Legal Document

512 U.S. 821114 S.Ct. 2552129 L.Ed.2d 642 INTERNATIONAL UNION, UNITED MINE WORKERS OF AMERICA, et al., Petitioners,v.John L. BAGWELL al. No. 92-1625. Supreme Court of the United States Argued Nov. 29, 1993. Decided June 30, 1994. Syllabus * A month after enjoining petitioners (collectively, union) from conducting unlawful strike-related activities against certain mining companies, a Virginia trial court held contempt hearing, fined union for its disobedience, and announced that would be any future breach injunction. In subsequent hearings, levied over $64,000,000 in what it termed coercive, civil fines, ordering most money to paid Commonwealth counties affected by activities. After strike was settled, refused vacate fines owed counties, concluding they were payable effect public. Ultimately, appointed respondent Bagwell act as Special Commissioner collect unpaid fines. The Appeals reversed ordered vacated. Court, reversing turn, rejected petitioners' contention criminal could not imposed absent trial. Held: serious here constitutionally only through jury Pp. ____. (a) fine is punitive can proceedings, including right considered remedial if either coerces defendant into compliance with order or compensates complainant losses sustained. v. Mine Workers America, 330 258, 303-304, 67 677, 701, 91 L.Ed. 884. Where compensatory, contemnor has an opportunity purge, such per diem fixed, suspended (b) Most sanctions share coercive characteristics, fundamental question underlying distinction between contempts process due imposition particular sanction. Direct penalized summarily light court's substantial interest maintaining because need extensive factfinding likelihood erroneous deprivation are reduced. Greater procedural protections afforded indirect contempts. Certain particularly appropriate impeding ability adjudicate proceedings before those involving discrete, readily ascertainable acts. For more complex injunctions, however, procedures may required. (c) mere fact advance did render them civil. Criminal laws generally provide notice sanction imposed, union's avoid indistinguishable citizen Other considerations confirm challenged criminal. Neither parties nor Commonwealth's courts have suggested compensatory. sanctionable conduct occur presence otherwise implicate core judicial power, where lesser appropriate. Nor contumacy involve simple, affirmative acts, sanctions' force primarily elaborate Instead widespread, ongoing, out-of-court violations injunction, effectively policing entire code itself imposed. lasted many months spanned several assessed serious. Under these circumstances, disinterested evenhanded adjudication essential, entitled 2561-2563. 244 Va. 463, 423 S.E.2d 349 (1992), reversed. BLACKMUN, J., delivered opinion unanimous respect Parts I, II-A, II-C, III, Part II-B, which STEVENS, O'CONNOR, SCALIA, KENNEDY, SOUTER, THOMAS, JJ., joined. filed concurring opinion. GINSBURG, part judgment, REHNQUIST, C.J., Laurence Gold, petitioners. John G. Roberts, respondents. Paul Bender, amicus curiae, special leave Court. Michael E. Avakian, Center on Nat. Labor Policy, Inc. North Springfield, Va., curiae behalf respondent. Justice BLACKMUN 1 We called upon once again consider contempt. Specifically, we address whether labor injunction conclude and, accordingly, reverse judgment Virginia. 2 Petitioners, International Union, America District 28 engaged protracted dispute Clinchfield Coal Company Sea "B" Mining companies) alleged unfair practices. April 1989, companies suit Circuit Russell County, Virginia, enjoin entered which, later amended, prohibited members from, among other things, obstructing ingress egress company facilities, throwing objects at physically threatening employees, placing tire-damaging "jackrocks" roads used vehicles, picketing than specified number people designated sites. additionally take all steps necessary ensure place supervisors picket sites, report court. App. Pet. Cert. 114a-116a. 3 On May 16, hearing found had committed 72 fining $642,000 disobedience,1 $100,000 violent $20,000 nonviolent infraction, "such exceeding numbers, [or] blocking entrances exits." Id., 111a. early stated purpose "impos[e] prospective fines[,] payment required shown defendants disobeyed Court's orders." 