Reference Manual #2 – Chapter 3: Statutory Requirements for General Management Planning

Reference Manual 2

This page contains Chapter 3 of Reference Manual 2 (RM-2) that accompanies Director's Order 2: Park Planning. Users of RM-2 are encouraged to check this page for updates before utilizing previously viewed, printed, or downloaded materials. 

All National Park Service (NPS) units must address the four statutory requirements specified in 54 U.S.C. 100502 for general management planning (see section 3.2). As outlined in Director’s Order #2: Park Planning (DO-2), the NPS uses a planning portfolio approach—consisting of a plan or a series of interconnected or complementary plans that collectively address these statutory requirements—to guide decision-making and comply with law and policy. This flexible approach allows different types of planning efforts tailored to the unique needs of each NPS unit.

Section 2.1.1 of Management Policies emphasizes that NPS unit planning and decision-making uses an iterative cycle, from broad visions to specific annual work assignments and evaluations. Through iteration, NPS unit managers develop relevant planning components based on the issues and opportunities they aim to address. This process helps NPS units to monitor their compliance with statutory requirements.

3.1 The Planning Portfolio

This Reference Manual (RM) does not provide specific examples of plan names to address the four statutory requirements and contribute to the planning portfolio. Under the planning portfolio approach, the needed plans and specific topics addressed vary based on the unique needs of each NPS unit. The NPS unit should emphasize efficiently meeting the need over following a process prescribed by a particular plan name or product.

Many different plans—or elements of plans—tailored to specific topics can meet the statutory requirements. DO-2 outlines four types of plans that may be part of the planning portfolio: foundation documents, comprehensive plans, strategic plans, and implementation plans. However, not all plans contribute to the planning portfolio. To contribute to the planning portfolio, the plan must provide active guidance and address one or more of the four statutory requirements as defined in DO-2 and further described below in section 3.2. NPS unit managers may use elements from comprehensive, strategic, and implementation planning, depending on the scope of issues addressed.

As outlined in sections 3.2.1.5 and 4.8 of DO-2, NPS unit managers have the responsibility to review the entire inventory of plans (a planning portfolio review) and document if and how each plan contributes to the planning portfolio. This review process, considered a form of strategic planning, helps create a guide for future management actions.

Until new planning documents are finished, the NPS unit follows the existing plans to fulfill legal requirements. The NPS unit monitors progress and analyzes data to check that the planning portfolio meets the needs (DO-2, section 3). Each new planning document added to the planning portfolio should clearly indicate how the document meets legal requirements. For example, the introduction might say: “This document addresses the legal requirements for general management planning by…” and then mention specific parts of the relevant legal requirements being addressed (see section 3.2). Additionally, each new planning document added to the planning portfolio should clearly state which previous plans (if any) the document amends. If a plan amends a previous one, the new plan details what elements changed.

3.2 General Management Planning Statutory Requirements

54 U.S.C. 100502 mandates that all NPS units must address four statutory requirements for general management planning. The following sections outline each of the four statutory requirements and their related components.

Statutory Requirement 1 – Measures for Resource Preservation

“General management plans for each System unit shall include … measures for the preservation of the area's resources.” (54 U.S.C. 100502)

To address the first statutory requirement, NPS units must have plans (comprehensive, strategic, or implementation plans) that include actions (measures) to preserve fundamental resources and values and other selected resources. Preservation is the “... act or process of applying measures necessary to sustain or restore the [value and integrity of a resource]” (Management Policies, adapted from the glossary).

Statutory Requirement 2 – Types and Intensities of Development

“General management plans for each System unit shall include … indications of types and general intensities of development (including visitor circulation and transportation patterns, systems, and modes) associated with public enjoyment and use of the area, including general locations, timing of implementation, and anticipated costs.” (54 U.S.C. 100502)

Per Management Policies, a developed area is “an area managed to provide and maintain facilities (e.g., roads, campgrounds, housing) serving visitors and park management functions. [It] includes areas where development or intensive use may have substantially altered the natural environment or the setting for culturally significant resources.” To address this statutory requirement, NPS units must have plans (comprehensive, strategic, or implementation plans) that identify the following components:

• Locations of Development: Maps (using GIS data) and written descriptions that differentiate between developed and undeveloped areas of the unit.
• Types of Development: Clear descriptions of the facilities and structures the NPS unit plans to maintain, develop, restore, remove, or apply other treatment options.
• General Intensities: Descriptions of the scope and scale of developments or developed areas including, as applicable, visitor circulation and transportation patterns (e.g., routes and transportation patterns, systems, and modes).
• Costs and Timing of Implementation: Costs and timeline or phasing schedules for development projects that reasonably anticipate funding. For more information, see section 2.5.

