ADMINISTRATIVE CODE

TITLE 17: CONSERVATION
CHAPTER VI: DEPARTMENT OF NATURAL RESOURCES
PART 4190 THE PROTECTION, TREATMENT, AND INVENTORY OF ARCHAEOLOGICAL AND PALEONTOLOGICAL RESOURCES ON PUBLIC LANDS

SUBPART A: PROTECTION OF ARCHAEOLOGICAL AND PALEONTOLOGICAL RESOURCES ON PUBLIC LANDS

Section 4190.101 Purpose of Rules

Section 4190.102 Definitions

Section 4190.103 Coordination With Other Statutes

Section 4190.104 Unexpected Discovery of Archaeological and Paleontological Resources on Public Lands

Section 4190.105 Review of Final Reports

Section 4190.106 Custody and Curation

SUBPART B: PROHIBITED ACTS; PENALTIES

Section 4190.201 Prohibited Acts; Notification of Department

Section 4190.202 Criminal Penalties

Section 4190.203 Civil Penalties

Section 4190.204 Civil Damages

Section 4190.205 Penalty Amounts

Section 4190.206 Rewards

SUBPART C: ILLINOIS INVENTORY OF ARCHAEOLOGICAL AND PALEONTOLOGICAL SITES

Section 4190.301 Purpose of Inventory

Section 4190.302 Inventorying of Archaeological and Paleontological Sites

Section 4190.303 Release of Site Information

SUBPART D: CERTIFICATION OF PROFESSIONAL ARCHAEOLOGISTS AND PALEONTOLOGISTS

Section 4190.401 Purpose

Section 4190.402 Certification Requirements

Section 4190.403 Application Procedures

Section 4190.404 Requirements for Supervisory Archaeological Field Technician Certification

Section 4190.405 Requirements for Supervisory Professional Prehistoric or Historic Field Archaeologist Certification

Section 4190.406 Requirements for Certified Professional Underwater Archaeologist

Section 4190.407 Requirements for a Certified Professional Paleontologist

Section 4190.408 Certification Approval

Section 4190.409 Denial of Certification

Section 4190.410 Suspension or Revocation of Certification

Section 4190.501 Hearings and Appeals

SUBPART E: ILLINOIS PROFESSIONAL ARCHAEOLOGISTS' CODE OF ETHICS AND STANDARDS OF RESEARCH PERFORMANCE

Section 4190.601 Purpose

Section 4190.602 Code of Ethics

Section 4190.603 Standards of Research Performance

SUBPART A: PROTECTION OF ARCHAEOLOGICAL AND PALEONTOLOGICAL RESOURCES ON PUBLIC LANDS

TITLE 17: CONSERVATION
CHAPTER VI: DEPARTMENT OF NATURAL RESOURCES
PART 4190 THE PROTECTION, TREATMENT, AND INVENTORY OF ARCHAEOLOGICAL AND PALEONTOLOGICAL RESOURCES ON PUBLIC LANDS
SECTION 4190.101 PURPOSE OF RULES

Section 4190.101 Purpose of Rules

This Part implements the provisions and intent of the Archeological and Paleontological Resources Protection Act [20 ILCS 3435]. The State reserves to itself the exclusive right to control archaeological and significant paleontological resources on public lands in order to protect and preserve scientific and cultural information, artifacts, and materials. As part of that process, this Part mandates the maintenance of a State site file containing all known archaeological and significant paleontological resource locations and set standards for professional archaeologists and paleontologists working on public lands within the State of Illinois. Furthermore, it is the purpose of this Part to encourage the preservation and protection of archaeological and paleontological resources on both private and public lands and to discourage their exploitation and destruction by vandalism, looting, commercial development, and construction. Publicly-owned resources should be considered as scientific and educational preserves that are held in trust for future generations and will be given the highest level of preservation and protection from both planned and unplanned disturbances. This Part is not intended to discourage collection of common invertebrate and/or plant fossils by educational groups, the scientific community, and the public where not otherwise prohibited. Invertebrate fossils are very common in the rocks of Illinois. This Part is intended for archaeological resources, significant paleontological resources, and extremely significant invertebrate and plant fossil localities on public lands.

Section 4190.102 Definitions

"Act" means 20 ILCS 3435, the Archeological and Paleontological Resources Protection Act.

"Adequate historical documentation" is information verifiable through at least two of the following types of independent sources: public records, deeds, maps, and other written and oral sources.

"Agency Archaeologist" means an archaeologist who is certified at Level III under Section 4190.405(d)(3) and who is head of the Department's Agency archaeology program.

"Archaeological resource" means any significant material remains or localities of past human life or activities on public land including, but not limited to, artifacts, historic and prehistoric human skeletal remains, mounds, earthworks, shipwrecks, forts, village sites, or mines. Coins, bullets and unworked minerals and rocks shall not be considered archaeological resources for purposes of the Act and this Part unless found in a direct physical relationship with archaeological resources as defined in this Section.

"Attorney General" means the Attorney General of the State of Illinois.

"Certified professional archaeologist" means an archaeologist certified by the Department as described in Subpart D of this Part.

"Certified professional paleontologist" means a paleontologist certified by the Agency as meeting the requirements under Subpart D of this Part.

"Department" means the Department of Natural Resources

"Director" means the Director of the Department.

"Disturb" includes defacing, mutilating, injuring, exposing, removing, destroying, desecrating or molesting in any way. It does not include surface collecting of aerially exposed paleontological resources or removal of common invertebrate fossils with a small hand tool, such as a rock hammer.

"Field investigation" means the study by a certified archaeologist of archaeological resources or by a certified paleontologist of paleontological resources at any land or water location by means of surveying, sampling, excavating, or removing subsurface objects or going on a site with that intent.

"Final report" is the documentation of field work and analysis of the materials recovered and the physical context in which they were present followed by the interpretation of the site.

"Grave artifacts" means all relics, specimens, or objects of a historical, prehistorical, cultural, archaeological or anthropological nature of human manufacture or use which may be found above or below the surface of the earth and which were associated with human skeletal remains in any unregistered grave.

"Grave markers" are any tombs, monuments, stones, ornaments, mounds, or other items of human manufacture that is associated with an unregistered grave.

"Historic significance" means that the Director has determined that the archaeological resource has yielded or is likely to yield information concerning past patterns of human settlement, or artifacts or information concerning cultures in Illinois of more than 50 years ago.

"Human skeletal remains" or "human remains" means any part of the body of a deceased person in any stage of decomposition in a context indicating substantial evidence for an intentional or unintentional burial; or a disarticulated or articulated skeleton.

"Illinois Inventory of Archaeological and Paleontological Sites" shall be as described in Subpart C of this Part.

"Inventory" means the Illinois Inventory of Archaeological and Paleontological Sites as described in Subpart C of this Part.

