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                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    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| **Published by the DOI Departmental Consulting Archeologist/NPS Archeology Program, National Park Service, Washington, DC, September           1991.**

**Application of ARPA**

Federal and Indian lands are the clear province of ARPA,           and the statute requires four agencies, the Departments of the Interior,           Agriculture, and Defense, and the Tennessee Valley Authority, to provide           uniform regulations for its implementation. Federal agencies also may           adopt supplementary regulations, as long as these are consistent with           the uniform regulations. In addition, the Secretary of the Interior           is charged with reporting to Congress on the Federal archeology program           and activities conducted pursuant to ARPA. This function is completed           by Interior's Departmental Consulting Archeologist (DCA), who receives           staff support from the NPS Archeological Assistance Division. Annually,           Federal agencies cooperate to provide information about their programs           to the DCA, and this includes information related to enforcement of           archeological protection laws.52

 Collection of information about enforcement reflects           only activity at *known* archeological sites. The majority of sites           that probably exist on federally controlled lands have yet to be inventoried           or evaluated. Congress recognized the need to conduct broader archeological           surveys to complement project-specific archeological work by adding           Section 14 to ARPA in 1988. The latest available information indicates           that, overall, Federal agencies estimate that less than 8 percent of           the lands they manage have been investigated for possible archeological           sites. The magnitude of site looting and vandalism is more easily understood           by looking at one area, the "Four Corners" of the Southwest,53           wherein significant percentages of the known archeological sites have           been damaged or destroyed by either casual or unintentional disturbance           or by systematic commercial looting.54
  
Between 1985 and 1987, a total of 1,720 incidents of           archeological looting were reported by Federal agencies. These incidents           resulted in a total of 134 citations, 49 arrests, 57 criminal misdemeanor           convictions under ARPA, 16 felony convictions under ARPA, and 17 civil           penalties under ARPA.55           The largest number of cases actually prosecuted were brought under other           authorities, such as other Federal statutes, State statutes, or agency-specific           regulations.56

Archeological site monitoring throughout the vast Federal           lands areas is difficult, at best.57           In addition to the inadequate number of personnel available for site           patrol, many known sites are virtually undetectable to the untrained           eye, and damage may be undiscovered or unnoticed for long periods of           time. Consequently, timely discoveries of looting have been one problem           for enforcement.58           The 1988 Federal agency information indicates that only 15 percent of           the reported incidents were found in time to issue Citations or perform           an arrest. Also, convictions reported for a given year may be for prosecutions           begun two to five years earlier.59           (See Figure 2) 

Protection strategies on federally controlled lands           have included increased patrols, site monitoring, including surveillance           technology such as hidden alarm mechanisms, and remote sensing, and           interagency cooperation. The result has been a significant increase           in reported ARPA violations, but there has yet to be a correspondingly           dramatic increase in citations, arrests, prosecutions, or convictions           under the statute. It is also evident that actual looting and trafficking           in artifacts far exceeds the number of reported incidents. 

**LOOT Clearinghouse           Cases**

Another source of information about archeological protection           is the Listing Of Outlaw Treachery (LOOT) Clearinghouse, created by           the NPS Archeological Assistance Division. It contains voluntarily submitted           reports for cases of archeological looting and vandalism. Its objectives           are to improve the quality of information available about archeological           protection, increase the effective use of that information for future           enforcement efforts, and expedite the communication of case strategies           and results among the many government agencies. Case-specific information           for the LOOT Clearinghouse is collected on a form that is distributed           to Federal agencies along with the questionnaire requesting data on           Federal archeology programs for the annual report to Congress.60           Respondents are asked to supply information on cases that have been           completed, not about ongoing investigations. Others concerned with archeological           protection, such as attorneys, law enforcement officials, or professional           archeological consultants, also are asked to submit information on completed           cases with which they are familiar. 

