1

 These regulations became effective on January 11, 2001.

2

The 1992 amendments to the NHPA include provisions for Indian tribes to assume the responsibility of the

SHPO on tribal lands. The Council’s regulations use the term Tribal Historic Preservation Officer (THPO) to mean

the THPO under Section 101(d)(2) of the NHPA for undertakings occurring on or affecting tribal lands.

3

 In past hydropower relicensing PAs, FERC has required licensees to develop “Cultural Resources

Management Plans” (CRMPs). In this guidance, however, the term HPMP is used, because it more accurately

reflects the requirements of Section 106 of the NHPA. 

Guidelines for 

the Development of 

Historic Properties Management Plans

For

FERC Hydroelectric Projects

May 20, 2002

I. INTRODUCTION AND PURPOSE OF THIS GUIDANCE

Section 106 of the National Historic Preservation Act (NHPA) requires the Federal

Energy Regulatory Commission (FERC or Commission) to take into account the effect of

its undertakings on historic properties and to afford the Advisory Council on Historic

Preservation (Council) a reasonable opportunity to comment. An undertaking includes

any project, activity, or program requiring a federal permit, license, or approval. 

Therefore, many FERC actions, such as issuance of new and original licenses, license

amendments, surrenders, and terminations, are undertakings that are subject to 

Section 106. Section 106 is implemented through the Council’s regulations, “Protection

of Historic Properties” (36 CFR Part 800).1 For hydropower licensing actions, FERC

typically completes Section 106 by entering into a Programmatic Agreement (PA) or

Memorandum of Agreement (MOA) with the license applicant, the Council, and the State

and/or Tribal Historic Preservation Officer (SHPO/THPO).2 This agreement is then

incorporated by reference into the project license when it is issued. 

Because it is not always possible for FERC to determine all of the effects of

various activities that may occur over the course of a license, the PA or MOA typically

provides, and FERC typically requires as a license condition, that the licensee develop

and implement a Historic Properties Management Plan (HPMP).3 Through an approved

HPMP, FERC can require consideration and appropriate management of effects on

historic properties throughout the term of the license. In so doing, FERC meets the

requirements of Section 106 for its undertakings.
4

“Project” means any licensed or unlicensed, existing or proposed water power project that is subject to

FERC jurisdiction, including minor projects, major projects, exemptions, and major modified projects as defined in

the Commission's regulations at 36 C.F.R. § 4.30 (2001).

Page 2 of 16

The purpose of this document is to provide guidance for the development of HPMPs.

What is a HPMP?

A HPMP is a plan, implemented pursuant to a FERC license, for considering and

managing effects on historic properties of activities associated with constructing,

operating, and maintaining hydropower projects.4 It establishes a decision-making

process for considering potential effects on historic properties, preferably early in project

planning. The HPMP should consider and manage the effects on historic properties of

actions taken to implement the license over its entire term. For example, the HPMP

should take into account other plans that are required (or will be required), such as

recreation plans, timber management plans, or fisheries plans.

A good HPMP should identify the nature and significance of historic properties that may

be affected by project maintenance and operation, any proposed improvements to project

facilities, and public access. It should identify goals for the preservation of historic

properties; establish guidelines for routine maintenance and operation; and establish

procedures for consulting with SHPOs, THPOs, Indian tribes, historic preservation

experts, and the interested public concerning effects to historic properties or contributing

elements of a historic district. 

The HPMP should be responsive to the purposes of the Project and should be realistic in

terms of those purposes. It is not the intent of Section 106 or the HPMP to transform a

hydroelectric powerhouse into a “museum” or to jeopardize the ability of the licensee to

produce hydroelectricity. Accordingly, the HPMP should recognize the need to fulfill all

of the terms and conditions of the Project license, and should not impede the safe and

efficient production of energy.
5

An applicant may develop a management plan dealing with all cultural resources (a CRMP, for example)

as part of a settlement agreement, or based on the needs of Indian tribes, federal land managers, and other agencies. 

This approach is not required for Section 106 review, but can improve understanding between parties, and facilitate

better coordination of all the applicable laws and regulations relating to cultural resources. 

