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                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   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| **Procedural Component of a Civil Case**The decision whether or not to proceed in a civil ARPA           case rests wholly within each individual agency and the designated divisions           therein. ARPA gives the land manager, that is the designee of each Secretary           or the head of a Federal land managing agency, the authority to initiate           proceedings. Therefore, each Area or Park Superintendent, Forest Supervisor,           or Base Commander may set policy to govern the option to proceed in           house. Over time each division will develop policy that guides agents           in the field so that they can determine whether the violation that confronts           them should be handled civilly or criminally. Once a matter is submitted           to the office of a U.S. Attorney the agency control is held in abeyance           until the U.S. Attorney decides how the matter is to be handled and           concludes its action. Those who investigate ARPA matters should not           be overly concerned with what the land manager decides since the ARPA           investigative work is the same regardless of how the case eventually           will be handled. 

The ARPA case begins with the determination by the land           manager as to how to proceed. The following procedure applies when the           decision is to proceed civilly and when forfeiture is a desired option.           Also, after the conclusion of a criminal matter where actual monetary           damages related to the disturbance of the site were not sought or negotiated           in a plea agreement, or where forfeiture was not pursued, the land manager           may proceed with the following civil process. 

**Report to the Land           Manager**The agency law enforcement personnel, or investigative           personnel in the case of the Corps of Engineers, will compile the ARPA           case report. It will contain the information necessary to determine           whether evidence exists for each of the issues of proof discussed above.           The report also will contain a site damage analysis and the basis for           archeological interest that places the site within the protection of           ARPA. Photographs, maps, returns on search warrants, and descriptions           of seized property will be included when they apply. 

The use of legal support for the agencies varies. In           most instances the land manager will decide how to proceed based on           the report. In the Forest Service, policy now requires that the report           be submitted to the office of General Counsel when civil action is contemplated           so that an attorney may advise the land manager at each stage of the           proceedings. The law does not require, and civil actions are not dependent           upon, representation of the agency by counsel (see ALJ           hearing below). 

**Notice of the Violation***Service:* A civil action begins with the Notice           of Violation which is served on each alleged violator. A corporation           is served though a statutory agent who is listed with the Secretary           of State. Personal service may be by a process server although the regulations           allow service by registered mail, return receipt requested.42           All actions that follow will be predicated on the ability of the land           manager to prove that actual service on the suspected violator has occurred.           

*Contents:* The notice will be in letter form,           signed by the land manager designee (Appendix           A). It will contain a short statement of the facts that indicate           what occurred, where, and how the alleged violator was involved.43           This brief statement is not a recitation of everything in the report.           The notice letter will indicate whether the asserted violation occurred           without a permit or outside the scope of a contract or employment agreement.44           The notice normally will state the amount of the proposed penalty, although           the regulations allow the notice to be sent with an indication that           the actual amount is to be ascertained and will follow in a separate           notice. 45           Since the notice is not complete without a specific penalty amount stated,           two separate letters may impact on the ability of the land manager to           show proper service. There will be instances, however, when prompt notice           will prevent further damage even though the site damage analysis is           not complete. 

The notice must advise the violator of the options (1)           to discuss the matter informally with the land manager, (2) to file           a Petition for Relief which will trigger the administrative law process,           or (3) to take no action and receive a notice of final assessment.46           The notice will advise the alleged violator of the option to remit payment           which will close all further proceedings. Finally, the notice must advise           the alleged violator of their right to seek judicial review of all administrative           determinations. 

*Timing:* The Notice of Assessment should be served           in a reasonable time after the incident is investigated. While there           are no specified time limits, general principles of timeliness do apply.           If the matter languishes until the evidence of the violation becomes           obscured, it may be no longer appropriate to pursue the action. It is           reasonable for several months to elapse while investigative work is           being completed, and it may take time to find the alleged violators           and to tie them to the scene. After four years an action may be prohibited.47           The 45 day period within which the alleged violator must respond does           not begin until the receipt of the notice letter which contains the           assessed penalty amount. Therefore the suspected violator may be notified           of the asserted violation, but the obligation to respond would not begin           until receipt of the second notice letter with a specific penalty. 

