Defendant Jose Contreras Casarez was convicted of falsely impersonating his brother during a traffic stop. On appeal, he contends (1) insufficient evidence supported the conviction for false personation, (2) a more specific criminal statute precluded his conviction, (3) the trial court erred in failing to instruct on the lesser included offense of attempted false personation, (4) the trial court abused its discretion by refusing to reduce the offense to a misdemeanor, and (5) the trial court denied defendant's constitutional rights by failing to hold a hearing to determine his competency. We will reverse.
On March 18, 2010, the Tulare County District Attorney charged defendant with false personation (Pen. Code, § 529, former subd. 2;
On May 25, 2010, a jury found defendant guilty as charged. Defendant admitted the special allegations.
The court denied probation and sentenced defendant to five years in prison: the middle term of four years (two years doubled pursuant to § 667, subd. (e)(1)), plus one year, to be served consecutively for a prior prison term enhancement. The remaining two prior prison term enhancements were dismissed in the interest of justice.
On March 3, 2010, Officers Whaley and Verissimo conducted a traffic stop. Verissimo noticed defendant in the backseat of the car. A warrant was out for defendant's arrest, and Whaley and Verissimo had both received a wanted-person flyer containing defendant's photograph and identifying information, including a description of his tattoos. When Verissimo noticed the tattoos on defendant's hands, it jogged his memory and he recognized him. Verissimo asked defendant what his name was. Defendant said his name was Tony Contreras. Verissimo did not believe him, so he asked if he would step out of the car so they could talk. Defendant said, "Fine," and he stepped out. As he
Whaley contacted an officer who confirmed defendant's identity based on his distinctive tattoos. At this point, Whaley took defendant into custody. After defendant was read his Miranda
Verissimo testified that he sometimes relied on birth certificates as proof of identity during traffic stops because they contain a name and a birth date, which are tools in identifying the person, allowing the officer to investigate further for a photograph or other identifying information, such as tattoo descriptions.
Whaley testified that he too had used birth certificates as identifying documents. The name and birth date provide identifying information. Whaley would use other tools in addition to the birth certificate to identify a person. When a person gives his name, his production of a birth certificate makes his assertion of the name more credible.
Defendant contends the evidence did not support his conviction under section 529, former subdivision 2, because there was insufficient evidence he committed an additional act beyond falsely identifying himself to the officer. We agree.
"`To determine the sufficiency of the evidence to support a conviction, an appellate court reviews the entire record in the light most favorable to the
In Cole, the defendant contended he had not committed an additional act that would elevate his crime from a violation of section 148.9 to a violation of section 529, former subdivision 3. While sitting in the patrol vehicle following his arrest, the defendant orally identified himself to the arresting officer as Larry Quesenberry and provided Quesenberry's birth date. The officer asked the defendant if his middle name was Ray, which was Quesenberry's middle name, and the defendant replied affirmatively. (Cole, supra, 23 Cal.App.4th at p. 1674.) The People argued that, by providing additional information beyond a false name (the birth date and middle name), the defendant committed the necessary additional act and elevated the crime from a misdemeanor under section 148.9 to a felony under section 529. (Cole, supra, at p. 1676.) This court disagreed, explaining that these additional acts of giving a birth date and a middle name were "no more than part of the act of providing the false information upon which the false identity was based. Each statement made in the course of providing contemporaneous statements amounting to false identification logically cannot be construed as separate acts compounding each prior statement." (Ibid., italics added.) Finding insufficient evidence of an additional act, we concluded that the record did not support the felony conviction, but did support the misdemeanor conviction. Therefore, we reversed the conviction and directed the trial court to enter a judgment of conviction for a violation of section 148.9 on remand. (Cole, supra, at pp. 1676-1677, 1679.)
