Disclaimer: The following discussion is for general informational purposes only and does not constitute legal advice. If you need specific guidance regarding any legal matter, it is best to consult a qualified attorney.

Overview

In the Philippines, crimes involving the alteration, fabrication, or duplication of documents are primarily governed by the Revised Penal Code (RPC). These offenses are commonly referred to as “forgery” and “falsification of documents.” They involve acts that distort the truth of a document to cause harm or gain an unlawful benefit. Penalties for these offenses vary depending on several factors, including:

The nature of the document (public, official, commercial, or private).
The status of the offender (whether a public officer or a private individual).
The specific criminal act committed (forgery, falsification, or the use of falsified documents).

This article seeks to provide a comprehensive look at forgery and falsification of documents in the Philippine legal context.

Legal Foundations Under the Revised Penal Code

1. Forgery vs. Falsification

Forgery typically refers to the act of imitating or creating a false version of a document or signature with the intention to deceive.
Falsification broadly covers acts that alter the truth or authenticity of a document, whether by changing its content, adding false statements, or making it appear as if it were authorized by someone who did not actually authorize it.

Although these terms overlap in everyday language, under Philippine law, the term “falsification” is most often used to describe the criminal offense as codified in the Revised Penal Code.

2. Relevant Articles in the Revised Penal Code

Article 161 (Counterfeiting the Great Seal of the Government of the Philippine Islands, forging the signature or stamp of the Chief Executive)
Article 170 (Falsification of legislative documents)
Article 171 (Falsification by a public officer, employee, or notary public)
Article 172 (Falsification by private individuals and use of falsified documents)
Article 173 (Falsification of wireless, cable, telegraph, and telephone messages)
Article 174 (False medical certificates, false certificates of merits, service, etc.)
Article 175 (Using false certificates)

These provisions address the falsification of different types of documents and carry distinct penalties.

Key Offenses and Their Elements

1. Falsification of Public, Official, or Commercial Documents

(Article 171, Revised Penal Code)

Who Commits the Crime: Typically a public officer, employee, or notary public who takes advantage of their official position.
Acts Punishable:
- Counterfeiting or imitating handwriting, signatures, or rubrics.
- Causing it to appear that persons participated in any act or proceeding when they did not in fact so participate.
- Attributing to persons statements other than those made by them.
- Altering true dates.
- Making untruthful statements in a narration of facts.
- Changing or intercalating any true or genuine document which changes its meaning.
- Issuing in an authenticated form a document purporting to be a copy of an original document when no such original exists or including therein a statement contrary to, or different from, that of the genuine original.
Penalty:
- The penalty is usually prisión mayor (6 years and 1 day to 12 years), alongside fines, depending on the exact circumstances and the classification of the document.

2. Falsification by Private Individuals and Use of Falsified Documents

(Article 172, Revised Penal Code)

Scope: This applies to private individuals who commit falsification of public, official, or commercial documents (the same acts described under Article 171, but committed by non-public officers). It also covers falsification of private documents.
Acts Punishable:
1. Falsification of public, official, or commercial documents by a private individual.
2. Falsification of private documents.
3. Knowingly introducing in evidence or using any falsified document, regardless of whether the user participated in the falsification.
Penalty:
- If the falsified document is public, official, or commercial: prisión correccional in its medium and maximum periods (2 years, 4 months, and 1 day to 6 years).
- If it is a private document: usually a lighter penalty, prisión correccional in its minimum and medium periods (6 months and 1 day to 4 years and 2 months), plus possible fine.
- Use of a falsified document carries similar penalties, since using it perpetuates the damage or fraud.

3. Other Falsification Offenses

Article 170 (Falsification of Legislative Documents): This punishes falsifying or counterfeiting a legislative act, bill, resolution, or any official proceeding of the legislative body.
Article 173 (Falsification of Wireless, Cable, Telegraph, and Telephone Messages): This penalizes forging or falsifying messages transmitted by these means, which can include digital transmissions if proven to be analogous to telegram or similar transmissions.
Article 174 and 175 (False Certificates): These cover the falsification or use of false medical certificates, certificates of merit, service, or other official certificates.

Essential Elements and Requirements for Conviction

Existence of a Document: There must be an actual document subject to falsification or forgery.
Capability to Cause Damage or Prejudice: The document must be capable of causing some injury, damage, or prejudice (often referred to as the “potential prejudice test”).
Intent to Defraud (Animus Dolo): The offender must act with the intention to deceive or gain an unlawful benefit. Accidental misstatements or clerical errors, absent deceitful intent, typically do not constitute the crime.
Overt Act of Alteration or Fabrication: There must be a demonstrable act that changes the content or meaning of the document.

