²⁶⁽⁶^th^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^{d S}^t^ate^s^v^.^U^r^baⁿ^,⁴⁰⁴^F.^3d⁷⁵^4,⁷⁶^{8 (}³^{d C}ⁱ^r^.²⁰⁰⁵⁾^;^st
^Uⁿ^ite^d^State^s^v^.^C^r^uz^ad^o-^L^aur^e^a^no^{, 40}^{4 F.3}^d⁴⁷⁰^,⁴⁸¹⁽¹^Cir^.²⁰^05).
²²²^Uⁿ^ite^d^St^ate^s^v^.^K^e^lle^y^{, 4}⁶¹^F.3^d⁸¹^7,⁸²^{7 (}⁶^th^Cⁱ^r^.²⁰⁰⁶⁾^;^Unⁱ^t^ed^S^t^a^t^{es v.}^R^u^bi^o^,³^{21 F.3}^d⁵¹^{7, 52}¹⁽⁵^th^Cⁱ^r^.²⁰⁰³⁾^;
^Uⁿ^ite^d^State^s^v^.^H^a^ir^s^t^oⁿ^,⁴⁶^F.3^d³^61,³^{66 (}⁴^th^Cⁱ^r^.¹⁹⁹⁵⁾^;^Uⁿⁱ^t^e^{d S}^t^at^{es v.}^F^r^eemaⁿ^,⁶^F.^3d⁵⁸^6,⁵⁹³⁽⁹^th^Cⁱ^r^.¹⁹⁹³⁾^.
²²³^Uⁿ^ite^d^St^ate^s^v^.^Fos^t^e^r^,⁴⁴^{3 F}^.³^d⁹⁷^8,⁹⁸^{4 (}⁸^th^Cⁱ^r^.²⁰⁰⁶⁾⁽^t^he^c^o^lor^of^of^fⁱ^cⁱ^a^l^rⁱ^g^h^{t “}^e^l^em^eⁿ^{t doe}^sⁿ^o^t^r^e^quir^e^aⁿ
^affⁱ^r^m^atⁱ^v^{e a}^c^t^o^fⁱⁿ^d^u^cem^en^t^b^y^t^h^{e o}^f^fⁱ^ci^al^”);^Uⁿ^ite^{d State}^s^v^.^C^r^u^z^-^A^r^r^o^y^o^,⁴⁶^{1 F}^.³^d⁶⁹^,⁷³^-⁴⁽¹^st^Cⁱ^r^.²⁰⁰⁶⁾^;^Un^ite^d
^State^s^v^.^U^r^b^aⁿ^{, 4}⁰⁴^F.^3d⁷⁵^4,⁷⁶^{8 (}³^{d C}ⁱ^r^.²⁰⁰⁵⁾^.
²²⁴^Ev^ans^v^.^Uⁿ^ite^d^St^ate^s^,⁵⁰^{4 U.}^S^.²⁵⁵^,²⁶^{8 (19}⁹²^)(“t^h^e^o^f^fen^s^{e i}^s^co^m^p^l^e^t^e^d^at^t^h^{e t}ⁱ^m^{e w}^h^en^t^h^{e p}^u^b^lⁱ^c^o^f^fⁱ^ci^al
^recei^ve^{s a p}^a^ym^en^tⁱⁿ^ret^u^{rn f}^o^{r hi}^{s agree}^m^en^t^t^o^p^e^rf^o^r^m^sp^eci^fⁱ^c^o^f^fⁱ^ci^al^act^s;^f^u^l^fⁱ^l^l^m^eⁿ^t^o^f^t^h^e^qui^{d pr}^{o q}^u^o^{is n}^o^{t a}ⁿ^th
^el^e^m^en^t^o^f^t^h^{e o}^f^fen^s^e”);^Uⁿ^ite^d^State^s^v^.^F^o^s^t^e^r^{, 4}⁴³^F.^3d⁹⁷^8,⁹⁸^{4 (}⁸^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^{d St}^ate^s^v^.^U^r^ban^,⁴⁰⁴^F.3^d
⁷⁵⁴^,⁷⁶^{8 (}³^d^Cⁱ^r^.²⁰⁰⁵⁾^.
²²⁵^Uⁿ^ite^d^St^ate^s^v^.^D^’^Am^ic^o^,⁴⁹^{6 F}^.^3d^95,¹^{03 (}¹^st^Cir.²⁰⁰⁷^)(inte^r^na^{l qu}^ota^tio^{n m}^a^rk^{s a}^{nd c}^ita^tions^om^itte^{d) (“}^to
^pr^ov^e^a^c^o^m^p^le^te^{d e}^x^tor^tion^,^t^h^e^g^o^v^e^rⁿ^m^e^{nt ha}^{d t}^o^s^a^tis^f^y^the^H^obbs^A^c^t’^s^jurⁱ^s^d^ic^ti^{on e}^l^e^m^eⁿ^{t of}^s^how^ing^tha^t
^D^’^A^mⁱ^c^o’^s^c^onduc^t^o^b^s^t^r^u^c^t^e^d^,^d^e^lay^e^{d, or}^a^f^f^e^c^t^e^d^c^o^m^m^e^r^c^e^.^T^o^m^e^e^t^this^r^e^qui^r^e^m^e^{nt, the}^g^o^v^e^rⁿ^m^e^{nt ha}^{d to}^pr^ov^e
^only^tha^t^the^r^e^w^a^s^a^re^a^lis^tic^proba^bility^tha^t^D^’^A^m^ic^o’s^c^onduc^t^w^{ould a}^f^f^e^c^t^inte^rs^ta^te^c^o^m^m^e^rce”^);^Uⁿ^ite^{d Sta}^t^e^s^v^.^th
^Foste^r^,⁴^{43 F.3}^d⁹⁷^{8, 98}⁴⁽⁸^Ci^r^.²⁰⁰⁵^)(“i^tⁱ^s^eno^u^g^h^t^h^at^t^h^{e cond}^u^c^t^h^a^d^t^h^{e po}^t^eⁿ^tⁱ^a^l^t^oⁱ^m^p^act^c^o^mm^er^ce”);^Unite^d
^State^s^v^.^U^r^b^aⁿ^{, 4}⁰⁴^F.^3d⁷⁵^4,⁷⁶^{6 (3}^{d Cir.}²⁰⁰⁵⁾⁽ⁱⁿ^t^e^r^na^{l q}^u^o^t^a^tio^{n m}^a^{rks a}^{nd c}^ita^tio^{ns om}^itte^d)(“^{In a}ⁿ^y^indivⁱ^d^u^a^l
^c^a^s^e^,^pr^oof^of^a^de^mⁱ^nimⁱ^s^e^f^f^e^c^t^{on i}ⁿ^te^rsta^te^c^o^m^m^e^r^c^e^{is a}^{ll tha}^t^{is re}^quire^d^.^A^{nd .}^{. . s}^u^c^h^a^de^mⁱ^nimⁱ^s^eff^ectⁱⁿ^an
ⁱⁿ^dⁱ^vi^du^al^Hob^b^s^A^c^t^{case n}^eed^on^l^y^b^e^p^o^t^en^tⁱ^al^”).
²²⁶¹⁸^U^.^S^.^C^.¹⁹⁵¹⁽^a⁾
²²⁷¹⁸^U^.^S.C.¹⁹⁶¹⁽¹^),¹⁹⁵⁶^(c)(7^)(A^).

U.S.C. 371 is an alternative.²²⁸ An offender may incur criminal liability under the misprision ²²⁹
statute or as a principal or accessory before the fact to a violation of the Hobbs Act by another.
In addition to the obstruction of justice provisions of 18 U.S.C. 1503 and 1512, there are four
other general statutes that outlaw obstructing the government’s business by deception. Three
involve perjury: 18 U.S.C. 1623 that outlaws false swearing before federal courts and grand
juries; 18 U.S.C. 1621 the older and more general prohibition that proscribes false swearing in
federal official matters (Congressional, judicial, or administrative); and 18 U.S.C. 1622 that
condemns subornation, that is, inducing another to commit perjury. Sections 1621 and 1622 apply
in a Congressional context; Section 1623 does not. The fourth, 18 U.S.C. 1001, proscribes
material false statements concerning any matter within the jurisdiction of a federal executive
branch agency, and to a somewhat more limited extent within the jurisdiction of the federal courts
or a Congressional entity.
None of the four are RICO predicate offenses or money laundering predicate offenses.²³⁰ The ²³¹
laws relating to aiding and abetting, accessories after the fact, misprision, and conspiracy, ²³²
however, apply to all four. Sections 1621 and 1623 state that their prohibitions apply regardless ²³³
of whether the perjurious conduct occurs overseas or within this country. Section 1001 has no ²³⁴
such explicit declaration, but has been held to have extraterritorial application nonetheless.
Separated into its elements, Section 1621 provides that:
(1)
I. Whoever having taken an oath
II. before a competent tribunal, officer, or person,
III. in any case in which a law of the United States authorizes an oath to be administered,

