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Factual and Procedural Background

The People appealed a superior court judgment issuing a writ of prohibition that restrained the Redding Justice Court from proceeding on a felony complaint charging Helen Faye Generes with a public offense under Penal Code section 115. The felony complaint alleged that Generes knowingly procured and offered to record a false grant deed conveying an easement from herself to herself over land she did not own. The justice court overruled Generes' demurrer to the complaint. Generes then petitioned the superior court for a writ of prohibition, which was granted on the basis that the conduct did not violate Penal Code section 115. The People appealed the superior court's issuance of the writ.

Legal Issues Presented

  1. Whether the allegations of the felony complaint sufficiently charged a violation of Penal Code section 115.
  2. How the term "false instrument" in Penal Code section 115 should be properly construed, including whether a deed conveying an easement from oneself to oneself qualifies as a "false instrument."
  3. Whether the term "instrument" under Penal Code section 115 requires the document to be an agreement or to involve delivery from one person to another.

Arguments of the Parties

Real Party in Interest and Appellant (The People)

  • The trial court applied an overly narrow construction of the word "false" in Penal Code section 115.
  • The statute aims to prevent recordation of spurious documents knowingly offered for record, regardless of legal impossibility of the conveyance.
  • The crime is complete when the instrument appears valid on its face and could defraud one who acts on it as genuine, even if no actual fraud occurs.
  • The lack of ownership interest by Generes makes the deed a false instrument because it purports to convey rights she does not have.
  • A violation of Penal Code section 115 does not require a forged instrument; a false instrument suffices.

Plaintiff and Respondent (Helen Faye Generes)

  • The deed is not an "instrument" under Penal Code section 115 because it does not constitute an agreement.
  • There can be no delivery "from oneself to oneself," which is required for an instrument.
  • Relied on case law defining "instrument" narrowly as a written agreement signed and delivered by one person to another transferring title or creating a lien.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
People v. Baender (1924) 68 Cal.App. 49 Definition and scope of "false instrument" under Penal Code section 115; crime complete when instrument appears valid and could defraud. Supported the Court's interpretation that a deed conveying an interest not owned is a false instrument even if no actual fraud occurred.
People v. Horowitz (1945) 70 Cal.App.2d 675 Crime under Penal Code section 115 occurs when instrument defrauds one who acts upon it as genuine. Confirmed that actual defrauding is not necessary to constitute an offense.
People v. Geibel (1949) 93 Cal.App.2d 147 Actual defrauding is not required to complete the offense under Penal Code section 115. Reinforced that the offense is complete upon offering a false instrument for record.
People v. Fraser (1913) 23 Cal.App. 82 Definition of "instrument" as a written agreement signed and delivered transferring title or creating lien. The Court noted Fraser's narrow definition was uncritically accepted but ultimately rejected its limitations for Penal Code section 115 purposes.
Hoag v. Howard (1880) 55 Cal. 564 Definition of "instrument" in Civil Code as written paper signed and delivered transferring title or creating lien. Clarified that the definition was not restricted to agreements; deeds are instruments even without consideration or delivery in some cases.
People v. Webber (1919) 44 Cal.App. 120 Deeds are included within the class of instruments under Penal Code section 115. Supported the Court's conclusion that deeds are instruments for purposes of the statute.
People v. Standley (1932) 126 Cal.App. 739 Deeds are instruments under Penal Code section 115. Confirmed inclusion of deeds as instruments within the statute's scope.
People v. Gilbert (1938) 26 Cal.App.2d 1 Deeds qualify as instruments under Penal Code section 115. Further confirmed that deeds fall within the statute's purview.
People v. Bresin (1966) 245 Cal.App.2d 232 Deeds considered instruments under Penal Code section 115. Supported the Court's interpretation of the statute.
People v. Davidian (1937) 20 Cal.App.2d 720 Wills are considered instruments under Penal Code section 115 despite not being agreements. Illustrated that instruments need not be agreements or require delivery to qualify.
People v. Todd (1953) 120 Cal.App.2d 640 Wills qualify as instruments under Penal Code section 115. Reinforced the broader interpretation of "instrument" beyond agreements.
People v. Fox (1977) 73 Cal.App.3d 178 Example of narrow prior interpretations of "instrument" excluding certain documents. Used to illustrate the problematic narrow definitions the Court rejected.
People v. Jennings (1943) 61 Cal.App.2d 417 Narrow definition of "instrument" as agreement signed and delivered. Example of uncritically accepted narrow definitions rejected by the Court.
People v. Rich (1948) 86 Cal.App.2d 386 Narrow definition of instrument excluding certain documents. Illustrated the limitations of prior case law rejected by the Court.
People v. Wood (1958) 161 Cal.App.2d 24 Narrow definition of "instrument" excluding some documents. Used to demonstrate prior narrow case law rejected by the Court.
People v. Olf (1961) 195 Cal.App.2d 97 Narrow definition of "instrument." Another example of prior narrow interpretations rejected.

