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                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        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| **Issues in the Proof of a Civil Case**

**Jurisdiction**Civil and criminal prosecutions have the same jurisdictional           basis. That is, for the law to apply, Federal or Indian lands must assertedly           have been impacted by the alleged violator.19           Indian lands include lands of Alaska Native Village corporations and           Native Hawaiian as well as trust lands subject to a restriction on alienation.           Federal lands include those in Puerto Rico, Guam, and the Virgin Islands           or any lands held in fee title by the United States.20           The only exception to tying the violation to Federal or Indian lands           is when an otherwise protected item is obtained in violation of a State           or local law and then transported in interstate commerce.21
Any person who commits a prohibited act on the lands           under the jurisdiction of ARPA is liable under the law. Person is defined           as "an individual, corporation, partnership, trust, institution, association,           or any other private entity or any officer, employee, agent, department,           or instrumentality of the United States, of any Indian tribe, or of           any State or political subdivision thereof."22           The description of person is important to note in the context of a potential           civil action because the type of "person" will more often be broadly           construed than in the typical criminal case. For example, a corporation           that is not charged in a criminal ARPA indictment nonetheless may find           itself facing civil ARPA charges. The reason for the difference may           be found in the intent exhibited by the violator. Intent is discussed           below. 

**Identification**In all cases, the "person" to be held accountable must           be identified. This may be a direct identification, as in a criminal           case, where the violator is observed at the scene. In a civil case the           alleged violator may be identified as the "person" responsible for the           care and control of a site such as the private contractor who allows           a protected area to be bulldozed. The alleged violator also may be a           business that allowed equipment to be rented if the firm knew or had           reason to know the use planned for the equipment (see intent).           More than one person may be held responsible, although each may have           had a different level of involvement. Directors of corporations and           even government employees are not immune from civil liability. 

**Protection of Archeological           Resources**Under ARPA the protected items are the same in both civil           and criminal prosecutions.23           Archeological resources are those material remains of past *human*           life where there is sufficient material remaining to extract scientific           data.24           The ability to gain information about past human life from the material           remains is referenced in the law as "archeological interest." The items           also must be over 100 years old. 

Expressly excepted from the protection of ARPA is the           collection of arrowheads found on the surface of the ground.25           Although technically protected, as a practical matter "arrowhead" includes           any object that would appear to the common person to be an arrowhead           even if it is actually a spear point or a scraper. To be protected the           stone point must be totally subsurface. Generally, unworked minerals,           rocks, and paleontological (fossil) specimens are not protected by ARPA           unless they have evidence of human interaction.26           However, where these items are found within an archeological site they           are protected if they can render clues to the past human existence.           The proof of this issue will rely on the expert testimony of an archeologist.           Similarly, coins and bullets are not protected unless they are found           in a direct physical relationship with an archeological site, such as           in a battlefield.27

**Authority of a Permit**Where the person holds a valid ARPA or comparable permit           and acts within the permit, there can be no violation.28           Any lawful excavation will be overseen by an individual holding the           permit. Government contracts and government employment status may take           the place of an ARPA permit because they act as authority to undertake           the activity obligated by the contract or within the scope of employment.           Government contracts do not excuse the obligation to act responsibly,           and all government contracts will or should contain ARPA language.29           Government employees and volunteers working with the government do not           need a permit. However, if their actions exceed the scope of the job           they may face civil sanctions. 

ARPA violations may still be perpetrated by the holder           of a permit or government contract where the action taken exceeds the           authority of the document.30           This may occur if unnecessary excavation takes place or if the contractor           or permittee strays from the designated area. 

**Calculating the           Amount of Damage**Civil and criminal archeological site damage calculations           are conducted in the same manner, but the application of the information           varies. Damage calculations in civil actions become the penalty amount,           whereas in criminal actions the amount of damage determines the severity           of the crime, and the damage may be a factor in sentencing. A criminal           defendant may be ordered to pay the damage amount as restitution to           an agency. 

