Falsification of Private Documents

Private documents generally refer to written materials not issued by government authorities but used in daily affairs, including but not limited to:

• Employment-related documents such as résumés or reference letters
• Personal agreements including contracts, promissory notes, and receipts
• Authorization forms, delegation letters, or internal corporate memos
• Handwritten declarations, confirmations, or payment vouchers

Under New York Penal Law §170.05, criminal possession or falsification of such documents may be prosecuted when the intent to defraud is evident. This section applies broadly to various types of unofficial papers that people rely on for personal and business transactions, safeguarding against the illegal use of documentation.

While falsification refers to the unauthorized creation of a false document in its entirety, alteration refers to the unauthorized modification of an existing genuine document. The distinction is subtle but legally significant:

Both actions are illegal and involve the requisite intent to defraud, but the nature of the act itself—creating a lie versus modifying a truth—defines the specific charge related to Falsification of Private Documents.

First, the individual must not have lawful authority to prepare or modify the document. Second, the individual must have intended to defraud or mislead another person or institution, which is the cornerstone of any falsification charge. The law does not recognize accidental misrepresentation or negligent record-keeping as criminal acts under this statute, requiring proof of a deliberate plan to deceive. The prosecution must demonstrate that the document was fabricated or altered with a specific goal of illegal gain or harm.

Using another person’s name or identity on a document, particularly in a way that suggests they authored or approved the content, constitutes a key legal violation within Falsification of Private Documents. For example, signing a colleague’s name on a performance evaluation or doctoring a lease agreement without consent may lead to criminal liability. This element underscores the need to prove that the document was presented as authentic when it was not, thereby misrepresenting the source and establishing the crime.

Sentences for Falsification of Private Documents are determined by various statutes within the Penal Law, with severity increasing based on the nature of the offense:

• Falsifying Business Records in the Second Degree (Penal Law §175.05): Class A misdemeanor (up to 1 year in jail)
• Falsifying Business Records in the First Degree (Penal Law §175.10): Class E felony (up to 4 years imprisonment)
• Forgery in the Third Degree (Penal Law §170.05): Class A misdemeanor
• Forgery in the Second Degree (Penal Law §170.10): Class D felony (involving commercial instruments, contracts, or credit cards)

The classification typically escalates if the document is used for monetary gain, influences official decisions, or affects legal rights, reflecting the potential harm caused by the falsification.

If accused of falsifying a private document, understanding the defenses and seeking legal counsel is critical. Several defenses may apply depending on the circumstances, which an experienced attorney can help establish:

• Lack of Intent: If the act was accidental or due to misunderstanding, criminal liability may not be established because the necessary intent to defraud is missing.
• Consent or Authority: If the accused had permission from the person whose name appears on the document, the charge may be void as the action was not unauthorized.
• No Use or Benefit Sought: If the falsified document was never used or intended for use, prosecution may lack evidence of fraud, as the attempt to deceive was not executed.

A skilled attorney can analyze the validity of the evidence, challenge procedural violations, and negotiate plea deals or dismissals where appropriate, mitigating the severe consequences of a Falsification of Private Documents conviction.