Court's Reasoning and Analysis

The Court began by independently analyzing Penal Code section 115, which criminalizes knowingly procuring or offering any false or forged instrument for recordation in a public office. The Court rejected the superior court's narrow construction of "false," emphasizing that the statute aims to prevent recording spurious documents that appear valid on their face and could defraud those relying on them. The Court held that the absence of a legal interest in the land by Generes rendered the deed a false instrument because it purported to convey an easement she did not own. The Court also clarified that a violation does not require forgery; a false instrument suffices. Addressing the definition of "instrument," the Court rejected the narrow interpretation that an instrument must be a written agreement signed and delivered by one person to another. It noted that prior appellate decisions had uncritically accepted this limited definition, but that the term should be understood more broadly. The Court found that deeds, including those conveying interests from oneself to oneself, qualify as instruments under Penal Code section 115. The Court supported this conclusion by citing cases holding deeds and wills to be instruments within the statute's scope, noting that delivery or agreement are not necessary conditions for a document to be an instrument under the statute. Therefore, the Court concluded that the felony complaint was not facially insufficient and that the act of procuring or offering to record a false grant deed conveying an easement from oneself to oneself, when no interest exists to convey, constitutes a public offense under Penal Code section 115.

Holding and Implications

The judgment of the superior court issuing the writ of prohibition is reversed.

The direct effect of this decision is to allow the Redding Justice Court to proceed with the felony complaint against Helen Faye Generes. The Court's ruling clarifies the proper construction of Penal Code section 115, confirming that knowingly procuring or offering for recordation a false instrument that appears valid on its face constitutes a felony, even if the instrument conveys an interest from oneself to oneself or does not meet the narrow definition of an agreement. No broader precedent beyond the application of Penal Code section 115 to the facts of this case is established.

HELEN FAYE GENERES, Plaintiff and Respondent, v. THE JUSTICE COURT FOR THE REDDING JUDICIAL DISTRICT OF SHASTA COUNTY, Defendant and Respondent; THE PEOPLE, Real Party in Interest and Appellant.

OPINION

PUGLIA, P.J.

The People appeal from a judgment of the superior court issuing a writ of prohibition. The writ restrains the Redding Justice Court from further proceedings on a felony complaint. The complaint undertakes to charge respondent Generes with a public offense. Generes is the plaintiff in the superior court prohibition proceedings and the People are the real party in interest.

On this appeal we must determine whether the allegations of the felony complaint are sufficient to charge a violation of Penal Code section 115, a task which calls into question the proper construction of that provision. That section provides: "Every person who knowingly procures or offers any false or forged instrument to be filed, registered, or recorded in any public office within this State, which instrument, if genuine, might be filed, or registered, or recorded under any law of this State or of the United States, is guilty of a felony." (Italics added.)

The felony complaint alleges that Generes willfully, unlawfully, and knowingly procured and offered to be filed, registered, and recorded in the county recorder's office a false grant deed conveying from herself to herself a false easement for road and utility purposes in violation of Penal Code section 115. Generes' demurrer to the complaint was overruled by the justice court.

Generes then petitioned the superior court for a writ of prohibition. In issuing the peremptory writ, the superior court stated: "It appears from the face of the complaint that Defendant filed a document which was exactly what it purported to be: to wit, a deed from herself to herself granting herself an easement over land she did not own. The court does not rule that this conduct is legal. It merely states now that it is not a violation of Penal Code Section 115."

The interpretation of a statute presents a question of law. (6 Witkin, Cal. Procedure (2d ed. 1971) Appeal, §§ 209-210, pp. 4200-4202.) In addressing that question, we may give deferential consideration to the trial court's opinion and ruling but we are not bound thereby. (1a) Following our independent analysis of Penal Code section 115, we shall hold that under the proper construction of the statute, the felony complaint is not facially insufficient; if Generes had no legally cognizable interest in the subject land, her procuring or offering to be recorded of a grant deed purporting to convey from herself an easement in such land was a public offense; such a document would constitute a "false instrument" within the contemplation of Penal Code section 115.

I.

The People assert that the trial court applied an overly narrow construction of the word "false." (2a) Penal Code section 115 was designed to prevent the recordation of spurious documents knowingly offered for record. ( People v. Baender (1924) 68 Cal.App. 49, 55 [ 228 P. 536].) The legal impossibility of Generes' conveying an interest in realty she did not own is of no significance in assessing the falsity of the deed where the deed appears valid on its face. (See People v. Baender, supra, 68 Cal.App. at p. 59.) The crime is complete when the deed has been prepared so that "upon its face it will have the effect of defrauding one who acts upon it as genuine." ( People v. Horowitz (1945) 70 Cal.App.2d 675, 686 [ 161 P.2d 833].) It is not necessary to constitute a completed offense that anyone actually be defrauded. ( People v. Baender, supra, at p. 59; People v. Geibel (1949) 93 Cal.App.2d 147, 168 [ 208 P.2d 743].)