In People v. Chardon (1999) 77 Cal.App.4th 205 [91 Cal.Rptr.2d 438], the defendant, who was convicted under section 529, also contended she had not committed the necessary additional act required by section 529, former subdivision 3. When she was stopped for speeding, she orally identified herself as Michelle Chardon, her sister. She also provided Michelle's middle name and birth date. She claimed she did not have her driver's license or any registration information. The officer went to his vehicle and ran a license check with Michelle's information, which revealed that Michelle had a valid license with no holds or warrants. The officer wrote up a citation in
In People v. Stacy, supra, 183 Cal.App.4th 1229, the defendant was stopped for a traffic offense. She told the officer she did not have her driver's license, but she orally identified herself as Amber Skrobecky, her cousin, and provided an incorrect birth date (even for Skrobecky). The defendant performed field sobriety tests and was found to be intoxicated. During the drive to the jail, she gave the officer Skrobecky's correct driver's license number and mailing address, but an incorrect middle name. The officer asked her maiden name, and she gave one that did not match either maiden name listed for Skrobecky. The officer confronted the defendant with the discrepancies, but she insisted she was Skrobecky and offered another incorrect birth date. At the jail, she was fingerprinted. She took one breathalyzer test, but refused to complete the mandatory second test and to provide a blood sample. When the fingerprint results revealed her true identity, she admitted she had lied about her identity because there were outstanding warrants for her arrest. (Id. at pp. 1231-1233.)
On appeal, the defendant contended there was insufficient evidence she committed an act beyond falsely identifying herself that subjected Skrobecky to potential liability. She argued that the only additional act she committed was performing the field sobriety test, which was not criminal. But the court stated that she also refused to complete the mandatory second breath test and did not consent to having her blood drawn. "Her refusal to complete the chemical testing, while acting as Amber Skrobecky, put Skrobecky at risk of liability for refusing to submit to and/or complete the chemical testing requirements under Vehicle Code sections 23612 and 23577. Indeed, such charges were ultimately levied against [the] defendant when her true identity was learned." (People v. Stacy, supra, 183 Cal.App.4th at pp. 1235-1236, fn. omitted.) The evidence was sufficient to satisfy section 529, former subdivision 3. (183 Cal.App.4th at p. 1237.)
Section 529 is found in chapter 8, entitled "False Personation and Cheats," which is contained in part 1, title 13 of the Penal Code (chapter 8), entitled "Of Crimes Against Property." "A purview of Chapter 8's provisions indicates that the essence of these provisions is to punish the type of fraud perpetrated by means of impersonation of another person." (People v. Robertson (1990) 223 Cal.App.3d 1277, 1282 [273 Cal.Rptr. 209], abrogated on another ground in People v. Rathert, supra, 24 Cal.4th at pp. 206-208.) On its enactment in 1872, chapter 8 included sections 528 (marriage under false personation), 529 (false personation of another in private or official capacity; bail or surety; verification, publication, or acknowledgment of instrument; acts imposing liability or conferring benefit), 530 (false personation of another in private or official capacity; obtaining money or property), 531 (fraudulent conveyances; defense of conveyance by party; sale or assignment of property conveyed), 532 (false pretenses; obtaining money, labor or property), 533 (real estate; multiple sales of same parcel), 534 (real estate; sales by married person under false representation), and 535 (mock auctions; obtaining money, property or signature).
Chapter 8 also now includes section 529.5, added the same year as section 529a (Stats. 1979, ch. 717, § 2, p. 2205), which punishes the production, sale, and possession of a fake driver's license, and section 529.7, added in 2002 (Stats. 2002, ch. 907, § 2, p. 5619), which punishes the obtaining or possession of an official driver's license by someone not entitled to possess it.
