Criminal Law
Ninth Edition
Book
Cover
Here
Chapter 13
United States Criminal Code:
Other Offenses
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1
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13.2
Adultery and Fornication
Title 18 § 2421 includes a penalty for one who
knowingly transports an individual in interstate or
foreign commerce with intent that such individual
engage in “any sexual activity for which any
person can be charged with a criminal offense.”

This applies to adultery if adultery is a crime under the
state law.
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13.2
Prostitution
18 U.S.C. § 2421—Transportation generally

Whoever knowingly transports any individual in
interstate or foreign commerce, or any Territory or
Possession of the United States, with intent that such
individual engage in prostitution, or in any sexual
activity for which any person can be charged with
criminal offense, or attempts to do so, shall be fined
under this title or imprisoned not more than 10 years,
or both.
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13.2
Prostitution
18 U.S.C. § 2422—Coercion and enticement
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Whoever knowingly persuades, induces, entices, or coerces any
individual to travel in interstate or foreign commerce, or in any
Territory or Possession of the United States, to engage in
prostitution, or in any sexual activity for which any person can be
charged with a criminal offense, or attempts to do so, shall be fined
under this title or imprisoned not more than 10 years, or both.
Whoever, using the mail or any facility or means of interstate or
foreign commerce, or within the special maritime and territorial
jurisdiction of the United States knowingly persuades, induces,
entices, or coerces any individual who has not attained the age of
18 years, to engage in prostitution or any sexual activity for which
any person can be charged with a criminal offense, or attempts to
do so, shall be fined under this title, imprisoned not more than 15
years, or both
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13.2
Prostitution
It is not double jeopardy to convict a defendant
under both sections 2421 and 2422, because
these are separate and distinct offenses.
It is not improper to convict one defendant of two
violations for the single act of transporting a
minor female and an adult woman across the
state line for purposes of prostitution.
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13.2
Prostitution
18 U.S.C. § 2423 Transportation of Minors

Transportation with intent to engage in criminal sexual
activity. A person who knowingly transports any
individual under the age of 18 years in interstate or
foreign commerce, or in any Territory or Possession of
the United States, with intent that the individual
engage in prostitution, or in any sexual activity for
which any person can be charged with a criminal
offense, or attempts to do so shall be fined under this
title or imprisoned not more than fifteen years, or both.
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13.2
Prostitution
United States v. Scisum
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The defendant appealed his conviction, arguing that
the definition of “intent” was too vague.
The reviewing court held that the word “intent” was of
common enough usage to be clear to a reasonable
lay juror.
The court advised, however, that the government
must prove that the defendant formed intent before
the defendant transported the person across state
lines.
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13.2
Prostitution
United States v. Taylor

The court indicated that if a person knowingly
transports a person for the purposes of prostitution or
another sex offense, the transporter assumes the risk
that the victim is a minor, regardless of what the victim
says or how the victim appears.
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13.2
Prostitution
Title 18 § 1384 authorizes the secretaries of the
Army, Navy, and Air Force to designate areas
within a reasonable distance of any military or
naval camp, station, or post, where prostitution
and other related offenses shall be prohibited,
and provides a fine or imprisonment for failure to
comply with such directive.
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13.2
Obscenity
Chapter 71 of the United States Code (“Obscenity”)
comprehensively lists and defines offenses dealing with
obscenity and related issues.
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Section 1460—Possession with intent to sell, and sale of,
obscene matter on federal property.
Section 1461—Mailing obscene or crime-inciting matter.
Section 1462—Importation or transportation of obscene matters.
Section 1463—Mailing indecent matter on wrappers or
envelopes.
Section 1464—Broadcasting obscene language
Section 1465—Transportation of obscene matters for sale or
distribution.
Section 1466—Engaging in the business of selling or transferring
obscene matter.
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13.2
Obscenity
Chapter 71 of the United States Code (“Obscenity”)
comprehensively lists and defines offenses dealing with
obscenity and related issues.
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Section 1466A—Obscene visual representation of the sexual
abuse of children.
Section 1467—Criminal forfeiture.
Section 1468—Distributing obscene material by cable or
subscription television.
Section 1470—Transfer of obscene materials to minors.
Section 2252A—Certain activities relating to material involving
the sexual exploitation of minors.
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13.2
Obscenity
Miller v. California

