Opinion ID: 197222
Heading Depth: 1
Heading Rank: 2

Heading: Excessive Fines Issue5

Text: 7 The Excessive Fines Clause protects individuals against abusive penalties imposed by the government. See generally Austin v. United States, 509 U.S. 602, 606-12, 113 S.Ct. 2801, 2803-07, 125 L.Ed.2d 488 (1993); id. at 627, 113 S.Ct. at 2814-15 (Scalia, J., concurring in part and concurring in the judgment); Browning-Ferris Industries v. Kelco Disposal, Inc., 492 U.S. 257, 266-68, 109 S.Ct. 2909, 2915-17, 106 L.Ed.2d 219 (1989). Although precedent provides no precise guideposts for evaluating a fine's excessiveness, Justice Scalia has observed that the touchstone is value of the fine in relation to the offense, Austin, 509 U.S. at 627, 113 S.Ct. at 2815 (Scalia, J., concurring). See also Harmelin v. Michigan, 501 U.S. 957, 978 n. 9, 111 S.Ct. 2680, 2693 n. 9, 115 L.Ed.2d 836 (1991) (opinion of Scalia, J.) (assuming for the sake of argument that excessive fines means disproportionate fines). 8 Here, the court imposed a fine one-half the size of that permitted by the relevant statute, assessing $5,000 for each of Emerson's thirty-seven admitted violations rather than the statutory maximum of $10,000 per violation. See 49 U.S.C. § 46301(a)(2). 6 We are persuaded that this penalty, though substantial, is constitutionally permissible. Cf. United States v. Pilgrim Market Corp., 944 F.2d 14, 22 (1st Cir.1991) (upholding penalty against Eighth Amendment challenge where fine was less than half the statutory maximum and one-half of the government's recommendation). 9 We note initially that the district court thoroughly explored Emerson's explanation for the underlying violations, as well as his enforcement history, and found a pattern of persistent disregard of government regulation. The court was unimpressed with Emerson's evidence that he held a good-faith belief that the flights were lawful, 7 and found particularly unpersuasive evidence of reliance on advice from counsel. It further rejected Emerson's contention that the large number of admitted violations and the record of his past regulatory problems overstated the severity of his actual conduct: 10 It is of no moment that many of the violations involved record-keeping or other technical functions and that none resulted in serious personal injury. The federal aviation laws safeguard public safety as a collective whole and compliance with the entire regulatory scheme, and not just the rules governing matters that have an immediate and direct effect on life and limb, is presumed. The maintenance of proper records and like tasks is a crucial component in the prevention of accidents and, as such, the failure to comply cannot be viewed as a benign violation simply because of the clerical or technical nature of the violated regulations. 11 927 F.Supp. at 28-29. 12 We detect no flaw in the court's reasoning that even technical air safety rules are important, and no clear error in its finding that Emerson did, in fact, engage in repeated, highly culpable conduct. See Sullivan v. Young Bros. & Co., 91 F.3d 242, 246-47 (1st Cir.1996). With this supportable foundation, the conclusion the court drew--that the latest series of violations warranted a significant penalty--is equally unassailable. Moreover, the court recognized that a substantial penalty would be important as a deterrent to potential violators, since aviation safety rests in large part on voluntary compliance by those who, in all probability, will never face the regulatory scrutiny encountered by the defendants. 927 F.Supp. at 29 . 13 Despite these conclusions inclining it toward a penalty at or near the magnitude requested by the government, the court did not order such a fine. It gave offsetting effect to Emerson's limited financial resources. Although he continues to earn income from an aviation business and has ownership interests in various real estate and airplanes, the evidence indicated that the properties are heavily mortgaged and that Emerson also owes a substantial tax debt. Based on his economic circumstances alone, the court reduced the penalty from the government's proposed $8,500 per violation to $5,000 per violation, producing the total fine of $185,000. 14 We are hardpressed to see the excessiveness in this thoughtfully levied fine. First, as noted earlier, the touchstone is the value of the fine in relation to the particular offense, not the defendant's means. Moreover, though Emerson appears at present not to have the resources to pay the entire penalty, he is employed and, still in his early 50s, should have longterm future earning potential. 8 In addition, the continuing nature of the obligation has significance beyond the amount; the fact that the debt will remain with Emerson for some time to come is a sobering reality that should discourage him (and deter others) from committing future violations. Additionally, if Emerson's future prospects become more clearly limited, and the fine consequently becomes more clearly onerous, no barrier apparently exists to his seeking an amelioration from the district court. 15 In short, the district court's judgment reflects a careful balance between Emerson's means and the justifiable punishment for these latest violations. Thus, the fine bears a reasonable relationship not only to the offense but also to the offender. Consequently, it does not offend the Constitution. 9