*Quantifying Damages:* The amount of the penalty           is determined by calculating the archeological damage to the area or           the commercial value of the materials and adding either, but not both,           to the cost of restoration and repair of the materials or the area that           was damaged.31           This is another aspect of case preparation that is dependent wholly           upon the archeologist acting as an expert witness. Commercial value           of an object may be determined by the price placed on the object by           the alleged violator, by the going price of similar objects offered           for sale, or by research in collector catalogs. Archeological value           is described in the Uniform Regulations as the cost of scientific data           recovery that would have been attainable prior to the violation in an           area that is adjacent to the violation site, and that is of comparable           size.32           It assumes that the disturbance has created a situation of forced excavation           even though no further data recovery may occur in the near future. It           enables the agency to arrive at a dollar amount of damage even though           the actual loss of a nonrenewable resource is priceless. 

Added to the archeological damage or commercial value           is the cost of restoration and repair. This includes the actual costs           of reconstruction or stabilization of the archeological resource, surface           stabilization, research to carry out stabilization, physical barriers           or protective devices to guard against further disturbance, analysis           of the remaining archeological materials, reinterment of human remains,           curation, and the preparation of reports necessary to do any of the           above activities.33

*Damages as Civil Penalties:* In a civil ARPA case           the damage amount becomes the actual amount that may be assessed to           the person or persons found to be responsible. There is no minimum or           maximum amount. When there are subsequent violations by a person, the           amount of the damages assessed is doubled.34           In no situation may the person be assessed more than double the actual           damage amount. The land manager does have the discretion in the negotiation           of a civil penalty amount prior to an administrative hearing to reduce           the assessed penalty. When the violation is so egregious that the damage           assessment as a sanction is insufficient, then criminal prosecution           may be the more appropriate course of action. The criminal law provides           for incarceration and penalties over and above the actual damage amount.           However, the maximum fine in a criminal action against an individual           is $250,000 and against a corporation is $500,000.35           It is possible for civil penalties to exceed these limitations. 

**Forfeiture**As part of the civil proceeding, the ALJ may order that           archeological resources in the possession of the person and all vehicles           and equipment which were used in the violation be forfeited.36           All items which were forfeited by order of the ALJ and that involved           violations that originated on Indian lands are to be turned over to           the Indian or Indian tribe affected. Where Indian interests are not           affected, the items are forfeited to the United States. Agencies receiving           forfeited vehicles and tools place them into agency use. Native American           human remains are subject to repatriation wherever they are found, and           non-repatriated items are subject to curation under the Federal curation           regulations. 37

**Intent, a Non-Issue           in Actions Based on Negligence**In every criminal action the intent of the defendant           must be proven. The criminal statute will either call for the government           to prove the specific intent of the alleged wrongdoer or show general           intent. That is, the government must show that the defendants actually           knew they were doing wrong and persisted in their actions, or that they           knew what they were doing though they may have had no knowledge of the           law. The ARPA criminal statute is a general intent law.38           In a civil case intent is a not an issue. A person may be liable civilly           even if the person had no knowledge of the prohibited activity if the           actions of the wrongdoers occurred while in the employ of that person           or under that person's supervision. Negligence, which gives rise to           civil liability, is: 
The omission to do something which a reasonable           man, guided by those ordinary considerations which ordinarily regulate           human affairs, would do, or the doing of something which a reasonable           and prudent man would not do.39
Inadvertence, carelessness, thoughtlessness, and inattention           are all negligence. Where there is a duty to act or a contractual obligation           to take action, the failure to act is negligence. Therefore a person           may be negligent due to an action or failure to act. Negligence may           exist even where there is no ill will or no desire that injury occur.           

Civil penalties also may be assessed for any violation           of a permit.40           Intent is not an issue, and the alleged violation may be technical or           inadvertent. In the case of technical violations of a permit, agencies           must proceed cautiously in seeking sanctions. During the passage of           ARPA, Congress expressed concern that penalties not be used to harass           citizens in their normal use of public land.41

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**

**endnotes**

**appendices**

**print                 version  **

**technical briefs                 index**

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