Obscenity was defined by answering the following
questions:
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Does the material appeal to prurient interests?
Does it depict “hard-core” sexual acts previously defined by
state law in a patently offensive way?
Does it lack serious literary, artistic, political, scientific, or
other value?
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13.2
Obscenity
The Eleventh Circuit Court of Appeals decided
that § 1461, which prohibits knowingly using the
mail for obscene materials, applies to persons
who order obscene materials through the mail,
even if they are for personal use.
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13.2
Obscenity
United States v. Schein
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The defendant was convicted of mailing obscene
materials.
The defendant appealed, claiming that similar material
had been shown at an exhibit funded by the
government’s National Endowment for the Arts, and
that his tapes promoted sexual safety.
The reviewing court rejected the defendant’s
arguments.
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13.2
Obscenity
United States v. Schein
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The court held that:
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Obscene material is not protected by the First Amendment.
The fact that the photographs of urolagnic pornography were
shown at exhibits funded by the National Endowment for the
Arts did not establish that videotapes containing graphic
depictions of urination, masturbation, and oral and anal sex
among homosexual males were not obscene.
Merely promoting safe sex does not bring the material within
the exception noted in the Miller case.
Mere availability of similar material means nothing more than
other persons are engaged in similar activity.
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13.2
Obscenity
United States v. Thomas

The federal court made it clear that section 1465, as
amended, applies to computer-generated images
moved from the defendants’ computer bulletin board
in one state to a personal computer in another state.
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13.2
Obscenity
United States v. X-Citement Video
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The Supreme Court dealt with the question of whether
the offender had to know the performer was a minor,
or whether the verb “know” related to knowingly
transport, receive, or distribute.
The Supreme Court held that “knowing” refers to the
knowledge that one of the performers in the material
was underage.
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13.2
Obscenity
United States v. Hersh
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The circuit court held that a conviction for receipt and
possession of child pornography was supported by
evidence that the defendant knowingly received and
possessed computer files containing images, that the
images were received via the Internet, and the images
portrayed real minors engaged in sexually explicit
conduct, and that the defendant was aware of such.
The act requires the introduction of evidence that
shows that the visual depiction involves the use of a
minor engaging in sexually explicit conduct, and such
visual depiction is of such conduct.
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United States v. Fox
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13.2
Obscenity
One federal court held that it was not unconstitutional
to apply the child pornography definition to computergenerated images.
Ashcroft v. Free Speech Coalition

The Supreme Court ruled on the question and
concluded that the provision violated First Amendment
freedoms because it was overbroad and not closely
related to the purpose of the statute, which was to
protect children.
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19
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13.2
Abortion
The laws restricting and/or criminalizing
abortions are state laws.
The Freedom of Access to Clinic Entrances Act
was passed to protect individuals from
demonstrators at abortion clinics and family
planning centers.
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13.2
Abortion
18 U.S.C. § 248
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Prohibited activities—Whoever—
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by force or threat or by physical obstruction, intentionally injures,
intimidates or interferes with or attempts to injure, intimidate or
interfere with any person because that person is or has been, or in
order to intimidate such person or any other person or any class of
persons from, obtaining or providing reproductive health services;
by force or threat of force or by physical obstruction, intentionally
injures, intimidates or interferes with or attempts to injure, intimidate
or interfere with any person lawfully exercising or seeking to
exercise the First Amendment right of religious freedom at a place of
religious freedom at a place of religious worship; or
intentionally damages or destroys the property of a facility, or
attempts to do so, because such facility provides reproductive health
services, or intentionally damages or destroys the property of a
place of religious worship.
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13.2
Abortion
Other federal statutes that relate to abortion are:

18 U.S.C. § 1461
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Prohibits the mailing of articles or things designed, adapted,
or intended to produce abortion.
18 U.S.C. § 1462