The plain language of former subdivision 2 of section 529 addressed specific acts made with a written instrument. To describe the acts, the statute used traditional legal terms with specific meanings in the context of written instruments. According to Black's Law Dictionary, a written "instrument" is "[a] formal or legal document in writing, such as a contract, deed, will, bond, or lease. A writing that satisfies the requisites of negotiability . . . . A negotiable instrument . . ., or a security . . . or any other writing which evidences a right to the payment of money and is not itself a security agreement or lease and is of a type which is in ordinary course of business transferred by delivery with any necessary indorsement or assignment." (Black's Law Dict. (6th ed. 1990) p. 801, citations omitted.) In 1880, the Supreme Court explained that the word "instrument," as used in the Civil Code, "invariably . . . indicate[d] 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." (Hoag v. Howard (1880) 55 Cal. 564, 565.) Several years later, the court stated: "The term `instrument,' in its broad sense, includes formal or legal documents in writing, including contracts, deeds, wills, bonds, leases, mortgages, etc." (Cardenas v. Miller (1895) 108 Cal. 250, 256 [41 P. 472].) We will assume, for the sake of argument, that an official birth certificate constitutes a written instrument.
As for the acts themselves, we consider the plain meaning of the terms in the context of written instruments. To "verify" is "[t]o confirm or substantiate by oath or affidavit. Particularly used of making formal oath to accounts, petitions, pleadings, and other papers. . . . [W]hen used in a statute, ordinarily
To "acknowledge" is "[t]o own, avow, or admit; to confess; to recognize one's acts, and assume the responsibility therefor." (Black's Law Dict., supra, at p. 23.) An acknowledgement of a written instrument is a "[f]ormal declaration before authorized official, by person who executed instrument, that it is his free act and deed." (Ibid.) "A notary's official duties include taking the acknowledgment of deeds, verifying the identity of signatories, and collecting their signatures in a journal. [Citations.]" (Purdum v. Holmes (2010) 187 Cal.App.4th 916, 923-924 [115 Cal.Rptr.3d 21]; see Pitney v. Pitney (1921) 55 Cal.App. 22, 31 [202 P. 940] ["the plaintiff had placed her mark at the end of the deed and her name was written thereon by Mr. Witherspoon, and thereafter the plaintiff turned to . . . a notary public and acknowledged to him that she executed that paper . . ."].) "The officer taking an acknowledgment is required . . . to certify to three factors: [¶] First, that the declarant personally appeared before him; secondly, that the declarant was known to him to be the person whose name is subscribed [(i.e., signed)] to the declaration, and thirdly, that the declarant acknowledged that he executed the document." (Favello v. Bank of America etc. Assn. (1938) 24 Cal.App.2d 342, 344-345 [74 P.2d 1057].) "The provisions relating to the acknowledgment of deeds are made for the protection and security of creditors and purchasers." (Kimbro v. Kimbro (1926) 199 Cal. 344, 349 [249 P. 180].)
To "prove" is "[t]o establish or make certain; to establish a fact or hypothesis as true by satisfactory and sufficient evidence." (Black's Law Dict., supra, at p. 1224.) Enacted in 1872, Civil Code section 1195 provided: "Proof of the execution of an instrument, when not acknowledged, may be made either: [¶] 1. By the party executing it, or either of them; or, [¶] 2. By a subscribing witness; or, [¶] 3. By other witnesses, in cases mentioned in
To "publish" is "[t]o make public; to circulate; to make known to people in general. To issue; to put into circulation. To utter; to present (e.g. a forged instrument) for payment. To declare or assert, directly or indirectly, by words or actions, that a forged instrument is genuine. An advising of the public or making known of something to the public for a purpose." (Black's Law Dict., supra, at p. 1233.) Certain written instruments, such as wills, are considered to be published. (See, e.g., Estate of Margaretha Pfuelb (1874) 48 Cal. 643 ["In the year 1869 the testatrix made and published her last will and testament, by which she bequeathed to a son of her deceased husband, by a former wife, the sum of four thousand dollars."]; In re Zeile (1887) 74 Cal. 125, 127 [15 P. 455] ["He left a will, executed and published in this state on the 19th of May, 1883, which was duly probated in San Francisco . . . ."]; Estate of Bartholomae (1968) 261 Cal.App.2d 839, 841 [68 Cal.Rptr. 332] ["The jury returned special verdicts that the will was not executed or published as the result of fraud or undue influence . . . ."].)