40a. 4 seven hearings December 400 separate violent. Based "intention coercive," id., 104a, each conducted proceeding judge, discovery, introduced evidence, cross-examined witnesses. contumacious acts proved beyond reasonable doubt, but afford 5 As result union, approximately $12,000,000 companies. Because objected law enforcement burdens posed strike, remaining roughly $52,000,000 Dickenson Counties, "the two heavily activity." 44a. 6 While appeals orders pending, settled dispute, agreed jointly moved dismiss case. mediator representing Secretary Labor, 48-49, governments 48 54, supported parties' motion outstanding granted dismiss, dissolved vacated reiterating belief "payable public." 47a. 7 withdrew settlement declined seek further Attorneys Counties also asked disqualified case, Commonwealth. 48a. 8 pursuant agreement. Assuming purposes argument civil, concluded "that during private when litigation without discretion refuse fines." 36a. 9 consolidated appeals, state law, public policy disfavored rule, "if dignity judiciary maintained." 17a. schedule intended coerce obedience, reasoned, properly proceedings: 10 "When perform provides shall fixed amount day he refuses comply, control his own destiny. same true present established solely coercing Union refrain engaging conduct. Consequently, controlled fate." 15a. 11 This certiorari. 508 ----, 113 2439, 124 657 (1993). II A. 12 "Criminal crime ordinary sense," Bloom Illinois, 391 194, 201, 88 1477, 1481, 20 522 (1968), "criminal penalties someone who been Constitution requires proceedings." Hicks Feiock, 485 624, 632, 108 1423, 1429-1430, 99 721 (1988). See re Bradley, 318 50, 63 470, 87 608 (1943) (double jeopardy); Cooke States, 267 517, 537, 45 390, 395, 69 767 (1925) (rights charges, assistance counsel, summary process, defense); Gompers Bucks Stove & Range Co., 221 418, 444, 31 492, 499, 55 797 (1911) (privilege self-incrimination, proof doubt). "serious" imprisonment six months, include Bloom, U.S., 199, S.Ct., see Taylor Hayes, 418 488, 495, 94 2697, 2701-2702, 41 897 (1974). contrast, sanctions, designed compel order, avoidable thus heard. doubt required.2 13 Although contours forms well established, distinguishing characteristics versus somewhat less clear.3 leading case addressing this issue context imprisonment, 441, 498, emphasized turns "character purpose" involved. Thus, "is remedial, benefit complainant. But sentence punitive, vindicate authority court." Ibid. 14 recognized, alone cannot determinative. 443, 498-499. "[W]hen imposes punishments contemnor, vindicating legal enter initial seeking give law's modifying contemnor's behavior conform terms order." Hicks, 635, 1431. like punishments, some extent punish prior offense offender's obedience. accordingly conclusions about nature drawn, subjective intent State's courts," 1431, "from examination character relief itself," 636, 1432. 15 paradigmatic sanction, set forth Gompers, involves confining indefinitely until complies command "to pay alimony, surrender property turned receiver, make conveyance." 442, 498; McCrone 307 61, 64, 59 685, 686, 83 1108 (1939) (failure testify). Imprisonment term similarly given option earlier release complies. Shillitani 384 364, 370, n. 6, 86 1531, 1536, 16 622 (1966) (upholding "a determinate [two-year] includes purge clause"). able obtain committing act, "carries keys prison pocket." quoting Nevitt, 117 Fed. 448, 451 (1902). By retrospectively "completed disobedience," abbreviate confinement compliance. 12-month Samuel violating anti-boycott When isolated, resulting no effect. "[T]he furnished key, shorten promising repeat offense." 498. 17 dichotomy extended context. "coerce[s] . compensate[s] sustained." 884 (1947). purge. Penfield Co. SEC, 585, 590, 918, 921, 1117 "flat, unconditional fine" totalling even little $50 finding reduce 588, 920. 18 close analogy fails comply order. Like exert constant pressure, jural obeyed, future, indefinite, daily purged. Less comfortable suspended, sole decision squarely power impose Workers, supra, purgable pending Penfield, 921 ("One fined, unless [complies] ., penalty"); 639, 11, 1433, (suspended probationary criminal). involved $3,500,000 nationwide post-World War Finding both excessive, reduced flat $700,000. then $2,800,000 fine, conditioned full, timely order.4 concluded, clause, operated obedience 307, 703. 