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The Principal Investigator is responsible for all aspects of the field work, report preparation and content, National Register evaluation recommendations, preliminary evaluations of project effects, cultural resource management suggestions, and proper curation of project artifacts and records at an approved curation facility. The Principal Investigator is also responsible for ensuring that all other project personnel have sufficient experience to perform assigned duties. Due to these responsibilities, the Principal Investigator is typically a senior, highly experienced professional, well exceeding the minimal requirements for professionalism established in the Secretary’s Standards. Each agency, institution or consulting firm submitting cultural resource assessment reports to the Kentucky Heritage Council / State Historic Preservation Office (SHPO) for review must also submit or have on file at the Kentucky Heritage Council curriculum vitae for each Principal Investigator as well as key personnel who may serve in a supervisory role. These will be reviewed by KHC Site Protection Program staff. Firms and organizations with qualified Principal Investigators and supervisory staff may be placed on the Kentucky SHPO’s list of Section 106 consultants.
The Principal Investigator is the preservation professional responsible for the overall quality of the background research, field work, and resulting cultural resource assessment report. All Section 106 investigations subject to review by the Kentucky SHPO must be carried out under the direct supervision of a qualified Principal Investigator who meets or exceeds the minimum professional requirements established in the Secretary of the Interior’s Standards, as determined by the Kentucky SHPO. Some agency officials may require additional experience beyond this minimum. Principal Investigators shall also have a good working knowledge of the Section 106 review process set forth in the Advisory Council’s regulation 36 CFR Part 800. It is critical that the Principal Investigator thoroughly understands the procedures for determining National Register eligibility, and for evaluating project effect on historic resources. Throughout this document, the terms “Investigator," “Historian,” “Architectural Historian” or “Archaeologist” may be used to mean the Principal Investigator, or qualified professionals working under the supervision of the Principal Investigator.
The Secretary of the Interior's Standards for professional qualifications in archaeology, history, and architectural history are those used by all Federal agencies and have been previously published in the Code of Federal Regulations (36 CFR Part 61) and the Federal Register (48:44738-447390).
The minimum professional qualifications in history are:
The minimum professional qualifications in architectural history are:
The Kentucky SHPO may approve qualified Field Supervisors to carry out the field work under the direction of a qualified Principal Investigator, and to serve as the resulting report author. In some cases, additional areas or levels of expertise may be needed for Field Supervisors, depending on the complexity of the project and the nature of the historic properties involved.
In recognition of different levels of complexity and responsibility between Phase I, Phase II, and Phase III projects, the Kentucky SHPO accepts the following minimal qualifications for archaeological Field Supervisors working under the direction of an archaeological Principal Investigator. It is assumed that the Field Supervisor will be the primary report author. When this is not the case, the lead author must also meet the specifications outlined below. The SHPO may place any conditions or limitations deemed appropriate on the Field Supervisor if exceptions to these qualifications are granted. In the following requirements, “experience” means actual time spent in the field or lab, not a general period of employment. For example, five days of field or lab work would count as one week of experience, and twenty days would count as a month of experience.
Historians and Architectural Historians working as Field Supervisors under the direction of an Architectural History Principal Investigator shall themselves meet the Secretary’s Standards. It is suggested by the Kentucky SHPO that Historians and Architectural Historians have at least 6 months of field experience in the eastern United States prior to serving as a Field Supervisor. Once approved by the SHPO as a Field Supervisor, the individual may lead a field survey of historic structures, make evaluations and recommendations of National Register eligibility, make evaluations of project impacts upon historic structures, serve as the primary author of a cultural resource assessment report, and perform other professional preservation activities. However, at all times this work must be conducted under the direct supervision of a SHPO-approved Architectural History Principal Investigator.
Nick LaracuenteSite Protection Program Manager(502) 564-7005, ext. 4566
Specifications for Field Work and Cultural Resource Assessment Reports
Environmental Review Project Registration Form
Memo to Consultants on Projects Involving Both Cultural Historic and Archaeological Sites
Archaeological Site Survey Short Form
Instructions for Completing the Archaeological Site Survey Short Form
Discarding Historic Artifacts: Guidance for Consultants