²²⁸^E.g^.,^Unⁱ^t^ed^S^t^a^t^{es v.}^H^a^t^c^h^e^r^{, 3}^{23 F.3}^d⁶⁶^{6, 669}⁽⁸^th^Cⁱ^r^.²⁰⁰³⁾^;^Louisⁱ^an^{a v}^.^G^u^idr^y^,⁴⁸⁹^F.^3d⁶⁹²^,⁶⁹^{5 (}⁵^th^Cir.
²⁰⁰⁷^)(G^uⁱ^d^r^y^su^ccess^f^u^l^l^yⁿ^e^go^tⁱ^a^t^e^d^{a p}^l^{ea agree}^m^en^t^unde^r^w^h^ic^{h he}^ple^a^d^e^d^g^uⁱ^lty^{in f}^e^de^r^a^{l c}^our^{t to}^one^c^o^un^{t of}
^c^ons^pir^a^c^y^{to c}^o^m^m^{it e}^x^tor^{tion in}^vⁱ^ola^tio^{n of}¹⁸^U^.^S.C^.^§^§³⁷¹^aⁿ^d¹⁹^51.^{. .”}⁾^.
²²⁹^{18 U}^.^S.C^.^4,^2,^3.
²³⁰¹⁸^U^.^S.C.¹⁹⁶¹⁽¹^),¹⁹⁵⁶^(c)(7^).
²³¹^{18 U}^.^S.C^.^2,^3,^4,³^71.
²³²^E.g.^,^Unⁱ^t^ed^S^t^a^t^es^v.^A^t^a^lⁱ^g^{, 50}^{2 F.3}^d¹⁰⁶³^{, 10}^{65 (}⁹^th^Cⁱ^r^.²⁰⁰⁷⁾⁽^c^ons^pir^a^c^y^{to v}ⁱ^ola^t^e¹⁸^U^.^S^.^C^.¹⁰⁰¹⁾^;^cf^.^,^Un^ite^d
^State^s^v^.^D^uⁿⁿ^e^{, 3}²⁴^F.^3d¹¹⁵⁸^{, 1}¹⁶²^-¹^{63 (}¹⁰^th^Cⁱ^r^.²⁰⁰³⁾^.
²³³^{18 U}^.^S.C^.¹⁶²¹⁽^“^T^h^is^s^e^c^{tion is}^a^pplic^a^b^le^w^h^e^t^he^r^the^s^t^a^t^e^m^eⁿ^{t or}^s^u^bs^c^r^ipti^{on is}^m^a^de^w^{ithin or}^w^{ithout t}^h^e
^Uⁿ^ite^{d S}^t^a^t^e^s^”⁾^{; 18 U}^.^S.C^.¹⁶²³⁽^“^T^h^is^s^e^c^{tion is}^a^ppl^ic^a^b^le^w^h^e^t^he^r^the^c^oⁿ^duc^t^oc^c^u^r^r^e^{d w}^ithiⁿ^or^w^{ithout t}^h^e^Uⁿ^ite^d
^S^t^at^es”).
²³⁴^Uⁿ^ite^d^St^ate^s^v^.^W^a^lc^z^a^k^{, 78}³^F.^{2d 85}^{2, 85}^4-⁵⁵⁽⁹^th^Cⁱ^r^.¹⁹⁸⁶⁾^.

IV. a. that he will
i. testify,
ii. declare,
iii. depose, or
iv. certify truly, or
b. that any written
i. testimony,
ii. declaration,
iii. deposition, or
iv. certificate
by him subscribed, is true,
V. willfully and contrary to such oath
VI. a. states or
b. subscribes
any material matter which he does not believe to be true; or
(2)
I. Whoever in any
a. declaration,
b. certificate,
c. verification, or
d. statement
under penalty of perjury as permitted under Section 1746 of title 28, United States Code,²³⁵

²³⁵^“^W^he^r^e^ve^r^,^unde^r^aⁿ^y^law^of^the^Uⁿ^ite^{d S}^t^a^t^e^s^or^u^nde^r^aⁿ^y^r^u^le^{, r}^e^g^u^la^tion,^or^de^r^,^or^r^e^quir^e^m^e^{nt m}^a^de^pur^s^u^aⁿ^{t to}
^la^w^,^aⁿ^y^m^a^tte^{r is re}^quire^{d or}^pe^rm^itte^{d to be}^su^pp^orte^d,^e^v^ideⁿ^c^e^d^{, e}^s^ta^blishe^d,^or^pr^ov^e^d^by^the^sworn^de^c^l^a^r^a^tion,
^v^e^ri^fⁱ^c^a^{tion, c}^e^r^tif^ic^a^t^e^,^sta^t^e^m^eⁿ^{t, oa}^th^{, or}^a^f^fⁱ^da^v^{it, in w}^r^iting^of^the^pe^rson^m^a^kⁱ^ng^the^sa^m^e^(othe^r^thaⁿ^a^de^p^o^sitio^n,
^or^aⁿ^oa^th^of^of^fⁱ^ce^{, or}^aⁿ^oa^t^h^r^e^quir^e^d^to^be^ta^k^e^{n be}^f^o^r^e^a^s^p^e^cⁱ^fⁱ^e^d^of^fⁱ^cⁱ^a^l^othe^r^thaⁿ^a^no^ta^r^y^public⁾^,^s^u^c^h^m^a^tte^r
^ma^y^,^wⁱ^t^h^lⁱ^k^{e f}^o^{rce an}^d^eff^e^ct^,^{be su}^p^p^o^r^t^e^d^,^evi^d^en^ced^,^est^a^blis^he^{d, o}^r^pr^ov^e^d^by^the^uⁿ^s^w^or^{n de}^c^l^a^r^a^tion,^c^e^r^tif^ic^a^t^e^,
^v^e^ri^fⁱ^c^a^{tion, or}^s^t^a^t^e^m^eⁿ^{t, in}^w^r^iting^of^s^u^c^h^pe^rs^oⁿ^w^h^ic^{h is}^s^ubs^c^r^ibe^d^by^him^,^a^s^true^unde^r^pe^na^lty^of^pe^rjury^,^a^nd
^da^te^{d, i}ⁿ^su^bsta^ntia^lly^the^f^o^llowⁱ^ng^f^o^r^m^:
⁽^c^onti^nue^d.^..)

II. willfully subscribes as true
III. any material matter
IV. which he does not believe to be true
is guilty of perjury and shall, except as otherwise expressly provided by law, be fined under
this title or imprisoned not more than five years, or both. This section is applicable whether ²³⁶
the statement or subscription is made within or without the United States.
The courts generally favor an abbreviated encapsulation such as the one found in United States v.
Dunnigan: “A witness testifying under oath or affirmation violates this section if she gives false
testimony concerning a material matter with the willful intent to provide false testimony, rather ²³⁷
than as a result of confusion, mistake, or faulty memory.”
Perjury is only that testimony which is false. Thus, testimony that is literally true, even if ²³⁸
deceptively so, cannot be considered perjury for purposes of a prosecution under Section 1621.
Moreover, Section 1621 requires compliance with “the two witness rule” to establish that a
statement is false. Under the rule, “the uncorroborated oath of one witness is not sufficient to ²³⁹
establish the falsity of the testimony of the accused as set forth in the indictment as perjury.”
Thus, conviction under Section 1621 requires that the government “establish the falsity of the
statement alleged to have been made by the defendant under oath, by the testimony of two ²⁴⁰
independent witnesses or one witness and corroborating circumstances.” If the rule is to be
satisfied with corroborative evidence, the evidence must be trustworthy and support the account ²⁴¹
of the single witness upon which the perjury prosecution is based.