19 revisited addressed Workers. Since decision, erected areas contempts, e.g., 522, 897; Codispoti Pennsylvania, 506, 513, 2687, 2691, 912 (1974); Johnson Mississippi, 403 212, 1778, 29 (1971); Oliver, 333 257, 275, 68 508-509, 92 682 (1948). Lower federal nevertheless relied authorize relatively unlimited noncompensatory B Underlying elusive ultimate penalty viewed nonpunitive avoidable, fewer To character, justified central 21 traditional justification relative breadth necessity: Courts independently must vested "power silence, respect, decorum, their presence, submission lawful mandates, preserve themselves officers approach insults pollution." Anderson Dunn, Wheat. 204, 227, 242 (1821). embraced inherent authority, 450, 501; Ex parte Robinson, Wall. 505, 510, 22 205 (1874), "necessary exercise others." Hudson, Cranch 32, 34, 259 (1812). uniquely "liable abuse." 202, 1482, Terry, 128 289, 313, 77, 82-83, 32 405 (1888). Unlike legislature defines offended judge responsible identifying, prosecuting, adjudicating, sanctioning Contumacy "often strikes vulnerable human qualities judge's temperament," fusion legislative, executive, powers "summons prospect 'the tyrannical licentiousness.' " Young ex rel. Vuitton, 481 787, 822, 107 2124, 2145, 95 740 (1987) (SCALIA, judgment), Anderson, Wheat., 228. Accordingly, "in [criminal] cases compelling made [than cases] providing protection arbitrary official power." 1482. 23 Our jurisprudence area attempted balance competing concerns necessity potential arbitrariness allowing unencumbered requiring progressively greater come play. pinnacle, course, threatens immediate witness testify, party disrupts Young, 820-821, 2144 judgment) (the self-defense," limited "those interfere orderly [court] business disobey business"). petty, direct traditionally subject adjudication, maintain courtroom integrity face 'actual obstruction justice.' McConnell, 370 230, 236, 82 1288, 1292, 434 (1962); cf. Wilson 421 309, 315-316, 1802, 1806, 44 186 (1975); Harris 382 162, 164, 352, 354, 240 (1965). rapidly restoring contempt's occurrence reduces deprivation, tolerated. 24 Summary becomes justifiable leaves realm immediately sanctioned, petty If delays punishing completion trial, example, rights respected. There "it much difficult argue action kind enable [the court] proceed business," 2703, view heightened abuse power," 500, 2704; 164-165, punished full 210, 1486. 25 Still occurring out court, justifying expedited do pertain. prohibited, 534, 394, (1925), process. E.g., 1429. proceedings. Contempts failure document while outside impede touch power. broad means contempt—such striking pleadings, assessing costs, excluding entering default judgment—to penalize party's rules governing See, Fed.Rules Civ.Proc. 37. Such never criminal, police appears consistent authority. Similarly, turning key adjudicated since extensive, impartial pressing. 26 discrete category insufficient. disobedience injunctions often require reliable factfinding. Cf. Green, 356 217, 33, 78 660, 33 (Black, dissenting) (citation omitted) ("Alleged personal knowledge material facts especially suited jury. held, witnesses called, evidence taken event. And crucial dispute"). obstruct it, risk lack neutral factfinder substantial. 214-215, 659. counsel protect prevent C 27 instant neither At point attempt calibrate damages caused indicate compensate 701. nonparty governments, requested compensation presented regarding injuries, intervene suit, actively defended us despite sanctions. propose independent tests determining Petitioners rather mandated Respondent turn urges compliance, character. theory satisfactorily identifies correctly note suggests possible "between refusing commanded, remedied performs act; doing forbidden,—punished definite term." mandatory prohibitory easily applied classic scenario, enforce forbidding single, act. cases, commanding simply designate actions capable being coerced. 30 coercion punishment apply recur involved, contains provisions. Moreover, borderline injunctive provisions containing essentially phrased terms. literal application theory, union: "Do strike," appear "Continue working," Tr. Oral Arg. 8-9; Dobbs, Contempt Court: Survey, 56 Cornell L.Rev. 183, 239 (1971). enforcing regard clause violated. though parsing injunction's various might support classification rock-throwing refusal sites review manner. prescribes detailed conduct, identify decree. 