Opinion ID: 2062030
Heading Depth: 2
Heading Rank: 2

Heading: Oath Requirement

Text: As stated above, Walker properly preserved error on this issue by making a motion for judgment of acquittal. Our scope of review is for substantial evidence. See Bayles, 551 N.W.2d at 608.
We must determine whether there is substantial evidence to support the jury's finding that Walker was under oath at the time he signed his name to the proof of service on the back of the subpoena. We begin with an examination of the requirements for the issuance of a subpoena, the document from which the charge of perjury arose. With regard to this matter, Iowa Code section 622.63 states: The clerks of the several courts shall, on application of any person having a cause or matter pending in court, issue a subpoena for witnesses under the seal of the court,... which may be served by the sheriff of the county, or by the party or any other person. When someone other than the sheriff serves a subpoena, Iowa Code section 622.64 requires that proof of such service must be shown by affidavit. Therefore, Walker was required to prove proof of service of the subpoena by affidavit. Iowa Code section 622.85 sets forth the requirements of affidavits. An affidavit is a written declaration made under oath, without notice to the adverse party, before any person authorized to administer oaths within or without the state. Notaries public are empowered to administer oaths and take affirmations. Iowa Code § 63A.1(4). The Iowa Code does not set forth the form required for a valid oath. However, section 9E.9, entitled notarial acts, sets forth requirements for various notarial acts. Subsection 9E.9(2) provides: In taking a verification upon oath or affirmation, the notarial officer must determine, either from personal knowledge or from satisfactory evidence, that the person appearing before the officer and making the verification is the person whose true signature is on the statement verified. This subsection is a fairly new addition to our law on notaries public, enacted in 1989. See 1989 Iowa Acts ch. 50, § 9(2). Prior to that time, our Code did not contain specific requirements for notarial acts. A verification upon oath or affirmation is defined as a declaration that a statement is true, made by a person upon oath or affirmation. Iowa Code § 9E.2(5). Nowhere in chapter 9E is there a requirement that an oral oath be administered to an affiant in order for an affiant to properly verify a document under oath or affirmation. In cases prior to the enactment of section 9E.9, we have discussed what is necessary to prove a valid oath. In State v. Hulsman, 147 Iowa 572, 126 N.W. 700 (1910), we stated: [t]he purpose of an oath is to secure the truth, and hence any form thereof which is ordinarily calculated to appeal to the conscience of the person to whom it is administered, and by which he signifies that his conscience is bound, is sufficient. Hulsman, 147 Iowa at 573, 126 N.W. at 701. In Dalbey Brothers Lumber Co. v. Crispin, 234 Iowa 151, 12 N.W.2d 277 (1943), we quoted with approval the following statement: If the attention of the person making the affidavit is called to the fact that it must be sworn to and, in recognition of this, he is asked to do some corporal act and he does it, the instrument constitutes a statement under oath, irrespective of any other formalities. Dalbey, 234 Iowa at 155-56, 12 N.W.2d at 279 (quoting 1 Am.Jur. Affidavits § 13, at 942). Most of our prior opinions dealing with administration of oaths and whether a statement has been properly sworn to involve cases in which the jurat on the affidavit or statement is blank. In other words, the notary or other person authorized to administer oaths did not sign the document or provide his seal signifying that the act was done in his presence. See, e.g., In re Estate of Entler, 398 N.W.2d 848, 850 (Iowa 1987) (finding that where jurat is blank independent proof of the administration of an oath is ordinarily necessary); State v. Phippen, 244 N.W.2d 574, 576 (Iowa 1976) (concluding that where jurat was not completed and record was barren of other proof of administration of oath, complainant was not shown to be under oath and complaint was therefore deficient); Miller v. Palo Alto Bd. of Supervisors, 248 Iowa 1132, 1136-37, 84 N.W.2d 38, 40-41 (1957) (finding that where jurat was blank and sheriff who witnessed signing of document did not understand he was administering an oath, the evidence was insufficient to prove an oath was administered); In re Estate of Hoyt, 246 Iowa 292, 298, 67 N.W.2d 528, 532 (1954) (holding that in absence of jurat or signature of someone empowered to administer oaths and no other evidence that an oath was administered, [t]he paper amounted to no more than an unverified statement); Farmers State Sav. Bank v. J.B.H. Enters., 561 N.W.2d 836, 838 (Iowa App.1997) (holding that document did not constitute a legally sufficient affidavit in absence of completed jurat and failure of party to provide independent proof of administration of oath). In the case at bar, the jurat is complete, which would ordinarily suffice to prove an oath had been administered. However, there is contrary evidence from the testimony of the notary that no oral oath was in fact administered. It has been noted that a jurat is not conclusive evidence of administration of an oath. It may be attacked and shown to be false. 