Penalties

Prisión Mayor (6 years and 1 day to 12 years):
- Commonly applied to falsification offenses involving public, official, or commercial documents committed by public officers, employees, or notaries public (Article 171).
Prisión Correccional (6 months and 1 day to 6 years):
- Commonly applied to falsification of public, official, or commercial documents committed by a private individual (Article 172, paragraph 1).
- Falsification of private documents (Article 172, paragraph 2) typically imposes a lesser penalty range within prisión correccional.
Fines:
- The court may impose fines in addition to imprisonment. The amount typically depends on the severity of the offense, the type of document, and the resulting harm.

Aggravating and Mitigating Circumstances

1. Aggravating Circumstances

Abuse of official position or function.
Use of grave threats or intimidation to procure falsification.
Large-scale or repeated falsification (where the damage caused is extensive or multiple documents are falsified).
Impact on public interest (e.g., forgery of public records affecting public trust).

2. Mitigating Circumstances

Voluntary surrender.
Voluntary confession of guilt prior to trial.
Lesser degree of forgery (e.g., incomplete or attempted falsification).
No prior criminal record or prior good conduct.

Courts will weigh these circumstances to either increase or reduce the prescribed penalties within the range set by law.

Related Offenses

Use of Falsified Documents (Article 172, paragraph 3): Even if a person did not participate in the act of falsification, knowingly using a falsified document in any capacity (e.g., presenting it in court, submitting it to a government office) is punishable.
Estafa (Swindling): If the falsification is committed to defraud another person of money or property, the offender can also be liable for estafa under Article 315 of the Revised Penal Code.
Electronic Commerce Act (R.A. No. 8792): For electronic or digital documents, certain provisions of the E-Commerce Act may apply, especially where digital signatures or electronic data are falsified.

Defenses and Procedural Considerations

Lack of Intent to Defraud: Demonstrating the absence of the criminal intent (animus dolo) to cause harm or deceit can be a strong defense.
Consent or Authorization: If the alleged “falsification” was done with full knowledge and consent of all relevant parties, it might not constitute a criminal offense (though it may still raise civil or administrative issues).
Mistake of Fact or Good Faith: Clerical errors, honest mistakes, or reliance on incorrect but genuine belief can sometimes negate the element of “willful” falsification.
Chain of Custody / Evidence: The prosecution must prove that the document was falsified or forged beyond reasonable doubt. Attacks on the authenticity of the prosecution’s evidence—such as improper handling or a break in the chain of custody—can weaken the case against the accused.

Jurisprudence Highlights

Supreme Court rulings emphasize that falsification requires not just a materially altered document but also proof of fraudulent intent.
Courts also underscore that even small alterations can constitute falsification if these changes can potentially cause harm or mislead another party.
The use of falsified documents, even if the defendant did not directly commit the falsification, is typically punished with the same severity as the act of falsification itself—so long as knowledge and intent are proven.

Practical Implications

Business and Commercial Transactions: Companies must implement strict internal controls, especially for documents like checks, receipts, invoices, and contracts. Officers and employees found falsifying commercial documents could face criminal charges under the RPC.
Public Officers and Notaries: Because of their positions of trust, they face harsher penalties for falsifying official documents. The integrity of public records and notarial acts is paramount; any proven tampering can lead to disbarment (for lawyers), administrative penalties, and criminal liabilities.
Digital and Online Environment: While the main falsification provisions under the Revised Penal Code concern physical documents, the proliferation of electronic transactions broadens the scope of possible infractions. Combining the RPC with the Electronic Commerce Act helps address forgery and falsification in the digital sphere (e.g., forging e-signatures, manipulating PDFs or digital files).

Conclusion

Forgery and falsification of documents remain serious criminal offenses under Philippine law, reflecting the importance of maintaining the integrity and trustworthiness of both public and private records. The severity of punishment depends on who committed the crime, the type of document falsified, and the extent of the resulting or potential harm.

Whether one is a public officer, a private individual, or a corporate entity, adhering to lawful practices in document creation, authentication, and usage is crucial to avoid stiff criminal penalties. In instances where falsification is suspected—or if one is accused of such a crime—seeking immediate legal counsel can help navigate the complexities of the law and ensure a proper defense.

Disclaimer: This article is intended for general informational purposes only. It should not be used as a substitute for legal counsel. For specific questions about forgery, falsification of documents, or any related matter under Philippine law, it is advisable to consult a qualified attorney.