Prohibits bringing into the United States any drug, medicine,
article, or thing designed, adapted, or intended to produce
abortion.
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18 U.S.C. § 2101
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13.2
Riot and Related Offenses
Whoever travels in interstate or foreign commerce or
uses any facility of interstate or foreign commerce,
including, but not limited to, the mail, telegraph,
telephone, radio, or television, with intent:
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To incite a riot; or
To organize promote, encourage, participate in, or carry on a
riot; or
To commit any act of violence in furtherance of a riot; or
To aid or abet any person in inciting or participating in or
carrying on a riot or committing any act of violence in
furtherance of the riot; and who either, during the course of any
such travel or use thereafter, performs or attempts to perform
and other overact act for any purpose specified above.
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13.3
Riot and Related Offenses
Title 18 § 2102 defines the term “riot.”
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To assure that the First Amendment provisions are
not violated, the definition of the term “to incite a riot”
includes a statement that this shall not be deemed to
mean the mere oral or written advocacy of ideas or
expression of belief, not involving advocacy of any act
or acts of violence or assertion of the rightness of, or
the right to commit any such act or acts.
The federal riot act has been upheld as not in violation
of the U.S. Constitution.
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13.3
Riot and Related Offenses
In interpreting the provisions of title 18 §§ 2101
and 2102, a federal circuit court considered two
issues:
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Are interstate telephone calls to summon others to
participate in a riot proscribed by the federal anti-riot
act?
What amounts to a “riot” for the purposes of the act?
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13.3
Disorderly Conduct
Title 18 § 1752
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Provides a fine or imprisonment not exceeding six
months, or both, if any person is found guilty of
entering or remaining in any building or grounds
designated by the Secretary of the Treasury as a
temporary residence of the president or other persons
protected by the Secret Service in violation of
regulations.
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13.3
Disorderly Conduct
This section also makes it unlawful for any
person or persons with intent to impede or
disrupt the orderly conduct of government
business or official functions, to engage in
disorderly or disruptive conduct in, or within such
proximity to any building or grounds designated
as a temporary residence for the president or
other person protected by the Secret Service.
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13.3
Drug Laws
Prior to 1970, there were numerous separate
federal drug control statutes on the books, each
of which was aimed at a particular set of drug
problems.
The Narcotics Manufacturing Act of 1960, which
set up a licensing system for narcotic drug
manufacturers, relied upon the commerce power
rather than the power to tax.
In 1965, amendments to the Food, Drug and
Cosmetic Act, dealing with dangerous drugs,
were found to be within the power of Congress to
regulate interstate commerce.
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13.3
Drug Laws
The Comprehensive Drug Abuse Prevention and
Control Act of 1970 created for the first time an
all-encompassing scheme covering both
narcotics and dangerous drugs.
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The provisions of this section, authorizing the
Secretary of Health, Education, and Welfare to make
scientific evaluations and recommendations regarding
the classification of a drug, were challenged but held
to be constitutional.
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13.3
Drug Laws
In 1984, 1986, 1988, and again in 1990, federal
legislation was drafted to make it less difficult to
prosecute violators and to increase the penalties.
In 1986, Congress enacted a very
comprehensive law titled the Anti-Drug Abuse
Act of 1986.
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In addition to creating new offenses, the main thrust of
the act was to increase the penalties for drug
offenders.
Legislation was enacted that authorized the
Department of Defense to assist in enforcing the drug
laws.
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13.3
Drug Laws
The Anti-Drug Abuse Act of 1988 further
strengthened the authority of enforcement
agents to continue the war on drugs.
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In addition to increasing penalties for personal use of
drugs, the act included the death penalty for those
convicted of drug-related killings.
A new provision added a federal penalty for
endangering human life while illegally manufacturing
drugs and provides a mandatory life term for threetime felony drug offenders.
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13.3
Drug Laws
Uniform Schedule of Controlled Substances

Title 21 § 812 of the U.S. Code establishes five
schedules of controlled substances, known as
schedules I, II, II, IV and V.

The criteria for determining which drug was to be placed in
each schedule are set out in the statute and are similar to the
criteria used in establishing the schedules for the respective
states.
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Schedule of Drugs: Controlled Substances Act of 1970
13.3
Drug Laws
Schedule I
No established medical usage, cannot be
used safely, great potential for abuse.
Heroin, LSD, Mescaline, Peyote,
Quaaludes, Psilocybin, Marijuana,
Hashish, etc.
Schedule II
High potential for abuse, currently
accepted medical use.
Opium, Morphine, Codeine, Cocaine,
PCP, Ritalin, Preludin, etc.
Schedule III
Some potential for abuse, accepted
medical use, potential for psychological
addiction.
Anabolic steroids, cold medicines & pain
relievers containing codeine
Schedule IV
Low potential for abuse, medical uses.
Valium, Librium, Equanil, Stimulants
Schedule V
Prescription drugs with low potential for
abuse.
Cough and other medicines with low
levels of opium, morphine, or codeine
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13.3
Drug Laws
21 U.S.C. § 844
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It shall be unlawful for any person knowingly or
intentionally to possess a controlled substance unless
such substance was obtained directly, or pursuant to
a valid prescription order, from a practitioner while
acting in the course of his professional practice, or
except as otherwise authorized by this subchapter or
subchapter II of this chapter.
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13.3
Drug Laws
21 U.S.C. § 841
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Except as authorized by this subchapter, it shall be
unlawful for any person knowingly or intentionally—

