Document: 490 U.S. 435 109 S.Ct. 1892 104 L.Ed.2d 487 UNITED STATES, Appellantv.Irwin HALPER. No. 87-1383. Argued Jan. 17, 1989. Decided May 15, Syllabus After respondent, the manager of a company which provided medical services for patients eligible federal Medicare benefits, was convicted, inter alia, submitting 65 false claims Government reimbursement in violation criminal false-claims statute, he sentenced to prison and fined $5,000. Based solely on facts established by h § conviction, District Court then granted summary judgment its suit against him under civil False Claims Act (Act). Under strict terms that Act's remedial provision, as it existed, respondent would have been liable penalty $2,000 each claims, well twice amount Government's actual damages $585 costs action. However, because statutorily authorized recovery more than $130,000 bore no "rational relation" sum loss plus investigating prosecuting court approximated at $16,000, held imposition full statutory violate Double Jeopardy Clause Fifth Amendment punishing second time same conduct had convicted. Since considered unconstitutional applied limited double costs. The took direct appeal this Court. Held: Act, violates Clause. Pp. 440-452. (a) Although Helvering v. Mitchell, 303 391, 58 630, 82 L.Ed. 917, United States ex rel. Marcus Hess, 317 537, 63 379, 87 443, Rex Trailer Co. States, 350 148, 76 219, 100 149, establish proceedings penalties are nature, remedy does not constitute multiple punishment violative merely Congress excess damages, those cases did consider do foreclose possibility particular case may be so extreme divorced from expenses prohibited "punishment." 440-446. (b) In rare such present, where prolific but small-gauge offender previously has sustained penalty, sought subsequent proceeding bears rational relation goal compensating loss, rather appears qualify "punishment" plain meaning word, defendant is entitled an accounting order allow trial court, discretion, determine whether fact constitutes set size sanction receive without crossing line between permissible punishment. 446-451. (c) While correctly found disparity approximation respondent's liability sufficiently disproportionate jeopardy, remanded permit demonstrate court's assessment injuries erroneous, since unfair deprive opportunity present arising fraud, seek adjustment approximation, recover demonstrated P. 452. 664 F.Supp. 852 (S.D.N.Y.1987), vacated remanded. BLACKMUN, J., delivered opinion unanimous KENNEDY, filed concurring opinion, post, p. ----. Michael R. Dreeben, appellant. John G. Roberts, Jr., Washington, D.C., appellee. Justice BLACKMUN 1 case, we what circumstances purposes jeopardy analysis.1 2 * Respondent Irwin Halper worked New City Medical Laboratories, Inc., service York benefits program. capacity, submitted Blue Cross Shield Greater York, fiscal intermediary Medicare, separate rendered. Specifically, occasions during 1982 1983, mischaracterized performed City, demanding rate $12 per claim when rendered only $3 claim. Duped these misrepresentations, overpaid total $585; passed overcharges along Federal Government.2 3 became aware Halper's actions April 1985 indicted counts violating 18 U.S.C. 287, prohibits "mak[ing] or present[ing] . any upon department agency thereof, knowing false, fictitious, fraudulent." convicted all counts, 16 mail fraud. He July imprisonment two years 4 brought action Southern another, who later dismissed see App. 21, 36, 31 §§ 3729-3731. That violated "[a] person member armed force (2) knowingly makes, uses, causes made used, record statement get fraudulent paid approved." 3729. conviction incorporated suit, issue liability. 660 531, 532-533 (1987). 5 turned attention violations. provision stated "liable $2,000, equal times sustains act person, action." 3729 (1982 ed., Supp. II).3 Having times, thus appeared subject $130,000. 6 Court, however, concluded light previous punishment, additional large recognized provisions itself remedy, designed make whole, analysis if, application, "entirely unrelated" suffered incurred Government. F.Supp., 533. Court's view, claims. Ibid. therefore ruled conduct. To avoid constitutional proscription, read $2,000-per-count discretionary and, approximating required imposed 8 counts. entered $16,000. Id., 534. 7 pursuant Rule Civil Procedure 59(e), moved reconsideration. motion granted. On reconsideration, confessed error ruling mandatory count. 852, 853-854 It remained firm, conclusion could because, before it, Clause's prohibition punishments. Looking 443 (1943), guidance, that, although precise necessarily becomes when, quoting Frankfurter's concurrence id., 554, S.Ct., 389, exceeds " 'could reasonably regarded equivalent compensation loss.' 854. Applying principle, $130,000, 220 greater measurable qualified which, view sentence, barred Because Halper, amended limit $1,170 855. 