Whatever prompted the contact, the first 48 hours are about three things: stop deleting, decide who speaks, and work out whether the company and its people still have the same interests. The offenses most often charged after an investigation begins are not about the underlying conduct at all — 18 U.S.C. § 1519 reaches destroying records to impede a federal matter and carries up to 20 years, and § 1001 reaches false statements in any matter within federal jurisdiction.
Waxman Litigation acts for companies and their boards. Seth B. Waxman spent 13 years as an Assistant United States Attorney in the District of Columbia, roughly eight of them on fraud and public corruption.
1. Stop routine deletion — today
Whoever knowingly alters, destroys, mutilates, conceals, covers up, falsifies, or makes a false entry in any record, document, or tangible object with the intent to impede, obstruct, or influence the investigation or proper administration of any matter within the jurisdiction of any department or agency of the United States or any case filed under title 11, or in relation to or contemplation of any such matter or case, shall be fined under this title, imprisoned not more than 20 years, or both. (Added Pub. L. 107–204, title VIII, § 802(a) , July 30, 2002 , 116 Stat. 800 .) U.S. Code Toolbox Law about… Articles from Wex Table of Popular Names Parallel Table of Authorities How current is this? Accessibility About LII Contact us Advertise here Help Terms of use Privacy
18 U.S.C. § 1519
⭐ Read the reach: “any matter within the jurisdiction of any department or agency” and “in relation to or contemplation of” such a matter. The obligation can attach before anything formal exists. Automated email and document retention policies are the usual failure, not shredding.
2. Decide who speaks, and who does not
(a) Except as otherwise provided in this section, whoever, in any matter within the jurisdiction of the executive, legislative, or judicial branch of the Government of the United States, knowingly and willfully— (1) falsifies, conceals, or covers up by any trick, scheme, or device a material fact; (2) makes any materially false, fictitious, or fraudulent statement or representation; or (3) 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, if the offense involves international or domestic terrorism (as defined in section 2331 ), imprisoned not more than 8 years, or both. If the matter relates to an offense under chapter 109A, 109B, 110, or 117, or section 1591, then the term of imprisonment imposed under this section shall be not m
18 U.S.C. § 1001
§ 1001 applies outside a courtroom and outside an oath. Well-meant reassurance to an agent at reception is exactly how a company acquires a second problem. Route all contact through counsel.
3. Work out whether interests still align
The company and an individual employee can stop wanting the same outcome very early, and often before anyone notices. Employees may be told they are free to obtain their own counsel — but telling them what to say is a different thing entirely:
(b) Whoever knowingly uses intimidation, threatens, or corruptly persuades another person, or attempts to do so, or engages in misleading conduct toward another person, with intent to— (1) influence, delay, or prevent the testimony of any person in an official proceeding; (2) cause or induce any person to— (A) withhold testimony, or withhold a record, document, or other object, from an official proceeding; (B) alter, destroy, mutilate, or conceal an object with intent to impair the object’s integrity or availability for use in an official proceeding; (C) evade legal process summoning that person to appear as a witness, or to produce a record, document, or other object, in an official proceeding; or (D) be absent from an official proceeding to which such person has been summoned by legal process; or (3) hinder, delay, or prevent the communication to a law enforcement officer or judge of t
18 U.S.C. § 1512
4. Establish the posture
| What arrived | What it signals | Where to read next |
|---|---|---|
| A subpoena | A demand for testimony or documents; the company may be witness, subject or target | Grand jury subpoenas |
| An agency demand or CID | A civil or regulatory process that may become criminal | Administrative subpoenas & CIDs |
| A search warrant | A judicial finding of probable cause — a materially different posture | Search warrants |
| An agent at the door, nothing in writing | No compulsion yet; nothing obliges an immediate answer | Route to counsel before responding |
5. Then, and only then, decide what to find out
An internal investigation is the instrument for establishing facts — but how it is scoped, who conducts it and how privilege is structured are decisions taken before the first interview, not after. Where a civil case or a regulator is also involved, see parallel criminal and civil proceedings.
Frequently asked questions
Agents are at reception right now. What do we do?
Be courteous, do not obstruct, ask what they have and for a copy of any document, and say that counsel will respond. Nothing obliges an immediate substantive answer where there is no compulsion.
Does this mean we are a target?
Not necessarily. Witnesses, subjects and targets all get contacted. Establishing which the company is tends to be an early priority.
Can we keep our normal document retention running?
No. That is the single most common way a company turns a document problem into a criminal one under § 1519.
Should employees talk to investigators?
That is each employee’s own decision. They may be told they can obtain their own counsel; they must not be told what to say.
Do we need to investigate internally straight away?
Establish the posture first. An investigation begun before its scope and privilege position are settled is difficult to repair.
Who should be the company’s single point of contact with investigators?
One named person, normally the general counsel or an executive designated in advance. A single channel keeps the company’s account consistent, and an inconsistent account is itself exposure: 18 U.S.C. § 1001 reaches any materially false statement in a matter within federal jurisdiction, whether or not it was sworn.
What makes an inaccurate answer to an agent a separate federal crime?
18 U.S.C. § 1001. It reaches a knowing and willful false statement, concealment of a material fact, or false writing in any matter within the jurisdiction of the executive, legislative or judicial branch of the federal government, and carries up to five years.
Why must routine document deletion stop on the first day?
Because 18 U.S.C. § 1519 carries up to 20 years and applies to conduct undertaken in relation to or in contemplation of a federal matter. An automated retention policy that keeps running after the company learns of an investigation can create an offense that the underlying conduct never would have.
When does the government have to bring federal charges?
Generally within five years of the offense under 18 U.S.C. § 3282(a). Some categories run longer: 10 years for offenses affecting a financial institution under 18 U.S.C. § 3293, and 6 years for a securities fraud offense under 18 U.S.C. § 3301.
Where are federal charges arising in Washington, D.C. brought?
In the United States District Court for the District of Columbia — one judicial district under 28 U.S.C. § 88, with court held at Washington. The same court supervises the grand jury, so the investigative stage and any resulting charge sit before the same district.
How does a company work out whether it needs counsel separate from its employees?
By testing whether the company’s account and the individual’s account can still be the same account. Where an employee’s conduct may be attributed to the company, or where the company may need to describe that conduct to the government, the interests have diverged and separate representation is the ordinary answer.
Who pays for a director’s separate defense counsel?
It depends on the company’s governing documents and its state of incorporation. For a District of Columbia corporation, D.C. Code § 29–306.53 permits a corporation to advance funds before final disposition to pay or reimburse a director’s expenses, if the director delivers a signed affirmation of a good-faith belief that the standard of conduct in § 29–306.51 has been met.
Sources and legal authorities
General information about federal law, not legal advice, and not a prediction of any outcome. Federal criminal exposure turns on facts this page cannot assess. If your company has been contacted by investigators or has received a subpoena, take advice before gathering documents or interviewing staff.
Related: White-Collar Defense · Grand Jury Subpoenas · Search Warrants · False Statements & Obstruction · Internal Investigations. Call (301) 901-3109 or use the contact page.