^(...c^on^tin^ue^d)
^“^‘⁽¹⁾^I^f^e^x^ec^ute^d^w^ithout^the^Uⁿ^it^e^d^Sta^t^e^s^{: “}^I^de^c^l^a^r^e⁽^o^r^c^e^r^tif^y^,^ve^rⁱ^f^y^{, or}^s^t^a^t^e⁾^unde^r^pe^na^lty^of^per^j^ur^y^unde^r^t^h^e
^l^a^w^s^o^f^t^h^{e Un}ⁱ^t^e^d^S^t^at^{es o}^f^Amerⁱ^{ca t}^h^at^t^h^{e f}^o^regoⁱⁿ^{g i}^s^t^r^u^e^an^{d co}^rrect^.^E^x^ecu^t^e^d^on⁽^d^at^e).
^(Sigⁿ^a^tu^re)’.
^“‘(2^{) If}^exe^c^u^t^ed^wⁱ^t^hⁱⁿ^t^h^{e Un}ⁱ^t^e^d^S^t^at^es,ⁱ^t^s^t^e^rri^t^o^ri^es,^p^o^ssessi^oⁿ^s,^o^r^co^m^m^oⁿ^w^eal^t^h^s:^{“I d}^ecl^{are (o}^{r cert}ⁱ^f^y^,^veri^fy^,
^or^s^t^a^t^e⁾^u^nde^r^pe^na^lty^of^pe^r^j^ur^y^tha^t^the^f^o^r^e^g^o^ing^is^tr^ue^aⁿ^{d c}^o^r^r^e^c^t^{. Ex}^e^c^u^te^{d on}⁽^d^a^t^e⁾^.
^(Sigⁿ^a^tu^{re),’” 2}⁸^U.S^.^C.¹⁷⁴⁶^.
²³⁶¹⁸^U^.^S^.^C^.¹⁶²¹^.
²³⁷^Uⁿ^ite^d^St^ate^s^v^.^D^uⁿⁿⁱ^g^aⁿ^{, 50}^{7 U}^.^S.⁸⁷^{, 94}⁽¹⁹⁹³⁾^;^Uⁿ^ite^{d State}^s^v^.^M^c^K^e^nna^,³²^{7 F.}^3d⁸^30,⁸^{38 (}⁹^th^Cⁱ^r^.²⁰⁰³⁾^;
^Uⁿ^ite^{d State}^s^v^.^Si^ng^h^{, 29}¹^F.^3d⁷^{56, 76}^{3 n.4}⁽¹¹^th^Cⁱ^r^.²⁰⁰²⁾^;^Uni^t^ed^S^t^a^t^{es v.}^Na^s^h^,¹⁷^{5 F.}^3d⁴^29,⁴^{38 (}⁶^th^Cⁱ^r^.¹⁹⁹⁹⁾^;^th
^{see a}^l^so^,^Unⁱ^t^ed^S^t^a^t^{es v.}^D^u^mei^sⁱ^{, 42}⁴^F.3^d⁵⁶^{6, 5}⁸²⁽⁷^Cⁱ^r^.²⁰⁰⁵⁾⁽^“^the^e^l^e^m^eⁿ^ts^of^pe^r^j^ur^y^a^r^e⁽¹⁾^te^s^tim^on^y^unde^r
^oa^th^be^f^o^r^e^a^c^o^m^p^e^t^eⁿ^{t tr}^ibuna^l^,⁽²⁾ⁱⁿ^a^c^a^s^e^{in w}^h^ic^{h U}ⁿ^ite^{d Sta}^t^e^s^law^a^u^thor^iz^e^s^the^a^d^mⁱ^nis^t^r^a^tion^of^aⁿ^oa^th^{, (}³⁾
^f^a^ls^e^te^sti^m^ony^{, (4) c}^onc^e^r^ning^a^m^a^te^ria^l^m^a^tte^{r, (5)}^w^{ith the}^w^{illful i}ⁿ^te^nt^to^prov^ide^f^a^lse^te^stim^ony^”⁾^.
²³⁸^Br^ons^t^{on v}^.^Uⁿ^ite^{d St}^ate^s^,⁴⁰^{9 U}^.^S.³⁵^2,³⁶^{2 (1}⁹⁷^{2) (“}^{It m}^a^y^w^e^ll^be^tha^t^pe^titi^one^{r’s a}ⁿ^sw^e^r^s^w^e^re^{not g}^u^ile^le^{ss but}
^w^e^r^e^shre^w^d^ly^c^a^lc^ula^t^e^d^{to e}^v^a^d^e^.^Ne^v^e^rthe^le^{ss . . .}^aⁿ^y^spe^cⁱ^a^l^proble^m^{s a}^r^ising^f^r^o^m^the^lite^ra^ll^y^true^bu^t
^unr^e^s^p^ons^iv^e^aⁿ^s^w^e^r^a^r^e^{to be}^r^e^m^e^die^d^thr^oug^h^the^que^s^tio^ne^r^'^s^a^c^u^ity^a^{nd not}^by^a^f^e^de^r^a^{l pe}^r^j^ur^y^pr^os^e^c^u^ti^on”⁾^;^see^th^th
^als^o^,^Uⁿ^ite^d^St^ate^s^v^.^M^c^K^e^nna^,³^{27 F.3}^d⁸³^{0, 841}⁽⁹^Cⁱ^r^.²⁰⁰³⁾^;^Uⁿ^ite^{d State}^s^v^.^Ro^be^r^t^s^{, 3}⁰⁸^F.3^d¹¹⁴⁷^,¹¹^{52 (}¹¹^th
^Cⁱ^r^.²⁰⁰²⁾^;^Uⁿ^ite^d^State^s^v^.^D^e^Z^a^rⁿ^{, 1}⁵⁷^F.^3d¹⁰⁴²^{, 1}⁰⁴⁷^-⁴^{8 (}⁶^Cⁱ^r^.¹⁹⁹⁸⁾^.
²³⁹^Ha^{mmer v.}^Un^ited^S^t^ates^,²⁷¹^U.S^.⁶²^0,⁶²^{6 (}¹⁹²⁶⁾^.
²⁴⁰^W^e^ile^{r v}^.^Unite^{d S}^t^ate^s^,³²^{3 U}^.^S^.⁶⁰^6,⁶⁰^{7 (}¹⁹⁴⁵⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Ste^w^ar^t^,⁴³³^F.3^d²⁷^3,³¹^{5 (}²^{d C}ⁱ^r^.²⁰⁰⁶⁾^;
^Uⁿ^ite^d^State^s^v^.^C^h^a^p^liⁿ^{, 25 F.3}^d¹³⁷^{3, 13}⁷⁷⁽⁷^th^Cⁱ^r^.¹⁹⁹⁴⁾^.
²⁴¹^W^e^ile^{r v}^.^Unite^{d S}^t^ate^s^,³²^{3 U}^.^S^.⁶⁰^6,⁶¹^{0 (}¹⁹⁴⁵⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Ste^w^ar^t^,⁴³³^F.3^d²⁷^3,³¹^{5 (}²^{d C}ⁱ^r^.²²⁰⁶⁾⁽^“^T^h^e
^r^u^le^is^s^a^tis^fⁱ^e^d^by^the^dir^e^c^t^te^s^tⁱ^m^on^y^of^a^s^e^c^{ond w}^itne^s^s^or^by^othe^r^e^v^ideⁿ^c^e^of^inde^pe^ndeⁿ^t^pr^o^b^a^tiv^e^v^a^lue^,
^cⁱ^rc^um^s^t^aⁿ^tia^{l or}^dire^c^t^{, w}^h^ic^{h is}^of^a^qua^lity^{to a}^s^s^u^re^tha^t^a^g^u^il^ty^v^e^rdic^{t is}^s^o^lid^ly^f^ounde^d^.^T^h^eⁱⁿ^de^pe^nde^nt
^evi^d^en^ce^m^u^st^,^b^yⁱ^t^s^el^f^,^b^eⁱⁿ^co^nsi^s^t^eⁿ^t^wⁱ^t^h^t^h^{e i}ⁿ^no^cen^{ce o}^f^t^h^e^d^e^f^eⁿ^d^aⁿ^t^.^Ho^w^e^ver,^t^h^{e co}^rro^bo^r^a^tⁱ^v^{e evi}^d^en^{ce n}^eed
⁽^c^onti^nue^d.^..)

The test for materiality under Section 1621 is whether the false statement “has a natural tendency ²⁴²
to influence or [is] capable of influencing the decision-making body to which it [is] addressed.”
Conviction under Section 1621 requires not only that the defendant knew his statement was false
(“which he does not believe to be true”), but that his false statement is “willfully” presented.
There is but scant authority on precisely what “willful” means in this context. The Supreme Court
in dicta has indicated that willful perjury consists of “deliberate material falsification under ²⁴³²⁴⁴
oath.” Other courts have referred to it as acting with an “intent to deceive” or as acting ²⁴⁵
“int entionall y.”
Although a contemporaneous correction of a false statement may demonstrate the absence of the
necessary willful intent to commit perjury, the crime is completed when the false statement is
presented to the tribunal; without a statutory bar or defense such as that found in Section 1623
(which outlaws perjury in a purely judicial context), recantation is no defense nor does it bar ²⁴⁶
prosecution.
Section 1622 outlaws procuring or inducing another to commit perjury: “Whoever procures
another to commit any perjury is guilty of subornation of perjury, and shall be fined under this
title or imprisoned for not more than five years, or both,” 18 U.S.C. 1622. The crime consists of
two elements – (1) an act of perjury committed by another (2) induced or procured by the
defendant. Perjury under either Section 1621 or 1623 will support a conviction for subornation ²⁴⁷
under Section 1622, but proof of the commission of an act of perjury is a necessary element of ²⁴⁸
subornation. Although the authorities are exceptionally sparse, it appears that to suborn one
must know that the induced statement is false and that at least to suborn under Section 1621 one ²⁴⁹
must also knowingly and willfully induce. Subornation is only infrequently prosecuted as such
perhaps because of the ease with which it can now be prosecuted as an obstruction of justice