28 1252, We noted probable jurisdiction, 486 1053, 108 2818, 920 (1988), constitutionality case. II 9 This many protects three distinct abuses: prosecution offense after acquittal; conviction; punishments offense. See, e.g., North Carolina Pearce, 395 711, 717, 89 2072, 2076, 23 656 (1969). third protections—the one here—has deep roots our history jurisprudence. As early 1641, Colony Massachusetts "Body Liberties" stated: "No man shall twise Civill Crime, offence, Trespasse." American Historical Documents 1000-1904, 43 Harvard Classics 66, 72 (C. Eliot ed. 1910). I drafting his initial version came Clause, James Madison focused explicitly punishment: subject, except impeachment, offence." Annals Cong. 434 (1789-1791) (J. Gales 1834). law, too, over century ago, observed: "If there anything settled jurisprudence England America, can lawfully punished Ex parte Lange, Wall. 163, 168, 21 872 (1874). 10 multiple-punishment us narrowly framed common understandings parties They dispute already result prior jail term Nor they instant concern conduct, submission claims.4 sole question here amounting $585, purpose analysis. 11 argues cases, 917 (1938), supra, 149 (1956), foreclosed argument assessed proceeding, specifically give rise jeopardy. asserts principles: first, penalty; second, proceedings; third, under, by, nature. addition, basis others, see, Ward, 448 242, 2636, 742 (1980), matter construction, clearly intended 12 Government, misconstrued somewhat nature inquiry, doing, overread holdings precedents. Although, taken together, indeed level 13 Commissioner Internal Revenue determined taxpayer fraudulently asserted sums deductions 1929 income tax return. Mitchell prosecuted willful evasion taxes. At trial, acquitted. collect deficiency $728,709.84 Mitchell's well, 50% specified statute account argued subjected addition supposedly actually proc eding based single course 14 agree. noted, "prohibits twice, attempting punish criminally, offense." U.S., 399, 633. acquitted (and punished) prosecution, called sanction—in attempt criminally. Whether held, interpretation; applying traditional canons little difficulty concluding impose remedial, providing investigatory other taxpayer's 398-405, 632-636. "in enforcement jeopardy," 404, 636, rejected 15 most tangential significance current inquiry. makes clear both with respect omission, given simply address face today: sanction, If anything, Brandeis' carefully crafted intimates some circumstances. above, distinguished "attempting criminally" "merely twice." omission qualifying adverb "criminally" formulation suggests, albeit indirectly, arise either proceedings. See also La Franca, 282 568, 573, 51 278, 280, 75 551 (1931) (asking, answering, nonetheless analysis). Hess closer point, preclude judgment. electrical contractors were defrauding bidding collusively public-works projects. pleaded nolo contendere $54,000. 545, 385. Subsequently, group private plaintiffs qui tam name defendants guilty violation, suit.5 obtained $315,000, $112,000 reflected per-count figure 56 $203,000 damages. 540, 382. 17 challenged grounds, arguing, dispensed precisely reference statute. chief "was provide restitution government money device specific chosen sure completely whole." 551-552, 387-388. "protect financial loss"—rather "vindicate public justice"—they 548-549, 386-387. (as not), faced further problem: case) constituted share $150,000, 385, $101,500. recognized, least "the now [it]," lump "do afford complete indemnity done it." 549, 386. Those injuries, course, included fraud itself, ancillary costs, detection investigation, routinely attend efforts root out deceptive practices directed purse. roughly equaled recovered, rejecting defendants' claim, stark situation presently exponentially informed loss. 19 Trailer. purchased five trucks Surplus Property 1944, claiming veteran priority rights entitled. charges fines aggregating $25,000. Stat. 765, 780, alternative remedies: (1) costs; "as liquidated damages" consideration agreed given; (3) property plus, damages," retention given. n. 1, 220, 1. first remedies "comparable liquidated-damage fix anticipated loss." 153, 222. due difficult if impossible ascertain, sustain injury resultant decrease motor vehicles available agencies, increase undesirable speculation, damage program promoting bona fide sales veterans.6 function measure quantify, "on it—where $10,000—that "measure y(3)27 unreasonable excessive" 154, One Lot Emerald Cut Stones 409 232, 237, 93 489, 493, 34 438 (1972) (customs forfeiture "provides reasonable form inspection serves reimburse investigation expenses"). 