Opinion ID: 1256272
Heading Depth: 3
Heading Rank: 1

Heading: The test in theory

Text: ¶ 15 The individual factors Bajakajian set forth to determine the gravity of a specific offense are those articulated in the United States Supreme Court's Cruel and Unusual Punishment Clause precedents. See Bajakajian, 524 U.S. at 330-31, 118 S.Ct. 2028 (citing Solem v. Helm, 463 U.S. 277, 290, 103 S.Ct. 3001, 77 L.Ed.2d 637 (1983), overruled on other grounds by Harmelin v. Michigan, 501 U.S. 957, 111 S.Ct. 2680, 115 L.Ed.2d 836 (1991); [7] Rummel v. Estelle, 445 U.S. 263, 271, 100 S.Ct. 1133, 63 L.Ed.2d 382 (1980)). These precedents suggest that the proportionality prong of an excessiveness inquiry should be guided by objective criteria, including (i) the gravity of the offense and the harshness of the penalty; (ii) the sentences imposed on other criminals in the same jurisdiction; and (iii) the sentences imposed for commission of the same crime in other jurisdictions. Solem, 463 U.S. at 292, 103 S.Ct. 3001. Upon review of the Solem test, the Bajakajian court has determined and this court now determines that it is adaptable for use in forfeiture cases. ¶ 16 Instead of applying a strict Solem test, however, both parties have focused on a sample list of factors we cited in Nephi. Cannon asserts that these factors show the forfeiture here was grossly disproportionate to the gravity of the offense. The State uses the same factors to contend just the opposite. [8] ¶ 17 The factors that we suggested in Nephi were factors the Eighth Circuit used in its excessiveness analysis. Those factors included `the monetary value of the property, the extent of criminal activity associated with the property, the fact that the property was a residence, the effect of forfeiture on innocent occupants of the residence, including children, or any other factors that an excessive fines analysis might require.' 392 South 600 East, 886 P.2d at 542 (quoting United States v. 9638 Chicago Heights, 27 F.3d 327, 331 (8th Cir.1994)). The Ninth Circuit, in 6380 Little Canyon Road, utilized a similar and somewhat more expansive analysis: once the government proves instrumentality, the claimant has the burden to show that forfeiture of his property would be grossly disproportionate given the nature and extent of his criminal culpability. 6380 Little Canyon Road, 59 F.3d at 985. To determine the forfeiture's harshness, the Ninth Circuit set forth three factors: (1) the fair market value of the property; (2) the intangible, subjective value of the property, e.g., whether it is the family home; and (3) the hardship to the defendant, including the effect of the forfeiture on defendant's family or financial condition. Id. To determine the defendant's culpability, that court looked at: (1) whether the owner was negligent or reckless in allowing the illegal use of his property; or (2) whether the owner was directly involved in the illegal activity, and to what extent; and (3) the harm caused by the illegal activity, including (a) (in the drug trafficking context) the amount of drugs and their value, (b) the duration of the illegal activity, and (c) the effect on the community. Id. at 986. ¶ 18 We believe these factors complement the Solem test. We realize that the judicial determination of the gravity of a particular offense, as the Bajakajian court indicated, is inherently subjective and imprecise. However, use of these factors in conjunction with the Solem test will lessen the subjectivity of the analysis, acting as effective gauges for the gravity of an offense. [9] Therefore, we hold that the Solem test, using the factors set forth above from 392 South 600 East and 6380 Little Canyon Road to complement the court's analysis, is the appropriate measure of excessiveness in this jurisdiction. [10] ¶ 19 One additional factor is necessary to complete an excessiveness analysis: the comparative punishment factor. In considering an offense's gravity, the other penalties that the Legislature has authorized are certainly relevant evidence. Bajakajian, 524 U.S. at 332 n. 14, 118 S.Ct. 2028. In Bajakajian, the defendant faced a maximum fine of $250,000.00 plus five years' imprisonment. See id. These figures suggest, as the Court stated, that Congress, in authorizing these punishments, did not view the offense as trivial. See id. The actual sentence the defendant received was three years' probation and a $5,000.00 fine. See id. at 324, 118 S.Ct. 2028. The Court continued, holding that the maximum fine and Guideline sentence to which respondent was subject were but a fraction of the penalties authorized ... undercuts any argument based solely on the statute, because they show that respondent's culpability relative to other potential violators of the ... provision  tax evaders, drug kingpins, or money launderers, for example  is small indeed. This disproportion is telling.... Id. at 332 n. 14, 118 S.Ct. 2028. Finding disproportionality, the Court held full forfeiture would violate the Excessive Fines clause, and thereby affirmed the lower courts' rulings and rejected the government's appeal. Id. at 335, 118 S.Ct. 2028 ¶ 20 Including this factor in the final test makes sense. After all, two separate individuals, convicted of an identical crime may receive vastly different sentences based on inherently individualized facts. During sentencing, the defendant's culpability is evaluated, and punitive measures are meted out accordingly. The harsher the sentence, fines, and penalties a defendant receives, the less likely it is that a forfeiture may be grossly disproportionate. If a defendant receives only a small percentage of the maximum possible penalty, it is more likely  although still not dispositive  that the forfeiture may be constitutionally excessive. ¶ 21 In short, a court must look at four main factors: (1) the gravity of the particular offense; (2) the harshness of the forfeiture; (3) the sentences imposed on other criminals in the same jurisdiction; and (4) the sentences imposed for commission of the same crime in other jurisdictions. In gauging the gravity of the offense (factor (1) above), a court should take into consideration: (a) the harm caused by the illegal activity, including (i) (in the drug trafficking context) the amount of drugs and their value, (ii) the duration of the illegal activity, and (iii) the effect on the community; and (b) the actual sentence the defendant received as a result of the offense compared to the maximum punishments authorized. In judging the harshness of the forfeiture (factor (2) above), a court should look at: (a) the fair market value of the property; (b) the intangible, subjective value of the property, e.g., whether it is the family home; and (c) the hardship to the defendant, including the effect of the forfeiture on defendant's family or financial condition.