^(...c^on^tin^ue^d)
^not,^{it i}^t^se^lf^{, be}^suf^fⁱ^cⁱ^eⁿ^{t, if}^be^lie^v^e^{d to su}^pp^{ort a}^c^o^nv^ic^tion”^).
²⁴²^Uⁿ^ite^d^St^ate^s^v^.^M^c^K^e^nna^,³^{27 F}^.^{3d 83}^{0, 83}⁹⁽⁹^th^Cⁱ^r^.²⁰⁰³⁾^;^Uni^t^ed^S^t^a^t^{es v.}^R^o^b^e^rt^s^{, 3}⁰⁸^F.^3d¹¹^47,¹¹⁵⁵⁽¹¹^th
^Cⁱ^r^.²⁰⁰²⁾^;^Uⁿ^ite^{d State}^s^v^.^Alleⁿ^,⁸⁹^{2 F}^.²^d⁶⁶^,⁶⁷⁽¹⁰^th^Cⁱ^r^.¹⁹⁸⁹⁾^;^Uⁿ^ite^d^State^s^v^.^M^a^r^eⁿ^o^M^o^r^a^le^s^,⁸¹⁵^F.^2d⁷²^5,^st
⁷⁴⁷⁽¹^Cⁱ^r^.¹⁹⁸⁷⁾^.
²⁴³^Uⁿ^ite^d^St^ate^s^v^.^N^o^r^rⁱ^s^,³⁰^{0 U}^.^S^.⁵⁶^4,⁵⁷^{4 (}¹⁹³⁷⁾⁽^e^m^pha^sⁱ^s^a^dde^d⁾^.
²⁴⁴^Uⁿ^ite^d^St^ate^s^v^.^Ros^e^,²¹^{5 F}^.²^d⁶^17,⁶²^2-^{23 (}³^d^Cⁱ^r^.¹⁹⁵⁴⁾^.
²⁴⁵^Uⁿ^ite^d^St^ate^s^v^.^Fr^ie^dm^aⁿ^{, 85}⁴^F^.^{2d 53}^{5, 56}⁰⁽^2d^Cⁱ^r^.¹⁹⁸⁸⁾^;^Unⁱ^t^ed^S^t^a^t^{es v.}^Mo^un^t^s^{, 35 F.3}^d¹²⁰⁸^,¹²¹⁹⁽⁷^th^Cir.
¹⁹⁹⁴⁾^.
²⁴⁶^Uⁿ^ite^d^St^ate^s^v^.^N^o^r^rⁱ^s^,³⁰^{0 U}^.^S^.⁵⁶^4,⁵⁷^{4 (}¹⁹³⁴⁾^;^Uⁿⁱ^t^e^{d S}^t^a^t^{es v.}^McA^f^ee^{, 8 F.}^3d¹⁰^10,¹⁰¹⁷⁽⁵^th^Cⁱ^r^.¹⁹⁹³⁾^.
²⁴⁷^Uⁿ^ite^d^St^ate^s^v^.^En^do^,⁶³^{5 F}^.²^d³²¹^,³²^{2 (}⁴^th^Cⁱ^r^.¹⁹⁸⁰⁾^.
²⁴⁸^Uⁿ^ite^d^St^ate^s^v^.^H^a^ir^s^t^oⁿ^,⁴⁶^F.³^d³^61,³^{76 (}⁴^th^Cⁱ^r^.¹⁹⁹⁵⁾⁽ⁱ^f^the^u^nde^r^l^yⁱ^ng^pe^r^j^ur^y^c^onv^ic^{tion is}^r^e^v^e^r^s^e^d^f^o^r
ⁱⁿ^su^f^fⁱ^ci^en^t^evi^d^en^ce,^t^h^{e su}^bo^rn^a^tⁱ^o^{n c}^onv^ic^tio^{n m}^u^{st lik}^e^w^ise^be^r^e^v^e^rs^e^d^);^{see a}^l^so^,^Uⁿⁱ^t^e^d^S^t^a^t^es^v.^Sⁱ^l^vermaⁿ^,⁷⁴⁵^th
^F^.^2d¹³⁸⁶^,¹³⁹⁴⁽¹¹^Cⁱ^r^.¹⁹⁸⁴⁾^.
²⁴⁹^Rose^{n v}^.^N^.^L.R^.^B.^,⁷^{35 F.2}^d⁵⁶^{4, 575}^n.¹⁹⁽⁴^th^Ci^r.¹⁹⁸⁰^)(“i^tⁱ^s^t^r^u^e^t^h^at^{a n}^ecessar^y^p^r^edⁱ^cat^{e o}^f^t^h^e^ch^{arge o}^f
^s^ubor^na^tioⁿ^of^pe^r^j^ur^y^is^the^s^u^b^o^r^ne^r^’^s^be^lie^f^tha^t^the^te^s^tim^ony^s^oug^{ht is}ⁱⁿ^f^a^c^t^f^a^lse^”⁾^;^Pe^tite^v^.^Unite^d^Sta^t^e^s^{, 2}⁶²^th
^F^.^2d⁷⁸^8,⁷⁹^{4 (}⁴^Cⁱ^r^.¹⁹⁵⁹⁾⁽^“^[ⁱ^]^t^is^e^s^s^e^ntia^{l to s}^u^b^o^rⁿ^a^tⁱ^on^of^pe^r^j^ur^y^tha^t^the^s^u^b^o^rⁿ^e^r^s^h^o^u^ld^ha^v^e^k^now^{n or}
^be^lie^v^e^{d or}^ha^v^e^ha^d^g^o^o^d^r^e^a^s^on^to^be^lie^v^e^tha^t^the^te^s^tim^ony^gⁱ^v^e^{n w}^ould^be^f^a^ls^e^,^tha^t^he^s^h^ou^ld^h^a^v^e^kⁿ^o^w^{n or}
^be^lie^v^e^{d tha}^t^t^h^e^w^itne^{ss w}^{ould te}^stify^w^ill^f^u^lly^a^{nd c}^o^rruptly^{, a}^nd^w^{ith k}^now^le^dg^e^of^the^f^a^ls^it^y^;^a^{nd tha}^t^he^s^h^oul^d
^ha^v^e^k^now^ing^l^y^a^{nd w}^ill^f^u^lly^induc^e^d^or^pr^oc^ur^e^d^t^h^e^w^itne^s^s^{to g}ⁱ^v^e^s^u^c^h^f^a^ls^e^te^s^tⁱ^m^on^y^”⁾⁽^Pe^tite^oⁿ^l^y^re^f^e^{rs to}
^Se^c^tion¹⁶²¹^sⁱ^nc^e^{it w}^a^s^de^cⁱ^de^d^pr^ior^to^the^eⁿ^a^c^t^m^e^{nt of}^Se^c^tion¹⁶²³⁾^.

under either 18 U.S.C. 1503 or 1512²⁵⁰ which unlike Section 1622 do not insist upon suborner ²⁵¹
success as a prerequisite to prosecution.
The general false statement statute, 18 U.S.C. 1001, outlaws false statements, concealment, or
false documentation in any matter within the jurisdiction of any of the three branches of the ²⁵²
federal government, although it limits application in the case of Congress and the courts. More
specifically it states:
I. Except as otherwise provided in this section,
II. whoever, in any matter within the jurisdiction of the executive, legislative, or judicial
branch of the Government of the United States,
III. knowingly and willfully –
IV. a. falsifies, conceals, or covers up by any trick, scheme, or device a material fact;
b. makes any materially false, fictitious, or fraudulent statement or representation; or
c. makes or uses any false writing or document knowing the same to contain any
materially false, fictitious, or fraudulent statement or entry;
shall be fined under this title, imprisoned not more than 5 years or, imprisoned not more than

8 years if the offense involves international or domestic terrorism (as defined in section 2331)

or if the matter relates to an offense under chapter 109A (sexual abuse), 109B (sex offender
registration), 110 (sexual exploitation), or 117 (transportation for illicit sexual purposes), or ²⁵³
Section 1591 (sex trafficking).