Table I compares the           programmatic data gathered as part of the annual report on the Federal           archeology program with the case-specific data reported on individual           LOOT forms. The discrepancy in numbers is a result of the way in which           cases and incidents are grouped, how many LOOT forms document the resolution           of cases, and whether or not cases brought under statutes other than           ARPA are included in either the annual report data or the LOOT data.           

Although the primary purpose of LOOT is to provide "a           central place for those seeking information on prosecutions of looting           and vandalism,"61           it also reflects how often and with what success such prosecutions are           brought under ARPA, either alone or in combination with other statutes.           The LOOT Clearinghouse presently contains information on approximately           100 cases; 23 of these predate the passage of ARPA, while another 24           predate the adoption of ARPA's implementing regulations.62           All but a few entries predate the 1988 amendments to ARPA, which make           it easier for prosecutors to build strong cases. 

A brief discussion of pre-regulations cases may be necessary           to the understanding of ARPA's development, but the effectiveness of           ARPA should be viewed in light of the past five years that these regulations           have been in place. In addition, the 1988 amendments to ARPA provide           three important changes in favor of enforcement. These include: (1)           reduction of the damage amount that establishes the criminal offense           from $5,000 to $500;63           (2) insertion of language into Section 6(a), which makes it a criminal           offense to "...*attempt* to excavate, remove, damage, or otherwise           alter or deface any archaeological resources on federally controlled           lands,"64           and (3) development of a reporting system to document suspected violations           under ARPA.65
**Category****Report                     questionnaire****LOOT                     Clearinghouse**Incidents2,350 (includes cases and incidents)47 (includes cases only)Arrests91 (with or without further action)19 (arrests followed by trial or hearing)Citations256 (with or without further action)7 (citations resulting in trial)Prosecutions119 (no details)50 (disposition documentation incomplete)Convictions  Felony19UnspecifiedMisdemeanor57UnspecifiedCivil Penalty27UnspecifiedOther Statutes190 (no indicaton whether case is pending,                     dropped, settled, or tried) 15**Table                     1.** Archeological Protection Case Data Comparison                                       *Back*
Prosecutions under ARPA prior to regulations were limited           because the statute did not designate civil penalties and also because           of the more narrow definitions of "archaeological resource"           provided in ARPA itself. ARPA *felony* criminal prosecutions now           require four elements of proof:
-  that defendant did knowingly excavate,             remove, damage, alter, or deface an archeological resource, or attempted             to do so;  that said resource was located on public or Indian             lands, or obtained illegally and transported across State lines;that the defendant acted without a permit;66             and
-  that the archeological value or commercial value             and cost of restoration and repair exceeded $500.67     Despite temporary limitations prior to 1984 due to the           need for implementing regulations, seven prosecutions under ARPA were           instituted during the first few months after it became law. The ARPA           count was usually accompanied by a separate count under 18 U.S.C. 1361,           Destruction of Government Property, and the cases were heard either           in U.S. District Court or brought before the appropriate Federal Magistrate.           Representative convictions from these cases include *United States           v. Palmer* (D. Utah, April, 1980), for illegal excavation ($200 fine,           2-year probation, plus $300 fine assessed in lieu of confiscation of           a vehicle); *United States v. Brady* (D. Arizona, November, 1979),           for excavation and damage to a prehistoric site (6 months suspended           sentence; 3-year probation); and *United States v. Shumway*, No.           Cr-80-5 W (D. Utah, November, 1979) for illegal excavation and destruction           of government property ($750 fine; 3 years suspended sentence with 3           years probation).68           In one early case, the defendants even petitioned for prosecution under           ARPA, although their original offense was committed prior to ARPA's           enactment. The plea was granted, and on May 19, 1980, the first sentences           under ARPA's felony provisions were imposed.69    For the period between 1980 and the adoption of ARPA           uniform regulations in 1984 the LOOT clearinghouse documents 19 additional           ARPA prosecutions. The pattern emerging from the remainder of these           pre-regulation cases shows guilty verdicts by either judge/magistrate           or jury for all but one defendant. Prison sentences were usually completely           suspended, though one defendant did serve 6 months imprisonment, with           supervised probation of 2 to 3 years being imposed instead of jail time.           