**Respondent's Options**Once the suspect, who is termed the respondent in a civil           action, receives the notice one of four courses of action must be taken           within 45 days. The first and most desirable option for both sides is           the scheduling of a meeting with the land manager to informally discuss           the asserted violation and the amount of damages.48           Such an informal discussion complies with the Presidential "Civil Justice           Reform" order issued in October 1991.49           The intent of the Executive Order is that no formal litigation commence           without an attempt to informally resolve the matter. 

The respondent may bypass the land manager by filing           with the land manager a Petition for Relief.50           This will place the matter before an ALJ to hear and decide. If the           respondent accepts the damage amount and responsibility for the damages,           the land manager may be paid in full or the respondent may notify the           land manager in writing that the amount is acceptable.51           This acceptance of the civil penalty by the respondent, in writing,           relieves the land manager of any obligation to send a second letter           as a formal notice of assessment. If the respondent later reneges on           the payment of the penalty, the land manager may obtain a court judgment           and proceed to collect on the judgment (see judgment           below). The respondent may take no action and await the notice of the           final assessment from the land manager.52

**Informal Meeting**When a request is made for an informal meeting within           the 45 day period, the land manager is obligated to comply. This discussion           may be attended by the respondent with or without counsel. The land           manager may have present any personnel deemed necessary, which may include           the investigator and the archeologist. Whether counsel is present for           the government will depend upon the policy of each agency.53           The Office of Hearings and Appeals prefers the use of counsel at all           times, since this furthers orderliness and due process. 

During the informal discussion the respondent may try           to impress the land manager that there is no responsibility or that           the damages are too high. If a negotiated compromise is reached, it           should be put in writing and signed by both the land manager and the           respondent. This agreement will become the amount indicated in the notice           of assessment. If no compromise is reached, the land manager still will           prepare a Notice of Assessment. 

If the land manager determines that no violation has           occurred or that the respondent is not the responsible party, a written           notice of that fact will be sent to the respondent indicating that no           penalty shall be assessed.54           The land manager may determine that additional information is necessary,           which will continue the investigation.55           When the additional information is received the land manager will then           issue the Notice of Assessment. The regulations do not contemplate a           second informal meeting after further investigation, but there is nothing           in the regulations to preclude such action. If at the initial informal           meeting the land manager determines that further investigation is warranted           and if this further investigation reveals a good deal of new information           that impacts the original Notice of Violation, the land manager could           serve a second or amended Notice of Violation, and the process would           begin anew. 

**Petition for Relief           and Formal Hearing**The uniform regulations to ARPA provide for the respondent           to request a formal hearing with the land manager.56           The Petition for Relief is a letter, which responds specifically to           the Notice of Violation (Appendix           B). This petition must be in writing and must be signed by the individual           respondent or an authorized officer of a corporate respondent. It must           be filed with the land manager no later than 45 days from receipt of           the notice of violation. Although the uniform regulations do not resolve           the possible problem of the running of the 45 days while informal negotiations           are pending, it would seem reasonable that the 45 days to file a petition           for relief be extended in writing when the respondent has requested           and scheduled an informal meeting within the 45 day period. The petition           for relief must indicate specifically the factual or legal reasons for           any relief requested by the respondent. This document gives the land           manager another opportunity to consider all issues before the determination           of an assessment. The filing of a petition for relief does not entitle           the respondent to a hearing with the land manager. 

**Assessment of a           Penalty**The land manager will issue a written Notice of Assessment           which is to be served on the respondent(s) in the same manner as the           Notice of Violation (Appendix           C). The assessment will be sent after the 45 day period has lapsed           or at the conclusion of any informal meetings and the receipt of a timely           Petition for Relief. 