²⁵⁰^Unite^d^St^ate^s^v^.^M^ille^r^{, 1}^61F^.3^d⁹⁷⁷^{, 9}⁸²^-⁸⁴⁽⁶^th^Cⁱ^r^.¹⁹⁹⁸⁾^.
²⁵¹^18U^.^S^.C^.¹⁵⁰³⁽^e^m^pha^sⁱ^s^a^dde^d)⁽^“^W^hoe^v^e^r^{. . .}^eⁿ^de^av^or^s^to^inf^l^ue^nc^e^,^o^b^s^t^r^u^c^t^,^or^im^pe^de^the^du^e^a^d^mⁱ^nis^t^r^a^tion
^of^jus^tic^e^{. . .”}⁾^;¹⁵¹²⁽^b⁾⁽^e^m^pha^sⁱ^s^a^dde^d)⁽^“^W^hoe^v^e^r^{. .}^{. c}^o^r^r^upt^l^y^pe^r^s^ua^de^s^a^nothe^r^pe^r^s^oⁿ^,^or^a^t^t^e^m^p^ts^{to d}^o^s^o^.^{. .}
^wⁱ^t^hⁱⁿ^t^eⁿ^t^t^oⁱⁿ^f^l^u^eⁿ^{ce .}^.^.^t^h^{e t}^e^stⁱ^m^oⁿ^y^o^f^an^y^p^e^rsoⁿⁱⁿ^an^o^f^fⁱ^ci^a^l^p^r^o^ceedⁱⁿ^{g .}^.^.^”^).
²⁵²^T^h^e^r^e^a^r^e^sc^ore^s^of^m^o^re^li^m^ite^{d f}^a^ls^e^sta^t^e^m^eⁿ^{t sta}^t^ute^s^tha^t^re^la^te^to^pa^rtic^ula^r^a^g^eⁿ^cⁱ^e^s^{or a}^c^tiv^itie^{s a}^{nd i}ⁿ^c^l^u^d^e⁸
^U^.^S.C^.¹¹⁶⁰⁽^b)⁽⁷⁾⁽^A⁾⁽^a^pplic^a^tⁱ^o^ns^f^o^r^im^mⁱ^g^r^a^{tion s}^t^a^t^us⁾^;¹⁵^U^.^S.C^.¹⁵⁸⁽^C^hi^na^T^r^a^d^e^A^c^{t c}^o^r^por^a^t^e^pe^r^s^onne^l)^;¹⁵
^U^.^S.C^.⁶⁴^{5 (}^S^m^a^{ll B}^u^sⁱ^ne^s^s^A^d^mⁱ^nis^t^r^a^tioⁿ⁾^;¹⁵^U^.^S.C^.⁷^14m⁽^C^om^m^odit^y^C^r^e^d^{it C}^o^r^p^or^a^tioⁿ⁾^;¹⁶^U^.^S.C^.⁸³^{1t (}
^T^V^A⁾^{; 18 U}^.^S.C^.¹^{52 (}^ba^nk^r^u^ptc^y⁾^;^{18 U}^.^S.C^.²⁸^{7 (}^f^a^l^s^e^or^f^r^a^udu^le^{nt c}^l^aⁱ^m^s^ag^aⁱ^ns^{t the}^Uⁿ^ite^d^Sta^t^e^s⁾^;^{18 U}^.^S.C^.²⁸⁸
⁽^pos^ta^{l l}^o^s^s^e^s⁾^{; 18}^U^.^S.C^.²^{89 (}^p^eⁿ^sⁱ^ons⁾^;¹⁸^U^.^S^.^C^.⁵⁴^{1 (}^e^ntr^y^of^goods^f^a^ls^e^l^y^c^l^a^s^sⁱ^fⁱ^e^d⁾^;^{18 U}^.^S.C^.⁵⁴^{2 (}^e^ntr^y^of
^g^oods^by^m^e^aⁿ^s^of^f^a^ls^e^s^t^a^t^em^eⁿ^ts⁾^;¹⁸^U^.^S.C^.⁵^{50 (}^r^e^f^{und of}^d^u^ti^e^s⁾^;^{18 U}^.^S.C^.¹⁰⁰³⁽^f^r^a^uduleⁿ^t^c^l^aⁱ^m^s^a^g^aⁱ^ns^{t the}
^Uⁿ^ite^{d S}^t^a^t^e^s⁾^;¹⁸^U^.^S.C^.¹⁰⁰⁷⁽^F^D^I^C^tr^aⁿ^s^a^c^tions⁾^;^{18 U}^.^S.C^.¹⁰¹¹⁽^f^e^d^e^r^a^l^la^{nd ba}^nk^m^o^r^t^g^a^g^e^tr^ans^a^c^tions⁾^;¹⁸
^U^.^S.C^.¹⁰^{14 (}^l^oaⁿ^or^c^r^e^d^it^a^p^p^lic^a^tionsⁱⁿ^w^h^ic^{h t}^h^e^Uⁿ^ite^d^Sta^t^e^s^ha^s^aⁿⁱⁿ^te^r^e^s^t⁾^;¹⁸^U^.^S.C^.¹⁰¹⁵⁽ⁿ^a^t^ur^a^liz^a^tio^n,
^c^itiz^eⁿ^s^h^ip^or^a^lieⁿ^r^e^gⁱ^s^t^r^y⁾^;¹⁸^U^.^S.C^.¹⁰^{19 (}^f^a^l^s^e^c^e^r^tif^ica^{tion b}^y^c^ons^ula^r^of^fⁱ^c^e^r⁾^;^{18 U}^.^S.C^.¹⁰²⁰⁽^h^ig^hw^ay
^proje^c^t^{s); 1}⁸^U.^S.C.^{1 0}²²^(f^a^l^se^c^e^rtif^ic^a^{tion c}^onc^e^rⁿⁱ^ng^m^a^t^e^ria^l^{for the}^m^ilita^ry^{); 18 U.S.C.}¹⁰²⁷⁽^E^RISA^{); 18 U.S}^.^C.
¹⁵⁴^{2 (}^p^a^s^s^por^t^a^ppl^ic^a^tions⁾^;¹⁸^U^.^S.C^.¹⁵^{46 (}^f^r^a^ud^{in c}^o^nne^c^tⁱ^on^w^{ith v}ⁱ^s^a^s^,^pe^r^m^its^a^{nd ot}^he^r^d^o^c^u^m^e^nts⁾^{; 22 U}^.^S^.^C^.
¹⁹⁸^{0 (}^c^om^pe^ns^a^tio^{n f}^o^r^los^s^of^c^o^m^m^e^r^c^ia^l^fⁱ^s^h^ing^v^e^s^s^e^l^or^g^e^a^r⁾^;^{22 U}^.^S.C^.⁴²²¹⁽^A^m^e^rⁱ^ca^{n dipl}^o^m^a^tic^pe^r^s^onne^l)^;
^{22 U}^.^S.C^.⁴²²²⁽^p^r^e^s^e^nta^tⁱ^on^of^f^o^r^g^e^d^doc^um^eⁿ^ts^{to U}ⁿ^ite^{d Sta}^t^e^s^f^o^r^e^ig^{n s}^e^r^v^ic^e^pe^r^s^onne^l)^{; 4}²^U^.^S.C^.⁴⁰⁸⁽^o^l^d^a^g^e
^cl^ai^m^s^);⁴²^U.^S^.^C^.¹³²⁰^a-7b^(M^e^dⁱ^care).
²⁵³^{18 U}^.^S.C^.¹⁰⁰¹⁽^a⁾^.^F^o^r^a^d^diti^on^dis^c^us^sⁱ^on^of^Se^c^tion¹⁵¹²^s^e^e^,^T^w^en^t^y^-S^ecoⁿ^d^Su^{rvey o}^f^Whⁱ^t^e^C^o^l^l^a^{r Cri}^m^e:
^F^a^l^s^{e S}^t^a^t^emen^t^s^an^{d F}^a^l^s^{e Cl}^aⁱ^ms^{, 44 A}^ME^RI^C^A^N^C^RI^MI^N^A^L^L^AW^R^EV^IE^W⁴⁹¹⁽²⁰⁰⁷⁾^.

The courts’ description of the elements will ordinarily be limited to whichever of the forms of ²⁵⁴²⁵⁵²⁵⁶
misconduct – false statement, concealment, or false documentation – is implicated in the
particular case. In addition, Section 1001 imposes a limitation upon an offense that involves
matters within the jurisdiction of either the judicial or legislative branch:
⁽^b⁾^Su^b^s^ectioⁿ⁽^a⁾^d^o^{es n}^o^{t ap}^p^l^y^to^{a p}^a^r^t^y^to^{a j}^u^dicial^proc^eedin^g^,^or^t^h^a^t^p^a^r^t^y'^{s c}^o^unse^l^,
^f^o^{r s}^t^at^e^m^eⁿ^t^s^{, repres}^en^t^a^tⁱ^ons,^w^rⁱ^tⁱⁿ^g^s^{or docu}^m^eⁿ^t^s^su^b^mⁱ^t^t^e^{d by}^su^ch^part^y^or^c^o^uⁿ^s^e^l^t^o
^{a j}^u^dg^{e or m}^a^gⁱ^s^t^{rate i}ⁿ^t^h^{at proceedin}^g^.
⁽^c⁾^W^ith^r^e^sp^{ect to}^an^y^m^a^t^t^er^wⁱ^t^hⁱⁿ^th^{e j}^u^rⁱ^sd^ictioⁿ^o^f^th^{e le}^gⁱ^sla^tiv^{e b}^r^an^c^h^{, su}^b^s^e^c^tⁱ^oⁿ⁽^a⁾
^sh^{all ap}^p^l^y^oⁿ^l^y^to^–⁽¹⁾^ad^mⁱⁿⁱ^str^a^ti^v^e^m^a^tter^s^{, in}^cl^u^dⁱⁿ^g^a^clai^m^f^o^r^p^a^y^m^eⁿ^{t, a m}^a^tter
^rel^a^t^e^{d t}^o^t^h^{e procu}^r^e^m^eⁿ^t^o^f^propert^y^{or s}^e^rvⁱ^c^e^s^{, pers}^onn^e^l^{or e}^m^pl^o^y^m^eⁿ^t^practⁱ^ces^{, or}
^s^u^{pport s}^e^rv^ices^{, or a docum}^eⁿ^{t requ}^{ired by}^la^w^,^r^u^{le, or re}^g^u^l^a^tion^{to be s}^u^b^m^{itted to th}^e
^C^ong^res^s^{or any}^offⁱ^{ce or of}^fⁱ^cer^wⁱ^t^hⁱⁿ^t^h^{e l}^e^gⁱ^s^l^ati^v^{e branch}^{; or (2) an}^yⁱⁿ^v^e^s^t^ig^atioⁿ^or
^r^e^vi^e^w^,^c^o^nd^uc^t^e^d^p^u^r^s^ua^nt^t^o^t^h^e^a^u^t^h^o^rⁱ^t^y^o^f^aⁿ^y^co^m^mⁱ^t^t^e^e^,^s^u^bco^m^mⁱ^t^t^ee,^co^m^mⁱ^ssⁱ^oⁿ^o^r
^of^fⁱ^ce^of^t^h^e^C^oⁿ^g^r^ess^,^consⁱ^s^t^eⁿ^t^wⁱ^t^h^applⁱ^cabl^e^ru^l^e^s^{of t}^h^{e H}^o^u^s^e^{or S}^eⁿ^a^t^e^{. 18 U}^.^S^.^C^.
¹⁰⁰¹^(b),^(c).
Those limitations constitute elements of the offense in such cases.²⁵⁷
A matter is within the jurisdiction of a federal entity when it involves a matter “confided to the
authority of a federal agency or department . . . A department or agency has jurisdiction, in this
sense, when it has power to exercise authority in a particular situation. Understood in this way,
the phrase ‘within the jurisdiction’ merely differentiates the official, authorized functions of a ²⁵⁸
agency or department from matters peripheral to the business of that body.” Several courts have
held that the phrase contemplates coverage of false statements made to state, local, or private ²⁵⁹
entities but relating to matters that involve federal funds or regulations. Subsection 1001(b)

