Document: 509 U.S. 602 113 S.Ct. 2801 125 L.Ed.2d 488 Richard Lyle AUSTIN, Petitioner,v.UNITED STATES. No. 92-6073. Argued April 20, 1993. Decided June 28, Syllabus * After a state court sentenced petitioner Austin on his guilty plea to one count of possessing cocaine with intent distribute in violation South Dakota law, the United States filed an rem action Federal District Court against mobile home and auto body shop under 21 U.S.C. § 881(a)(4) (a)(7), which provide for forfeiture of, respectively, vehicles real property used, or intended be facilitate commission certain drug-related crimes. In granting Government summary judgment basis officer's affidavit that had brought two ounces from order consummate prearranged sale there, rejected Austin's argument properties would violate Eighth Amendment's Excessive Fines Clause. The Appeals affirmed, agreeing Amendment is inapplicable civil forfeitures. Held: 1. Forfeiture §§ (a)(7) monetary punishment and, as such, subject limitations Pp. 2804-12. (a) determinative question not, have it, whether criminal. text not expressly limited criminal cases, its history does require such limitation. Rather, crucial punishment, Clause particularly concerned. Because sanctions frequently serve more than purpose, fact serves remedial goals will exclude it Clause's purview, so long can only explained serving part punish. See v. Halper, 490 435, 448, 109 1892, 1901, 104 487. Thus, consideration must given whether, at time was ratified, understood least should today. 2804-06. (b) A review English American law before, following ratification demonstrates generally statutory particular historically been understood, part, punishment. See, e.g., Peisch Ware, 8 (4 Cranch) 347, 364, 2 L.Ed. 643. same understanding runs through this Court's cases rejecting "innocence" owner common-law defense forfeiture. Calero-Toledo Pearson Yacht Leasing Co., 416 663, 683, 686, 687, 94 2080, 2091, 2093, 2094, 40 452. 2806-10. (c) Forfeitures are properly conside ed today, since nothing these provisions contradicts historical understanding, both sections clearly focus owner's culpability by providing "innocent owner" defenses tying directly drug offenses, legislative confirms Congress deter even assuming some cannot concluded purpose. 2810-12. 2. declines establish test determining constitutionally "excessive," prudence dictates lower courts allowed consider first instance. P. 2812. 964 F.2d 814 (CA8 1992), reversed remanded. BLACKMUN, J., delivered opinion Court, WHITE, STEVENS, O'CONNOR, SOUTER, JJ., joined. SCALIA, concurring judgment. KENNEDY, judgment, REHNQUIST, C.J., THOMAS, L. Johnson, Sioux Falls, SD, petitioner. Miguel A. Estrada, New York City, respondent. Justice BLACKMUN Court. 1 case, we asked decide applies forfeitures (a)(7). We hold therefore remand case issue here excessive. On August 2, 1990, indicted four counts violating Dakota's laws. ultimately pleaded seven years' imprisonment. September 7, seeking (a)(7).1 claim answer complaint. 3 February 4, 1991, made motion, supported Falls Police Officer Donald Satterlee, According Satterlee's affidavit, met Keith Engebretson 13, agreed sell Engebretson. left shop, went home, returned grams he sold State authorities executed search warrant day. They discovered small amounts marijuana cocaine, .22 caliber revolver, paraphernalia, approximately $4,700 cash. App. 13. opposing argued Amendment.2 entered States. 19. 4 Circuit "reluctantly agree[d] government" affirmed. One Parcel Property, 814, 817 (1992). Although thought "the principle proportionality applied actions result harsh penalties," ibid., "exacting too high penalty relation offense committed," id., 818, felt constrained holding unconstitutional. It cited decision 452 (1974), proposition that, when proceeding rem, guilt innocence property's "is irrelevant." F.2d, 817. then reasoned: "We agree Ninth '[i]f constitution allows visited upon innocent owners . hardly requires forfeitures.' " Ibid., quoting Tax Lot 1500, 861 232, 234 (CA9 1988), cert. denied sub nom. Jaffee States, 493 954, 110 107 351 (1989). 