Purpose of Statute
The purpose of 18 U.S.C. § 1001 is to prohibit deceptive
aimed at frustrating or impeding the legitimate functions of government
departments or agencies. See United States v. Tobon-Builes,
F.2d 1092, 1101 (11th Cir. 1983); Bryson v. United States, 396 U.S.
(1969) (statute prohibits the "perversion which might result from the
practices described"). The statute is viewed as seeking to protect both the
operation and the integrity of the government, and "covers all matters
to the authority of an agency or department." United States v.
466 U.S. 475, 479 (1984). The pre-1996 version of section 1001, however,
limited by case law to the executive branch. In 1995, the Supreme Court
long-settled precedent in Hubbard v. United States, 115 S.Ct. 1754
and held that a court is neither a "department" nor an "agency" under
Although the Court's opinion left open the possibility that a judicial or
legislative entity might still be considered an "agency" under section 1001,
several courts have interpreted Hubbard broadly to mean that section
applies only to false statements made to the executive branch. See,
United States v. Dean, 55 F.3d 640 (D.C. Cir. 1995), cert. denied,
S.Ct. 1288 (1996); United States v. Rostenkowski, 59 F.3d 1291, 1301
Cir. 1995). As of this writing, there is still pending in the District of
Columbia Circuit an interlocutory appeal concerning whether the old version
section 1001, even after Hubbard, still applies to financial
statements that Members of Congress filed, pursuant to the Ethics in
Act, with the Clerk of the House of Representatives before October 11, 1996.
See United States v. Oakar, No. 96-3084 (D.C. Cir.).
therefore should not concede, in any pleadings or arguments presented in
courts, that the old section 1001 does not apply to such statements, at
until the Court of Appeals for the District of Columbia Circuit decides this
[cited in USAM 9-42.001]