10, (internal quotations (Where feature dominant fixes review"). Despite respondent's urging, persuaded dispositive significance should accorded prospectively impose. Had guilty contempt, "determinate unconditional" "solely exclusively punitive." 632-633, 1429-1430; supra. contends announcement allowed "avoid paying fine[s] performing order," 1429, transformed ones. maintains here, below, Respondent's highlights difficulties encountered concededly distinguish determinate, initially contumacy, fact, does justify conclusion meaningfully law. Due penalty—determinate violation—that conforming closely analogous retrospective therefore decline rendered matter constitutional convince it. examined Gompers. Instead, so doing, policed portion State. serious, $52,000,000.5 even-handed 34 reaching conclusion, recognize deferred legislature's determination see, Ward, 448 242, 248, 100 2636, 2641, 65 742 (1980); Helvering Mitchell, 303 391, 58 630, 917 (1938), "[w]hen strong guidance State exercising 'in nonpunitive, noncriminal manner.' 631, Allen 478 368, 106 2988, 2991, 296 (1986). deviate tradition today. single legislature, declares deference Madsen Women's Health Center, Inc., --- 114 2516, ---- (1994). recognized label affixed ultimately "will defeat applicable law." III 35 courts' holding, unaltered longstanding judges summarily, compensatory awards Sheet Metal Equal Employment Opportunity Comm'n, 421, 3019, 344 applies still noncompensatory, ones disturb levy, albeit 36 whatever slight burden our holding controlling. quarter-century ago: 37 "We say consideration individual subjected worked carefully years deemed system justice. Genuine lend establishment, will engendered, fear firm administration institutionalized centuries." 208, 1485. 38 Where, issue, efficiency way ensuring 209, 39 40 It ordered. concurring. 42 I join classifying demonstrates, employed variety reconcilable differentiating yield there decide correct one—and extreme best decision. wish suggest, making careful historical practice answer. 43 That one person violation, assess accord usual notions fairness separation powers. ante, ____; Green 165, 198-199, 650-651, 672 (1958) dissenting); (1968); 539, (1925). worse affording usually trials. Only clearest establish departure normally denial Burnham Superior Cal., County Marin, 495 604, 623-625, 110 2105, 2117-2118, 109 631 (1990); Honda Motor Oberg, 2331, ----. common divided litigant affront period incarceration; uncooperative incarcerated (and, fined*) complied specific 441-444, 498-499, (1911). Incarceration distinctive sheds decrees enforced makes sense performance identifiable (or perhaps cessation continuing act). general prohibition conditional incarceration, act) demonstrate release. One expressed difference follows: "Punishment undo remedy thing done, remedies disobedience." Fox, 96 F.2d 23, (CA3 1938). expect this, underlay incarceration prohibitory, directing litigants (for document), executing deed conveyance). latter common, jurisdiction equity personam rem, decreed almost always directive issue. J. Pomeroy, Equity Jurisprudence § pp. 3386-3388 (4th ed. 1919). issued termination simple act." H. McClintock, Principles 15, 32-33 (2d 1948). Indeed, "historical prejudice chancery rendering p. 160. contracts sought, categorical rule decree ongoing supervision. Marble Ripley, 339, 358-359, 955 (1870); 160-161; Story, Commentaries 778b, 782 (Redfield ed.; 10th 1870). Compliance "single act" mandates could, addition quick; achieved relationship came end, least insofar concerned. Once land conveyed, litigant's obligation litigant, ceased. 332, 714, (1947) dissenting part). engage supervision continue regulate behavior. 46 Even equitable were, times, sweeping modern counterparts. Prior late 1800's, narrow disputes property. W. Kerr, Treatise Law Practice Injunctions *7 (1880); F. Frankfurter N. Greene, Injunction 23-24, 87-88 (1930). 47 Contemporary abandoned limitations scope decrees. McDowell, 4, (1982). They routinely supervisory roles institutions. Missouri Jenkins, 56-58, 1651, 1665-1666, Swann Charlotte-Mecklenburg Bd. Ed., 402 1, 1267, 1276, 554 Professor Chayes described transformation: "[The decree] differs every relevant characteristic model centerpiece. complex, on-going regime one-shot, one-way transfer. Finally, prolongs deepens, terminates, involvement dispute." Chayes, Role Judge Public Litigation, 89 Harv.L.Rev. 1281, 1298 (1976). 