"Material remains of past human life or activities" refers to any physical evidence of human habitation, occupation, use or activity. Such items of evidence include, but are not limited to:

surface, subsurface, or submerged structures (a specific example includes, but is not limited to, shipwrecks),

shelters, facilities (specific examples include, but are not limited to, forts and mines),

features (specific examples include, but are not limited to: domestic structures, human-made mounds, earthworks, canals, reservoirs, horticultural garden areas, rock alignments, cairns, middens, kilns, and post molds),

surface, subsurface, or submerged concentrations or scatters of artifacts,

whole or fragmentary tools, implements, containers, weapon projectiles, clothing, and ornaments (specific examples of these include, but are not limited to: pottery and other ceramics, basketry, cordage, weavings, coins, bullets, bottles and other glassware, flaked stone, bone, metal, wood, hide, feathers, and pigments),

by-products of manufacture or use of human-made or natural materials, organic waste (specific examples include, but are not limited to: vegetal and animal remains, coprolites),

rock carvings, rock paintings, intaglios, and other works of artistic or symbolic representation,

rockshelters or caves containing any of the foregoing materials,

the physical site or location of any of the foregoing,

any portion or piece of any of the foregoing.

"Material remains of past life or traces" refers to any physical parts of plants or animals, other than humans, and evidence for the existence of past life. Such items of evidence include, but are not limited to:

complete or partial specimens of bones, teeth, and other body parts including, but not limited to, feathers, scales, and cuticles of vertebrate animals,

complete or partial specimens of skeletons, both organic and inorganic, including, but not limited to, chitin, cuticle, mineral constituents such as calcite and aragonite of shells, and other body parts of invertebrate animals,

complete and partial specimens of plant parts including, but not limited to, leaves, stems, flowers, spores, pollen, cuticles, fruiting bodies (e.g., seeds), roots, rhizomes, and tubers; and

complete and partial specimens of traces of life including, but not limited to, casts, molds, impressions, carbonizations, tracks, and stains.

"Mid-continental Region" means that part of the United States that falls within the states of Wisconsin, Michigan, Illinois, Indiana, Ohio, Kentucky, Tennessee, Georgia, Alabama, Mississippi, Louisiana, Arkansas, Missouri, eastern Iowa and southeastern Minnesota.

"Museum" means the Illinois State Museum.

"Museum Director" means the Director of the Illinois State Museum.

"Paleontological resource" means any significant fossil or material remains of past life, other than human, on public lands including traces or impressions of animals or plants that occur as part of the geological record that are known and are included in the files maintained by the Illinois State Museum under Section 10 of the Act.

"Permit" means a permit issued by the Department pursuant to the Act and this Part.

"Person" means any natural individual, firm, trust, estate, partnership, association, joint stock company, joint venture, corporation or a receiver, trustee, guardian or other representative appointed by order of the court, the federal and State governments, including State universities created by statute, or any city, town, county or other political subdivision of this State.

"Primary rock body or sedimentary unit" means the rocks or sediments that occur in the location of their original deposition.

"Public land" means any land owned, but does not include land leased as lessee, by the State of Illinois or its agencies, a State university created by statute, a municipality or a unit of local government.

"Significant material remains or localities" means any archaeological resource that:

is listed in the National Register of Historic Places;

has been formally determined by the Director to be eligible for listing in the National Register of Historic Places as defined in the National Historic Preservation Act (16 U.S.C. 470) and its regulations;

has been nominated by the Director and the Illinois Historic Sites Advisory Council for listing in the National Register of Historic Places;

meets one or more of the criteria for listing in the National Register of Historic Places (36 CFR 60), as determined by the Director or is listed in the Illinois Register of Historic Places.

"Site" means the physical location of archaeological or paleontological resources.

"Unregistered grave" means any grave or location (including any unmarked burial site) where a human body has been buried or deposited, that is over 100 years old, and that is not in a cemetery registered with the State Comptroller under the Cemetery Care Act [760 ILCS 100].

Section 4190.103 Coordination With Other Statutes

Exceptions to the need to acquire a permit do not constitute a release from ownership, curation, or other Sections of the Act or other Parts of this Chapter. However, archeologists or paleontologists conducting projects under other laws as listed in Section 8 of the Act or in this Section below, do not need to meet the certification requirements or need a permit under this Act. Persons conducting projects under those laws or exceptions shall meet the authorization and professional qualification requirements of those laws. The following is a list of those other laws and activities:

a) Work is not required to be conducted by a certified archaeologist or paleontologist, or under a permit issued pursuant to the Act or this Part, if:

1) the proposed work consists of archaeological survey and/or data recovery undertaken and agreed to in writing by the Department pursuant to Section 106 of the National Historic Preservation Act (16 U.S.C. 470) or the activities are permitted pursuant to the Federal Surface Mining Control and Reclamation Act of 1977 (30 U.S.C.A. 1201 et seq.) or the rules and regulations promulgated thereunder or under any law, rule or regulation adopted by the State of Illinois thereunder.

2) the proposed work consists of archaeological survey and/or data recovery undertaken and agreed to in writing by the Department pursuant to the Illinois State Agency Historic Resources Preservation Act [20 ILCS 3420]. However, when a State agency's monies are used to support an archaeological research project, a permit and these services of a certified archaeologist or paleontologist shall be required if there is no impending or planned development or construction.

3) the person conducting the activities is conducting activities under other permits, leases, licenses, or entitlements for use, when those activities are exclusively for purposes other than the excavation and/or removal of archaeological or paleontological resources. However, if during the course of such work, archaeological or paleontological resources are discovered, the provisions of Section 4190.104 of this Part are applicable.

4) the person is collecting on private lands.

5) the person is visiting, diving on, viewing, electronically recording, photographing, mapping, drawing, or otherwise recording archaeological or paleontological resources provided that such activities do not result in the disturbance of or unauthorized collection of these resources.

6) the work consists of surface collecting of aerially exposed paleontological resources that are not covered by the primary rock body or sedimentary unit that has preserved the paleontological resources or removal of common invertebrate fossils with a small hand tool, such as a rock hammer, unless otherwise prohibited. Items collected under this exemption are not subject to claim by the State.

b) No permit is required for the research, service, or educational activities of certified paleontologists or licensed geologists, including persons under their supervision, employed by the Illinois State Geological Survey and Illinois State Museum of the Illinois Department of Natural Resources. Both the Museum and State Geological Survey are legislatively mandated to conduct geological research and educational programs.

c) No permit is required for the research, service, or educational activities of certified archaeologists employed at the Museum when conducting non-ground disturbing Phase I archaeological surveys on public lands. However, they shall comply with the notification and documentation requirements in Sections 6(c) and 8(a) of the Act.

d) Investigations by Department Personnel. No permit is required for any certified archeologist carrying out official Department duties under the Act or this Part. However, the Department shall comply with the notification and documentation requirements in Section 6(c) of the Act.

e) No Release from Requirements or Restrictions Under Other Laws. Under federal and other Illinois statutory, regulatory, or administrative authorities governing the use of public lands, authorizations may be required for activities which do not require a permit from the Department. Any person wishing to conduct on public lands any activities related to, but believed to fall outside the scope of, the Act and this Part should consult the Department or the unit of government believed to have authority with respect to such activity for the purpose of determining whether any authorization is required. No release from the need to acquire permission of any public land managing agency to conduct work on their land is granted by any authorization or exemption under the Act or this Part.

f) If the proposed work consists of archeological survey, testing or excavations undertaken and agreed to in writing by the Department pursuant to the Human Skeletal Remains Protection Act [20 ILCS 3440], certification may be required.