6

"Effect" as defined in the Council’s regulations means “alteration to the characteristics of a historic

property qualifying it for inclusion in or eligibility for the National Register” [36 CFR § 800.16(j)]

Page 3 of 16

The HPMP should be:

ë Integrated into the licensee’s Project decision-making process so that

historic preservation needs are considered during Project planning and

operation;

ë Written in plain English with historic property management terms clearly

defined;

ë A stand-alone document (not dependent on access to previous studies,

although incorporation by reference may be desirable in some cases); and

ë Consistent with any other Project management plans, settlement agreements

and/or long-range planning documents.

What does the HPMP propose to manage? 

The HPMP should provide for the management of properties listed in or eligible for

listing in the National Register of Historic Places, the National Park Service’s official list

of properties recognized for their significance in American history, architecture,

archeology, engineering, and culture. Such places, are referred to as historic properties

and may include the project facilities, such as the dam, powerhouse and substations; other

kinds of buildings and structures; prehistoric and historic archeological sites; and

properties of traditional religious and cultural significance to Indian tribes. 5

The management of historic properties involves both the long term preservation of

historic values of historic properties and consideration of the effects of a licensee’s

actions on historic properties. Hydroelectric projects may affect historic properties in a

number of ways.6 Modes of Project operation that cause erosion can result in the loss of

archeological sites located along shorelines. Likewise, constructing recreational

developments and providing greater public access can damage archeological sites. Even

actions which initially seem fairly routine can undermine the integrity of a historic
7

An "adverse effect" is found when a proposed action may alter the characteristics that qualify a historic

property for inclusion in the National Register “in a manner that would diminish the integrity of the property’s

location, design, setting, materials, workmanship, feeling or association.” [36 CFR § 800.5(a)(1)].

8

 Project staff means the licensee's staff and consultant who implement or are responsible for the project

operation.

9

 When a final HPMP has been completed prior to issuance of a license, Commission staff typically

develops a PA that requires the licensee to implement the HPMP upon license issuance. 

Page 4 of 16

property. For example, since windows are often a character-defining feature of historic

buildings, their replacement in a historic powerhouse can significantly alter that property.7

Who’s responsible for carrying out the plan? 

The Project licensee implements the HPMP, pursuant to the license conditions. 

Therefore, the plan should identify the project staff position (such as Cultural Resource

Liaison, project operator, plant operator, etc) responsible for implementing the plan over

the course of the license. However, FERC is responsible for enforcing the licensee's

compliance with the license and implementation of the HPMP.

Successful implementation of the HPMP is more likely when Project staff is educated

about the specific requirements of the plan within the general context of historic

preservation law and practice.8 Even with this staff training, however, consultants with

specialized training may be needed to complete certain aspects of the plan, such as

archeological studies, for example.

When is a HPMP prepared and filed?

We encourage applicants to draft their HPMP in consultation with the other

stakeholders and submit it at the time they file a license application with the Commission. 

One advantage to having a draft HPMP completed when a license application is filed is

that it provides a convenient means to involve the SHPO/THPO, Indian tribes and other

stakeholders in consultation early on, so that they might reach agreement regarding the

scope and results of studies, as well as establishing the APE (area of potential effect). 

Another advantage to early preparation of the HPMP is that it allows the licensee to

consider historic preservation in conjunction with other aspects of the project. 

Completion of a final HPMP is more easily accomplished prior to issuance of a new

license, thereby alleviating many delays and compliance problems after issuance.9 This

can result in a savings of both time and money for the licensee. 
Page 5 of 16

A three year time frame during the prefiling stage--from the notice of intent to

filing an application--allows for plenty of time to coordinate, consult, and draft a HPMP. 

Prefiling consultation involving the licensee and the various stakeholders and Indian

tribes is already required through the Federal Power Act, and provides a good opportunity

for completing a draft HPMP at this time. In addition, the revised implementing

regulations for Section 106 allow FERC to authorize the licensee to initiate Section 106

consultation on its behalf, pursuant to 36 CFR §800.2(C)(4). This means that the licensee

can begin early formal Section 106 consultation with the SHPO/THPO, Indian tribes, and

other stakeholders at the time it files notice of intent to file a license application with the

Commission. Another factor to consider is that, during the prefiling stage, FERC staff

can freely consult with the licensee and other stakeholders without violating the

Commission's rules concerning off-the-record communications--which take effect after a

license application has been filed with the Commission and becomes contested due to

interveners. 