According to the plain language of the statute, the impersonator must commit one of these acts with a written instrument, described above, with the intent that the written instrument may be recorded, delivered, or used as true.
To "record" is to "enter the history of an act or series of acts, in an official volume, for the purpose of giving notice of the same, of furnishing authentic evidence, and for preservation." (Black's Law Dict., supra, at p. 1273.) Deeds and various other types of instruments can be recorded. (See Miller &
To "deliver" is to place "the res or substance thereof . . . within the actual or constructive possession or control of another. [¶] . . . [¶] . . . Delivery with respect to instruments, documents of title, chattel paper or securities means voluntary transfer of possession. . . . [¶] The act by which seller parts with possession and buyer acquires possession." (Black's Law Dict., supra, at p. 428, citation omitted.) Enacted in 1872, Civil Code section 1054 still states: "A grant takes effect, so as to vest the interest intended to be transferred, only upon its delivery by the grantor." "`Delivery' is a word of well-defined meaning in the law. It is the act, however evidenced, by which the instrument takes effect and title thereby passes." (Williams v. Kidd (1915) 170 Cal. 631, 649 [151 P. 1].)
To "use" is "[t]o make use of; to convert to one's service; to employ; to avail oneself of; to utilize; to carry out a purpose or action by means of; to put into action or service, especially to attain an end." (Black's Law Dict., supra, at p. 1541.)
While section 529, former subdivision 3 appears relatively frequently in case law, section 529, former subdivision 2 rarely appears, even in nonpublished cases. But not long after the statute's 1872 inception, the Supreme Court addressed former subdivision 2 in People v. Maurin (1888) 77 Cal. 436 [19 P. 832]. The defendant was convicted under former subdivision 2 of section 529, and "[t]he particular charge in the information was, that the defendant falsely personated one Dr. F. F. De Derky, and in such assumed character, verified, etc., a certain certificate of death, with intent that it should be recorded, etc." (Maurin, supra, at p. 437.) The evidence was insufficient to prove that the defendant signed the death certificate while under the assumed identity of the doctor. (Id. at pp. 437-438.) The court explained: "The most that the jury could have found against the defendant,
Several years later, an Oklahoma court in Raymer v. State (1924) 27 Okla.Crim. 398 [228 P. 500], addressed an analogous statute, which provided: "`Any person who falsely personates another, and in such assumed character, either: *** [¶] Third, subscribes, verifies, publishes, acknowledges, or proves, in the name of another person, any written instrument, with intent that the same may be delivered or used as true.'" (Id., 228 P. at p. 501.)