20 relevant teaching rough justice, is, demand according imprecise formulas, fixed being deemed These tell us, problem presented them, Constitution commands formulas authorizes remotely approximate justice injustice. circumstance might case-specific III turn, finally, unresolved implicit cases: takes position sense meted proceedings, construction. observes followed abstract approach determining procedural protections Sixth apply affixing appropriate standard proof should applied. 248-251, 2641-2643. But while recourse language, structure, intent identifying inherent safeguards must accompany general matter, suited context "humane interests" safeguarded proscription 389 (concurring Frankfurter, J.). protection intrinsically personal. Its identified assessing character sanctions individual machinery state.7 22 making assessment, labels "criminal" "civil" paramount importance. commonly understood advance punitive goals, conversely, goals served penalties. Ibid.8 ion understand cuts across division follow notion leads. Cf. Hicks Feiock, 485 624, 631, 1423, 1429, 99 721 (1988) ("[T]he affixed relief controlling will allowed defeat applicable law"). end, determination requires particularized fairly said serve. Simply put, familiar. contexts twin aims retribution deterrence. Kennedy Mendoza-Martinez, 372 144, 83 567, 644 (1963) (these "traditional punishment"). Furthermore, "[r]etribution deterrence legitimate nonpunitive governmental objectives." Bell Wolfish, 441 520, 539, 20, 1861, 1874, (1979). From premises, follows cannot serve purpose, explained serving retributive deterrent purposes, come term. 169, 568 (whether excessive criminal). hold extent characterized retribution. 24 acknowledge inquiry exact pursuit. decided prove difficult, impossible, ascertain. Trailer, Similarly, dollar accomplished beyond quality words, observed process compensates inevitably involves element justice. Our upholding clauses reflects unavoidable imprecision. ordinary fixed-penalty-plus-double-damages whole. 25 cast shadow time-honored judgments. What announce rule fixed-penalty subjects overwhelmingly caused. reason: Where ratio al punishment.9 leave discretion Morris Mathews, 475 106 1032, 187 (1986) (reducing lesser bar); Peterson Richardson, 370 1259, 1267 (N.D.Tex.1973), aff'd sub nom. Weinberger, 508 F.2d 45 (C.A.5), cert. denied 423 830, 96 50, 46 47 (1975) (imposing less related loss). matters often even go far towards ensuring fully compensated corruption protected caused 26 reaching disruptive need combat Nothing today's precludes seeking punitive. implicated. decision prevent obtaining range proceeding. exceed legislature. Missouri Hunter, 459 359, 368-369, 103 673, 679-680, 74 535 (1983) ("Where legislature cumulative statutes prosecutor jury trial").10 Finally, nothing party filing triggered litigation parties.11 criminally prosecute defendant, him, bring rationally whole.12 IV 27 Returning hand, "tremendous disparity" Act. compared apparently challenge figure—choosing instead litigate legal decide—we think agree remand erroneous. vacated, consistent opinion. 29 ordered. 30 concurring. join write discuss limits holding. points out, holding undermine enforce laws effectively, alternatives remain ensure ability use Ante, 450-451. permits proportionate amount, 449. 32 Today's holding, stress, objective grounded authorize courts undertake broad into subjective thought lie behind judicial 635, 1431, (1988); 168-169, 567-568, (1963). Such amorphous speculative, mire quagmire differentiating among underlie every name. breed confusion legislators structure mechanisms proper law within commands. approaching sometimes enactment number factors bear uiry. Here not, reads: "[N]or offence put life limb. ." Const., Amdt. 5. underlying details importance brief, providers bill their designated code numbers corresponding provided. Code "9018" patient seen home Skilled Nursing Facility provider visit. "9019" facility. allowable $10 $12. $3. falsely properly reimbursable lower priced "9019." 532 (S.D.N.Y.1987). Amendments 1986, Pub.L. 99-562, 3153, "not $5,000 $10,000 person," damages." 3729(a)(7) V) Indeed, strictly 3730(b), States. successful, plaintiff deems portion though 25% proceeds 3730(c)(2). investigative prosecutorial factored say defendant's perspective. contrary, acknowledged carry sting 551, 387, (1943). Rather, question, giving evaluated. indicates, goals. Day Woodworth, How. 363, 371, 181 (1852). By token, crimes principally social betterment culpable individuals. Balint, 258 250, 252, 42 301, 302, 66 604 (1922). Had 3, amounted $326,755. seeks critical triggering focuses Ohio Johnson, 467 499-500, 2536, 2540-2541, 81 425 (1984). dissatisfied express action, rule. contrast private-attorney-general brings shares 3730. assumed decide assumption essential unresolved. hardly seems necessary state alleging satisfy rational-relationship requirement. sizable practical arise.

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