5 granted certiorari, 506 ----, 1036, 122 347 (1993), resolve apparent conflict Second over applicability Certain Real 954 29, 35, 38-39, denied, 55, 121 24 II 6 contends proceedings. Brief Petitioner 10, 19, 23. occasion once before. Browning-Ferris Industries Kelco Disposal, Inc., 492 257, 2909, 106 219 (1989), held limit award punitive damages private party suit government neither has prosecuted nor any right receive share damages. Id., 264, 2914. O'CONNOR's opinion, dissenting reviewed detail 264-268, 286-297, 2914-2916, 2926-2931. 10 Bill Rights 1689, derives, were prevent abusing power punish, see 266-267, S.Ct., 2916, "that those fines imposed by, payable to, government," 268, 2916.3 7 found unnecessary cases. 263, now argues "any government's conduct generally, particular, fail unless challenged governmental action, despite label, recognized adopted." 16 (emphasis added). 9 further sugg sts apply considered Kennedy Mendoza-Martinez, 372 144, 83 554, 644 (1963), Ward, 448 242, 100 2636, 65 742 (1980). 26-27. disagree. Some Fifth Self-Incrimination Clause, example, provides: "No person shall compelled witness himself." protections provided Sixth explicitly confined "criminal prosecutions." U.S., 248, 2641.4 includes no similar n. supra. 11 Nor O'CONNOR noted Browning-Ferris: "Consideration immediately followed Amendment. deciding confine benefits proceedings, Framers turned their attention There proposals ." 294, 2930. Section 1689 either. original draft introduced House Commons did contain restriction, but respect bail clause: "The requiring excessive Bail Persons committed Cases, imposing Fines, illegal Punishments, prevented." H.C.Jour. 17 (1688-1689). absence restriction other clauses suggests they final version, reference clause omitted. W. & M., 2d Sess., ch. Stat. Large 440, 441 (1689) ("That ought required, imposed; cruel unusual Punishments inflicted"); also Schwoerer, Declaration Rights, p. 88 (1981) ("But article contains 'criminal cases' thus, seem all cases").5 12 purpose Amendment, putting side, Browning-Ferris, 275, 2919. Cruel Unusual self-evidently concerned limits Government's extract payments, cash kind, "as offense." 265, 2915 notion commonly understand cuts across division between law." 447-448, 487 "It proceedings may advance goals, conversely, served penalties." 447, 1901. ex rel. Marcus Hess, 317 537, 63 379, 389, 87 443 (1943) (Frankfurter, concurring). criminal, rather punishment.6 13 considering question, mindful need possibility purposes conclude We, however, determine e said Halper "a sanction fairly solely either retributive deterrent purposes, come term." 1902. turn, then, III 14 Three kinds established England ratified States: deodand, conviction felony treason, Calero-Toledo, 680-683, 2090-2091. Each 15 "At common value inanimate object indirectly causing accidental death King's forfeited Crown deodand. origins deodand traceable Biblical pre-Judeo-Christian practices, reflected view instrument accused religious expiation required. O. Holmes, Common Law, c. (1881). King, belief King money Masses good dead man's soul, insure put charitable uses. Blackstone, Commentaries *300. When application eleemosynary ceased, became source revenue, institution justified carelessness." 680-681, 2090-2091 (footnotes omitted). As Blackstone "such misfortunes owing negligence owner, punished forfeiture." *301. second kind fell convicted treason. felon chattels lands escheated lord; traitor property, personal, Crown." 682, 2091. Such known estate. *381. These obviously punish felons traitors, Palmyra, 25 (12 Wheat.) 1, 14, 531 (1827), ground derived society lost society's laws, *299; *382. 18 Third, "English Law offending objects used customs revenue laws." most notable Navigation Acts 1660 required shipping commodities vessels. Violations resulted illegally carried goods well ship transported them. Harper, Laws (1939). statute construed act individual seaman, undertaken without knowledge master could entire ship. Mitchell Torup, Parker 227, 145 Eng.Rep. 764 (Ex.1766). Yet statutes "penal." *261. 