A HPMP should not be concluded without the involvement of FERC, as the

responsible Federal agency for purposes of Section 106. It is, therefore, advisable to

involve FERC in resolving questions or issues that arise in drafting a HPMP, even when

the document is drafted prior to filing a license application.

If it is not possible to complete a HPMP before license issuance, the PA will

typically require that a HPMP be developed within one year of the issuance of the FERC

license.

II. HOW TO DEVELOP A HPMP

Who should prepare a HPMP? 

The preparer of the HPMP should be knowledgeable about:

ë Hydropower project operations and maintenance; 

ë Historic preservation law, policy and practice; and

ë Management and treatment issues pertaining to all the types of historic

properties that may be affected by Project operations.
10

 See the Secretary of the Interior’s Professional Qualification Standards [48 FR 44738-9]. Although the

Secretary of the Interior published draft revised standards on June 1, 2000, these standards are not yet final.

11

 See 36 C.F.R. § 800.2 (c)(4).

Page 6 of 16

Standards for Professional Qualification in the areas of archeology, history, architecture

and architectural history have been established.10

Applicants and licensees are encouraged to consult these standards and to seek technical

guidance from FERC, the Council, and the appropriate SHPO and/or THPO. The degree

of expertise needed to develop a HPMP will depend on the complexity of the Project and

its historic preservation issues.

Who should be consulted?

The licensee should develop the HPMP in consultation with various entities. Pursuant to

Section 800.2 of the Council's regulations, the Commission may authorize the licensee to

initiate consultation with the SHPO/THPO and others, but remains responsible for all

findings and determinations.11 The consulting parties include:

ë The SHPO-- The SHPO reflects the interests of the state and its citizens in

the preservation of their cultural heritage, and advises Federal agencies in

carrying out their Section 106 responsibilities. Because the SHPO usually

plays an important role in the implementation of a HPMP throughout the

term of the license, preparers of HPMPs are strongly encouraged to involve

the SHPOs in the development of the plan;

ë The THPO or tribal representative--If the Project is either on tribal lands or

affects historic properties on tribal lands, and the tribe has assumed the

responsibilities of the SHPO for Section 106 in accordance with 

Section 101(d)(2) of the NHPA, the THPO must be consulted. If a tribe

does not have a THPO, the applicant and FERC should consult with the

tribe's officially designated tribal representative. Because Indian tribes

exercise sovereign authority over tribal lands, the participation of the THPO

or other designated representative is important to the development and

implementation of the HPMP;

ë Indian Tribes--Consultation must also involve Indian tribes or Native

Hawaiian organizations that attach traditional religious or cultural

significance to historic properties that may be affected by the operation of
12 See 36 C.F.R. § 800.16 (n).

Page 7 of 16

the Project.12 Such resources may be located on tribal lands, ceded lands,

or other lands within the traditional territory of a tribe; 
Page 8 of 16

ë State and local governments, other federal and state agencies, nongovernmental organizations, property owners, and other individuals-- These

parties may wish to participate in the development of a HPMP based on the

nature of their legal or economic interest in the undertaking or affected

historic properties, or their concern with the undertaking’s affects on

historic properties. For example, the Project may be constructed on lands

owned by or under the jurisdiction of the Forest Service or the Bureau of

Land Management; and 

ë The Council--The Council oversees the Section 106 process, and may be

asked to help resolve disagreements and provide guidance, advice, or

technical assistance to FERC, license applicants, licensees, and other

consulting parties in completing Section 106 consultation in developing a

HPMP.

III. CONTENTS OF A HPMP

A Project’s HPMP should be organized in a logical manner, so that information is easy to

find and appropriate procedures can be quickly identified. It is only a guide, and is not

meant to be rigidly applied to every Project. The following is an example of how the

HPMP might be organized. 