Section 4190.104 Unexpected Discovery of Archaeological and Paleontological Resources on Public Lands

a) Notification of Department. Any person knowing or having reasonable grounds to believe that archaeological or paleontological resources protected by the Act are being disturbed, destroyed, defaced, mutilated, removed, excavated or exposed shall, as soon as possible, notify the Director and a local representative of the responsible land-managing agency.

b) Discovery of an Unregistered Grave Over 100 Years Old or an Unmarked Burial Site. Pursuant to the Human Skeletal Remains Protection Act [20 ILCS 3440], any activity that has disturbed or may disturb burial remains, a grave, any grave marker (including a mound), or any grave artifacts shall cease immediately upon discovery. The land managing agency and the Illinois Department of Natural Resources shall be contacted immediately. If human skeletal remains have been disturbed or discovered, the county coroner must be notified within 48 hours. If the coroner determines the site is not a crime scene, then jurisdiction shall be under the Human Skeletal Remains Protection Act and under 17 Ill. Adm. Code 4170, as applicable. No activity that affects the location of burial remains, a grave, a grave marker (including a mound), or grave artifacts may resume without authorization.

c) Notification of Owner of Record of Statutory Requirements.

1) If a disturbance or impending disturbance of archaeological or paleontological resources is reported to the Director by a person other than the owner of record, the Director shall notify the owner of record of the site, by telephone or other telecommunications media if possible and by letter with delivery receipt service, of the reported or impending disturbance of the archaeological and paleontological resources, the requirement that a permit be obtained prior to such disturbance and the liabilities and penalties upon the owner of record for any violation of the Act.

2) In instances where the disturbance or impending disturbance of an archaeological or paleontological site for which specific legal boundaries have not been determined is reported to the Director, the Director may require all activity that may disturb the site to cease until the type of resources and specific legal boundaries can be determined in a method approved by the Director. Such activities shall not resume unless specifically authorized by the Director.

Section 4190.105 Review of Final Reports

The Department shall review final reports within 45 days after receiving a complete draft. If the Department does not find the report acceptable, it shall provide specific comments concerning any problem. The Department shall receive at least two copies of the final report. The land owning agency will receive at least one copy of the final report. The Museum will receive at least one copy of the final report, which will be among the materials provided to the Museum for curation. Final reports shall include the following:

a) Transmittal Statement that will substantiate:

1) The land on which the excavation occurred has been returned to its normal use or the intended use that was interrupted by the discovery and/or excavations of the archeological or paleontological resources.

2) Written evidence of the transfer of any excavated or removed archaeological or paleontological resources and project records to the Museum if that has already been accomplished, or a statement that final disposition at the Museum will be accomplished within 30 days.

b) The certified archeologist or paleontologist shall provide, at a minimum, the following information in the final report:

1) Title Page. Each report shall have a title page that specifies the author, principal investigator, organization or association, contractor and source of funds, source of authorizations, title of report including the nature and location of work, and the month and year the report was completed.

2) Abstract. The abstract shall include a clear summary indicating the purposes, location, results of field work and laboratory analysis, the new knowledge gained and any recommendations of the report. The Abstract shall include enough information that it could be quoted as a summary statement in preparing a statement regarding actions in compliance with the Act.

3) Table of Contents. This is necessary only in the case of reports exceeding ten text pages in length. The table of contents shall provide page locations for the various report subdivisions as well as for figures, tables, references cited, and appendices.

4) Introduction. The introduction shall briefly summarize the purpose of the investigations and the scope of work (contract requirements), including any agencies involved, dates of work, principal personnel, and land owners.

5) Physical Setting as it Relates to an Understanding of the Nature of the Site and Resources. Information shall be presented on the geomorphology, soils, vegetation, current land use, potential for site preservation, and any other pertinent environmental data. A map showing the location of the project in the State shall be included as well as a United States Geological Survey (USGS) map and any additional maps that clarify site and project location and setting.

6) Context. A summary of any previous archeological, paleontological and/or historical record of the site shall be provided. The focus shall be on providing information that would aid in understanding and evaluating the importance of the sites in the study. This section shall include a description of the information sources consulted including published materials, site files, unpublished manuscripts, and informants.

7) Methods. An explicit statement of procedures used to collect and evaluate the site, field and laboratory data, and rationale for the particular procedures utilized shall be included in the report. The overall field strategy and the techniques used in the survey and/or excavation shall be specified. Maps showing the areas actually covered by on-the-ground inspection shall be included. If more than one technique was used in the work, maps or text shall specify the techniques used in each subarea. Each map shall be visually clear and include a scale, North arrow, caption and key to symbols used. All typologies utilized and underlying assumptions governing methods must be clearly stated and explained. The techniques and equipment used in collecting and analyzing artifacts and associated data shall be specified (e.g., types of preservatives and adhesives used in stabilizing the material, types of instruments used in making measurements, statistical techniques employed, etc.).

8) Results and Synthesis. The results of field and/or laboratory investigations shall be presented (along with supportive data) and a synthesis of the work given. This section shall include site descriptions of all sites surveyed and excavated. The descriptions shall include, if applicable, a complete discussion of the site's historical, paleontological or archeological context. All research questions posed in the scope-of-work shall be addressed with the collected data and the contribution of this work to scientific advancement discussed. For archeological resources, the synthesis shall evaluate the sites, associated artifact assemblages, cultural/historical context of all of the former in relationship to the overall scope of the project and in relationship to pertinent cultural, historical, or archeological questions.

9) Supporting Data. Supporting data for the report shall include lists and descriptions of material remains, illustrations of artifacts, fossils, grave features and pertinent human skeletal parts, photographs of the sites and the project area, and figures of excavation details (profiles, plan maps, etc.). Inventories and long lists may be put in an appendix.

10) Recommendations. Recommendations regarding the preservation and/or the need for future work at the sites must be given. A discussion of the further research potential or archeological or paleontological materials recovered in excavations must be given.

11) Supplementary Statements. The location where the materials and records have been deposited and are being or will be curated must be specified in the report. The nature of the records must also be noted.

12) Bibliography. References to files, published and unpublished literature, and oral reports mentioned in the report must be included in the bibliography.

13) Appendices. A complete copy of all official correspondence with the Illinois Department of Natural Resources and the land owning or managing agency must be included. Items such as artifact inventories may be included in appendices at the discretion of the report writer.