19 observed "likely product confluence merger tradition own wrongdoer." Since each traditions aspect, surprising negligence: "But ships take ca what employ, mariners; plainly imputable master; report cargo ship, if searched examined proper care, according duty, tea might prevented Parker, 238, Eng.Rep., 768. B 20 Of England's three forfeiture, third took "Deodands become country." Constitution forbids estate treason "except during Life Person attainted," Const., Art. III, 3, cl. First abolished felons. Act 30, 1790, 9, 24, 117. '[l]ong before adoption Colonies—and later states period Confederation—were exercising jurisdiction enforcement [English local] statutes.' C.J. Hendry Co. Moore, 318 133, 139, 499, 502, 663 (1943). passed laws subjecting cargos involved offenses follow fact, beyond purview Indeed, examination viewed For July 31, 1789, 12, 39, unloaded except day permit. 22 "[A]nd commander vessel suffer permit same, commander, every who aiding assisting landing, removing, housing, otherwise securing forfeit pay sum hundred dollars offence; moreover disabled office trust profit term exceeding years; duty collector district, advertise names persons public gazette resides, within twenty days after respective conviction. And goods, wares merchandise, landed discharged, forfeited, seized officer customs; where thereof amount dollars, vessel, tackle, apparel furniture, like seizure." 23 listed along side interest "forfeit" word fine. ibid. ("shall offence").7 Other early pattern. Aug. 22, 27, 157, 161, 163. C Our imposes 643 (1808), removed custody payment duties, forfeitable reason consent agent. Chief Marshall unanimous Court: removal punishes connivance, employed trusted him. 26 "If, theft, open robbery, fault invaded, while him property." Cranch 364.8 27 our 2091; Goldsmith-Grant 254 505, 41 189, 376 (1921); Dobbins's Distillery 96 395, 637 (1878); Brig Malek Adhel, 43 (2 How.) 210, 239 (1844); (1827). theories—that itself "guilty" offense, accountable wrongs others whom entrusts property. Both theories rest, bottom, negligent allowing misused negligence. 28 fiction thing primarily offender," 511, 191, venerable law.9 Wheat., ("The offender, offence attached thing"); How., 233 commits aggression treated attaches, whatsoever character owner"); Distillery, 401 ("[T]he distillery, personal connection regard misconduct responsibility owner"). rest negligent. "ascribing personality, complicity wrong," "some analogy deodand." 510, 191. quoted Blackstone's explanation deodand: 'that forfeiture.' 510-511, 29 none guilty-property justify done reasonably expected unlawful use reject prerequisite ("[N]o offender necessary enforce nature"). owners' "never contemplated authorized acts complained of." 230. arose "from leased distiller, suffered occupied lessee distillery." 401. recent reserved truly owner. 512, 191; 689-690, 2095 (noting raise "serious constitutional questions").10 If there reserve assumption past reservation makes sense. 30 theory "innocent" reasoned crew, sort, bind guilty; impliedly submits whatever denounces wanton wrongs." 234. repeated reasoning Distillery: 31 "[T]he distiller management much himself. Power effect vests virtue lease; abuses trust, matter settled lessor; penal consequences just owner." 404. 32 Like fiction, vicarious liability premised idea "to lessors, bailors, secured creditors wrongdoing desirable inducing them exercise greater care transferring possession 688, 687.11 33 sum, though consistently serves, Cranch, 364 ("the goods"); 404 191 (" 'such forfeiture' "). More recently, "punitive purposes," "impos[es] economic penalty," 2094. conclude, therefore, punishment.12 IV 34 turn next find contradict Unlike traditional statutes, defense. 881(a)(4)(C) ("no conveyance paragraph extent omission omitted knowledge, consent, willful blindness 881(a)(7) paragraph, 92 Buena Vista Avenue, Rumson, 507 1126, 1134, 469 (1993) (plurality) difference statutes). exemptions way look less. Coin Currency, 715, 91 1041, 434 (1971), 1618, provides Secretary Treasury return do intend demonstrated Congress' impose significantly enterprise." 721-722, 1045. inclusion innocent-owner reveals congressional trafficking. 35 Furthermore, chosen tie offenses. 