1. Overview and Executive Summary

The HPMP should begin with a statement of purpose describing the scope of the

plan, how it will be used, and the authority under which it is developed (the

statutory and regulatory context). This section should also identify who

participated in the plan’s development, as well as any ongoing commitment and

procedures or protocols to continue consultation with Indian tribes, the

SHPO/THPO, and other organizations in implementation of the plan. In addition,

this section should summarize the contents of the HPMP.

2. Background Information

The HPMP should include:

ë A description of the Project facilities and operation, its location, and the

APE;

ë The historic context (time, place, and theme);
Page 9 of 16

ë A description of surveys and/or inventories that have been completed, with

maps and other graphics, as needed (including analysis of the scope and

quality of existing surveys), and those that will be required to identify

historic properties that may be affected by planned actions (include survey

standards here, such as SHPO standards, that will be followed);

ë A description of known and potential historic properties with an

explanation of their significance and public values;

ë Appendices which include maps, relevant correspondence, and technical

studies or summaries of these studies.

3. Project Management and Preservation Goals and Priorities

The HPMP should include a description of the goals for operating the project and

the goals for historic preservation at the project. A presentation of those

preservation goals and standards in conjunction with the plan for project operation

will guide implementation of the HPMP and should identify any historic resources 

that will be accorded special consideration. The goals and standards should take

into account the type of historic properties present, such as Traditional Cultural

Properties, historical buildings or equipment, or archeological resources. The

HPMP should also describe the philosophy guiding management of historic

properties within the Project’s APE. For example, the licensee could manage a

project under the continuity of use philosophy). It should also relate the plan to the

specific management structure of the Project; for example, to the processes by

which planning and budgetary decisions are made. 

4. Project Effects and Mitigation/Management Measures

The HPMP should:

ë Include a schedule for completing all actions required in the HPMP, and

require FERC, as well as the SHPO/THPO, approval of revisions to this

schedule, if any are needed;

ë Identify, in consultation with the SHPO/THPO and other consulting parties,

activities that will be considered exempt from further review under the

HPMP because they possess little or no chance of affecting historic

properties;

ë Develop and implement rehabilitation standards and an oversight protocol;
Page 10 of 16

ë Include procedures to evaluate the effects of actions such as project-induced

shoreline erosion, construction of fish passage facilities, construction of

recreation facilities, and other Project activities on historic properties, and

provide for consideration and treatment of adverse effects, as appropriate,

in consultation with others;

ë Consider relevant future, ongoing, and past effects, as appropriate;

ë Include a monitoring protocol and provisions for enforcement, as

appropriate;

ë Provide for the treatment of human remains (distinguishing between Native

American Grave Protection and Repatriation Act (NAGPRA)), if

applicable, and State law requirements);

ë Describe provisions for public interpretation; and

ë Describe procedures to address effects when unanticipated historic

properties are discovered and during project emergencies.

5. Implementation Procedures

The HPMP should include provisions for:

ë Designating a HPMP coordinator;

ë Training project personnel;

ë An internal decision-making process (Refer to Principle #6 in Section IV);

ë Consultation with the SHPO/THPO and others, including the Council if

National Historic Landmarks are affected;

ë Periodic reporting and meetings;

ë Periodic review and revision of the HPMP;

ë Actions requiring consultation with the SHPO/THPO, Indian tribes, 

Federal land managers, and others; and 

ë Dispute resolution, if not already provided in the PA or MOA.

IV. PRINCIPLES OF HPMP DEVELOPMENT AND IMPLEMENTATION

 License applicants and licensees are encouraged to apply the following principles in

developing and implementing a HPMP for a hydroelectric project. 
13

 For major projects and some minor projects, the project area is also called the project boundary. 

Page 11 of 16

Principle 1: The HPMP should be responsive to the purposes of the Project, including

the safe and efficient production of hydroelectric power, and realistic in terms of those

purposes. 

The HPMP should be responsive to the purposes of the Project and should be

realistic in terms of those purposes. It is not the intent of Section 106 or the HPMP

to transform a hydroelectric powerhouse into a “museum” or jeopardize the ability

of the licensee to produce electricity. Accordingly, the HPMP should

acknowledge the need to fulfill all of the terms and conditions of the Project

license, and should not impede the safe and efficient production of energy.

