False Statements
| Statute: | 18 U.S.C. § 1001 |
| U.S. Code: | Title 18, Chapter 47 |
| Max Prison: | 5 years (8 years if terrorism-related) |
| Max Fine: | $250,000 |
| Guidelines: | USSG §2B1.1 |
| Base Level: | 6-14 (varies) |
| Agencies: | FBI, DOJ, agency OIGs |
| Related: | Obstruction of Justice, Wire Fraud, Bribery |
False statements under 18 U.S.C. § 1001 is the primary federal statute criminalizing lies told to federal government officials and agencies. Often called the "federal false statements act" or the "Martha Stewart statute," it prohibits making materially false statements, concealing material facts, or using false documents in matters within the jurisdiction of the federal government.[1]
False statements carries a maximum sentence of 5 years imprisonment (8 years if related to terrorism). The offense is frequently charged as a standalone crime when prosecutors cannot prove an underlying offense, or as an additional charge in white-collar prosecutions.
Elements of the Offense
To convict under 18 U.S.C. § 1001, the government must prove:
- False Statement, Concealment, or False Document: The defendant made a materially false, fictitious, or fraudulent statement; concealed a material fact; or used a false document
- Materiality: The statement, concealment, or document was material
- Knowledge: The defendant acted knowingly and willfully
- Federal Jurisdiction: The matter was within the jurisdiction of a federal department or agency[2]
Three Types of Violations
Section 1001(a) creates three separate offenses:
§ 1001(a)(1) - Falsification: Falsifying, concealing, or covering up a material fact by any trick, scheme, or device
§ 1001(a)(2) - False Statements: Making any materially false, fictitious, or fraudulent statement or representation
§ 1001(a)(3) - False Documents: Making or using any false writing or document knowing it to contain any materially false, fictitious, or fraudulent statement or entry[1]
Materiality
A statement is "material" if it has a natural tendency to influence or is capable of influencing the decision of the government agency. The statement need not actually influence the agency's decision—only be capable of doing so.[3]
Knowingly and Willfully
The defendant must have made the false statement deliberately and voluntarily, with knowledge that it was false. Mere negligence or innocent mistake is not sufficient. However, the defendant need not know that lying to a federal agent is illegal.[2]
Federal Jurisdiction
The "matter" must be within the jurisdiction of a federal executive, legislative, or judicial branch. This includes:
- Federal investigations (FBI, IRS, DEA, etc.)
- Federal applications and forms
- Congressional investigations and testimony
- Federal court proceedings
- Federal regulatory matters
The jurisdictional requirement is interpreted broadly to cover any matter in which the federal government has a legitimate interest.[1]
Key Limitations
Exculpatory No Doctrine (Abolished)
Courts once recognized an "exculpatory no" doctrine that protected mere denials of wrongdoing. The Supreme Court rejected this doctrine in Brogan v. United States (1998), holding that even simple denials of wrongdoing can violate § 1001.[4]
Legislative Branch Exception
Section 1001(b) limits application to the legislative branch, applying only to:
- Administrative matters
- Document clerks
- Investigations or reviews conducted pursuant to authorization of a committee or subcommittee
This means false statements to Congress in general are typically charged under other statutes (perjury, obstruction) unless they fall within these categories.[1]
Judicial Proceedings Exception
Section 1001(b) also limits application in judicial proceedings, excluding statements made by parties or counsel to a court or grand jury. This prevents § 1001 from being used against attorneys making arguments or criminal defendants exercising their rights.
Statutory Penalties
| Category | Maximum Imprisonment | Maximum Fine |
|---|---|---|
| Standard false statements | 5 years | $250,000 |
| Terrorism-related false statements | 8 years | $250,000 |
In addition to imprisonment, defendants may face:
- Disqualification from federal employment or contracts
- Professional license consequences
- Collateral consequences in immigration matters[1]
Federal Sentencing Guidelines
False statements are sentenced under USSG §2B1.1 (the general fraud and theft guideline) or related guidelines depending on the context.
Base Offense Level
The base offense level varies:
- 6 for false statements with no aggravating factors
- 14 if the offense was committed for pecuniary gain or to avoid monetary loss[5]
Enhancements
- Loss enhancement: If the false statement caused monetary loss
- +2 levels: If the offense involved sophisticated means
- +2 levels: If the offense was committed to obstruct justice
Relationship to Other Offenses
If the false statement was made to cover up or facilitate another offense, the guidelines may direct sentencing under the more serious offense's guideline.