*Determination of the Penalty Amount:* If the alleged           violator does not respond, the assessment may repeat most of the initial           Notice of Violation. If a hearing or meeting has taken place, the Notice           of Assessment must discuss the information presented at the hearing           or meeting or furnished in the petition for relief.57           The penalty shall be assessed in accordance with the law and regulations           discussed above.58           Nonetheless, the land manager may assess an amount that is less than           the maximum calculations for reasons enumerated in the regulations.           The assessment may be reduced if: 
-  the respondent agrees to return archeological resources             taken from public or Indian lands, which agreement may extend beyond             the items originally noticed; 
-  the person agrees to assist in preservation, protection,             and study of archeological resources on public and Indian lands; 
-  the person will give information to assist in the             detection, prevention, or prosecution of other violations of ARPA;             
-  first time offenders show a demonstrated hardship             and inability to pay; 
-  there is no willful commission of the violation;             
-  the proposed penalty is excessive; 
-  the proposed penalty is unfair.59

*Content of the Notice of Assessment:* The Notice           of Assessment will contain the facts and conclusions that resulted in           the determination that a violation occurred and that the respondent           committed the violation.60           It will indicate the basis for the assessment, including the site damage           amount (doubled after the first offense), less any amounts due to mitigation           for any reasons stated.61           The assessment shall advise the respondent of the right to an administrative           hearing and provide the addresses of the appropriate administrative           forum and the office of counsel for the agency. The notice shall state           that the decision of the ALJ may be appealed administratively, and thereafter,           judicial review of the final administrative decision may be sought in           the appropriate United States District Court.62           Finally, the notice should advise the person that failure to request           a hearing, in writing within 45 days, will result in a waiver of the           right to a hearing. 

**Administrative Hearings***Request for a Hearing:* Within 45 days of the receipt           of the Notice of Assessment the respondent must request a hearing or           the right is deemed to be waived.63           The request must be in writing and accompanied by a copy of the Notice           of Assessment.64           The regulations do not indicate specifically that a Petition for Relief           be included with the request, but it would be appropriate for the respondent           to indicate the specific aspects of the assessment with which exception           is taken.65           The request may be delivered in person or sent by registered or certified           mail, return receipt requested. It is important for the respondent to           show proof that a hearing request was timely. The regulations allow           the person to deliver the request personally and thus save the cost           of a process server. The addresses for delivery of the notice are given           in the Notice of Assessment. 

*Administrative Law Judges:* The ALJs function           within and are part of the Executive Branch. They are not part of the           Federal court system. Not every agency employs ALJs, and until recently           a civil ARPA case may not have been an option. By Memorandum of Agreement           the Forest Service and the Tennessee Valley Authority (TVA) have removed           this impediment.66           The following description will track the process before the Hearings           Division, Office of Hearings and Appeals, Department of the Interior.           

*ALJ Process:* The Department of the Interior ARPA           Supplemental Regulations specify the documents to be mailed to the Hearings           Division, Office of Hearings and Appeals, Department of the Interior,           4015 Wilson Boulevard, Arlington, Virginia 22203-1954, with the request           for a hearing.67           The request must be in writing and dated. It must include a copy of           both the Notice of Assessment and the Notice of Violation. Further,           "the request shall state the relief sought, the basis for challenging           the facts used as the basis for charging the violation and fixing the           assessment. . . ."68           Therefore, the request establishes the issues for the hearing. In addition           the respondent may indicate preferences as to the place and date for           the hearing. 

A copy of all documents sent to the ALJ must be sent           to the legal counsel for the agency that initiated the procedure. For           example, if the agency is within the Department of the Interior, the           Solicitor of the Department must receive a copy personally or by registered           or certified mail, return receipt requested. Forest Service matters           will be handled by its Office of General Counsel, and TVA matters will           be handled by its General Counsel.69           The respondent must serve notice to the office listed in the Notice           of Assessment. 

Once a specific ALJ is assigned to the case, all communications           are sent directly to that judge. Copies of all documents sent to the           ALJ must be sent to the other party.70

*Representation by Counsel and Appearance at a Hearing:*           Each Department's policy states when counsel will appear on its behalf           at ALJ hearings. Currently the offices of General Counsel for the Forest           Service and the TVA prefer to be involved in ARPA civil proceedings           at each stage of the process. This is strongly recommended by the ALJs.           The Department of the Interior Supplemental Regulations provide that           the departmental counsel designated by the Solicitor officially will           enter the case once an assignment is made to a specific ALJ for hearing.71           Thus the land manager will receive the request for hearing from the           respondent and the notice of the ALJ assignment and then forward the           entire case file to the appropriate Solicitor's or General Counsel's           office. Thereafter the attorney assigned the matter will be responsible           for determining that all documents have been filed with the ALJ. The           rules for the ALJ hearings do not require that either party be represented           by an attorney.72           The Interior Supplemental Regulations allow for the appearance at a           hearing of the party in person, by a representative, or by counsel.73           If the respondent fails to appear at the hearing and there is no good           cause for the absence, the ALJ then will make a decision without a hearing           based on the documents provided. 