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to manufacture, distribute, dispense or possess with intent to
manufacture, distribute or dispense a controlled substance; or
to create, distribute, dispense or possess with intent to
distribute or dispense, a counterfeit substance.
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13.3
Drug Laws
Section 859 includes a separate provision
prohibiting distribution of a controlled substance
to a person less than 21 years of age.
Section 860 makes it a separate violation for one
to distribute or manufacture a controlled
substance in, on, or within 1,000 feet of the real
property comprising a public or private
elementary, vocational, or secondary school or a
public or private college, junior college, or
university.
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13.3
Drug Laws
Section 861 makes it unlawful for any person at
least 18 years of age to knowingly and
intentionally “employ, hire, use, persuade,
induce, entice, or coerce” anyone under 18 to
violate the provisions of the law.
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13.3
Drug Laws
Title 18 § 2118 imposes a penalty on anyone
who takes or attempts to take from the person or
presence of another by force or violence or by
intimidation any material or compound
containing any quantity of a controlled substance
belonging to or in the care, custody, control, or
possession of a person registered with the Drug
Enforcement Administration.
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13.3
Drug Laws
Federal statutes provide for the forfeiture of
property used to facilitate drug-related offenses
and for the forfeiture of proceeds from drug
transactions.
The Court concluded that asset forfeiture in drug
cases did not violate the double jeopardy clause
in that it was not an additional penalty for the
commission of a criminal act, but rather a
separate civil action, remedial in nature and
expressly sanctioned by Congress.
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13.3
Wiretapping and Eavesdropping
In 1929 and again in 1931, Congress introduced
legislation designed to protect against
interception of telephone communications by the
use of wiretaps.
However, it was not until 1934, when Congress
passed the Federal Communications Act, that
wiretapping was made illegal.
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13.3
Wiretapping and Eavesdropping
18 U.S.C. § 2510
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No person not being authorized by the sender shall
intercept any communication or divulge or publish the
existence, contents, substance, purport, effect, or
meaning of such intercepted communication to any
person.
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13.3
Wiretapping and Eavesdropping
Title 18 §§ 2510 through 2522 contain
provisions that prohibit intentional interception or
attempts to intercept any wire or electronic
communication and includes criminal penalties
for violations of the statutes and detailed
provisions for exceptions.
Title 18 U.S. Code § 2511 prohibits the
interception and disclosure of wire, oral, or
electronic communications and includes criminal
as well as civil penalties.
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13.3
Wiretapping and Eavesdropping
This section also has provisions for exceptions
with detailed requirements for each exception.
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Subsection 2(c) of the statute provides that it shall not be unlawful for a
person acting under color of law to intercept a wire, oral, or electronic
communication where such person is a party to the communication or
one of the parties to the communication has given prior consent to such
interception.
Subsection (2)(d) provides that it shall not be unlawful under this chapter
for a person not acting under color of law to intercept a wire, oral, or
electronic communication where such person is a party to the
communication or where one of the parties to the communication has
given prior consent to such interception unless such communication is
intercepted for the purpose of committing any criminal or tortious act in
violation of the Constitution or laws of the United States or of any state.
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In response to harassment and stalking
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13.3
Other Offenses Against the Public Peace
Violence Against Women Act
National Stalker and Domestic Violence Reduction Act
It is a Federal crime to cross state lines with the
intent to injure or harass another
It is a Federal crime to cross state lines to violate
a protective order
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13.4
Terrorism
USA Patriot Act
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In October 2001, the 107th Congress enacted Public
Law 107-56, which is titled “Uniting and Strengthening
America by Providing Appropriate Tools Required to
Intercept and Obstruct Terrorism Act.”
This lengthy act amends existing statutes concerning
terrorism and adds additional provisions to the law.
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13.4
Terrorism
The numerous sections of the act are included
under 10 titles.
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Title I—Enhancing Domestic Security Against
Terrorism
Title II—Enhanced Surveillance Procedures
Title III—International Money Laundering Abatement
and Antiterrorist Financing Act of 2001
Title IV—Protecting the Border
Title V—Removing Obstacles to Investigating
Terrorism
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13.4
Terrorism
The numerous sections of the act are included
under 10 titles.
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Title VI—Providing for Victims of Terrorism, Public