67 C.J.S. Oaths & Affirmations § 7 (1978). In Dalbey, we considered a slightly different scenario from that in the cases listed above. Dalbey involved the sufficiency of a mechanic's lien in light of a statute which required a verified statement for the lien to be valid. The lien contained a typical jurat, which was blank, as well as an acknowledgment clause which the notary signed and to which his seal was affixed. Dalbey, 234 Iowa at 154-55, 12 N.W.2d at 279. The acknowledgment clause stated: On this Tenth day of April, A.D.1941, before me, Ione Hedlund, a Notary Public in and for Polk County, Iowa, personally appeared Robert T. Dalbey, to me known to be the person named in and who executed the foregoing instrument and acknowledged that he executed the same as his voluntary act and deed. Ione Hedlund, [Seal] Notary Public in and for Polk County, Iowa. Id. We were asked to determine whether the lien was verified as required by statute to validate the lien. We concluded that despite the fact that the jurat was incomplete, the lien was properly verified. We noted that the person who signed the lien was conscious of the fact that he was swearing to the correctness of the lien . . . and that the lien should not be held invalid because of the incomplete jurat. Id. at 155, 12 N.W.2d at 279. In Dalbey we cited with approval Atwood v. State, 146 Miss. 662, 111 So. 865 (1927), in which the court considered whether an affidavit for a search warrant was valid. The affidavit had been signed in the presence of a justice of the peace, but the justice did not require the affiant to hold up his hand to be sworn nor was there any formal oral administration of an oath. Atwood, 111 So. at 865. The court noted that both the justice of the peace and the affiant realized an oath was necessary before the warrant could be issued properly and they both understood even without an affirmative oath that the affiant was making the necessary affidavit to obtain the warrant. The court concluded, One may speak as plainly and effectually by his acts and conduct as he can by word of mouth. Id. at 866. We conclude that there was substantial evidence presented for the jury to find that Walker was under oath at the time he signed the proof of service. From the facts presented, the jury could have found that Walker's conscience was bound by the events which took place in the legal services office. Despite the fact that De Krey did not formally administer an oral oath to Walker by requiring him to raise his hand and orally aver that he promised to state the truth, his actions that day, combined with the form of the proof of service and his prior experience with notarization of legal documents are sufficient to support the jury's finding that Walker was under oath. Walker affirmatively sought notarization of the proof of service, which is indicative of his intent that it be legally validated and capable of lending judicial authority to his request for Bearden to testify. His actions in court the following day are also indicative of his desire that the court view the subpoena as valid. In addition, Walker filled in the proof of service form and signed his name to the document in the presence of De Krey. The preprinted language states, I certify that I personally served [the subpoena] as follows. (Emphasis added.) This language, which Walker read and to which he subscribed his signature, suggests that the information to follow was truthful and accurate. This interpretation of the significance of the language on the proof of service is supported by our previous interpretation of the word certify as well as standard definitions of the word. Black's Law Dictionary provides the following definition of certify: To authenticate or vouch for a thing in writing, To attest as being true or as represented. Black's Law Dictionary 228 (6th ed.1990). In State v. Boner, 186 N.W.2d 161 (Iowa 1971), we stated that to certify means to testify to a thing in writing. Boner, 186 N.W.2d at 164 (quoting State ex rel. Scotten v. Brill, 58 Minn. 152, 59 N.W. 989, 990 (1894)). The proof of service that Walker signed stated that he certified he had served Bearden on September 13. In keeping with standard definitions of the word certify and our prior interpretation of that word, the language of the proof of service which Walker signed indicates that he testified in writing he had already served Bearden. Furthermore, Walker was very familiar with the notarization process and the effect of having documents notarized. De Krey testified that she had notarized nearly one hundred documents for Walker and that in the past she had informed Walker of the legal significance of having a document notarized. The setting in which Walker made the false statement comports