Section 4190.106 Custody and Curation

a) Title to Archaeological and Paleontological Resources. Archaeological and paleontological resources excavated or removed from public lands shall remain the property of the State of Illinois (see 20 ILCS 3435/1). All artifacts, implements and material found or discovered by illegal disturbances or authorized or permitted field investigations, explorations, or excavations shall be delivered to representatives of the Museum within 30 days after the Agency acceptance of the final report unless arranged otherwise with the Museum.

b) Archaeological and Paleontological Reports and Field Records. All original field records, notes, photographs and other project documentation shall be deposited at the Museum within 30 days after the Department acceptance of the final report unless arranged otherwise with the Museum.

c) Conservation. All archeological materials collected under this Part will be maintained in appropriate conditions as defined in 36 CFR 79, "Curation of Federally-Owned and Administered Archeological Collections" (1990). Paleontological materials collected under this Part will be curated following the same general standards established above for archeological collections.

SUBPART B: PROHIBITED ACTS; PENALTIES

Section 4190.201 Prohibited Acts; Notification of Department

a) Discovery of Archaeological or Paleontological Resources. Any person who discovers archaeological or paleontological resources or is aware of the illegal disturbance of such protected resources on public lands shall immediately notify the Director.

b) No Disturbance Permitted. It is unlawful for any person, either by himself or through an agent, to knowingly disturb archaeological or paleontological resources on public land, except as authorized under the Act and this Part.

c) No Sale or Other Transfer of Archaeological or Paleontological Resources. It is unlawful for any person, either by himself or through an agent, to sell, purchase, exchange, transport, possess, or receive any archaeological or paleontological resources protected by this Act with the knowledge that they have been collected or excavated in violation of this Act.

Section 4190.202 Criminal Penalties

a) Class A Misdemeanor – Violations. Any violation of Section 3 of the Act not involving the disturbance of human skeletal remains is a Class A misdemeanor. A violator is subject to imprisonment for not more than one year and a fine not in excess of $5,000. Any subsequent violation is a Class 4 felony. Each disturbance that takes place at an archaeological or paleontological site constitutes a separate offense. (See Section 5 of the Act.)

b) Class 4 Felony – Violations. Any violation of Section 3 of the Act which involves the disturbance of human skeletal remains is a Class 4 felony and the violator shall be subject to imprisonment and a fine. Each disturbance of an unregistered grave, a grave marker or grave artifacts constitutes a separate offense. (See Section 5 of the Act.)

Section 4190.203 Civil Penalties

a) Authority to Assess Civil Penalty. The Department may assess a civil penalty against any person who has violated any prohibition contained in the Act, any regulation promulgated by the Department pursuant to the Act or any term or condition included in a permit. Section 5 of the Act also allows civil damages to be assessed by the land managing agency.

b) Notice of Violation. The Department shall serve a notice of violation upon any person believed to be subject to a civil penalty, either in person or by registered or certified mail (return receipt requested). The Agency shall include in the notice:

1) A concise statement of the facts believed to show a violation;

2) A specific reference to the provisions of the Act or this Part allegedly violated;

3) The amount of penalty proposed to be assessed, including any initial proposal to mitigate or remit where appropriate, or a statement that notice of a proposed penalty amount will be served after the damages associated with the alleged violation have been ascertained;

4) Notification of the right to file a petition for relief pursuant to subsection (d) of this Section. The notice shall also inform the person of the right to seek judicial review of any final administrative decision assessing a civil penalty.

c) Alternatives in Response to Notice of Violations. The person served with a notice of violation shall have 30 calendar days from the date of its service (or the date of service of a proposed penalty amount, if later) in which to respond. During this time the person may:

1) Seek informal discussions with the Agency;

2) File a petition for relief in accordance with subsection (d) of this Section;

3) Take no action and await the Department's notice of assessment;

4) Accept in writing, or by payment of the proposed penalty, any mitigation or remission offered in the notice. Acceptance of the proposed penalty or mitigation or remission shall be deemed a waiver of the notice of assessment and of the right to request a hearing under subsection (g) of this Section.

d) Petition for Relief. The person served with a notice of violation may request that no penalty be assessed, or that the amount be reduced, by filing a petition for relief with the Department within 30 calendar days after the date of service of the notice of violation (or of a proposed penalty amount, if later). The petition shall be in writing and signed by the person served with the notice of violation. If the person is a corporation, the petition must be signed by an officer authorized to sign such documents. The petition shall set forth in full the legal or factual basis for the requested relief.

e) Assessment of Penalty.

1) The Department shall assess a civil penalty upon expiration of the period for filing a petition for relief, or upon completion of informal discussions, whichever is later.

2) The Department shall take into consideration all available information, including information provided pursuant to subsections (c) and (d) of this Section or furnished upon further request by the Department.

3) If the facts warrant a conclusion that no violation has occurred, the Department shall so notify the person served with a notice of violation, and no penalty shall be assessed.

4) Where the facts warrant a conclusion that a violation has occurred, the Department shall determine a penalty amount in accordance with Section 5 of the Act and Section 4190.205 of this Part.

f) Notice of Assessment. The Department shall notify the person served with a notice of violation of the penalty amount assessed by serving a written notice of assessment, either in person or by registered or certified mail (return receipt requested). The Department shall include in the notice of assessment:

1) The facts and conclusions from which it was determined that a violation did occur;

2) The basis in Section 4190.205 for determining the penalty amount assessed and/or any offer to mitigate or remit the penalty; and

3) Notification of the right to request a hearing, including the procedures to be followed, and to seek judicial review of any final administrative decision assessing a civil penalty.

g) Hearings.

1) Except where the right to request a hearing is deemed to have been waived as provided in subsection (c)(4), the person served with a notice of assessment may file a written request for a hearing with the Department. The person shall enclose with the request for hearing a copy of the notice of assessment, and shall deliver the request as specified in the notice of assessment, personally or by registered or certified mail (return receipt requested).

2) A person served with notice must deliver a written request for a hearing within 30 days after the date of service of the notice of assessment, or shall be deemed to have waived the right to a hearing.

h) Final Administrative Decision.

1) When the person served with a notice of violation has accepted the penalty pursuant to subsection (c)(4) of this Section, the notice of violation shall constitute the final administrative decision;

2) When the person served with a notice of assessment has not filed a timely request for a hearing pursuant to subsection (g)(1) of this Section, the notice of assessment shall constitute the final administrative decision;

3) When the person served with a notice of assessment has filed a timely request for a hearing pursuant to subsection (g)(1) of this Section, the decision resulting from the hearing or any applicable administrative appeal therefrom shall constitute the final administrative decision.

i) Payment of Penalty.

1) The person assessed a civil penalty shall have 30 calendar days from the date of issuance of the final administrative decision in which to make full payment of the penalty assessed, unless a timely request for appeal has been filed.

2) Upon failure to pay the penalty, the Department Director may request the Attorney General to institute a civil action to collect the penalty in a court for any district in which the person assessed a civil penalty is found, resides, or transacts business. Where the Department is not represented by the Attorney General, a civil action may be initiated by the State's Attorney of the county in which the violation occurred.

j) Other Remedies Not Waived. Assessment of a penalty under this Section shall not be deemed a waiver of the right to pursue other available legal or administrative remedies.

k) Injunctive Remedy. The Agency may seek injunction or other relief as the Department deems appropriate for any violation of the Act or this Part.