*Conduct of a Hearing:* The rules for a hearing           before an ALJ are more relaxed and abbreviated than the rules of procedure           in a Federal district court.74           Testimony under oath will be heard by the ALJ from the witnesses for           each side. Each side will have an opportunity to question each witness.           A transcript of the proceeding will be made. Exhibits such as maps,           titles to vehicles, and archeological materials may be submitted to           the ALJ. The ALJ will consider the evidence and the briefs filed and           render a decision. There is no jury. The decision will be in writing           and will specify findings of fact and conclusions of law upon which           the decision is based. The ALJ is not limited to the determinations           made by the land manager in the Notice of Assessment. Based on the evidence           produced at the hearing, the ALJ may increase or decrease the assessment.75

*Final Order and Administrative Appeal:* The decision           of the ALJ becomes final 30 calendar days after the written ruling is           sent to the parties, unless in the case of Department of the Interior           land managers either the respondent or the land manager files a Notice           of Appeal within 30 days.76           A "Notice of Appeal" is a brief statement of intent to appeal, and it           is mailed to the Director, Office of Hearings and Appeals, U.S. Department           of the Interior, 4015 Wilson Boulevard, Arlington, Virginia 22203-1954.77           Copies must be mailed to the other party and to the judge who rendered           the decision. The Notice of Appeal must have attached to it an affidavit           that the copies were sent.78           An Ad Hoc Board of Appeals will be appointed by the Director, Office           of Hearings and Appeals, pursuant to 43 CFR Parts 4.l(b)(4) and 4.700,           to decide the appeal. The appellate review is not a repeat of the first           hearing.79           The appeal panel will consider the matter on the record compiled by           the ALJ and supplemented by briefs in support of the appeal and oral           argument if necessary. The appeal panel will issue a written decision,           which constitutes the final administrative determination of the matter.80           It may be subject to judicial review in the appropriate Federal district           court. If the administrative order is not appealed it will be final           and collectable. 

The administrative appeal panel will determine if there           are facts to support the ALJ's decision, if all of the procedural aspects           of the process were in compliance, and if the ALJ's decision complies           with the law. A Federal district court judge presented with a Petition           for Review of the administrative appeal panel will consider only the           specific issues designated by the party who pursues the appeal. This           judge will not substitute a new opinion for one supported by evidence.           The predominant issue on appeal may be a claim by the respondent that           he or she was not properly served or was denied due process. 

**Payment of the Penalty**

 Payment of an assessment is due:
-  when the respondent receives a Notice of Violation             and opts to pay in full without further discussion;81
-  45 days from the receipt of the Notice of Assessment             from the land manager and the respondent does not request a hearing;             82
-  30 days after the decision of the ALJ and the respondent             does not file a Notice of Appeal with the Office of Hearings and Appeals;             83
-  45 days after the appeals board issues a decision             and a final assessment and the respondent does not appeal to a Federal             district court84;             or 
-  the Federal district court issues an order affirming             the final administrative decision. 

If at any point the respondent does not pursue the available           process, the penalty is deemed to be accepted, and payment becomes due.           Given the usual time delays, a respondent may postpone payment for a           period of time. Although the civil process does not provide an instant           remedy and fast payment, it is still less cumbersome than obtaining           financial redress through the criminal process. During this time if           it appears that the respondent may be dissipating assets or frustrating           the possibility of collecting on a judgment, steps may be taken by the           appropriate office of the U.S. Attorney who will handle collection.85           Under normal circumstances the agency will refer the matter to the U.S.           Attorney for collection when the penalty is not paid. In some cases,           such as the TVA, agency counsel will pursue collection. 