²⁵⁴^Unⁱ^t^e^d^S^t^a^t^{es v.}^B^l^a^ckwel^l^{, 45}⁹^F^.^{3d 73}^{9, 76}¹⁽⁶^th^{Cir. 2}⁰⁰⁶^)(“^Se^c^tion¹⁰⁰¹^of^T^itle¹⁸^pro^h^ib^{its a}ⁿ^y^pe^rson^f^r^om
^{(1) ‘k}^now^ing^l^y^a^{nd w}ⁱ^l^f^ully^{’; (2) ‘m}^a^k^ing^aⁿ^y^m^a^t^e^ria^l^f^a^l^s^e^,^fⁱ^c^titi^ous^,^{or f}^r^a^uduleⁿ^{t s}^t^a^t^e^m^eⁿ^{t or re}^pre^s^eⁿ^ta^tion’^{; (3)}
^‘iⁿ^an^y^mat^t^e^r^wⁱ^t^hⁱⁿ^t^h^{e j}^u^rⁱ^sdⁱ^c^tⁱ^oⁿ^o^f^t^h^{e execu}^tⁱ^v^e,^l^e^gi^sl^atⁱ^v^{e ,}^o^r^j^u^dⁱ^ci^al^b^r^an^ch^o^f^t^h^{e G}^o^vern^men^t^o^f^t^h^{e Un}ⁱ^t^ed^th^st
^S^t^at^es”);^Uⁿ^ite^{d State}^s^v^.^Ric^e^{, 4}⁴⁹^F.^3d⁸^87,⁸^{92 (}⁸^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^d^Sta^t^e^s^v^.^Hatc^h^,⁴^{34 F.}^{3d 1, 5}⁽¹^Cⁱ^r^.²⁰⁰⁶⁾^;^th
^Uⁿ^ite^d^State^s^v^.^C^a^m^p^e^r^,³⁸^{4 F.}³^d¹⁰⁷³^,¹⁰^{75 (}⁹^Cⁱ^r^.²⁰⁰⁴⁾^.
²⁵⁵^Uⁿ^ite^d^St^ate^s^v^.^M^oor^e^,⁴⁴^{6 F.}^3d⁶⁷^1,⁶⁷^{7 (}⁷^th^Cⁱ^r^.²⁰⁰⁶⁾⁽^“^W^e^ha^ve^ideⁿ^tif^ie^{d the}^fⁱ^v^e^e^l^em^eⁿ^ts^of^a^‘^f^a^l^se
^s^t^a^t^em^eⁿ^t’^c^h^a^r^g^e^unde^r^§¹⁰⁰¹⁽^a⁾⁽²⁾^.^{. . (}¹⁾^t^h^e^de^f^e^nda^{nt m}^u^s^t^{. .}^ha^v^e^a^duty^{to dis}^c^los^e^t^h^e^inf^o^r^m^a^{tion; (}²⁾^.^{. .}^the^r^e
^m^u^st^b^e^act^{s a}^m^o^uⁿ^tⁱⁿ^{g t}^o^coⁿ^cea^l^m^en^t^;⁽³^{) t}^h^{e .}^.^.^c^oⁿ^ceal^ed^f^act^{s m}^u^st^b^e^m^a^t^e^ri^al^;⁽⁴^{) t}^h^{e p}^e^rson^m^u^st^.^.^.^con^ceal
^th^{e f}^{acts k}ⁿ^o^wⁱⁿ^g^l^y^an^d^w^illf^u^l^l^y^;^an^d⁽⁵^{) t}^h^{e . .}^{. co}ⁿ^cealedⁱⁿ^f^o^rmatioⁿ^m^u^{st co}ⁿ^cern^a^m^a^{tter w}^ithⁱⁿ^th^e^ju^ris^d^ictioⁿ
^of^a^f^e^de^r^a^{l de}^pa^r^t^m^e^{nt or}^a^g^eⁿ^cy^”⁾^.
²⁵⁶^Uⁿ^ite^d^St^ate^s^v^.^M^c^G^aule^y^,²⁷⁹^F^.^3d⁶²^,⁶⁹⁽¹^st^Cⁱ^r^.²⁰⁰²⁾⁽^“^To^est^a^b^lⁱ^s^h^{a vi}^ol^atⁱ^oⁿ^o^f¹⁸^U.^S^.^C^.¹⁰⁰¹^,^th^e
^g^o^v^e^rn^m^e^{nt m}^u^{st prov}^e^tha^t^the^d^e^fe^nda^{nt k}ⁿ^o^wⁱ^ng^l^y^a^nd^w^illf^ull^y^m^a^de^{or use}^d^a^f^a^lse^w^r^iting^{or do}^c^u^m^e^{nt, in}
^re^la^{tion t}^o^a^m^a^tte^{r w}^{ith the}^jurisd^ic^tion^of^the^Unite^d^Sta^t^e^s^g^o^v^e^rn^m^e^{nt w}^{ith k}^now^le^dg^e^of^its^f^a^lsit^y^”^);^Uⁿ^ite^{d St}^ate^s^th
^v.^B^l^an^ken^shⁱ^p^{, 3}⁸²^F.^3d¹¹¹⁰^{, 1}¹³¹^-¹^{32 (}¹¹^Cⁱ^r^.²⁰⁰⁴⁾^.
²⁵⁷^Uⁿ^ite^d^St^ate^s^v^.^H^o^r^v^at^h^,⁴⁹^{2 F.}^3d¹⁰^75,¹⁰⁷⁷⁽⁹^th^Cⁱ^r^.²⁰⁰⁷⁾^;^Uni^t^e^d^S^t^a^t^{es v.}^Pⁱ^cket^t^,³⁵^{3 F}^.³^d⁶²^,⁶⁶^-⁶^{9 (}^D^.C^.
^Cⁱ^r^.²⁰⁰⁴⁾^.
²⁵⁸^Uⁿ^ite^d^St^ate^s^v^.^Ro^dge^r^s^,⁴⁶⁶^U.S^.⁴⁷^5,⁴⁷^{9 (}¹⁹⁸⁴⁾^;^Unⁱ^t^ed^S^t^a^t^{es v.}^A^t^a^lⁱ^g^,⁵⁰^{2 F}^.³^d¹⁰⁶³^,¹⁰⁶⁸⁽⁹^th^Cⁱ^r^.²⁰⁰⁷⁾^;
^Unⁱ^t^e^d^S^t^a^t^es^v.^B^l^an^ken^shⁱ^p^,³⁸²^F.3^d¹¹^10,¹¹³⁶⁽¹¹^th^Cⁱ^r^.²⁰⁰⁴⁾^;^Uⁿ^ite^d^St^ate^s^v^.^W^h^ite^,²⁷^{0 F.}^3d³⁵⁶^{, 3}⁶³⁽⁶^th^Cir.
²⁰⁰¹⁾^.
²⁵⁹^Uⁿ^ite^d^St^ate^s^v^.^W^h^ite^,²⁷^{0 F.}^3d³⁵⁶^{, 3}⁶³⁽⁶^th^Cir.²⁰^01)(“^W^e^ha^v^e^{in t}^h^e^pa^{st l}^ook^e^d^t^o^w^h^e^t^he^{r th}^e^eⁿ^tity^{to w}^h^ic^h
^t^h^{e st}^at^em^en^t^s^w^e^re^mad^e^recei^ve^d^f^e^d^e^ral^su^p^p^o^r^t^and^/^o^r^w^a^{s su}^b^j^ect^t^o^f^e^d^e^ral^regu^l^a^tⁱ^oⁿ^”^);^Unⁱ^t^{ed S}^t^at^{es v.}^Da^vi^s^{, 8}
^F^.^3d⁹²^3,⁹²^{9 (2d}^Ci^r.¹⁹⁹³^)(“Iⁿ^si^t^u^atⁱ^oⁿ^sⁱⁿ^w^hⁱ^c^h^{a f}^e^d^e^ral^agen^c^yⁱ^s^o^v^erseeiⁿ^g^{a st}^at^e^agen^c^y^,ⁱ^tⁱ^s^t^h^{e m}^e^re
^exi^s^t^eⁿ^{ce o}^f^t^h^{e fed}^e^ral^agen^c^y^’s^s^upe^rv^isory^a^u^thority^tha^t^{is im}^po^rtaⁿ^{t to}^de^te^rm^ining^juris^d^ic^tio^n”⁾^,^c^ontr^a^,^Un^ite^d^th
^S^t^a^t^{es v.}^B^l^an^ken^shⁱ^p^,³⁸²^F.^3d¹¹¹⁰^{, 1}¹³⁹^,¹¹⁴¹⁽¹¹^Ci^r.²⁰⁰⁴⁾⁽^e^m^p^h^a^si^{s i}ⁿ^t^h^{e o}^rⁱ^gⁱⁿ^al⁾^(“T^h^{e cl}^ear,ⁱⁿ^dⁱ^s^p^u^t^abl^e
^hol^ding^of^Loweⁱ^s^t^h^at^{a m}ⁱ^srep^r^e^sen^t^atⁱ^oⁿ^m^a^d^e^t^o^{a p}^rⁱ^v^at^{e co}^mp^an^y^coⁿ^cernⁱⁿ^g^{a p}^r^oj^ect^t^h^atⁱ^s^t^h^{e su}^b^j^ect^o^f^a
^coⁿ^t^ract^b^e^t^w^een^t^h^at^co^m^p^an^y^aⁿ^d^t^h^{e f}^e^d^e^ral^go^vern^m^eⁿ^t^d^o^e^s^no^t^c^o^ns^titu^te^a^mⁱ^s^r^e^p^re^s^e^nta^tion^a^bout^a^m^a^tte^r
⁽^c^onti^nue^d.^..)