Section 4190.204 Civil Damages

a) Generally. Persons convicted of a violation of Section 3 of the Act shall also be liable for civil damages to be assessed by the Department. Civil damages may include:

1) forfeiture of any and all equipment used in disturbing the protected archaeological or paleontological resources;

2) any and all costs incurred in cleaning, restoring, analyzing, accessioning and curating the recovered materials;

3) any and all costs associated with restoring the land to its original contour or the site to its original condition;

4) the archaeological or paleontological value, the cost of restoration and repair, and any and all costs associated with recovery of data, and analyzing, publishing, accessioning and curating materials when the prohibited activity is so extensive as to preclude the restoration of the site;

5) any and all costs associated with the reinterment of human skeletal remains;

6) any and all costs associated with the determination and collection of the civil damages. (See Section 5(a) through (e) of the Act.)

b) Deposit of Penalty Amounts to Designated Funds. When civil damages are recovered through the Attorney General, the proceeds shall be deposited into the Historic Sites Fund. When civil damages are recovered through the State's Attorney, the proceeds shall be deposited into the county funds designated by the county board. (See Section 5 of the Act.)

c) Archaeological or Paleontological Value. For purposes of this Part, the archaeological or paleontological value of any material remains of past human life or activities, human remains, grave artifacts or grave markers, or the material remains of past life or traces involved in a violation of the prohibitions in the Act, this Part or conditions of a permit shall be the value of the information associated with the archaeological or paleontological resource. This value shall be appraised in terms of the costs of the retrieval of the scientific information which would have been obtainable prior to the violation. These costs may include, but need not be limited to, the cost of preparing a research design, conducting field work, carrying out laboratory analysis, and preparing reports as would be necessary to realize the information potential.

d) Cost of Restoration and Repair. For purposes of this Part, the cost of restoration and repair of archaeological or paleontological resources, human remains, grave artifacts or grave markers damaged as a result of a violation of prohibitions or conditions pursuant to the Act or this Part, shall be the sum of the costs already incurred for emergency restoration or repair work, plus those costs projected to be necessary to complete restoration and repair, which may include, but need not be limited to, the costs of the following:

1) Reconstruction of the archaeological or paleontological materials, human remains, grave artifacts or grave markers;

2) Stabilization and conservation of the archaeological or paleontological materials, human remains, grave artifacts or grave markers;

3) Ground contour reconstruction and surface stabilization;

4) Research necessary to carry out reconstruction or stabilization;

5) Physical barriers or other protective devices necessitated by the disturbance of archaeological or paleontological resources, human remains, grave artifacts or grave markers to protect them from further disturbance;

6) Examination and analysis of the archaeological or paleontological resources, human remains, grave artifacts or grave markers, including recording remaining archaeological or paleontological information, where necessitated by disturbance, in order to salvage remaining values which cannot be otherwise conserved;

7) Reinterment of human remains in accordance with religious or tribal custom and State or local tribal law, where appropriate as determined by the Agency; and

8) Preparation of reports relating to any of the above activities.

Section 4190.205 Penalty Amounts

a) Maximum Amounts. The maximum penalty for any misdemeanor violation of Section 3 of the Act is $5,000 per disturbance. The maximum penalty for any felony violation of Section 3 is $10,000 per disturbance.

b) Determination of Penalty Amount, Mitigation, and Remission. The Department may assess a penalty amount less than the maximum amount of penalty and may offer to mitigate or remit the penalty.

1) Determination of the penalty amount and/or a proposal to mitigate or remit the penalty may be based upon any of the following factors:

A) Agreement by the person being assessed a civil penalty to return to the State all archaeological or paleontological resources removed;

B) Agreement by the person being assessed a civil penalty to assist the Director in activity to preserve, restore, or otherwise contribute to the protection and study of archaeological or paleontological resources in Illinois;

C) Agreement by the person being assessed a civil penalty to provide information which will assist in the detection, prevention, or prosecution of violations of the Act;

D) Demonstration of hardship or inability to pay, provided that this factor shall only be considered when the person being assessed a civil penalty has not been found to have previously violated the Act or regulations promulgated thereunder;

E) Determination that the person being assessed a civil penalty did not willfully commit the violation;

F) Determination that the proposed penalty would constitute excessive punishment under the circumstances;

G) Determination of other mitigating circumstances appropriate to consideration in reaching a fair and expeditious assessment.

2) When the penalty is for a violation which may have had an effect on a known religious site on public lands, the Director should consult with and consider the interest of the specific affected group prior to proposing to mitigate or remit the penalty.

Section 4190.206 Rewards

Section 3.2 of the Act provides for rewards of up to $2,000 to be made to persons who furnish information which leads to arrest and conviction for a criminal violation. The Director may certify to the State Comptroller that a person is eligible to receive payment. Officers and employees of federal, tribal, State, or local government who furnish information or render service in the performance of their official duties, and persons who have provided information under Section 4190.205(b)(1)(C), shall not be certified eligible to receive payment of rewards.

SUBPART C: ILLINOIS INVENTORY OF ARCHAEOLOGICAL AND PALEONTOLOGICAL SITES

Section 4190.301 Purpose of Inventory

In order to ensure that the scientific knowledge about prehistoric, historic, and submerged archaeological sites and paleontological sites with their associated historic, cultural, archaeological, and paleontological resources are not willfully or unnecessarily destroyed or lost, and to preserve information with respect to their location and condition, the Museum shall maintain an Illinois Inventory of Archaeological and Paleontological Sites, and the Department shall cooperate in the development and maintenance of the inventory, as required in Section 10 of the Act. Such site information shall also include site data generated pursuant to the Rules for the Protection of Human Remains, Grave Artifacts, Grave Markers and Unregistered Graves (see 17 Ill. Adm. Code 4170) when the site contains human remains, graves, grave markers (including mounds) or grave artifacts. The Inventory shall indicate the accurate location of each known archaeological or paleontological site.

Section 4190.302 Inventorying of Archaeological and Paleontological Sites

a) The Inventory Form shall contain the following information, to the extent known:

1) The name and address of the individual completing the form.

2) Documentation of the site.

3) Photographic prints of each site with burials, including a black and white photograph of each individual mound, to document its current condition. The photograph shall be either an original print at least 5 inches by 7 inches or an original contact sheet and the negatives.

4) A township, range and section description and Universal Transverse Meridian coordinates of the site's location, including sufficient buffer land necessary to protect the site until its specific legal boundaries are defined.

5) A sketch showing the known area of the site and any salient observable features.

6) A copy of the pertinent United States Geological Survey 7.5 minute topographic quadrangle map noting the location of the site.