881(a)(4), transportation controlled substances, raw materials, equipment manufacture Under 881(a)(7), crime punishable year's 36 881 nature provisions. added subsection 1984, fine imprisonment inadequate enormously profitable trade dangerous drugs." S.Rep. 98-225, (1983).13 characterized powerful deterrent." 195. Joint House-Senate Explanation Senate Titles Psychotropic Substances 1978, 124 Cong.Rec. 34671 (1978) statutes"). 37 but, rather, respects. First, remove "instruments" "thereby protecting community threat continued dealing." 32. Second, assets compensate expense activity expenditure societal problems urban blight, addiction, health concerns resulting trade. 25, 38 view, withstands scrutiny. Concededly, contraband because removes items society. Assortment 89 Firearms, 465 354, 1099, 1105, 79 361 (1984). previously attempt extend conveyances transport liquor. 1958 Plymouth Sedan Pennsylvania, 380 693, 699, 85 1246, 1250, 170 (1965). noted: "There remotely automobile." Ibid. true here, characterize meet fate Pennsylvania's effort "contraband." 39 about persuasive. upheld violations reasonable form liquidated damages." Emerald Cut Stones 409 237, 93 489, 493, 438 (1972). But dramatic variations undercut very point Ward: "forfeiture [is] ha[s] absolutely correlation sustained cost enforcing 254, 2644. Fundamentally, fail. "[A] 1902 light forf iture clear evidence purpose.14 constitutes "payment sovereign offense," 2915, V asks multifactor "excessive." 46-48. decline invitation. opined exacting factors inform foreclosed engaging inquiry. Prudence allow Yee City Escondido, 503 112 1522, 1534, 118 153 (1992).15 42 remanded consistent opinion. ordered. 44 45 recently stated drafted, "fine" "understood mean Vermont, Inc. seems me obscures statement, needlessly attempts derive sparse caselaw questionable taken pursuant always blameworthy. I write separately explain why fine, out excessiveness inquiry different usual 46 Whether sort covered difficult question. "Forfeiture" appeared many definitions various 18th-century dictionaries. ante, 2808, 7. "Payment," synonym certainly in-kind assessments. Webster's International Dictionary 1797 (2d ed. 1950) (defining "[t]hat paid; discharge debt obligation"). Moreover, permitting limitless assessments make little sense, altering Star Chamber led provision supra, 2916. Cf. Harmelin Michigan, 501 111 2680, 2693, 115 836 (1991) (opinion J.). Alexander --- 2766, ---- today personam "fine." 47 constitute "punishment," closer forfeitures, opposed requirement. latter assessments, in-kind, conduct, former confiscations rights based improper regardless violated law. Statutory history. 680-686, 2090-2093, (1974). contraband, Congress, 2807-08, necessarily purposes. lawful offense. 14-15, (1827) (forfeiture piracy); Adhel 233-234, (1844) cargo, 400-403, (1878) distillery evasion laws); J.W. Goldsmith, Jr.-Grant (1921) concealed avoid taxes). 48 However expressed, taking considered, whole punitive.* Its compensatory, someone injury caused Punishment being imposed, quaintly considers itself, realistically regards This conclusion observation confiscation whose supposedly reflect motive expiation, Deodands, Mag. 188, 189 (1845), came *301; accord, 190. described 49 apparently believes, actual affected punitive, sets (in Part III) exists my far ambiguous acknowledges. never negligence, degree culpability, support 2809, 10; Goldsmith-Grant, (reserving question); (same). prominent 19th-century treatise explains guilty, strictly separating J. Bishop, Criminal 816, 824, 825, 833 (7th 1882). correct essential, (except perhaps burden proof) Well-established distinctions swept away reliance bits dicta. 2808-10, hard kept reserving (therefore academic) again 10. 50 misleading discussion culpability. Even fine; general culpability; discusses IV, statute, contrast innocent—that Ave., 1138, (contrasting forfeitures). Here, "offend" completely fault. compensating loss, irrelevant forfeited. That enough satisfy standard, dictum. 881(a) kind), 51 works raises issue, remands. order, think worth pointing analysis applicable perhaps, abusive penalties assessed king's opponents, demonstrate touchstone Stat s, indicated 2783. 