Document: 448 U.S. 242 100 S.Ct. 2636 65 L.Ed.2d 742 UNITED STATES, Petitioner,v.L. O. WARD dba L. Ward Oil and Gas Operations. No. 79-394. Argued Feb. 26, 1980. Decided June 27, Rehearing Denied Aug. 22, See 916, 101 37. Syllabus Section 311(b)(3) of the Federal Water Pollution Control Act prohibits discharge oil into navigable waters. 311(b)(5) requires any person in charge an onshore facility to report such appropriate Government agency, a failure subjects fine or imprisonment. also provides for form "use immunity," by specifying that notification information obtained exploitation is not be used against reporting criminal case, except prosecution perjury giving false statement. 311(b)(6) imposition "civil penalty" owner operator from which was discharged violation Act. When escaped drilling leased respondent spilled tributary Arkansas River system, notified Environmental Protection Agency discharge, this reported Coast Guard who assessed $500 penalty under § 311(b)(6). After his administrative appeal denied, filed suit District Court, seeking injunctive relief enforcement §§ (6) collection penalty. The separate collect penalty, suits were consolidated trial. Prior trial, Court rejected respondent's contention requirements 311(b)(5), as support civil 311(b)(6), violated right compulsory self-incrimination, ultimately jury found did, fact, spill creek question. Appeals reversed, holding sufficiently punitive intrude upon Fifth Amendment's protections self-incrimination. Held : 1. imposed hence does trigger afforded Constitution defendant. Pp. 248-251. (a) It clear Congress intended impose persons position, allow without regard procedural restrictions available prosecutions. This intent indicated fact authorized sanction labeled penalty," juxtaposition label with penalties set forth 311(b)(5). P. 249. (b) 13 Rivers Harbors Appropriation 1899 makes conduct penalized case render nature. placement one statute another enacted 70 years later tends dilute force factor—the behavior applies already crime—considered, inter alia Kennedy v. Mendoza-Martinez, 372 144, 83 554, 9 644, indicating Neither factor nor other factors Mendoza-Martinez are sufficient unconstitutional congressional classification established 249-251. 2. proceeding "quasi-criminal" so implicate protection Boyd United States, 116 616, 6 524, 29 L.Ed. 746, distinguished. In light overwhelming evidence create all respects weak countervailing purpose effect, it would anomalous hold created purposes Self-Incrimination Clause but purposes. 251-254. 10 Cir., 598 F.2d 1187, reversed. Edwin S. Kneedler petitioner. Stephen Jones, Enid, Okl., respondent. Mr. Justice REHNQUIST delivered opinion Court. 1 States seeks review decision Tenth Circuit assessment (FWPCA) "criminal case" within meaning guarantee We granted certiorari, 444 939, 291, 62 305, now reverse. 2 * At time arose,1 FWPCA prohibited waters onto adjoining shorelines hazardous substances quantities determined President "harmful."2 duty "any vessel offshore facility" substance "appropriate agency" Government. Should fail supply notification, he she liable more than $10,000 imprisonment year. provided "[n]otification received pursuant paragraph shall statement." 33 U.S.C. 1321(b)(5).3 3 "[a]ny vessel, facility, violation" 1975, subsection called up $5,000 each Act.4 assessing penalties, Secretary agency take account "the appropriateness size business charged, effect on operator's ability continue business, gravity . ." 1321(b)(6).5 4 According 311(k) Act, funds collected paid "revolving fund" together "other section" money appropriated revolving fund Congress. 1321(k). Money contained finance removal, containment, dispersal defray costs administering 1321(l ). section allowed corporation responsible cases where had been identified. 1321(f). 5 On about March 23, retention pit at located near Okla., eventually its way Boggie Creek, system.6 premises being Ward, doing & April 2, regional office (EPA) taken place. submitted complete written turn forwarded Guard, notice opportunity hearing, amount $500. Respondent ruling, contending, alia, privilege denied. 7 13, 1976, Western Oklahoma, enjoin Transportation, Commandant Administrator EPA enforcing collecting 4, same court unpaid ordered two 8 Ward's tried jury, Creek. however, reduced $250 because belief diligent attempts clean after discovered. Coleman, 1187 (1979). Although admitting use administration "remedial" provision, tested statutory scheme standards 168-169, 567-568, 644 (1963),7 held therefore reversed remanded further proceedings suit. II distinction between some constitutional import. Amendment, example, expressly limited case." Similarly, Sixth Amendment only prosecutions." Other protections, while explicitly context other, have See, e. g., Helvering Mitchell, 303 391, 399, 58 630, 633, 82 917 (1938) (Double Jeopardy protects punishments); Regan 232 37, 47-48, 34 213, 216-217, 494 (1914) (proof beyond reasonable doubt required cases). 