Safety Officers, and their Families
Title VII—Increased Information Sharing for Critical
Infrastructure Protection
Title VIII—Strengthening the Criminal Laws Against
Terrorism
Title IX—Improved Intelligence
Title X—Miscellaneous
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18 U.S.C. § 1621
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13.5
Perjury and Related Offenses
Whoever—
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having taken an oath before a competent tribunal, officer, or
person, in any case in which a law of the United States
authorizes an oath to be administered, that he will testify,
declare, depose, or certify truly, or that any written testimony,
declaration, deposition, certificate by him subscribed, is true,
willfully and contrary to such oaths states or subscribes any
material matter which he does not believe to be true; or
in any declaration, certificate, verification, or statement under
a penalty of perjury as permitted under section 1746 of title
28, U.S. Code, willfully subscribes as true any material matter
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.
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13.5
Perjury and Related Offenses
18 U.S.C. § 1622
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Whoever procures another to commit any perjury is
guilty of subornation of perjury, and shall be fined
under this title or imprisoned not more than five years,
or both.
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13.5
Perjury and Related Offenses
18 U.S.C. § 1001
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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—
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Falsifies, conceals, or covers up by any trick, scheme, or
device a material fact;
Makes any materially false, fictitious, or fraudulent statement
or representation; or
Makes or uses any false writing or document knowing the
same to contain any materially false, fictitious, or fraudulent
statement or entry.
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13.5
Bribery and Related Offenses
Chapter 11 of title 18 of the U.S. Code is titled
“Bribery, Graft and Conflicts of Interest.”
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It includes ethical standards of conduct for
government employees and laws relating to:
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bribery of public officials and witnesses,
bribery in sporting contests,
acceptance or solicitation to obtain appointment of public
office,
acceptance of loan or gratuity by bank examiner.
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13.5
Bribery and Related Offenses
Gratuities
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Section 201(c)(1)(a) sets forth the elements of an
illegal gratuity offense applicable to the gratuity giver.
Section 201(c)(1)(b) sets forth the elements applicable
to a gratuity recipient.
To prove an illegal gratuity offense, the government
must demonstrate:
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A thing of value;
Was given, offered or promised to;
A public official; and
For or because of any official act performed or to be
performed by such public official.
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13.5
Obstructing Justice
Chapter 73 of title 18 of the U.S. Code has 14
sections relating to the obstruction of justice.
Obstruction of justice is governed principally by
18 U.S.C. §§ 1501 through 1818, which forbid
the obstruction of justice and protect the integrity
of proceedings before the federal judiciary and
other governmental bodies.
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13.5
Obstructing Justice
18 U.S.C. § 1503 governs any obstruction of
justice affecting jurors, officers of the court, and
judges.
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The elements of a § 1503 offense are:
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
A nexus with a pending federal judicial proceeding;
That the defendant knew of or had notice about the
proceeding; and
That the defendant acted corruptly with intent to obstruct or
interfere with the proceedings or due administration of justice.
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13.5
Escape
Chapter 35 of title 18 of the U.S. Code includes a
provision relating to the escape of prisoners in
the custody of an institutional officer, a second
provision making it a crime to rescue a person
who has been lawfully arrested, and a third
provision making it possible to punish an officer
who voluntarily allows a prisoner to escape.
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13.5
Resisting Arrest
Title 18 § 111 makes resisting arrest a felony
punishable by a fine or imprisonment of not
more than eight years, or both, if a person is
convicted of forcibly assaulting, resisting,
opposing, impeding, or intimidating an officer in
the performance of his or her official duties.
If deadly force or a dangerous weapon is used,
the imprisonment may be increased to 20 years.
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13.5
Resisting Arrest
Title 18 § 111 makes resisting arrest a felony
punishable by a fine or imprisonment of not
more than eight years, or both, if a person is
convicted of forcibly assaulting, resisting,
opposing, impeding, or intimidating an officer in
the performance of his or her official duties.
If deadly force or a dangerous weapon is used,
the imprisonment may be increased to 20 years.
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
1
Environmental Crimes (EPA)
As governments have become more concerned
with the protection of the quality of water, land,
and air, regulations and laws have increased.
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13.6
Environmental Crimes (EPA)
The Clean Air Act (CAA)