precludes application of prohibitions in Section 1001(a) to the statements, omissions, or
documentation presented to the court by a party in judicial proceedings. This includes statements ²⁶⁰
of indigency filed by a defendant seeking the appoint of counsel, or by a defendant for a ²⁶¹
probation officer’s presentence report; but not statements made by one on supervised release to ²⁶²
a parole officer.
Although the offense can only be committed “knowingly and willfully,” the prosecution need not
prove that the defendant knew that his conduct involved a “matter within the jurisdiction” of a ²⁶³²⁶⁴
federal entity nor that he intended to defraud a federal entity. Instead, the phrase “knowingly
and willfully” refers to the circumstances under which the defendant made his statement, omitted
a fact he was obliged to disclose, or included with his false documentation, i.e., “that the
defendant knew that his statement was false when he made it or – which amounts in law to the ²⁶⁵
same thing – consciously disregarded or averted his eyes from the likely falsity.”
Prosecution for a violation of Section 1001 requires proof of materiality, as does conviction for
perjury, and the standard is the same: the statement must have a “natural tendency to influence, or ²⁶⁶
be capable of influencing the decisionmaking body to which it is addressed.” There is no need ²⁶⁷
to show that the decision maker was in fact diverted or influenced.
Conviction for false statements or false documentation under Section 1001 also requires that the ²⁶⁸
statements or documentation be false, that they not be true. And the same can be said of the
response to a question that is so fundamentally ambiguous that the defendant’s answer cannot be ²⁶⁹
said to be knowingly false. On the other hand, unlike the perjury provision of Section 1623,

^(...c^on^tin^ue^d)
^wⁱ^t^hⁱⁿ^t^h^{e j}^u^ri^sdⁱ^c^tⁱ^on^o^f^t^h^{e f}^e^d^e^ral^go^vern^men^t^.^.^.^.^Becau^{se n}^eⁱ^t^h^e^r^Loweⁿ^o^tⁱ^t^s^cen^t^r^al^h^o^l^dⁱⁿ^g^{has ever b}^een
^ov^e^r^r^u^le^{d .}^{. .}^{it r}^e^m^a^ins^g^{ood la}^w^”⁾^.
²⁶⁰^Uⁿ^ite^d^St^ate^s^v^.^M^c^N^e^il^{, 36}^{2 F}^.³^d⁵^70,⁵^{73 (}⁹^th^{Cir. 2}⁰⁰⁴⁾⁽^but^obs^e^r^vⁱ^ng^tha^t^“^[^s^]^u^b^m^itting^a^f^a^lse^CJA^-^{23 f}^o^r^m
^m^a^y^s^ubje^c^t^a^de^f^e^nda^{nt to c}^r^imⁱⁿ^a^l^lia^bility^un^de^{r ot}^he^{r s}^t^a^t^ute^s^{, f}^o^{r e}^x^am^ple^,^unde^r^{18 U}^.^S.C.¹⁶²¹^,^the^g^e^ne^ra^l
^st^at^u^t^{e o}ⁿ^p^e^rj^u^r^y^,^o^r¹⁸^U.^S^.^C.¹⁶²³^,^w^hⁱ^c^h^puⁿⁱ^sh^{es t}^h^{e m}^a^kiⁿ^g^o^f^{a fal}^s^e^m^a^t^e^ri^al^d^ecl^ar^atⁱ^oⁿⁱⁿ^aⁿ^y^p^r^o^ceedⁱⁿ^g,
^be^f^o^re^{, or a}ⁿ^c^illa^ry^{to, a}ⁿ^y^c^ourt”^).
²⁶¹^Uⁿ^ite^d^St^ate^s^v^.^H^o^r^v^at^h^,⁴⁹^{2 F.}^3d¹⁰^75,¹⁰⁷⁸^-¹⁰⁸^{1 (}⁹^th^Cir.²⁰⁰⁷^).
²⁶²^Uⁿ^ite^d^St^ate^s^v^.^C^u^r^tis^{, 23}⁷^F^.^3d⁵⁹⁸^,⁶⁰^{5 (}⁶^th^Cⁱ^r^.²⁰⁰¹⁾^.
²⁶³^Uⁿ^ite^d^St^ate^s^v^.^Ye^r^m^ian^,⁴⁶^{8 U.S}^.⁶³^,⁷⁵⁽¹⁹⁸⁴⁾^;^Uⁿⁱ^t^e^d^State^s^v^.^G^onz^ale^s^,⁴³^{5 F}^.³^d⁶⁴^,⁷²⁽¹^st^Cⁱ^r^.²⁰⁰⁶⁾^.
²⁶⁴^Uⁿ^ite^d^St^ate^s^v^.^G^onz^ale^s^{, 4}³⁵^F.^3d^64,⁷²⁽¹^st^Cⁱ^r^.²⁰⁰⁶⁾^.
²⁶⁵^Id^.;^Uⁿⁱ^t^e^{d S}^t^a^t^{es v.}^Du^cl^o^s^,²¹⁴^F^.^3d²⁷^,³³⁽¹^st^Cⁱ^r^.²⁰⁰⁰⁾^;^Unⁱ^t^ed^S^t^a^t^{es v.}^Hsi^a^{, 1}⁷⁶^F.^3d⁷¹^6,⁷²^1-²²⁽^D^.C^{. C}ⁱ^r^.
¹⁹⁹⁹⁾^;^Uⁿⁱ^t^e^{d S}^t^a^t^{es v.}^Hoo^ver^,¹^{75 F.3}^d⁵⁶^{4, 571}⁽⁷^th^Cⁱ^r^.¹⁹⁹⁹⁾^.
²⁶⁶^Uⁿ^ite^d^St^ate^s^v^.^J^o^hⁿ^s^oⁿ^,⁴⁸^{5 F.}^3d¹²^64,¹²⁷⁰⁽¹¹^th^Cⁱ^r^.²⁰⁰⁷⁾^;^Uⁿ^ite^d^Sta^t^e^s^v^.^M^c^Bane^,⁴³^{3 F.}^3d³⁴⁴^{, 3}⁵⁰⁽³^{d C}ⁱ^r^.
²⁰⁰⁵⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Ste^w^ar^t^{, 4}^{33 F.3}^d²⁷^{3, 318}⁽²^d^Cⁱ^r^.²⁰⁰⁶⁾^;^Uⁿ^ite^d^State^s^v^.^M^itc^he^ll^,³⁸^{8 F}^.^3d¹¹³⁹^,¹¹⁴³⁽⁸^th^th
^Cⁱ^r^.²⁰⁰⁴⁾^;^Uⁿ^ite^{d State}^s^v^.^Finⁿ^,³⁷⁵^F^.³^d¹⁰³³^,¹⁰³⁸⁽¹⁰^Cⁱ^r^.²⁰⁰⁴⁾^.
²⁶⁷^Uⁿ^ite^d^St^ate^s^v^.^M^c^Bane^,⁴³^{3 F}^.^3d³⁴^4,³⁵^{0 (}³^{d C}ⁱ^r^.²⁰⁰⁵⁾^,^qu^otiⁿ^g^,^Uⁿ^ite^d^St^ate^s^v^.^G^a^udiⁿ^,⁵¹⁵^U.^S^.⁵⁰^6,⁵¹²
⁽¹⁹⁹⁵⁾^;^Uⁿ^ite^d^St^ate^s^v^.^Ste^w^ar^t^,⁴²⁰^F^.³^d¹⁰⁰⁷^,¹⁰¹⁹⁽⁹^th^Cⁱ^r^.²⁰⁰⁵⁾^;^Unⁱ^t^ed^S^t^a^t^{es v.}^Mi^t^c^h^e^l^l^,³⁸⁸^F^.^3d¹¹³⁹^,¹¹⁴³^th^th
⁽⁸^Cⁱ^r^.²⁰⁰⁴⁾^;^Unⁱ^t^ed^S^t^a^t^{es v.}^H^a^sn^er^{, 3}⁴⁰^F.^3d¹²⁶¹^{, 1}²⁷³^-²⁷⁴⁽¹¹^Cⁱ^r^.²⁰⁰³⁾^.
²⁶⁸^Uⁿ^ite^d^St^ate^s^v^.^G^o^o^d^,³²^{6 F}^.³^d⁵⁸⁹^{, 5}⁹²⁽⁴^th^Ci^r.²⁰⁰³^)(“T^h^{e p}^rⁱⁿ^ci^p^l^{e art}ⁱ^c^u^l^at^{ed i}ⁿ^B^r^on^st^on^ho^ld^{s t}^r^u^e^f^o^r
^c^onv^ic^tions^un^de^r^Se^c^tioⁿ¹⁰^01.^.^{. W}^e^c^a^{nnot u}^p^h^o^l^d^a^c^o^nv^ic^tion^.^{. . w}^h^e^r^e^the^a^lle^g^e^{d s}^t^a^t^e^m^eⁿ^{t f}^o^r^m^ing^the^ba^sⁱ^s^of^th
^{a vi}^o^l^atⁱ^o^{n o}^f^S^ectⁱ^o^{n 10}⁰¹ⁱ^s^t^r^u^e^oⁿⁱ^t^s^f^ace”);^Uⁿ^ite^{d Sta}^t^e^s^v^.^Ed^w^a^r^d^s^,³⁰^{3 F.}^3d⁶^06,⁶^{37 (}⁵^Cⁱ^r^.²⁰⁰²⁾^;^Unite^d^th
^State^s^v^.^K^o^s^t^h^,²^{57 F.3}^d⁷¹^{2, 71}⁹⁽⁷^Cⁱ^r^.²⁰⁰¹⁾^.
²⁶⁹^Unite^d^St^ate^s^v^.^Cull^itoⁿ^,³²^{8 F}^.³^d¹⁰⁷⁴^,¹⁰^{78 (}⁹^th^Cⁱ^r^.²⁰⁰³⁾^;^Uⁿⁱ^t^ed^S^t^a^t^{es v.}^Goo^d^,³^{26 F.3}^d⁵⁸^{9, 592}⁽⁴^th^Cir.
²⁰⁰³⁾^;^c^f^{., U}ⁿ^ite^d^State^s^v^.^M^a^r^tⁱⁿ^,³⁶^{9 F}^.³^d¹⁰⁴⁶^,¹⁰⁶⁰⁽⁸^th^{Cir. 2}⁰⁰⁴^);^Unⁱ^t^ed^S^t^a^t^{es v.}^H^a^t^c^h^,⁴³⁴^U^.^{S. 1}^,^4-^{5 (}¹^st^Cir.
²⁰⁰⁶⁾^.