Statutory Requirement 3 – Visitor Capacity

“General management plans for each System unit shall include … identification of and implementation commitments for visitor carrying capacities for all areas of the System unit.” (54 U.S.C. 100502)

Visitor capacity—also known as visitor carrying capacity and user capacity—is a component of visitor use management. Visitor capacity identifies the maximum levels and types of visitor use that an area can accommodate while achieving and maintaining the desired resource conditions and visitor experiences consistent with the NPS unit’s purpose (DO-2, section 3.2.1.3). Sections 8.2.1 and 3.2.1.3 of the Management Policies articulate the NPS policies to identify visitor capacity.

To address this statutory requirement, NPS units must have plans (comprehensive, strategic, or implementation plans) that identify the following components:

• Baseline Conditions: Assessments of current visitor use patterns, including the types and levels of use, and analysis on how the patterns affect resources and visitor experiences.
• Desired Conditions: Defined in Management Policies as “a park’s natural and cultural resource conditions that the NPS aspires to achieve and maintain over time, and the conditions necessary for visitors to understand, enjoy, and appreciate those resources.” Desired conditions should articulate data-informed goals (see section 2.2) for what the NPS unit can and should realistically achieve in a geographic area (or zone). This component does not include how the NPS unit will achieve the conditions.
• Visitor Capacity: A number that represents the maximum amount and types of use that an area can accommodate while achieving and maintaining desired resource conditions and visitor experiences consistent with the NPS unit’s purpose. Examples of visitor capacity metrics are the number of people or groups at one time, number of people per hour, and number of people per day. The NPS unit includes a rationale for the capacity. The level of analysis should align with the potential impacts.
• Implementation Commitments: Specific management actions and strategies to consider implementing visitor capacity, including education (e.g., trip planning information), engineering (e.g., redesigning facilities including transportation systems and modes), enforcement (e.g., no parking areas, changes in staff deployment), and changes to day-to-day operations (e.g., attending parking, managing access through reservations, deploying strategic visitor programs).
• Monitoring and Adaptive Management: Process of routinely and systematically gathering information or making observations to assess the status of specific resource conditions and visitor experiences. For example, the NPS unit may employ indicators to track trends and set thresholds that clearly define when conditions become unacceptable for the selected indicators.

While visitor capacity analysis alone may fall within categorical exclusion 3.3.D.1, other elements of planning and actions taken to implement visitor capacity commitments may fall under other categorical exclusions or be subject to higher levels of National Environmental Policy Act (NEPA) compliance depending on their impacts. The depth of analysis required depends on the potential impacts of the decisions. The greater the potential for significant impacts or consequences on NPS unit resources and values or the opportunities to enjoy them, the greater the level of study, analysis, and civic engagement needed to support the decisions. When making decisions about visitor capacity, NPS unit managers must rely on the best available scientific information and keep thorough records of their decisions per Director’s Order #12: Conservation Planning, Environmental Impact Analysis, and Decision-Making (DO-12).

For standalone GMPs, the NPS unit initially addresses the visitor capacity statutory requirement by 1) assessing current levels of visitor use and establishing baseline conditions as well as identifying desired conditions and 2) identifying indicators and thresholds to track resource and experiential conditions. For NPS units that do not identify visitor capacity and implementation commitments in a standalone GMP, the NPS unit more fully addresses the requirements in the planning portfolio in plans that contain actions focused on providing meaningful visitor experiences and managing the type, timing, and location of visitor use. These plans provide more detailed analysis and decision-making to inform the identification of visitor capacities. The more detailed direction on visitor capacity in implementation plans should be consistent with the general guidance for the types and levels of visitor use in the standalone GMP or other completed planning portfolio plans. These plans may amend the standalone GMP or other plans.