with that required by our court in Dalbey. Through the language at the top of the proof of service, Walker's attention was called to the fact that he was certifying the information he provided below, specifically, that he had personally served Chance (Bearden) on September 13. His signature at the bottom of the proof of service constituted a corporal act recognizing the import of the information provided in the document. Dalbey, 234 Iowa at 155-56, 12 N.W.2d at 279 (citing 1 Am.Jur. Affidavits § 13, at 942) (setting forth requirements of valid oath). The proof of service was signed in front of De Krey, a notary public authorized to administer oaths and attest to the acts of the affiant. In addition, De Krey added the jurat, signifying that she felt Walker realized he was making the statement under oath. This provides further support for the jury's conclusion that Walker was under oath at the time he completed and signed the proof of service. The requirements of Iowa Code section 9E.9(2) and our prior case law also support the jury's finding. Our law does not appear to require the formal administration of an oral oath. Our findings regarding what is necessary to constitute a valid oath are also supported by several jurisdictions which have considered the same issue. See, e.g., Anchorage Sand & Gravel Co. v. Wooldridge, 619 P.2d 1014, 1016 (Alaska 1980) (finding that when a lien claimant in the presence of a notary, affixes his signature to a written statement..., and the notary certifies this act, claimant has substantially complied with the requirement of an `oath'); State v. Anderson, 178 Kan. 322, 285 P.2d 1073, 1077-78 (1955) (finding, even in light of statute prescribing specific form of oath, that defendant was under oath when he signed complaint in presence of judge, who signed the same in silence; noting that statutory oath requirements are not always complied with strictly and that some weight must be given to opening statements of the complaint and to the physical acts of the parties even though statutory formalities were not observed); State v. Snyder, 304 So.2d 334, 335-36 (La. 1974) (concluding allegations that defendant signed answers to interrogatories and affidavit attesting to their truthfulness in the presence of a notary public, and that notary dated and signed jurat in presence of defendant were sufficient to sustain indictment for perjury and noting that oath requirement is met if both the person swearing and the officer administering the oath understand that what is done is proper for the administration of the oath and all that is necessary to complete the act of swearing); Moore v. Peterson, 218 Neb. 615, 358 N.W.2d 193, 194 (1984) (noting that oath to an affiant need not be administered with any particular ceremony, but the affiant must perform some corporal act whereby he consciously takes upon himself the obligation of an oath and finding in this case that signature of affiant was a corporal act sufficient to meet the oath requirement); Blackburn v. Motor Vehicles Div., 33 Or.App. 397, 576 P.2d 1267, 1269-70 (1978) (joining jurisdictions which hold that merely signing form of affidavit in the presence of a notary is sufficient to satisfy oath requirement); Mickelsen v. Craigco, Inc., 767 P.2d 561, 564 (Utah 1989) (finding that notice of mechanic's lien was properly verified where affiant merely signed affidavit in presence of notary; concluding that for valid verification, (1) there must be a correct written oath or affirmation, and (2) it must be signed by the affiant in the presence of a notary or other person authorized to take oaths, and (3) the latter must affix a proper jurat); State v. Lewis, 85 Wash.2d 769, 539 P.2d 677, 678-79 (1975) (en banc) (affirming previous decisions holding that mere signing of affidavit in the presence of a notary is sufficient to constitute taking of an oath). In reaching our conclusion, we find a statement of the California Court of Appeals particularly apt and supportive of our determination of the requirements for a valid oath. The busy business world of today inevitably spawns informality in the performance of ceremonial functions, particularly those which are (at least in some respects) the vestiges of a more ritualistic era. We look, modernly, to substance more than form. In the field of law into which this case falls the manifested intent with which an act is done should weigh more heavily than the observance of punctiliousness in its ceremonial aspects. Symbolism should not be confused with solemnization. People v. Walker, 247 Cal.App.2d 554, 55 Cal.Rptr. 726, 732 (1967). The court concluded that the defendant was under oath for purposes of the perjury statute, noting that the defendant was well aware the instrument would be regarded as a sworn statement and that the defendant approached the notary to have the form notarized. Id. Based on the evidence presented and our examination of our case law and statutes, as well as cases from other jurisdictions, we find substantial evidence existed for the jury to conclude that Walker committed perjury.