FALSE STATEMENTS AND FALSE CLAIMS
I. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 629
II. FALSE STATEMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 630
A. Elements of a § 1001 Offense . . . . . . . . . . . . . . . . . . . . . . . . 631
1. Statements or Concealments . . . . . . . . . . . . . . . . . . . . . . 631
2. Falsity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 633
3. Intent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 634
4. Materiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 635
5. Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 635
B. Section 1001 Defenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 636
1. Ambiguity and Literal Truth . . . . . . . . . . . . . . . . . . . . . . 637
2. Double Jeopardy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 637
3. Recantation and Other Defenses . . . . . . . . . . . . . . . . . . . 639
4. Guidance Against Charging “Exculpatory No”. . . . . . . . . 640
C. Sentencing Under § 1001 . . . . . . . . . . . . . . . . . . . . . . . . . . . 640
III. FALSE CLAIMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 641
A. Elements of a § 287 Offense . . . . . . . . . . . . . . . . . . . . . . . . . 642
1. Presentation of a Claim Against the United States . . . . . . 643
2. False, Fictitious, or Fraudulent Claims 643
3. Knowledge .
. . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 644
B. Section 287 Defenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 644
1. Intent-Based Defenses . . . . . . . . . . . . . . . . . . . . . . . . . . 644
2. Double Jeopardy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 645
C. Sentencing Under § 287 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 646
I. INTRODUCTION
Sections 1001 and 287 of Title 18 of the U.S. Code criminalize lying to the fed-
eral government. Section 1001 prohibits knowingly and willfully making a false
statement in any matter within the jurisdiction of the executive branch and in cer-
tain matters within the jurisdiction of the congressional and judicial branches.
1
Section 287 prohibits knowingly making a false claim upon or against the United
States, or any of its departments or agencies.
2
Although prosecutors may use both statutes to charge the same or similar con-
duct, there are significant differences between them. For example, while material-
ity is an element of § 1001,
3
the circuit courts are split on whether it is an element
1. 18 U.S.C. § 1001.
2. Id. § 287.
3. 18 U.S.C. § 1001(a)(1)–(3).
629
of § 287.
4
Additionally, § 1001 requires proof that the defendant knowingly and
willfully lied to the government;
5
but, in certain circuits, § 287 only requires proof
that the defendant acted knowingly.
6
Furthermore, § 287’s jurisdictional hook
reaches “department[s] or agenc[ies]” of the United States,
7
whereas § 1001
applies to statements made “in any matter within the jurisdiction of the executive,
legislative, or judicial branch[es] of the Government of the United States.”
8
This Article describes the contours of the two statutes. Section II of this Article
discusses criminal prosecutions brought for false statements under § 1001. Section
III addresses criminal prosecutions for false claims brought under § 287.
II. FALSE STATEMENTS
Section 1001 of Title 18 of the United States Code is a broadly written
9
statute
that criminalizes the act of making false statements to the United States govern-
ment.
10
Because Title 18 also contains several more specific false statement stat-
utes, it is generally the policy of the Department of Justice (“DOJ”) to bring
charges under the most specific statute available.
11
U.S. DEP’T OF JUST., JUST. MANUAL § 9-42.191 (2020) [hereinafter JUSTICE MANUAL], https://www.
justice.gov/jm/jm-9-42000-fraud-against-the-government#9-42.191.
In some cases, however, the
government will charge a defendant with a § 1001 violation in tandem with a viola-
tion of a more specific statute, including the false claims statute codified in § 287.
12
Section 1001 covers offenses spanning three broad categories: (i) falsifying,
concealing, or otherwise covering up a material fact by any trick, scheme, or de-
vice; (ii) making materially false, fictitious, or fraudulent statements or represen-
tations; and (iii) making or using a false writing or document with knowledge that
such document contains materially false, fictitious, or fraudulent statements.
13
The latter two categories criminalize, among other activities, the use of a false
statement, writing, or document to give: (1) false information for the purpose of
4. See United States v. Newell, 658 F.3d 1, 16–17 (1st Cir. 2011) (declining to decide whether “materiality” is
an element of § 287 and noting that although the Fourth and Eighth Circuits have “read materiality into” § 287,
the Fifth, Ninth, Tenth, and Second Circuits have declined to do so and the Third Circuit has ruled that
materiality sometimes is an element under § 287).
5. See 18 U.S.C. § 1001(a).
6. See infra Section III.A.3 (discussing intent).
7. 18 U.S.C. § 287.
8. Id. § 1001(a).
9. See United States v. Ricard, 922 F.3d 639, 651 & n.10 (5th Cir. 2019) (describing the statute as “[b]
reathtaking .. . in its broad and unsuspecting applications”).
10. 18 U.S.C. § 1001 was amended in 1996 to apply to all three branches of the federal government and to
include materiality as an element of each of its offenses. See False Statements Accountability Act of 1996, Pub.
L. No. 104-292, § 2, 110 Stat. 3459 (1996).
11.
12. See, e.g., United States v. Dedman, 527 F.3d 577, 603 (6th Cir. 2008) (allowing simultaneous conviction
under 18 U.S.C. §§ 286 and 1001); United States v. Bracy, 238 F. App’x 154, 155 (6th Cir. 2007) (affirming
convictions under §§ 1001 and 287).
13. 18 U.S.C § 1001(a)(1)–(3).
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