7) References to previous recorded information on the site.

b) Documentation of a Site. Documentation of a site may include, but is not limited to, the following:

1) Physical evidence, as demonstrated by archaeological, paleontological or written historical reports showing the presence of archaeological or paleontological resources, or human skeletal remains, graves or grave markers;

2) Adequate historical documentation;

3) Oral depositions or affidavits; or

4) Any additional information requested by the Department.

Section 4190.303 Release of Site Information

Following Section 10 of the Act, information contained in the Illinois Inventory of Archaeological and Paleontological Sites may only be released in accordance with the following:

a) Professional archaeologists or paleontologists may have access to site and location information for their respective fields as needed for their specific project by request to the Department Archaeologist responsible for the Inventory.

b) Governmental bodies may have access to information and location of sites located within lands that they own or manage for the purposes of protecting, preserving and managing those archaeological and paleontological resources or as needed for specific planning or management needs by written request to the Agency Archaeologist responsible for the Inventory. These governmental bodies shall not release this information to any other person or organization without the authorization of the Department.

c) Release of general information (not including site location and ownership) to the public about archaeological or paleontological resource sites listed in the Illinois Inventory of Archaeological and Paleontological Sites shall generally be available, but the Department shall not release such information when it is believed that such a release may endanger the resource.

d) Site location information and site ownership (when it would help indicate site location) shall not be released. Information about the character of a site that would help indicate site location shall not be released.

e) Release of information under this Section shall be subject to an applicable fee for duplication and processing. The fee schedule shall be in accordance with Department rule (2 Ill. Adm. Code 1951.Appendix B).

SUBPART D: CERTIFICATION OF PROFESSIONAL ARCHAEOLOGISTS AND PALEONTOLOGISTS

Section 4190.401 Purpose

This Subpart establishes minimum standards of education and experience for archaeologists and paleontologists to qualify as professionals for the purpose of conducting activities on public land under the Act and this Part. It is the purpose of this Part to ensure that individuals who have the proper education, training, and experience are engaged in the investigation of the State's limited archaeological and paleontological resources.

Section 4190.402 Certification Requirements

All supervisory personnel carrying out paleontological activities or archaeological field investigations pursuant to this Part must be certified by the Illinois Department of Natural Resources. Persons need only meet the certification requirements for the type of site and level of work (as applicable) for the specific project they intend to conduct.

a) All field personnel who perform any supervisory archaeological field activities covered under this Part must be certified, at a minimum, as supervisory archaeological field technicians. Persons certified only at this level shall not be the persons in charge of a project or of the field work. Persons certified at this level may assist in the supervision of field work.

b) Persons responsible for and in charge of archeological field investigations must be certified for the appropriate kind of site and at the appropriate level as follows:

1) Level I (as defined in Section 4190.405(d)(1) of this Part) in order to be qualified to supervise Phase I initial reconnaissance survey and identification-level archeological field investigations, which are projects involving pedestrian survey and minimal subsurface testing such as shovel-testing and coring to provide preliminary data concerning the location, size, density, and periods of occupation of sites.

2) either a Level II prehistoric or Level II historic archeologist depending on the type of site occupation in order to be qualified to supervise Phase II test excavation projects, which are limited scale excavation archeological field investigations involving subsurface testing to evaluate the physical context, age, function, integrity and significance of archeological resources.

3) either a Level III prehistoric or Level III historic archeologist depending on the type of site occupation in order to be qualified to supervise Phase III excavation projects, which are total mitigation data recovery or large-scale complete excavation field projects designed to recover and interpret maximum archeological information from a site area.

c) Persons responsible for and in charge of underwater archaeological field activities must meet the requirements to be certified as a professional underwater archaeologist.

d) Persons responsible for and in charge of State agencies' archaeological compliance and research programs must meet the same qualifications as an Agency Archeologist as defined in Section 4190.102 of this Part.

e) Persons responsible for and in charge of paleontological investigations conducted under the Act or this Part must meet the requirements of Section 4190.407 of this Part.

Section 4190.403 Application Procedures

An individual wishing to apply for certification as a professional archaeologist or paleontologist under this Part shall submit a letter of request indicating the level of certification requested along with appropriate documentation to the Chief Archaeologist, Illinois Department of Natural Resources, Preservation Services Division, One Natural Resources Way Springfield IL 62702. Documentation shall be of sufficient detail to demonstrate the applicant fulfills the requirements or the requested certification level and shall include a copy of a certified university transcript indicating the applicant's fulfillment of the requirements of the appropriate degree. All applicants for archaeological certification shall submit with their application documentation a signed statement indicating that they shall:

a) Abide by the Illinois Professional Archaeologists "Code of Ethics" and "Standards of Research Performance" as presented in Subpart E of this Part.

b) Actively participate in the recording of archaeological resources by submitting new and updated site information regarding their own or their organization's work to the Illinois Inventory of Archaeological and Paleontological Sites and the Illinois Inventory of Burial Sites in a timely manner that at a minimum shall be on a biannual basis.

c) Assist in the protection of archaeological resources by providing information to the Department on any potentially illegal project or activity on public lands that may endanger such resources.

d) Not enter into any contractual or other agreement that prevents them from providing information on archaeological or paleontological resources to the Department.

e) Provide as part of their application documentation a full disclosure of all overdue archaeological reports, associated site forms, and uncurated collections and documentation within the State of Illinois for which the individual has a contractual or legal responsibility to complete and submit. This information shall include the contracting agency/party, project history, report and curation status, and projected plans for completion, including the concurrence of the party for whom the project was done.

Section 4190.404 Requirements for Supervisory Archaeological Field Technician Certification

A State certified professional supervisory archaeological field technician must, at a minimum:

a) have been awarded a bachelor's degree, from an accredited college or university, in archaeology, anthropology, or another germane discipline, including, but not limited to, history, classics or geoarcheology, and:

1) have 16 weeks of supervised field training in time blocks of at least 4 weeks duration. At least half of this experience must be in field investigation excavation (Phase II or Phase III), and

2) have 8 weeks of supervised laboratory analysis or curation experience, which may be accumulated on a part-time basis; or

b) have an unrelated bachelor's degree from an accredited college or university and 12 months of professional archaeological field experience in the Mid-continental Region under the supervision of someone meeting the qualifications of Section 4190.405. At least 4 months of this experience must be in field investigation excavation (Phase II or Phase III).