11 has often stated question whether particular statutorily defined matter construction. One Lot Emerald Cut Stones 409 232, 237, 93 489, 493, 438 (1972); supra, U.S., S.Ct., 633. Our inquiry traditionally proceeded levels. First, we out determine Congress, establishing penalizing mechanism, either impliedly preference other. 236-237, 492-493. Second, intention establish inquired negate intention. Flemming Nestor, 363 603, 617-621, 80 1367, 1376-1378, 1435 (1960). latter inquiry, noted "only clearest proof could suffice unconstitutionality ground." Id., 617, 1376. 493; Rex Trailer Co. 350 148, 154, 76 219, 222, 149 (1956). 12 As our first present believe quite position. Initially, importantly, takes added significance given immediately preceding subparagraph, Thus, no then consider despite manifest civil, remedial nevertheless sanctions "transfor[m] what clearly remedy penalty." 222. making determination, both useful refer seven considerations listed 567-568. list considerations, certainly neither exhaustive dispositive, proved helpful own consideration similar questions, see, Bell Wolfish, 441 520, 537-538, 99 1861, 1873-1874, 60 447 (1979), guidance case. 14 Without setting here factors, think one, fifth, aids That [the penalty] crime." 567. regard, contends 1899, 407, precise Moreover, points least federal defines "strict liability crime," need prove scienter. White Fuel Corp., 498 619 (CA1 1974). respondent, confirms lower court's conclusion fifth "falls favor finding [§ 311(b)(6)] nature." F.2d, 1193. 15 While agree seems point toward nature, indication strong blush. number occasions "Congress may respect act omission." 633; 235, 492. Helvering, 50% tax fraud significant Revenue 1928 contains distinct provisions imposing sanctions," "these appear different parts 404, 636. To extent separation statute, criterion 16 sum, conclusive issue, civil. Nor persuaded arguments offered "clearest proof" effect. III 17 defendant completely dispose asserts that, even if him nature guarantees, "quasi-criminal," He relies primarily 746 (1886), quoting language. 18 Boyd, appellants indicted "Act amend customs revenue laws repeal moieties," fraudulently attempting deprive lawful duties payable certain imported merchandise. question, "fined sum exceeding less $50, imprisoned years, both; and, addition fine, merchandise forfeited." 525. Despite pending indictment, claim goods States. response, prosecutor order requiring produce invoice covering issue. Appellants objected Fourth Amendments subjecting them unreasonable search seizure witnesses themselves. 19 applicable, though action contesting forfeiture goods. Court: "We instituted declaring man's property reason offences committed him, they form, their criminal." 633-634, 534. opinion, seemed limit involving property, shortly quoted passage broadened reasoning manner might seem apply case: "As, therefore, forfeitures, incurred commission law, quasi-criminal fourth amendment constitution, portion declares compelled witness himself 634, 534 (emphasis added). 20 Seven later, relied resulting "forfeit $1,000 prohibiting employment aliens Amendment. Lees 150 476, 163, 37 1150 (1893). More recently, 1958 Plymouth Sedan Pennsylvania, 380 693, 85 1246, 170 (1965), Coin Currency, 401 715, 91 1041, 28 434 (1971), applied alleged activity. dealt applicability so-called exclusionary rule brought State Pennsylvania secure car allegedly involved illegal transportation liquor. Currency self-incrimination $8,674 possession gambler arrest. 21 Read broadly, control declined, give full scope dicta noting occasion "[s]everal express implicit declarations stood test time." Fisher 425 96 1569, 1579, 48 39 (1976). Regan, (1914), declined forfeitures Alien Immigration claimed entitled doubt. Lees, according "is broader guarantees Art. [III] [Sixth] governing trials 50, 218. 400, n. 3, 633 3. Hepner 213 103, 474, 53 720 (1909), upheld entry directed verdict appellant examined Lees. Hepner, do modify disturb recognize general recovered actions, although actions far cannot testify matters involving, involve, guilty offense." 112, 478. 22 before us, then, "criminal" enough Double normally associated prosecutions, "so [its] nature" note considered those absolutely correlation damages sustained society cost law. supra (fixed monetary penalty); (forfeiture); (forfeiture). Here much analogous traditional damages. scrutiny along possible punishment fraud, Here, previously stated, statutes apart. posed danger prejudice themselves proceedings. protected [for] 1321(b)(5). 