(1b) Here the lack of an ownership interest in the land goes to the deception itself. If Generes did not own the interest she purported to convey, the instrument she filed was clearly false. Having no right to grant or convey an easement, her recording of a deed transferring an easement would establish a cloud on the title of those persons who lawfully owned interests in the land. A title searcher encountering the spurious document who acted upon it as genuine would of course be materially deceived.

(2b) Generes is incorrect in her assertion that a violation of Penal Code section 115 requires a writing which falsely purports to be the writing of another, i.e., a forgery. Reliance for this proposition on People v. Baender, supra, is misplaced, because Baender factually involved a forged rather than a false instrument. Penal Code section 115 differentiates between the two categories, clearly proscribing either a false or a forged instrument. Obviously, as in the present case, an instrument may have the effect of defrauding one who acts on it as genuine even though it does not bear a forged signature or otherwise meet the technical requirements of a forged instrument.

II.

Generes maintains the subject deed is not an "instrument" within the contemplation of Penal Code section 115 because (1) it does not constitute an agreement, and (2) there can be no delivery "from oneself to oneself." Generes relies on a line of cases in which the term "instrument" is defined as ". . . an agreement expressed in writing, signed, and delivered by one person to another, transferring the title to or creating a lien on real property, or giving a right to a debt or duty." (E.g., People v. Fraser (1913) 23 Cal.App. 82, 84-85 [ 137 P. 276]; Jennings v. American President Lines (1943) 61 Cal.App.2d 417, 422 [ 143 P.2d 349, 144 P.2d 54]; Rich v. Ervin (1948) 86 Cal.App.2d 386, 391 [ 194 P.2d 809]; People v. Wood (1958) 161 Cal.App.2d 24, 28-29 [ 325 P.2d 1014]; People v. Olf (1961) 195 Cal.App.2d 97, 109-110 [ 15 Cal.Rptr. 390]; People v. Fox (1977) 73 Cal.App.3d 178, 180 [ 140 Cal.Rptr. 615]; italics added.) Unfortunately, People v. Fraser, supra, the appellate decision first employing the foregoing definition, distorted the sense of language in Hoag v. Howard (1880) 55 Cal. 564, upon which it relied, and subsequent appellate decisions have uncritically accepted the limitations imposed by the Fraser definition. As a result, in those cases the term "instrument" has been narrowly construed to exclude written documents that do not embrace an agreement, some of which undoubtedly would fall within a more generic definition of the term "instrument." (E.g., Fraser, supra [birth certificate]; Jennings, supra [deposition]; Rich, supra [homestead declaration]; Wood, supra [Dept. of Motor Vehicles dealer records]; Olf, supra [permit to issue securities]; Fox, supra [voter registration affidavit].)

Hoag v. Howard, supra, 55 Cal. 564, did not involve Penal Code section 115. It merely held that the term "instrument" as it appeared in the Civil Code was used to indicate "some written paper or instrument signed and delivered by one person to another, transferring the title to or creating a lien on property, or giving a right to a debt or duty." (P. 565.) The definition obviously was not restricted to agreements since a conveyance of realty needs no consideration for its validity. (Civ. Code, § 1040) (3a) In any event, California courts have long held deeds to be among the class of instruments coming within the purview of Penal Code section 115. (E.g., People v. Webber (1919) 44 Cal.App. 120 [ 186 P. 406], hg. den.; People v. Baender, supra, 68 Cal.App. 49; People v. Standley (1932) 126 Cal.App. 739 [ 15 P.2d 180]; People v. Gilbert (1938) 26 Cal.App.2d 1 [ 78 P.2d 770]; People v. Bresin (1966) 245 Cal.App.2d 232 [ 53 Cal.Rptr. 687].)

(4) Wills are not agreements and they also are considered instruments within the contemplation of Penal Code section 115. ( People v. Davidian (1937) 20 Cal.App.2d 720, 723 [ 67 P.2d 1085]; People v. Todd (1953) 120 Cal.App.2d 640 [ 261 P.2d 766].) (5) Furthermore, a will does not require delivery for its validity as does a grant of an interest in realty. (See Civ. Code, § 1054) (6) The requirement of a delivery likewise is unnecessary to the validity of a contractual agreement. (3b) We therefore conclude that to qualify as an instrument within Penal Code section 115, a document need not represent an agreement; moreover it is not necessary that such a document be one that requires a delivery as a condition of validity. (1c) We further conclude that a deed purporting to transfer an easement in real property from oneself to oneself is an instrument within the meaning of Penal Code section 115; if the grantor has no interest to convey, such an instrument is false; knowingly procuring or offering for recordation such a false instrument constitutes a crime under Penal Code section 115.

The judgment is reversed.

Paras, J., and Lally, J., concurred.

Assigned by the Chairperson of the Judicial Council.

A petition for a rehearing was denied July 1, 1980, and the petition of plaintiff and respondent for a hearing by the Supreme Court was denied July 30, 1980. Mosk, J., was of the opinion that the petition should be granted.

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GENERES v. JUSTICE COURT
(Jun 6, 1980)