Section 4190.405 Requirements for Supervisory Professional Prehistoric or Historic Field Archaeologist Certification

In addition to meeting the requirements of Section 4190.404, a State certified supervisory professional prehistoric or historic field archaeologist must meet all of the following:

a) have fulfilled the requirements of either subsection (a)(1) or (a)(2) below:

1) a graduate degree, from an accredited college or university, in archaeology, anthropology, or another germane discipline, including, but not limited to, history, classics or geoarcheology; or

2) fulfilled the requirements of Section 4190.404 as well as having successfully completed an additional 36 months of professional field investigation experience under the direction of persons that the Agency has determined meet the qualifications of Section 4190.405 of this Part, including at least 18 months of field supervisory experience, by December 31, 1999. The individual's 36 months of experience must be within historic archaeology to be certified as a Historic Field Archaeologist or within Mid-continental Region prehistoric archaeology to be certified as a Prehistoric Field Archaeologist.

b) have designed and executed an archaeological study either in prehistoric or historic archaeology as evidenced by an M.A. or M.S. thesis, Ph.D. dissertation, or a report equivalent in scope and quality. It is recognized that in some cases an individual may have prepared several small reports that, cumulatively, are comparable to an M.A. or M.S. thesis. If the applicant's name does not appear on a document she/he authored, a letter verifying the actual authorship must be solicited and submitted from the person, firm, or agency which issued the report. In any case, the reports must indicate substantive analysis based on an explicitly theoretical orientation. A long but purely descriptive report is not considered equivalent.

c) have access to facilities and services or be associated with an organization that provides, as appropriate to the scope of the project, the necessary:

1) office space and furniture;

2) laboratory space, furniture, and equipment for analysis of specimens and data;

3) special facilities such as darkroom, drafting facilities, conservation laboratory, etc.;

4) permanent allocation of space, facilities, and equipment for proper maintenance of collections and records located within the State of Illinois;

5) field equipment such as vehicles, surveying instruments, etc.;

6) research library;

7) administrative and fiscal control services;

8) security system;

9) technical specialists such as photographers, curators, conservators, etc.; and

10) report production services.

Individuals or organizations lacking certain facilities or services may satisfy the requirements through cooperative agreements with other organizations. The archaeologist must furnish a letter detailing access to facilities meeting the above conditions, or if associated with an organization, a letter from an authorized organizational official detailing the applicant's association and indicating the organization's commitment to providing the above conditions.

d) additionally fulfill the requirements of at least one of the following levels:

1) Level I – Phase I Survey Supervision.

A) Mid-continental Region archaeological survey experience including 24 weeks of field experience at a supervisory level;

B) the completion of Phase I archeological reports meeting the Secretary of Interior's "Standards and Guidelines for Archeological Documentation" (48 FR 44734 (1983)) and that have been accepted by the Department; and

C) demonstrated experience in Phase I project administration, implementation of cultural resource law/regulations, fiscal management, and successful project and report completion.

2) Level II – Phase II Testing Excavation Supervision.

A) Mid-continental Region historic or prehistoric archaeological excavation experience including 24 weeks of field experience at a supervisory level;

B) the completion of Phase II test excavation archeological reports meeting the Secretary of Interior's "Standards and Guidelines for Archeological Documentation" (48 FR 44734 (1983)) and that have been accepted by the Department; and

C) demonstrated experience in Phase II project administration, implementation of cultural resource law/regulations, fiscal management, and successful project and report completion.

3) Level III – Phase III Mitigation Excavation Supervision. Meet Level I or Level II requirements, plus:

A) an additional 24 weeks of supervisory-level excavation experience;

B) the completion of Phase III excavation archaeological reports meeting the Secretary of Interior's "Standards and Guidelines for Archeological Documentation" (48 FR 44734 (1983)) and that have been accepted by the Department; and

C) demonstrated experience in Phase III project administration, implementation of cultural resource law/regulations, fiscal management, and successful project and report completion.

Section 4190.406 Requirements for Certified Professional Underwater Archaeologist

At a minimum, a State certified professional underwater archaeologist must:

a) Fulfill the requirements for a certified supervisory archaeological field technician.

b) Have one year of relevant North American freshwater lake and river underwater field and related laboratory experience including at least two weeks of underwater survey techniques, 24 weeks of supervised underwater fieldwork, 20 weeks of supervisory underwater archaeological fieldwork, 8 weeks supervised training in the application of stabilization and conservation methods as they pertain to waterlogged materials, and the design and execution of an underwater archaeological study.

c) Have one year of experience in the operation of remote sensing devices in an underwater environment for the purposes of discovery and evaluation of archaeological resources. Six months of this time must be supervised by a specialist in the use of underwater remote sensing devices.

d) Provide documentation demonstrating diving competency (including current certification by a recognized national diving organization).

e) Demonstrate, through fieldwork and reports, knowledge of both archaeological and archival data pertaining to historic watercraft and shipping on North American lakes and rivers.

Section 4190.407 Requirements for a Certified Professional Paleontologist

At a minimum, a State certified professional paleontologist must be a licensed professional geologist under the auspices of the Professional Geologist Licensing Act [225 ILCS 745] that has a specialization in paleontology or all of the following:

a) have been awarded a graduate degree, from an accredited organization, in paleontology or another germane discipline, including, but not limited to, geology, biology or zoology, with a specialization in paleontology.

b) have designed and executed a paleontological study as evidenced by an M.A. or M.S. thesis, Ph.D. dissertation, or a report equivalent in scope and quality. It is recognized that in some cases an individual may have prepared several small reports that, cumulatively, are comparable to an M.A. or M.S. thesis. If the applicant's name does not appear on a document that a person authored, a letter verifying the actual authorship must be solicited and submitted from the person, firm, or agency that issued the report. In any case the reports must indicate that the person has the ability to conduct the field work with appropriate methods and complete the report as outlined in this Section.

c) have access to facilities and services or be associated with an organization that provides, as appropriate to the scope of the project, the necessary:

1) office space and furniture;

2) laboratory space, furniture, and equipment for analysis of specimens and data;

3) special facilities such as darkroom, drafting facilities, conservation laboratory, etc.;

4) permanent allocation of space, facilities, and equipment for proper maintenance of collections and records located within the State of Illinois;

5) field equipment such as vehicles, surveying instruments, etc.;

6) research library;

7) administrative and fiscal control services;

8) security system;

9) technical specialists such as photographers, curators, conservators, etc.; and

10) report production services.

Individuals or organizations lacking certain facilities or services may satisfy these requirements through cooperative agreements with other organizations. The paleontologist must furnish a letter detailing access to facilities meeting the requirements of this subsection (c), or if associated with an organization, a letter from an authorized organizational official detailing the applicant's association and indicating the organization's commitment to meeting the requirements of this subsection (c).

Section 4190.408 Certification Approval

Upon receipt of an application for certification as a professional archaeologist, the Department Archaeologist shall review the information provided and within 30 days after the application receipt make a written recommendation to the Director regarding the approval or denial of the application. Upon receipt of an application for certification as a professional paleontologist, the Department Archaeologist shall forward the application to a certified paleontologist in the Department for review. If the Department does not employ a certified paleontologist, then the Department shall request the assistance of a State agency that does employ a certified paleontologist. Within 30 days after the application receipt the Department Archeologist shall make a written recommendation to the Director regarding the approval or denial of the application. Applicants for certification as professional archaeologists or paleontologists shall be approved at the appropriate level if the Director finds the applicant has provided sufficient documentation and meets the qualifications for certification.

Section 4190.409 Denial of Certification

Applicants for certification as professional archaeologists or paleontologists shall be denied if the Director, upon the written recommendation of the Department Archaeologist, finds that the applicant has provided insufficient documentation, has willfully misrepresented facts, or does not meet the minimum standards for certification.