23 read contrary conclusion. IV 24 conclude term supra. judgment 25 Reversed. 26 BLACKMUN, whom MARSHALL joins, concurring judgment. 27 I 1321(b)(6), reach conclusion, reasons discussed Court's opinion. engaged careful analysis (1963), distinguishing These cataloged footnote Ante, 247-248, 7. concluded little others supported designation. particular, scienter played part determining assessments; promote retributive aims punishment; rise subject 407; criteria employed assessments permit excessive relation alternative nonpunitive 1192-1194 (CA10 1979). content discuss these findings. ante, 249-250. Because Appeals, deserve brief discussion, too. My differs principal respects. apparent none strongly supports "civil" designation result "affirmative disability restraint" 168, 567; remedy; conceded, 1193, serves dissociated punishment. itself weigh heavily designation, cumulatively significantly direction. 30 assign weight role scienter, promotion penal objectives, potential excessiveness fines did Appeals. suggested "comes play " indicative proceeding. 567 (first emphasis Plainly, here. Scienter mentioned face many relevant determination Instruction 5922.11B (Oct. 10, Furthermore, conceivably deterrent ends, deposited expense cleanup operations indicator pervasively compensatory thrust scheme. 311(k), Finally, undoubtedly exact related considerations. absence actually assessed, inclined likelihood remote. 31 For reasons, factor, "whether sanction] Since feel alone mandate characterization particularly when opposite direction, concur 32 STEVENS, dissenting. There host situations citizen provide proving combination compulsion consistent look factors: first, properly characterized second, so, designed assist rather furthering valid regulatory purpose. admittedly close am pointed out, calculated reimburse cleaning spill.1 Rather, aimed exacting retribution causing spill: 35 "The based violation, degree culpability prior record party. party acted good faith, avoided once occurred, undertook clean-up measures 'imposition penalty.' 1193 36 circumstances, application leads purely measure. end however. A requirement necessarily invalid simply incriminate few people applies. Two examples field will illustrate my point. Marchetti 390 39, 88 697, 889 Grosso 62, 709, 906, plainly obtain class activity facilitate conviction hand, income require taxpayer's fulfill Government's answer taxpayer excuse refusing every taxpayer. Oliver, 505 301, 307-308 (CA7 1974).2 38 sanction, issue becomes primary spills is. If simplify responsible, should fall Grosso. merely responsibilities efforts monitor conditions Nation's waterways, permissible. again automatic must convinces me self-incrimination.3 respectfully dissent. 311 amended Clean 1977, Pub.L. 95-217, Stat. 1566, 1978, 95-576, 92 2468. Except noted, amendments bearing nn. infra. 2468, prohibit "in harmful" added), President. full: "Any shall, soon knowledge (3) subsection, notify discharge. Any fails conviction, fined $10,000, year, both. Notification 2168, authorize $50,000 per offense, $250,000 offense willful negligence misconduct. read: department operating offense. No unless charged hearing charge. Each compromised Secretary. agreed compromise, Treasury withhold request clearance Title 46 foregoing Clearance filing bond surety satisfactory Secretary." All parties concede Creek "navigable water" 1362(7). "[w]hether involves affirmative restraint, historically regarded punishment, comes operation punishment—retribution deterrence, crime, rationally connected assignable it, appears assigned. 567-568 (footnotes omitted). An or, event "nonremovable," liquidated 1321(b)(2)(B)(i) payment relieve 1191 1978). Oliver enactment special legislation procure incriminating disclosures select group tantamount accusation commencing them. demand register comparable inquisitor's suspect custody admit guilt. admission, made, almost inevitably become accused confessed. Just Miranda having enlarged adversary commence custody, have, purposes, treated inherently classes commencement demanded. Under analysis, self-reporting disclosure compelled. violating applicable public large, demands neutral sense evenly earnings not. Internal Code justified acceptable policy, entirely unrelated othough defendant's assume well incriminating, justify excuses obligation entire income." (Footnotes omitted.) 307-308. result, individual However, still 311(b)(2)(B)(i) 311(f), see 1, since subsections character.

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