52 relevant show probable cause prohibited shifts show, preponderance evidence, "knowledge, blindness," 881(a)(4)(C), used. 881(d) (incorporating 1615). fines, traditionally fixed, appropriate "tainted" use, irrelevant. Scales measure sales, confiscable purest gold basest metal. goes permits regarded instrumentality offense—the building, isolated happens occur. how confiscated worth, close relationship 53 parallels. deodands, juries careful confiscate more. man killed moving cart, cart horses died wheel immobile death. M. Hale, Pleas *419-* 422; Commentaries, *301-*302; Mag., suggest permissible scope 513, 190, 235 (ship piracy not). offense: Was render standards, hence forfeitable? 54 join concur 55 THE CHIEF JUSTICE THOMAS join, 56 am substantial agreement SCALIA's quite fails argument, doubtful well. 57 recounting law's history, risk anachronism attribute earlier employ legal concepts yet evolved. something eagerness discover unified recites rationale narratives suggest. reasons convinced account blameworthy conduct. impositions designed injury, see, 233, (1844), give asset control injured parties whole, Republic National Bank Miami 559, 474 58 At point, confront permitted wrong intentional serious Though important bearing outcome. undertakes here. 2813-14, 59 With observations, syllabus prepared Reporter Decisions convenience reader. Detroit Lumber 200 321, 337, 282, 287, 499. of: "(4) All conveyances, including aircraft, vehicles, vessels, transport, manner transportation, sale, receipt, possession, concealment [controlled distribution] "(7) right, title, (including leasehold interest) lot tract land appurtenances improvements, commit, subchapter exception. "Excessive punishments inflicted." Amdt. 8. qui tam brings name shares proceeds. 276, 21, 2920, 21. instant address matter, decisions applying adhered distinction not. Fourth protection unreasonable searches seizures 696, 1248, (1965); Boyd 116 616, 634, 524, 534, 746 (1886), Confrontation Zucker, 161 475, 480-482, 641, 643, 777 (1896). due process requirement proved doubt, re Winship, 397 358, 90 1068, 368 (1970), Lilienthal's Tobacco 97 271-272, 901 (1878). Double Jeopardy remedial. (1984); (1972); 446-449, 1900-1902, (1989) (Double prohibits remedial). Conversely, textually case[s]," relevant, 1045, faced subsequent Boyd, 534; 253-254, 2644, (1980) (discussing ). And, course, associated (1963); Ingraham Wright, 430 651, 1401, 711 (1977), substantive significance preservation preamble Rights. 665, 1409. preamble, related bail. 440 (1689). appears catalogue misdeeds James II, define set sections. reason, States' Mendoza-Martinez Ward misplaced. nominally reclassified safeguards attend prosecution 167, 184, 567, 575; 2641. addressing separate tests articulated Ward. deal applies, tests. Dictionaries confirm include "forfeiture" vice versa. T. Sheridan, General Language (1780) (unpaginated) as: "A mulct, pecuniary punishment; penalty; forfeit, paid exemption liberty"); Walker, Critical Pronouncing (1791) (same); supra forfeiting; fine"); Kersey, (1702) "default, penalty"). Peisch, occurred theft writ replevin issued court. 360. stands consignees, mere strangers, consignees control." 365. relies heavily fiction. 18. rely technical personam, note fictions developed expand reach courts," (1992), which, admiralty lacked (1844). discussed text, nature. exempt owners," comport context, conscious wrongdoing, defendant 'powerless' Park, 421 658, 673, 95 1903, 1912, 489 (1975) (corporate liable Food, Drug, Cosmetic Act). inconsistent, viewing occasioned doubts post, 2813-15, 2812-13, express appear stem misunderstanding conclusion. omits brief present passage approval (1993). 91-781, pp. 41-42. focused punishment." sense fo cus whole. small, fixed-penalty provision, "in ordinary whole." 449, hand, vary dramatically costs merely coincidental. seen, simply deterrence. Finally, practical purely imposition "excessive" event. SCALIA sole forfeiture's 2814-15. rule contrary conte tion, 2810, point. agree, punitiveness, punitiveness part" showing culpable. say, "partly punitive," else 2812, 14.

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