Community service hours were imposed on one defendant. Fines were imposed           in less than 50 percent of the cases. Some of the fines were later declared           uncollectible by the justice Department, and most fines did not reflect           the actual damage amounts presented by the government after damage assessments           and analysis by expert archeologists.70           Lack of ARPA regulations resulted in the only complete acquittal during           this period. In that case,71           defendants were found not guilty of causing $9,000 in damages to a rock           shelter because it was not clearly demonstrated that a rock shelter           is an archeological resource.     ARPA uniform and supplementary regulations have clarified           uncertainties as to the statute's application and have enhanced the           prosecutor's ability to cover a wide range of activities that have resulted           in damage to or destruction of archeological resources. ARPA focuses           on those activities that have been categorized as "predatory or           malicious," which include collecting for personal or commercial           gain and wanton property destruction with or without commercial or personal           motive. Such looting and vandalism occurs: through digging, also commonly           called "pot-hunting", and use of heavy machinery; carving,           chipping, scratching, or other general defacement; surface collection           of artifacts from archeological sites; theft of artifacts from historic           or prehistoric structures; removal of all or portions of a structure;           arson; climbing or walking on resources; breaking artifacts, objects,           or windows; knocking structures over; throwing rocks and other debris           into excavated ruins; or simply handling or touching the structure or           contents of sites.72           It should be emphasized that although surface collection of arrowheads           is not prohibited under ARPA, such activity does violate both the Antiquities           Act (See Section 1), and           the Theft of Government Property statute 18 U.S.C. 641.   The LOOT Clearinghouse contains reports on 60 cases           dating from the time of adoption of ARPA regulations, but only 28 of           those included ARPA counts for prosecution.73           Only 16 defendants were prosecuted solely under ARPA. Those activities           successfully prosecuted included theft of Civil War relics from public           lands, site disturbance--digging or sifting for artifacts--on public           lands, removal of material remains or artifacts from prehistoric Indian           burial sites, looting of historic shipwrecks in national reserve waters,           and trafficking in stolen artifacts illegally obtained from public lands.               Successful prosecutions do not necessarily mean automatic           imposition of appropriate fines or other penalties. LOOT reflects only           $270 collected in civil fines,74           although the number of substantial forfeitures has increased. Items           forfeited usually include all tools and equipment used in search and           removal efforts, digging tools, metal detectors, diving equipment, and           even vehicles such as trucks and boats. Of course, all artifacts in           the possession of the defendants are usually confiscated and, upon conviction,           those items are forfeited. Defendants who actually serve prison time           for ARPA violations continue to be the exception because these sentences           often are suspended by the court or magistrate in favor of supervised           probation and fines. The amounts of criminal fines imposed continue           to be far less than the statutory allowances, with the exception of           one $10,000 fine75           and one $21,000 fine, which was assessed under another statute. Another           notable exception was the assessment of $132,000 in civil penalties           against seven individuals who looted shipwrecks within a National Park           and a National Marine Sanctuary.76           Typically, however, the average fine imposed is under $500, but hours           of community service also are required. Denial of access to public lands           or monuments is imposed on many defendants during their probationary           periods.77  If a general trend can be seen through analysis of the           LOOT Clearinghouse cases thus far, it is clear that ARPA prosecutions           are increasing, but it is less likely that a prosecution is brought           under ARPA alone.78           Federal statutes governing theft and embezzlement of government property           or destruction of government property (See Section           1) usually are included along with the ARPA counts. Attorneys may           be more willing to prosecute exclusively under ARPA where the defendant           has a prior ARPA conviction, whether felony or misdemeanor, since after           one conviction there is no felony threshold with regard to damage to           the archeological resource, and the maximum penalty is now up to five           years imprisonment and/or as much as $250,000 in fines.   