“there is no safe harbor for recantation or correction of a prior false statement that violates ²⁷⁰
Section 1001.”
Prosecutions under subsection 1001(a)(1) for concealment, rather than false statement or false ²⁷¹
documentation, must also prove the existence of duty or legal obligation not to conceal.
^C^h^arle^s^Do^y^l^e
^Senⁱ^o^r^Sp^{ecialist i}ⁿ^Am^er^icaⁿ^P^u^b^{lic L}^a^w
^cdoy^l^e^@^c^rs^.l^oc.g^o^v^{, 7-}⁶⁹⁶⁸

²⁷⁰^Uⁿ^ite^d^St^ate^s^v^.^Ste^w^ar^t^{, 4}³³^F.³^d²^73,³^{18 (}²^d^Cⁱ^r^.²⁰⁰⁶⁾^,^c^iti^ng,^Uⁿ^ite^{d State}^s^v^.^Se^b^a^g^gal^a^,²⁵^{6 F}^.^3d⁵⁹^{, 6}⁴⁽¹^st
^Cⁱ^r^.²⁰⁰¹⁾^;^Uⁿ^ite^d^State^s^v^.^M^e^ulⁱ^{, 8}^F.3^d¹⁴^81,¹⁴⁸⁶^-⁴^{87 (}¹⁰^th^Cⁱ^r^.¹⁹⁹³⁾^;^aⁿ^d^Uⁿ^ite^d^St^ate^s^v^.^Fe^rⁿ^{, 6}⁹⁶^F.^2d¹²⁶⁹^,^th
¹²⁷^{5 (}¹¹^Cⁱ^r^.¹⁹⁸³⁾^.
²⁷¹^Uⁿ^ite^d^St^ate^s^v^.^Ste^w^ar^t^{, 4}³³^F.³^d²^73,³^18-¹⁹⁽²^{d C}ⁱ^r^.²⁰⁰⁶⁾⁽^“^D^e^f^e^nda^nt’^s^le^g^a^{l duty}^[^a^s^a^br^ok^e^r^]^{to be}^tr^ut^hf^ul
^unde^r^Se^c^tion¹⁰⁰¹ⁱⁿ^c^l^ude^{d a}^d^u^t^y^f^o^dis^c^los^e^theⁱⁿ^f^o^r^m^a^{tion r}^e^g^a^r^d^ing^the^cⁱ^r^c^um^s^t^aⁿ^c^e^s^of^Stew^a^r^t’^s^D^e^c^e^m^b^e^r²⁷^th
^tr^a^d^e^{. .}^{. .T}^rⁱ^a^l^te^s^tim^ony^indic^a^t^e^d^tha^t^the^S^E^C^ha^{d s}^p^e^cⁱ^fⁱ^c^a^l^l^y^inquir^e^d^a^b^o^u^t^[^h^is^]^k^now^le^dg^e^of^Ste^w^a^r^t’^s^tr^a^d^e^s^.
^A^s^a^re^{sult, it w}^a^{s pla}^u^sible^f^o^{r t}^h^e^jury^{to c}^onc^lu^de^tha^t^th^e^S^E^C^’^s^que^s^tio^ning^aⁿ^{d tr}^ig^g^e^r^e^{d [}^h^is^]^du^ty^{to dis}^c^los^e^a^nd
^t^h^at^am^p^l^{e evi}^d^en^{ce exi}^s^t^e^d^t^h^at^hi^{s co}ⁿ^ceal^m^eⁿ^t^w^a^s^mat^e^ri^al^t^o^t^h^{e i}ⁿ^vestⁱ^g^atⁱ^oⁿ^”);^Uⁿⁱ^t^e^d^S^t^ate^s^v^.^M^oor^e^{, 44}⁶^F.^3d^th^th
⁶⁷¹^{, 6}⁷⁸^-⁷⁹⁽⁷^Cir.²⁰⁰⁶^)(reg^u^la^to^ry^o^b^lig^atioⁿ⁾^;^Uⁿ^ite^{d St}^ate^s^v^.^Gⁱ^bs^on^{, 4}⁰⁹^F.^3d³²^5,³³^{3 (}⁶^Cir.
²⁰⁰⁵^)(“Con^vⁱ^c^tⁱ^o^{n on}^{a 18}^U.^S^.^C^.¹⁰⁰¹^coⁿ^ceal^m^eⁿ^t^ch^{arge req}^uⁱ^{res a sh}^o^wⁱⁿ^{g t}^h^at^t^h^{e ‘}^d^ef^en^d^aⁿ^t^h^a^d^{a l}^e^gal^d^u^t^y^t^o
^dⁱ^scl^o^{se t}^h^{e f}^act^{s at}^t^h^{e t}ⁱ^m^{e h}^e^{was al}^l^e^ged^t^o^h^a^{ve co}ⁿ^ceal^ed^t^h^em’”),^qu^otiⁿ^g^,^Uⁿ^ite^d^St^ate^s^v^.^C^u^r^r^an^{, 20}^F.^{3d 56}^0,
⁵⁶⁶⁽³^d^Cir.¹⁹⁹⁴^).