A final penalty becomes a judgment, which is a court-ordered           demand for payment of a set amount. The judgment will accrue interest           at the highest legal rate.86           To obtain payment on the judgment from a respondent who does not voluntarily           pay requires a second tier of legal actions. The office of each U.S.           Attorney contains a collection division to pursue payment of judgments           owed to agencies of the Federal Government. The collection attorney           will file a copy of the judgment in the district in which the respondent           lives, transacts business, or can be found and served.87           Liens may be placed on properties owned by the respondent, and any income           may be garnished. If there is no collection attorney available, civil           collection actions may be initiated directly.88           Some of the costs of collection will be added to the amount owed by           the respondent.89           In a collection action the debtor may not attack the amount of the judgment,           the basis for the judgment, the calculation of the penalty, or ask that           the judge go behind the judgment to examine the reasons for the judgment.           If, however, the judgment is defective due to a procedural omission,           the judgment may not be enforced. 

Penalties collected from incidents occurring on Indian           lands are paid to the appropriate tribal entity. All other funds collected           above the costs of collection are paid to the agency bringing the action.           How these funds are allocated within the agency is a matter of internal           agency policy. 

**Forfeiture of Vehicles           and Tools***Items Subject to Forfeiture:* Materials excavated           or taken from Indian and Federal lands will be seized, as they are the           property of the Indian or Federal landowner.90           The person from whom the materials are seized may be given a receipt           for these items as a matter of record keeping. Property, including vehicles           and tools, that belongs to the alleged violator and is used in the commission           of the asserted violation is subject to forfeiture.91           These items may be seized and held at the time of the asserted violation.           They are to be released either to the owner or to the seizing agency           depending on the outcome of the forfeiture action. 

Each agency and the land manager determine whether to           pursue forfeiture. Even though forfeiture may be a legal option, the           condition of the item or the lien on the item may make forfeiture undesirable.           Forfeiture may be negotiated by the land manager in the informal meeting           or hearing process. 

*Forfeiture Procedure:* Items may be forfeited           civilly by inclusion in the Notice of Violation as part of the demand           or as an action against the item itself.92           If the Notice of Violation served on a respondent contains the appropriate           language, the forfeiture becomes an integral part of the civil penalty           process (Appendices A & C). If at any time the forfeiture is not appealed           or preserved in the civil process outlined above, the item becomes the           property of the agency or the Indian tribal entity if the violation           occurred on Indian lands.93           If the items to be forfeited are not associated with a person, the government           may file an *in rem* judicial action, which is an action against           the thing. Notice is published in a newspaper that the described items           are subject to forfeiture, and any interested persons must come forth           or lose their ability to claim the items. The *in rem* action is           filed in the Federal district court where the items were found. The           determination by the court that the items were used in an ARPA violation           is sufficient to award the property to the government or tribal entity.           If someone appears to contest forfeiture, the individual has the burden           of proving lawful ownership, and connection with or knowledge of the           violation must be dispelled. Even if the lawful owner had no actual           part in the ARPA violation, the item still will be forfeited if the           owner knew or should have known how the item was to be used. 

**Prognosis for Use**If there is a correlation to be drawn to the growth of           ARPA criminal actions, once the civil prosecution process is known,           its use could expand significantly. Civil actions will not replace all           criminal prosecutions for ARPA violations that have become commonplace           nationwide. Similarly, citations issued under the various agency CFRs           still will be appropriate. However, where financial recoupment of damages           is the desired result, the civil process is waiting to be used. 

This brief is intended to assist in the use of the civil           law. To keep updated on civil ARPA matters, copies of decisions in civil           penalty proceedings may be obtained by a written request to the Director,           Office of Hearings and Appeals, U.S. Department of the Interior, 4015           Wilson Boulevard, Arlington, Virginia 22303-1954. There may be a fee           for this service.94

Return to: Technical           Briefs | Section           1 |Section           2 | Section 3 | Notes           | Appendices            | **introduction**

**background                 of the civil process**

**issues                 in the proof of a civil case**

**procedural                 component of a civil case**

**notes**

**appendices**

**print                 version  **

**technical briefs                 index**

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