There still appears to be a reluctance on the part of           prosecuting attorneys to include the additional civil damages that are           available under ARPA. In one case, although information as to civil           liability was presented in detail to the Grand Jury, the attorneys on           the case elected not to pursue civil prosecution. The defendants escaped           fines of several thousand dollars, paying only the criminal fines and           receiving suspended sentences in favor of 5 years probation with 100           hours of community service to be performed. In another case involving           an underwater site, the attorney elected not to prosecute under ARPA           at all, rationalizing that the court might not consider "diving"           for artifacts to be covered under the statute, which speaks to "digging."           The LOOT report correctly pointed out that such a rationale would not           have prevented prosecution under the National Historic Preservation           Act, (See Section 1), which           makes it a violation to remove artifacts from Federal property in any           manner. Pre-trial agreements or plea bargaining also account for the           dropping of ARPA counts in exchange for guilty pleas to lesser offenses.           There are two possible explanations for this. Perhaps United States           Attorneys continue to have doubts about prosecuting under ARPA because           of possible negative statutory interpretations or questions about whether           the defendants' activities would really satisfy requirements for an           ARPA violation. Alternatively, the potential for violators to receive           significant criminal penalties under ARPA may have been shown to be           a useful element in effective plea bargaining.     A note of caution is appropriate here. Several factors           greatly influence the quality and accuracy of current ARPA enforcement           documentation. A large number of Federal agencies are required to respond           to the annual NPS questionnaire,79           and the accuracy and completeness of those responses vary widely depending           upon the interest and expertise of the person filling out the form.           Cumulative figures are skewed because neither the Department of Transportation           nor the Justice Department provides responses to the questionnaire that           corroborate media reports and other independent information about their           activities relative to ARPA violations80           and prosecutions. The LOOT case forms usually are completed and submitted8l           by Forest Rangers, Park Rangers, and Regional or State Archeologists,           who, in turn, are getting their information from agency patrol reports.           United States Attorneys, newspaper or magazine articles, and, occasionally,           court records.82           The case reports are limited to *known* archeological sites.     Interpretation of what constitutes a "case"           in the LOOT forms also depends upon the informant. LOOT reports include           "incidents" that resulted in the assessment of fines--an occurrence           that requires some sort of formal procedure - yet the report is silent           as to dates of arrest, indictment, hearing, or trial. Conversely, there           are LOOT reports that clearly reflect that a hearing or trial has taken           place, but there is no information as to the forum of that proceeding           or as to whether the penalties assessed were civil or criminal in nature.           Furthermore, even when distinction is made between criminal and civil           penalties, the nature of the criminal punishments--felony or misdemeanor--are           omitted. ARPA violations are often documented, but many of the LOOT           reports do not indicate if the actual charges brought were under ARPA           or another statute or both. When statutes are cited, there are often           omissions as to which counts were dropped during plea bargaining or           which counts are included in the resulting guilty verdicts. Amounts           that are listed as "fines" are sometimes really the value           of items forfeited, and there is confusion among the individual reporters           as to what is meant by the terms "restitution," "fine,"           "forfeiture," and "court costs." On occasion, an           agency will have so many violations that it literally stops counting           and begins generalizing.83  **Conclusion**  The legal background of archeological resources protection           is long, reflecting more than 100 years of public concern to preserve           the material evidence of the nation's past. That concern has changed           over time, and since the late 1970s efforts to integrate research, public           education, and law enforcement to further safeguard these irreplaceable           parts of our heritage have increased. The enactment of ARPA was a major           result. Along with ARPA, there now is a significant body of law available           to those who are responsible for protecting archeological resources           from looting and vandalism. Case histories demonstrate that effective           enforcement has increased, especially when conducted as part of a larger           program of archeological resources stewardship and public awareness.           Often, these cases have inspired the public's interest in its heritage           and fostered a wider understanding of its rich cultural past.     Return to: Technical             Briefs | Section             1 | Section             2 | Section 3 | Endnotes             
**introduction**

**history                 and purpose**

**survey                 of SHPO resources protection activities**

**application                 of ARPA**

**endnotes**

**appendices**

**print                 version  **

**technical briefs                 index**
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