49 consequences change under discussion obvious: governs aspects activities, just difficult. Credibility issues arise, (including trial) become important. prohibitions obligations (and "purged") continues govern behavior, pain punishment—not unlike 50 tame example modern, amended inter alia, rock-throwing, puncturing tires, threatening, following interfering respondents' pickets locations, roving picketing; required, list names supervisors. 113a-116a. seem quite enforce, last provision—a command, observance ascertained—using remainder novelty. 51 52 use "makes except consequence practice." Weiss 510 752, 771, 127 (1994) judgment). expanded, lost features acceptable. perceptions fairness, changed (that my basis tightening relaxing demands process); essentials device former times So adjustments made. sufficiently resemble namesakes warrant extraordinary enforcement. draw line am content 53 whom THE CHIEF JUSTICE joins, judgment. 54 brought petitioner unions classified "civil" "criminal." explains, "criminal," precedents disputed bench stand. (1911), notes, ____, pathmarking area. instructs, complainant," operates coercively continuously "affirmative production presentation testimony. 'carries pocket' ": moment, "[h]e end discharge himself previously do." Ibid., 461 "punitive, [imposed] commanded "do[ne] past, act," undo. complainant, uphold disobedience. 442-443, unconditional, said 57 outlined prototypes, acknowledged categories, filled actual altogether neat tidy. Civil although "vindicat[e] authority"; law," bestow "some incidental benefit" tends repetition classifications criticism, scholars. Many observed, itself, "criminal" unstable problematic practice. 2557, (citing scholarly criticism); Dudley, Getting Beyond Civil/Criminal Distinction: New Approach Regulation Indirect Contempts, 79 Va.L.Rev. 1025, (1993) additional criticism). consistently resorted determine protections, prosecutions, Dixon, 509 2849, 2856, 125 556 ("We [certain] nonsummary prosecutions prosecutions.") cases). repeatedly Gompers' delineation 631-633, 635-636, parties, arguments within framework. 60 Two persuade me "civil." First, accept logic Bagwell's "conditional" "coercive," elude categorization. "conditional," says, sense, supplemented schedule; indeed, noncompliance imposition. ____ unions' "indistinguishable law"). Furthermore, encourage "coerce" they, too, "ten[d] thesis broaden compass line-drawing function lost.* 61 Second, joint motion, explaining why outlived stated: "Courts employing 478, 349, 358 (1992). references upholding law" reflect very ranked side. gone scene, coffers, implausible invoke benefiting pursues account, agent party, tying exactions claim compensation. 1429 ("[A] [is] court," "remedial" "when order."). If, declared, indeed outset, motions 62 Concluding "are fines" II-B syllabus constitutes prepared Reporter Decisions convenience reader. Detroit Lumber 200 321, 337, 282, 287, 499. nature." 4a, 2. i.e., adjudged sanctioned (1888), 209-210, 1486-1487, pertain, Wilson, 316, (1975). Numerous scholars criticized unworkable 1033 (describing "conceptually unclear exceedingly apply"); Martineau, Eliminating Confusion Contempt, U.Cin.L.Rev. 677 (1981) ("Few concepts bedeviled courts, judges, lawyers, commentators court"); Moskovitz, Injunctions, Criminal, Colum.L.Rev. 780 (1943); R. Goldfarb, Power (1963) tangle procedure practice" "unsatisfactory fiction"). size substantial, discrete. According purgation consisted (1) withdrawal terminating Krug-Lewis agreement; (2) notifying withdrawal; (3) withdrawing questioning effectiveness 305, 702, "Petty offenses tried jury," 2701, (1974), triggers date magnitude constitute $10,000 insufficient trigger Sixth Amendment Muniz Hoffman, 422 454, 477, 2178, 2190, 319 U.S.C. 1(3) (defining crimes exceed $5,000 individual, both"). answer today unquestionably respects With them, continued complied, stopped course eliminate restore already endured. likens opportunity, "effect[ing] compliance" "full no-strike 266, 12, 682, three scenario unavailable

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