Principle 2: The scope of the HPMP should be clearly defined, and should establish an

approach to address effects on private lands.

The HPMP is limited to the consideration of actions that fall under the jurisdiction

of FERC and the licensee. The HPMP should recognize that the Project area is not

necessarily the same as the area that is affected by project operations and

management.13 Because Project effects can extend beyond the Project boundary,

the geographic scope of the HPMP should not necessarily be limited to Project

lands. However, in order to comport with the Council’s regulations, the HPMP

cannot compel actions on private lands where the licensee has been denied access.

In defining the scope, the plan should:

ë Describe and include a map showing the APE, as defined in the Council’s

regulations at 36 CFR § 800.16(d);

ë Where applicable, identify how to access private lands; and

ë Describe outreach efforts that can encourage the treatment of effects on

private lands.

Principle 3: The HPMP should be based on sufficient studies to predict the likely

effects of Project activities on historic properties, and should provide for the conduct of

additional studies that may be needed. 

The HPMP should include a description of previous inventories and historic

properties that have been identified. It is not good practice to defer all

identification and evaluation of historic properties until after the license is issued,
Page 12 of 16

especially with large and/or complex Projects. However, it is not necessary to

complete identification of each and every historic property within the APE before

licensing. The HPMP should also specify whether additional identification and

evaluation of historic properties are needed, and when they should be done. The

HPMP should:

ë Identify what additional surveys and evaluation are needed and provide a

schedule for their completion;

ë Establish procedures to ensure that the pertinent information will be

obtained (for example, consultation with Indian tribes regarding properties

of traditional religious and cultural significance), and considered prior to

the implementation of any action that might affect historic properties; and

ë Provide for re-evaluation of historic properties during the term of the

license due to changing circumstances, such as the passage of time or

changes in the property’s integrity.

Principle 4: The HPMP should establish achievable and realistic goals and targets for

completing specified tasks that can serve as the basis for budget decisions, staff

assignments, and performance measures. 

It is important to establish management goals and objectives, and to identify who

will carry out the HPMP and how they will do so. In order to facilitate

implementation of the HPMP, the licensee might find it useful to develop a field

operations manual to provide procedures for staff. This should include a

description of how staff will be trained to ensure that the HPMP is properly

implemented. 

Principle 5: The HPMP should establish management priorities and steps to be taken

to ensure long-term preservation of historic properties. 

Where historic properties of particular importance to stakeholders have been

identified in the APE, the plan should provide for their consideration, avoidance of

adverse effects, and, if necessary, treatment. The HPMP should also provide for

and establish a schedule for implementing the protective measures, such as

monitoring or stabilization; and for public education and interpretation of the

historic and archeological values of the project. 
Page 13 of 16

Principle 6: The HPMP should establish a decision-making process that provides for

the consideration of effects on historic properties early in project planning and include

mechanisms for reaching resolution.

The plan should include procedures to consider ways to avoid, minimize, or

mitigate adverse effects to historic properties, to promote their proper use, and to

encourage beneficial effects. It should also provide for the review of proposed

actions by the SHPO and/or THPO and other stakeholders, and should include

specific standards for operation and maintenance activities. Procedures in the

HPMP should:

ë Address possible effects to historic properties resulting from the continued

operation and maintenance of the Project;

ë Provide for the preservation of historic properties that may be affected by

shoreline erosion, other project-related ground disturbing activities, and

vandalism--depending on the nature of the effects, could include

implementing a program of shoreline monitoring on a regular basis within

the APE and follow-up procedures;

ë Determine ways to avoid or mitigate adverse effects on historic properties,

including consultation as appropriate with the SHPO/THPO, Indian tribes

and other stakeholders;

ë Determine the process to be followed if previously unidentified properties

or effects are discovered;

ë Determine how effects on historic resources will be considered in the event

of a Project emergency; and

ë Establish what, if any, actions have little or no potential for affecting

historic properties and can be implemented without any review (exempt

activities)

ë Establish procedures for dispute resolution.

Principle 7: The HPMP should be developed and implemented in coordination with

other plans required by the license. 

