Opinion ID: 1677203
Heading Depth: 1
Heading Rank: 8

Heading: Assessment for the Violation of a Stop Work Order

Text: Returning to the assessment for the violation of the stop-work order, we must initially acknowledge that this assessment is conceptually different from the other four fines. More so than the others, a fine for failing to comply with a stop-work order could be remedial if it were imposed as a prospectively coercive measure, i.e., to compel a defendant, then in violation of the Code, to conform to the terms of the order. Indeed, when viewed in this context, it appears that this type of fine is not so much concerned with the underlying violation of the law itself, as it is with ensuring that the underlying violation is corrected, rectified, or alleviated through other remedial measures. In this manner, this type of fine is closely analogous to civil contempt fines, which are generally regarded as being remedial in nature when (1) the fine is prospectively coercive, or (2) the fine serves to compensate the party injured by the violation of the order. See, e.g., United Mine Workers v. Bagwell, 512 U.S. 821, 829, 114 S.Ct. 2552, 129 L.Ed.2d 642 (1994). Importantly, though, because of its close kinship to the traditional goals of punishment, a prospectively coercive fine possesses a limited ability to serve as a predominantly remedial measure. To this end, the United States Supreme Court has recognized in the civil contempt context that [w]here a fine is not compensatory, it is civil only if the contemnor is afforded an opportunity to purge. Id. (citing Penfield Co. of Cal. v. SEC, 330 U.S. 585, 590, 67 S.Ct. 918, 91 L.Ed. 1117 (1947)) (emphasis added); see also Parisi v. Broward County, 769 So.2d 359, 365 (Fla.2000). In fact, [t]he absence of a purge provision means that the fine will be imposed regardless of reform and commitment to obey. A fine without a purge provision therefore suggests an intention to punish past misconduct rather than to insure future lawfulness. New York State Nat'l Org. for Women v. Terry, 159 F.3d 86, 94 (2d Cir.1998). The purging of a prospectively coercive fine may occur in two ways: (1) the fine is imposed and suspended pending future compliance, see Parisi, 769 So.2d at 365 (citing Bagwell, 512 U.S. at 829), 114 S.Ct. 2552; see also Jessen v. Jessen, 5 Neb. App. 914, 567 N.W.2d 612, 618-19 (1997); or (2) the fine is imposed per diem, or for each day of noncompliance with an order or directive, see United States v. Ayres, 166 F.3d 991, 995 (9th Cir.1999). This second type of purgeable fine has been recognized as remedial because it exert[s] a constant coercive pressure, and once the jural command is obeyed, the future, indefinite, daily fines are purged. Bagwell, 512 U.S. at 829, 114 S.Ct. 2552. Thus, in a manner similar to imprisonment for civil contempt, it has been said that the defendant carries the ability to purge the contempt and to avoid further accumulation of fines. Id. By way of contrast, however, a fine that is fixed, determinant, and presents the defendant no subsequent opportunity to reduce or avoid the fine through compliance, must be deemed to be predominantly punitive in nature. Id. Using this analogy to civil contempt fines, we conclude that the actual purpose and effect of the fine in this instance were to impose punishment for the violation of the stop-work order. Initially, it is clear that the fine imposed for the violation of the stop-work order did not go to compensate the Metropolitan Government for any damage suffered by the violation. Indeed, no proof was introduced at the hearing to calibrate the amount of the fine to the harm caused by Barrett's failure to obey the stop-work order, thereby denying any claim that compensation was its true purpose. Therefore, because this fine did not serve to compensate the Metropolitan Government for the harm caused by Barrett's violation of the stop-work order, the fine may be considered remedial only if it could have been purged. However, the fine imposed in this case was fixed and determinate, and Barrett was presented with no opportunity to purge the fine or to escape its consequences by altering his future behavior. Moreover, although the Code of Laws permits per diem fines for the violation of a stop-work order, Code of Laws § 16.04.72(A), we see no indication that this particular five-hundred dollar fine was the result of a per diem fine imposed to arrest a continuing violation. Rather, the actual purpose of the maximum fine sought in this case is readily apparent from the Metropolitan Government's closing argument before the general sessions court: Time and time again[, Barrett] has expressed complete disregard for the Building Code, and I think that he won't deny that. But it's gone beyond that into some behavior, intimidating some of these Code employees and doing whatever he can to try and get by without having to pull a roofing permit. And to me it just pushes the limits of decency and of good citizenship in this country. Thus, because the fine was not compensatory, and because Barrett was not given a subsequent opportunity to reduce or avoid the fine, we must hold that even this fine was predominantly punitive in its actual purpose and effect and subject to Article VI, section 14.