Notable Cases
Martha Stewart (2004)
Martha Stewart was convicted of making false statements to federal investigators about her sale of ImClone stock. Though she was never charged with insider trading, her lies to the FBI resulted in conviction. She was sentenced to 5 months in prison.[6]
Michael Flynn (2017)
Former National Security Advisor Michael Flynn pleaded guilty to making false statements to the FBI about his conversations with the Russian ambassador. His case became controversial when the Justice Department moved to dismiss charges, which the court ultimately allowed after prolonged litigation. He was later pardoned by President Trump.[7]
George Papadopoulos (2017)
Former Trump campaign advisor George Papadopoulos pleaded guilty to making false statements about his contacts with Russians during the 2016 campaign. He was sentenced to 14 days in prison.[8]
Michael Cohen (2018)
Michael Cohen pleaded guilty to making false statements to Congress about the Trump Tower Moscow project. He was sentenced to 3 years in prison on multiple charges.[9]
General David Petraeus (2015)
Former CIA Director David Petraeus pleaded guilty to making false statements to the FBI about providing classified information to his biographer and mistress. He received 2 years probation and a $100,000 fine—no prison time—generating controversy about disparate treatment.[10]
Statistics
According to the United States Sentencing Commission:
- Approximately 800-1,000 defendants are sentenced for false statements annually
- The median sentence is approximately 6 months
- Many defendants receive probation rather than imprisonment
- False statements is often charged with other offenses[11]
Defenses
No False Statement
The defendant may argue that the statement was literally true, even if misleading. Technically accurate statements are not false statements under § 1001.
No Materiality
If the statement could not possibly influence a government decision, it is not material and does not violate § 1001.
No Knowledge
If the defendant believed the statement was true, there is no violation. Honest mistakes do not constitute false statements.
No Federal Jurisdiction
The matter must be within federal jurisdiction. Statements to state or local officials generally do not violate § 1001.
Exculpatory Context
While the "exculpatory no" doctrine was rejected, the context may support arguments about intent or the applicability of the statute.
Related Offenses
Perjury (18 U.S.C. § 1621)
False statements under oath carry up to 5 years. Unlike § 1001, perjury requires testimony under oath.
False Statements to Banks (18 U.S.C. § 1014)
Specifically covers false statements to federally insured financial institutions.
False Tax Returns (26 U.S.C. § 7206)
Covers false statements on tax returns and documents.
Healthcare False Statements (18 U.S.C. § 1035)
Specifically covers false statements relating to healthcare matters.
See also
- Obstruction of Justice
- Wire Fraud
- Mail Fraud
- Federal Sentencing Guidelines and Offense Enhancements
- Martha Stewart
- Michael Cohen
Frequently Asked Questions
Q: What is 18 U.S.C. § 1001?
Section 1001 is the federal false statements statute. It criminalizes making materially false statements, concealing material facts, or using false documents in matters within federal jurisdiction. Maximum penalty is 5 years imprisonment (8 years if terrorism-related).
Q: Is it illegal to lie to the FBI?
Yes. Making false statements to any federal agent, including FBI agents, can violate 18 U.S.C. § 1001. This applies even during informal interviews—you do not need to be under oath. Simply denying wrongdoing can be a crime after Brogan v. United States (1998).
Q: Can I remain silent instead of lying?
Yes. You generally have no obligation to speak to federal agents (Fifth Amendment), and silence is almost always preferable to lying. Asserting your right to remain silent is not obstruction, but making false statements is a crime. Consult an attorney before any interview.
Q: What is the sentence for federal false statements?
The maximum is 5 years imprisonment, though many defendants receive probation or short sentences. Sentencing depends on factors including whether the false statement caused loss, obstructed justice, or was part of a broader scheme.
Q: Do I have to know it's illegal to lie to federal agents?
No. You need only know that your statement is false, not that lying to federal agents is illegal. "I didn't know it was a crime" is not a defense. The government must prove you knew the statement was false when you made it.
Q: What is the difference between § 1001 and perjury?
Perjury requires a false statement made under oath. Section 1001 applies to false statements in any matter of federal jurisdiction, whether or not under oath. You can violate § 1001 in a casual FBI interview, but perjury requires sworn testimony.
References
- ↑ 1.0 1.1 1.2 1.3 1.4 18 U.S.C. § 1001.
- ↑ 2.0 2.1 U.S. Department of Justice, Criminal Resource Manual § 903, "18 U.S.C. § 1001—Elements."
- ↑ Kungys v. United States, 485 U.S. 759 (1988).
- ↑ Brogan v. United States, 522 U.S. 398 (1998).
- ↑ United States Sentencing Commission, USSG §2B1.1 (2024).
- ↑ U.S. Department of Justice, "Martha Stewart Convicted," March 5, 2004.
- ↑ U.S. Department of Justice, "Michael Flynn Pleads Guilty," December 1, 2017.
- ↑ U.S. Department of Justice, "George Papadopoulos Sentenced," September 7, 2018.
- ↑ U.S. Department of Justice, "Michael Cohen Sentenced," December 12, 2018.
- ↑ U.S. Department of Justice, "David Petraeus Sentenced," April 23, 2015.
- ↑ United States Sentencing Commission, 2023 Annual Report and Sourcebook of Federal Sentencing Statistics.
White Collar Crimes: Wire Fraud · Mail Fraud · Tax Evasion · Money Laundering · Bank Fraud · Healthcare Fraud · Securities Fraud · Aggravated Identity Theft · Embezzlement · Bribery · Insurance Fraud · Mortgage Fraud
Other Federal Offenses: Drug Trafficking · Illegal Reentry · Felon in Possession · RICO · Conspiracy · False Statements · Obstruction of Justice · Child Exploitation