In addition to project operating plans, recreation plans, and wildlife mitigation

plans, the HPMP should be coordinated with other plans and any approved

settlement agreement developed either through the traditional or alternative

licensing process.
Page 14 of 16

Principle 8: The HPMP should provide for an appropriate level of consultation with

others before decisions are made.

The HPMP should establish procedures to identify when and how others, such as

the SHPO, the THPO, and Indian tribes, will be consulted in review and decisionmaking about the management of historic properties. The communication protocol

developed for the Alternative Licensing Process might be a useful place to start

developing such procedures. It is most useful to consult with others early, before

decisions are made, to allow consideration of a range of available options. The

HPMP should establish procedures for reaching decisions through consultation,

including resolving disputes when they occur. 

Principle 9: The HPMP should consider other applicable federal, state, and local laws

and regulations that provide authority for its implementation and may affect its scope. 

Although the focus of a HPMP is the preservation of “historic properties” and

compliance with the NHPA, the treatment of historic properties and review

procedures included in the HPMP should be consistent with other applicable laws

and regulations. For example, if the Project is located on Federal or tribal lands,

the HPMP should take into account the requirements of NAGPRA and its

implementing regulations, which provide procedures for determining the treatment

of Native American human remains intentionally excavated or discovered during

ground disturbing activities. The HPMP should therefore:

ë Identify applicable Federal, state and local laws and regulations; and

ë Establish how the HPMP will be implemented in conjunction with other

legal responsibilities. 

This is especially important when dealing with the treatment and disposition of any

human remains that may be discovered, so that the HPMP is consistent with

applicable Federal, state, and local laws, and the Council’s policy on the treatment

of human remains.

Principle 10 : The HPMP should provide Project staff with ready access to pertinent

information, but should also include mechanisms to protect sensitive data and to

establish an appropriate level of security to discourage abuses.
14Section 304 of NHPA provides that the head of a Federal agency or other public official receiving grant

assistance pursuant to NHPA, after consultation with the Secretary of the Interior, shall withhold from disclosure to

the public information about the location, character, or ownership of a historic resources when disclosure may (1)

cause a significant invasion of privacy; (2) risk harm to the historic resource; or (3) impede the use of a traditional

religious site by practitioners (see also 36 CFR § 800.11[c]). 

Page 15 of 16

Access to relevant information--such as survey data, standards and guidelines, and

points of contact for consultation--is important for the effective implementation of

the HPMP. However, confidentiality, especially regarding the location of

archeological sites and historic properties of traditional religious and cultural

significance to Indian tribes, may be needed to provide for long term protection,

particularly to protect against such activities as vandalism and looting.14

Principle 11: The HPMP should avoid the use of jargon, and should use terms

consistently and correctly. 

Staff at the licensed hydropower projects who will use the HPMP and supervise its

implementation may not be familiar with terminology commonly used in historic

preservation. If specialized terms are used, they should be defined. For example,

terms such as Phase I archeological survey, certified archaeologist, state approved

contracting archeologist, Phase II survey, and Phase IA survey, should be clearly

defined so that whoever implements the HPMP is not confused about terminology

and meaning.

Principle 12: The HPMP should not be a static document.

The HPMP should provide mechanisms for its periodic review and revision. Any

steps to revise, amend, or otherwise alter the plan should be approached in the

same manner as the development and approval of the initial HPMP. 

Principle 13: Periodic reporting should be a part of the HPMP activities. 

The HPMP should establish the scope, contents, and timing of a periodic report

and the deadline for submission to the SHPO/THPO, other consulting parties, and

FERC. Through this reporting, the licensee and others, most notably the

SHPO/THPO, will be able to periodically assess the effectiveness of the plan. 
Page 16 of 16

References

1993 U.S. Department of Defense Legacy Resource Management Program, Draft

Principles of Cultural Resource Management Planning in the Department of

Defense.

1998 Tom King, Cultural Resource Laws & Practice: An Introductory Guide, Alta Mira

Press

n.d. Advisory Council on Historic Preservation, “Proposed Council Guidelines:

Historic Resource Management Plans” (draft).