About 76 years later, in Lee v. Superior Court (2000) 22 Cal.4th 41 [91 Cal.Rptr.2d 509, 989 P.2d 1277] (Lee), our Supreme Court discussed the purpose of section 529 in the context of impersonation of a deceased person. The court explained: "[S]tatutes prohibiting impersonation have two purposes. One is to prevent harm to the person falsely represented; the second is to ensure the integrity of judicial and governmental processes. Both purposes are furthered by construing section 529 as applying to impersonation of a deceased person as well as of a living person, and both would be frustrated by a contrary interpretation of the statute. [¶] Regarding the first purpose of such statutes—protecting the impersonated—it is instructive to consider the whole of section 529. In addition to the conduct described in subdivision 3, which is at issue in this matter, the statute also covers impersonation of another `in either his private or official capacity' in a situation in which the defendant `1. Becomes bail or surety for any party in any proceeding whatever, before any court or officer authorized to take such bail or surety'; or `2. Verifies, publishes, acknowledges, or proves, in the name of another person, any written instrument, with intent that the same may be recorded, delivered, or used as true . . . .' [¶] Viewed together, the substance of the three subdivisions that comprise section 529 demonstrate a legislative intent to include, rather than exclude, impersonation of the deceased. This is perhaps most clear with regard to subdivision 2 of the statute, which the Legislature likely intended would apply to impersonation of a deceased person, in order, for example, to protect a deceased person's interests during the period between death and the settling of his or her estate." (Lee, supra, at pp. 45-46, fn. omitted, italics added.) "Our conclusion in this regard is confirmed by consideration of the history and context of a companion statute—section 530—that was enacted with section 529 in 1872, and that was amended with section 529 in 1905 to add the `private or official capacity' clause. (Stats. 1905, ch. 523, §§ 1, 2, pp. 684, 685.) Section 530 makes it a crime to `personate[] another, in either his private or official capacity, and in such assumed character receive[] any money or property, knowing that it is intended to be delivered to the individual so personated' with the intent to keep the money or property for the defendant's own use. As noted above with regard to section 529, subdivision 2, there is no reason to believe that the Legislature intended that section 530 would not be triggered by impersonation of the deceased, and indeed it seems most reasonable to assume that the Legislature intended that the section would apply in such situations in order to protect the interests of the individual impersonated." (Id. at p. 46, fn. 5.)
The Lee court continued: "Regarding the second purpose of such statutes, ensuring the integrity of judicial and governmental processes, it is again instructive to consider the full scope of section 529, and in this regard too it is apparent that the Legislature intended that the statute would apply to impersonation of a deceased person. As noted above, subdivision 1 of the statute is addressed to impersonation `before any court or officer authorized to take . . . bail or surety,' and subdivision 2 addresses, among other things, impersonation by use of a `written instrument, with intent that the same may be recorded.' Plainly, impersonation in such situations might be facilitated— and indeed accomplished—by representing oneself as a deceased person. By employing a deceased person's identity, an impersonator may present a more convincing fraud, by, for example, submitting official documents of the deceased or by making use of entries in computer data bases concerning the deceased that may not have been updated to reflect the circumstance of death. Such an impersonation, accompanied by apparent indicia of reliability, may be more difficult to detect, and hence may pose a greater risk to the integrity of judicial and governmental processes, than impersonation by use of a fictitious identity, or even by use of the identity of a living person (who may be able to expose the fraud). [¶] Consistent with this conclusion, courts of other jurisdictions have observed that impersonation statutes such as section 529 protect society as a whole (and not only the individual impersonated) . . . ." (Lee, supra, 22 Cal.4th at pp. 46-47, italics added.)
Defendant's conviction must be reversed. Consequently, the other issues raised by defendant are moot.
The judgment of conviction is reversed.
Levy, Acting P.J., and Franson, J., concurred.
All further references to section 529 are to the version in effect in 2010.
Section 529.7 provides: "Any person who obtains, or assists another person in obtaining, a driver's license, identification card, vehicle registration certificate, or any other official document issued by the Department of Motor Vehicles, with knowledge that the person obtaining the document is not entitled to the document, is guilty of a misdemeanor, and is punishable by imprisonment in a county jail for up to one year, or a fine of up to one thousand dollars ($1,000), or both." (Italics added.)
On appeal, the court concluded the arrest and search were valid, stating: "`Vehicle Code sections 4462 and 12951 long have required that the person in the immediate control of an automobile present evidence of registration and a driver's license upon proper command of a peace officer.' [Citation.] Upon defendant's failure to provide a valid registration and his provision of false identification of himself as `Richard Redd,' [the officer] had authority to place defendant under arrest. (See § 148.9, subd. (a) [any person who falsely identifies himself to a peace officer upon lawful detention or arrest to evade his proper identification by the investigating officer is guilty of a misdemeanor]; Veh. Code, § 4000 . . . .) Moreover, [the officer] had authority to search defendant incident to this arrest. [Citation.]" (Redd, supra, 48 Cal.4th at pp. 719-720, fn. omitted.)