Section 4190.410 Suspension or Revocation of Certification

To ensure that the highest professional standards are followed, the Department shall maintain a record on the professional activities of all certified archeologists and paleontologists. This record shall include copies of current resumes, all correspondence related to an individual's professional competence, ethical activities, and other matters relevant to this Part. Certification shall be suspended or revoked if the Director finds that a certified professional archaeologist or paleontologist:

a) has willfully misrepresented facts in the application documentation.

b) has not satisfactorily complied with conditions of permits issued under the Act or under the Human Skeletal Remains Protection Act.

c) has not satisfactorily complied with conditions of archaeological scopes-of-work or data recovery plans reviewed and approved by the Agency pursuant to the Illinois State Agency Historic Resources Preservation Act or the National Historic Preservation Act.

d) has not satisfactorily participated in reporting sites to the Illinois Inventory of Archaeological and Paleontological Sites or the Illinois Inventory of Burial Sites.

e) has demonstrated a consistent pattern of incompetence in the performance of field investigations, analysis and/or the completion of required reports indicating the inability to perform the responsibilities of a certified professional. A documented history of incompetence must be demonstrated by the Agency prior to taking action to suspend or revoke any level of certification.

f) has demonstrated a consistent pattern of not complying with the stipulations in Subpart E of this Part. A documented history of noncompliance must be demonstrated by the Agency prior to taking action to suspend or revoke any level of certification.

g) has willfully engaged in actions that are harmful to protected archaeological or paleontological resources.

h) has not maintained a fieldwork environment that is safe to crew, land-management staff, and the public.

Section 4190.501 Hearings and Appeals

Hearings and appeals shall be conducted in accordance with standard Department rules.

SUBPART E: ILLINOIS PROFESSIONAL ARCHAEOLOGISTS' CODE OF ETHICS AND STANDARDS OF RESEARCH PERFORMANCE

Section 4190.601 Purpose

The archaeological resources of Illinois are an important and irreplaceable part of the State's heritage and identity. The State has a responsibility to ensure that only those individuals with appropriate regional training and expertise and the highest professional standards be engaged in the recovery, investigation, and analysis of such resources. Archaeology is a profession, and the privilege of professional practice in Illinois requires professional ethics and professional responsibility, as well as professional competence, on the part of each practitioner.

Section 4190.602 Code of Ethics

a) Individuals certified under this Part as Illinois Professional Archaeologists shall:

1) Recognize that the archaeological resource base and the knowledge gained from it belongs to, and is held in trust for, all peoples;

2) Recognize a commitment to represent archaeology and its research results to the public in a responsible manner;

3) Actively support conservation of the archaeological resource base;

4) Be sensitive to, and respect the legitimate concerns of, groups whose culture histories are the subject of archaeological investigations;

5) Avoid and discourage exaggerated, misleading, or unwarranted statements about archaeological matters that might induce others to engage in unethical or illegal activities;

6) Support and comply with the terms of the UNESCO Convention on the means of prohibiting and preventing the illicit import, export, and transfer of ownership of cultural property, as adopted by the General Conference, 14 November 1970, Paris;

7) Give appropriate credit for work done by others;

8) Stay informed and knowledgeable about developments in one's field of specialization;

9) Accurately, and without undue delay, prepare and properly disseminate a description of research done and its results;

10) Communicate and cooperate with colleagues having common professional interests;

11) Know and comply with all federal, State, and local laws, ordinances, and regulations applicable to his or her archaeological research and activities within the State of Illinois;

12) Report knowledge of all violations of this Part to the proper authorities;

13) Refuse to comply with any request or demand of an employer or client that conflicts with this Part.

b) Individuals certified under this Part as Illinois Professional Archaeologists shall not:

1) Engage in any illegal or unethical conduct involving archaeological matters or knowingly permit the use of their names in support of any illegal or unethical activities involving archaeological matters;

2) Give a professional opinion, make a public report, or give legal testimony involving archaeological matters without being appropriately informed concerning the topic;

3) Engage in conduct involving dishonesty, fraud, deceit or misrepresentation about archaeological matters;

4) Undertake any research that affects the archaeological resource base for which they are not qualified;

5) Falsely or maliciously attempt to injure the reputation of another archaeologist;

6) Commit plagiarism in oral or written communication;

7) Refuse a reasonable request from a qualified colleague for research data;

8) Participate in any actions that are in violation of this Part.

Section 4190.603 Standards of Research Performance

A certified Illinois professional archaeologist has the responsibility to design and conduct projects that will add to the understanding of past cultures and/or that will develop better theories, methods, or techniques for interpreting the archaeological record, while causing minimal attrition of the archaeological resource base. In the conduct of that research the following minimal standards shall be followed:

a) The archaeologist has a responsibility to prepare adequately for any project in which he or she is involved. Archaeologists must:

1) Assess the adequacy of their qualifications for the demands of the project and minimize inadequacies by acquiring additional expertise, by bringing in associates with needed qualifications, or by modifying the scope of the project;

2) Inform themselves of relevant previous research, records, and documents;

3) Develop a scientific plan of research that specifies the objectives of the project, takes into account previous relevant research, employs a suitable methodology, and provides for economical use of the resource base consistent with the objectives of the project;

4) Ensure the availability of adequate and competent staff and support facilities to carry the project to completion and of adequate curatorial facilities for specimens and records;

5) Comply with all legal requirements, including, without limitation, obtaining all necessary governmental permits and necessary permission from landowners and other persons as required by law.

b) In conducting projects, the archaeologist must follow the scientific plan of research, except to the extent that unforeseen circumstances warrant its modification.

c) Procedures for field survey or excavation must meet the following minimum standards:

1) Maintain a system for identifying and recording the provenience for all collected specimens.

2) Uncollected entities such as environmental or cultural features, depositional strata, and the like, must be fully and accurately recorded by appropriate means, and their location recorded.

3) The methods employed in data collection must be fully and accurately described. Significant stratigraphic and/or associational relationships among artifacts, other specimens, and cultural and environmental features must also be fully and accurately recorded.

4) All records should be intelligible to other archaeologists. If terms lacking commonly held referents are used they should be clearly defined.

5) Insofar as possible, the interests of other researchers should be considered.

d) During accessioning, analysis, and storage of specimens and records in the laboratory the archaeologist must take precautions to ensure that correlations between specimens and field records are maintained so the provenience, contextual relationships and the like are not confused or obscured.

e) Specimens and research records resulting from a project must be deposited at an institution with permanent curatorial facilities. All specimens and research records collected from projects conducted on public lands under the Act or this Part shall be deposited in the Illinois State Museum.

f) The archaeologist has responsibility for dissemination of the results of research to the interested public and professional parties. Results reviewed as contributions to substantive knowledge of the past or to advancements in theory, method or technique shall be disseminated by appropriate means such as a full descriptive report or comparable publications to ensure that the basic data is available to interested parties.