Statutory Requirement 4 – Boundary Modifications

“General management plans for each System unit shall include… indications of potential modifications to the external boundaries of the System unit, and the reasons for the modifications.” (54 U.S.C. 100502)

Boundary modification (described as boundary adjustments in Management Policies and Director’s Order #25: Land Protection [DO-25]) is the legal process of altering the external boundaries of an NPS unit. Boundary modifications may involve expanding, reducing, or realigning the geographic area within the official boundaries of the NPS unit or protected area. Boundary modifications may protect natural or cultural resources, improve management efficiency, enhance visitor access, resolve boundary disputes, or respond to legislative mandates.

Per DO-25, the NPS unit manager must work with the Land Resources Division on all administrative boundary modifications to identify the appropriate authority, meet the correct criteria, and follow the appropriate procedures. A boundary modification may be proposed based on one or more of the following three criteria for a boundary adjustment per section 3.5 of the Management Policies:

• Protect significant resources and values or to enhance opportunities for public enjoyment related to NPS unit purposes.
• Address operational and management issues such as the need for access or the need for boundaries to correspond to logical boundary delineations such as topographic or other natural features or roads.
• Otherwise protect NPS unit resources critical to fulfilling NPS unit purposes.

All recommendations for boundary changes must meet the following two criteria:

• The added lands will be feasible to administer considering their size, configuration, and ownership; costs; the views of and impacts on local communities and surrounding jurisdictions; and other factors such as the presence of hazardous substances or exotic species.
• Other alternatives for management and resource protection are not adequate.

To address this statutory requirement, NPS units include the following components in their planning portfolio in a manner that is relevant to the priority issues, opportunities, and needs they are seeking to address:

• Proposed Changes: Describe any areas where the NPS is considering boundary modifications, including the locations and the nature of the proposed changes (e.g., expansions, reductions, or realignments of the boundaries).
• Rationale: Explain the proposed boundary modifications including a clear and concise rationale, such as the need to protect additional resources, address management challenges, or improve visitor access. The justification connects the proposed changes to the NPS unit’s purpose.
• Alignment: Confirm, in a brief statement, that the proposed boundary modifications comply with relevant legal and regulatory requirements and align with the NPS mission.

Additional guidance on boundary modifications can be found in DO-25.

3.3 Additional Requirements for General Management Planning

Chapter 2 of Management Policies and DO-2 outline the following additional requirements for standalone GMPs and other plans in the planning portfolio:

• Interdisciplinary Teams: Interdisciplinary teams, including unit managers, technical experts, and key stakeholders, develop plans with input from unit staff, other agencies, and the public. The unit manager and regional director are ultimately responsible for the plan's content and must make sure the plan is consistent with decisions across units with similar resources and values (Management Policies, section 2.3.1.3).
• Science and Scholarship: Decisions in planning documents rely on the latest scientific knowledge about NPS unit ecosystems, cultural contexts, and socioeconomic factors. Collecting and analyzing information about NPS unit resources is an ongoing effort so decisions continue to align with the NPS unit's goals (Management Policies, section 2.3.1.4).
• Civic Engagement and Public Involvement: The NPS encourages public participation in the preparation of planning documents and environmental analyses. Public participation involves a wide range of stakeholders including visitors, unit neighbors, and government agencies. This engagement identifies key issues, develops planning alternatives, assesses potential impacts, and communicates the reasoning behind decisions, all while complying with the Federal Advisory Committee Act where applicable. (Management Policies, sections 2.1.3, 2.3.1.5 and DO-2, section 3.6).
• Alternative Futures: During the planning and environmental analysis, the NPS unit considers and evaluates different future possibilities. The plan addresses competing demands for resources by exploring various management strategies and zoning options while adhering to relevant laws and regulations (Management Policies, section 2.3.1.6).
• Cooperative Planning: The NPS engages in cooperative regional planning to improve coordination among different stakeholders while respecting the rights of other landowners. While being consistent with Management Policies and NPS unit goals, plans identify and consider potential effects outside and inside unit boundaries. Plans identify ways to enhance beneficial effects and mitigate adverse effects (Management Policies, section 2.3.1.8).
• Wild and Scenic Rivers: During planning, the NPS unit evaluates potential national wild and scenic rivers for their use and development. The NPS maintains a complete list of eligible rivers and the NPS unit checks that management plans do not propose actions that could harm their qualifying values. Decisions about seeking wild and scenic rivers designation are only made through appropriate planning processes (Management Policies, section 2.3.1.9).
• Wilderness: The Wilderness Act requires agencies to study wilderness resources and values. The NPS develops wilderness studies and plans as part of each unit’s comprehensive planning. Plans must avoid actions that could harm wilderness characteristics, and if areas are found eligible for wilderness designation, decisions about seeking wilderness designation are only made through appropriate planning processes (Management Policies, section 2.3.1.10).
• Alaska Units: Plans for NPS units in Alaska that were established or expanded by the Alaska National Interest Lands Conservation Act should address the provisions for conservation and management planning specified in section 1301 of that act (16 USC 3191) (Management Policies, section 2.3.1.11).
• Consistency with Other Federal Agencies, and Tribal, State, and Local Governments: Documents in an NPS unit's planning portfolio offer consistent guidance that aligns with NPS laws and policies, along with those of other federal, tribal, state, and local agencies. If an NPS unit’s plans conflict with those of other entities, NPS managers collaborate to resolve these issues while following the relevant authorities (DO-2, section 3.7).
• Environmental Analysis and Other Statutory Requirements (DO-2, section 3.5): Planning documents must comply with crosscutting statutes such as the National Environmental Policy Act (NEPA), National Historic Preservation Act (NHPA), Endangered Species Act, Clean Water Act, Coastal Zone Management Act (where applicable) and other laws. For more information on the requirements, see DO-12, the NPS NEPA Handbook, and the NPS NHPA Section 106 Nationwide Programmatic Agreement. For more information on integrating planning, NEPA, and NHPA requirements, see Chapter 4: NPS Planning Processes.
• Consultation with Indian and Alaska Native Tribes: The NPS must invite Indian Tribes to consult early in the planning process whenever an NPS action (i.e., any plan, policy, programmatic or operational activity, regulation, or legislative proposal) may have a substantial direct effect on an Indian Tribe. Director’s Order #71C: Consultation with Indian and Alaska Native Tribes (DO-71C) provides guidance for this consultation. The NPS unit consults DO-71C, related NPS program guidance, and staff early in the planning processes to address requirements and follow best practices for consultation with Indian and Alaska Native Tribes as well as the Native Hawaiian Community and Alaska Native entities (DO-2, section 3.5).

3.4 Statutorily Required Plans for Other National Designations

NPS-administered components of the National Trails System, including National Scenic and National Historic Trails, and NPS-administered rivers of the National Wild and Scenic Rivers System have their own unique statutorily required plans:

• NPS-administered National Scenic and National Historic Trails must address the statutory requirements in 16 U.S.C. 1244(e) and (f) and NPS policy in Management Policies, Director’s Order #45: National Trails System, and Reference Manual #45: National Trails System. These policy and guidance documents provide details on planning for NPS-administered National Scenic and National Historic Trails.
• NPS-administered rivers of the National Wild and Scenic Rivers System must address the statutory requirements of 16 U.S.C. 1274(d)(1) and NPS policy in Management Policies, Director’s Order #46: Wild and Scenic Rivers, and Reference Manual #46: Wild and Scenic Rivers. These policy and guidance documents provide details on planning for NPS-administered rivers of the National Wild and Scenic Rivers System.

In instances where NPS units overlap with NPS-administered components of the National Trails System or the National Wild and Scenic Rivers System, or the NPS-administered National Trail or Wild and Scenic River is an NPS unit, both sets of statutory requirements listed above apply.

Other national designations, such as Wilderness, have their own statutory considerations which must be addressed when planning for those designations. NPS policies provide additional information and guidance for planning for NPS-administered components of the National Wilderness Preservation System. See Chapter 6 of Management Policies and Director’s Order #41: Wilderness Stewardship.

RM-2 Chapters

Chapter 1: Background and Purpose

Chapter 2: The NPS Planning Framework

Chapter 3: Statutory Requirements for General Management Planning (current page)

Chapter 4: NPS Planning Process

Chapter 5: Planning Policy Reviews