Imposes penalties on those who knowingly violate
federal or state regulations designed to achieve
ambient air quality standards established by the U.S.
Environmental Protection Agency (EPA).
The CAA mandates that the EPA prescribe national
air quality standards, although states are free to adopt
more stringent protection.
Each state then is required to adopt an
implementation plan of its own for that state.
If a state implementation plan is approved by the EPA,
its requirements become federal law and are fully
enforceable in federal court.
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13.6
Environmental Crimes (EPA)

The Clean Air Act (CAA)


A CAA violation occurs when a source emits pollution
in excess of levels established by regulation.
Criminal sanctions apply to any person who:




Violates the CAA by making false statements,
Fails to report as required,
Tampers with EPA monitoring devices, or
Fails to pay fees owed to the United States.
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13.6
Environmental Crimes (EPA)

Criminal sanctions may be imposed on both the
organizations and the individuals responsible for
the actions of an organization.
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13.6
Environmental Crimes (EPA)
Safe Drinking Water Act (SDWA)


Designed to regulate levels of harmful contaminants in
public water systems and the underground injection of
contaminants into ground water that supplies public
drinking water.
The EPA is required to establish national primary
drinking water regulations, and discharges must
obtain permits for underground injection of
contaminants.
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13.6
Environmental Crimes (EPA)

Safe Drinking Water Act (SDWA)



The act also regulates the amount of lead found in
drinking water coolers, and penalizes tampering with
public water systems.
The act requires the EPA to establish minimum
standards to prevent the contamination of
underground water resources.
Failure to comply with the standards could lead to civil
penalties as well as criminal penalties.
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13.6
Environmental Crimes (EPA)
Clean Water Act (CWA)



Was enacted to restore and maintain the chemical,
physical, and biological integrity of the nation’s waters
by minimizing the effects of water pollution.
The CWA is also referred to as the Federal Water
Pollution Control Act.
Under the terms of the act, federal, state, and local
authorities are authorized to establish programs that
prohibit or regulate the discharge of pollutants into the
water of the United States. In administering and
enforcing the CWA, the EPA and the Army Corps of
Engineers share responsibility.
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13.6
Environmental Crimes (EPA)
Clean Water Act (CWA)


The Corps has the nondiscretionary duty to regulate
discharge of dredged or fill material by issuing permits
after applying guidelines established by the EPA and
has the authority to enforce permit violations.
The EPA holds the ultimate responsibility for wetlands
protection, has authority to seek penalties for
unpermitted discharges of pollutants into United
States waters and, after consulting with Corps of
Engineers, can block or overrule the Corps decision to
issue permits
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13.6
Environmental Crimes (EPA)
Toxic Substance Control Act (TSCA)


The purpose of the act is to prevent toxic substances
in commerce from presenting an “unreasonable risk
of injury to health or the environment,” and to stem
the tide of chemical substances and mixtures
considered “imminent hazards.”
The act also requires private industries that
manufacture toxic substances to generate data with
respect to the effects of the toxic chemicals.
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13.6
Environmental Crimes (EPA)
Resource Conservation and Recovery Act
(RCRA)


Establishes a detailed scheme for federal regulation of
all wastes, including hazardous wastes.
It sets standards that govern the generation,
treatment, storage, transportation, and disposal of
hazardous wastes.
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
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13.6
Antitrust and Securities Violations (SEC)
The Sherman Act of 1890 was enacted to
prevent sabotage of the free enterprise system.
The central purpose of antitrust laws is to
prevent any acts that take away the freedom of
purchasers to buy in the open market and to
maintain freedom of competition.
The criminal provision of the present Sherman
Act provides for criminal sanctions against any
person “who shall make any contract or engage
in any combination or conspiracy” in restraint of
interstate commerce.
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13.6
Antitrust and Securities Violations (SEC)
To prove a criminal violation, the government
must establish four elements:




Two or more entities formed a combination or a
conspiracy;
The combination or conspiracy produces, or
potentially produces, an unreasonable restraint of
trade or commerce;
The restrained trade or commerce is interstate in
nature;
General intent.
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13.6
Antitrust and Securities Violations (SEC)
State Antitrust Laws

States can enforce antitrust laws in two ways: by
prosecution for violations of state antitrust laws or by
suing as plaintiffs in federal court under the federal
law.
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
1
Antitrust and Securities Violations (SEC)
Securities Exchange Violations


The Securities Act of 1933 and the Securities and
Exchange Act of 1934 required that publicly traded
securities be registered and the trading of such stock
be regulated, including the requirement to provide
accurate information to purchasers.
The Securities and Exchange Commission (SEC) is
the federal agency that regulates securities trading.
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13.6
Antitrust and Securities Violations (SEC)
Securities Fraud

An offender violates the law when he or she:




Makes a material false statement or omission
Knowingly, with intent to defraud
That causes another party damages
If it is an omission, the party had a duty to disclose the
information
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13.6
Antitrust and Securities Violations (SEC)
Insider Trading




Perhaps the most frequent type of securities violation
is insider trading.
This is when someone who owns more than 10
percent of the stock in a publicly traded company buys
or sells their shares.
This is not illegal unless the person does so based on
insider information not available to the general public.
Congress enacted the Insider Trading Sanctions Act
of 1984, which increased penalties for this offense.
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13.6
Antitrust and Securities Violations (SEC)
Sarbanes-Oxley Act of 2002



The Sarbanes-Oxley Act created new federal offenses
in the area of securities violations.
The laws are directed toward individuals who destroy
documents when they are under investigation for
securities fraud or insider trading.
It also requires that the chief officers of corporations
certify that financial statements comply with SEC
regulations, increases the penalties for fraud and
conspiracy, and has a provision to protect whistleblowers in a corporation when such people expose
illegal acts such as fraud or other financial
improprieties.
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13.6
Occupational Safety and Health (OSHA)



In December 1970, Congress enacted the
Occupational Safety and Health Act (OSHA).
Congress had determined that legislation was
necessary due to the trend of increasing
employee deaths and injuries in the late 1960s.
OSHA includes a general duty clause that
requires employers to furnish their employees
with a working environment free from recognized
hazards.
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13.6
Occupational Safety and Health (OSHA)

State Laws


The enactment of federal statutes left unanswered the
question of to what extent OSHA preempted state
criminal sanctions.
Although states are preempted by OSHA from
regulating workplace safety, the application of certain
state criminal sanctions against employers is not
preempted.
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13.6
Occupational Safety and Health (OSHA)
Fair Labor Standards Act

The Fair Labor Standards Act (FLSA) of 1938
prohibits an employer from failing to pay minimum
wages or overtime compensation to an employee,
failing to keep individual work records for each
employee, discriminating on the basis of sex by
paying different wages for equal work, or using
oppressive child labor.
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13.6
Occupational Safety and Health (OSHA)
Maximum Hour Standards

29 U.S.C. § 207

Except if otherwise provided in this section, no employer shall
employ any of his employees who in any workweek is
engaged in commerce or in a production of goods for
commerce, or is employed in an enterprise engaged in
commerce or the production of goods for commerce, for a
workweek longer than 40 hours unless such employee
receives compensation for his employment in excess of the
hours above specified at a rate of not less than one or onehalf times the regular rate at which he is employed.
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13.6
Occupational Safety and Health (OSHA)

“Whistle-Blower” Protection


Makes it unlawful for an employer to discharge or
discriminate against an employee due to the
employee’s filing of an FLSA complaint.
According to a circuit court, the purpose of this statute
is not merely to vindicate the rights of the complaining
party, but to foster an environment in which
employees are unfettered in their decision to voice
grievances without fear of economic retaliation or
reprisal.
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13.6
Food and Drug Violations (FDA)


The FDA is the federal agency that protects
consumers from unsafe or adulterated food or
drugs and investigates violations of the Food,
Drug, and Cosmetic Act (FDCA).
The crimes that are addressed by the FDA
include: manufacturing, introducing, delivering or
receiving adulterated or misbranded food, drugs,
or cosmetics into interstate commerce; and,
refusal to permit FDA food inspections.
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