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THE REVIEW OF NPPG4 LAND FOR MINERAL WORKING

EXECUTIVE SUMMARY

INTRODUCTION

1. National Planning Policy Guideline 4: Land for Mineral Working (NPPG4) was published in 1994 and provided the first comprehensive statement of planning policy in relation to the working of minerals in Scotland. With the exception of opencast coal and related minerals, which is now covered by NPPG16 (March 1999), NPPG4 remains the key source of minerals policy guidance for planning authorities in Scotland.

2. As the planning system has to be responsive to environmental, economic, social and political changes, the regular review of national planning guidance is essential. In recognition of this, Land Use Consultants (LUC) was commissioned by the Scottish Executive to determine the need for a review of NPPG4. The broad aims of the research were outlined in paragraph 7 of the research specification:

"to evaluate the continued relevance of NPPG4, its influence in shaping development plan policy and development control decisions; to provide an assessment of the need for its review, and recommendations for change."

3. The research was undertaken over the period April - September 2001.

RESEARCH METHODOLOGY

4. The research comprised the following tasks:

(i) a targeted review of relevant literature, including professional journals, conference papers and any studies commissioned by 'users' of NPPG4, including government agencies and local authority associations;
(ii) the compilation of a 'checklist' of post-1994 policy and legislation with the potential to influence minerals planning in Scotland, including the identification of the issues of relevance to minerals planning, the existing coverage in NPPG4 and the potential need for revision;
(iii) consultation seminars with the Scottish Minerals Officers Forum (SMOF); trade associations and other industry representatives; and non-government organisations and other sectoral interests;
(iv) a questionnaire survey to canvas the views of all local planning authorities in relation to the strengths and weaknesses of the present guidance (the response rate was 63%);
(v) a questionnaire survey of the Scottish Executive Inquiry Reporters involved in minerals issues; and
(vi) a review of a hierarchy of development plans and development control decisions to track the influence of NPPG4 'on the ground'.

KEY FINDINGS AND RECOMMENDATIONS

The Need for Review

5. Although NPPG4 was written prior to the publication of much of the generic NPPG that exists today, it continues to be well received as it provides a useful summary of all relevant mineral planning policy considerations. Despite the existence of a range of 'thematic' NPPGs (e.g. archaeology and natural heritage) it is likely that there would be considerable resistance if it were suggested that NPPG4 should be 'discontinued'.

6. There is a raft of post-1994 policy and legislation with the potential to influence minerals planning in Scotland. It is debatable as to whether any of these policy developments, in combination, or in isolation, necessitate a review of NPPG4, particularly given the pragmatic approach generally adopted by NPPG 'users' in attributing relative weight to long-standing and more recent/emerging guidance. In addition, it would be unrealistic to expect any NPPG to continue to present the up-to-date position across wide-ranging areas of policy.

7. However, given the nature and extent of recent policy shifts, it would be useful to 'refresh' the guidance to reflect these 'evolutionary' rather than 'revolutionary' changes. This would also provide opportunity to address the suggestions for further improvement, which have inevitably arisen from the 'hands on' use of the first version of NPPG4.

Recommendation 1:
NPPG4 should continue in its present form, setting out national minerals planning guidance for the purposes of plan preparation and development control.

Recommendation 2:
NPPG4 should be 'refreshed' to take account of recent policy developments, to clarify specific parts of the text that are causing some confusion and to reflect the wider drive to increase the efficiency of the planning system.

8. The remainder of this summary outlines the key research findings in relation to the topic content of NPPG4, including detailed recommendations for potential review.

Clarity of Policy Intentions and Overall Ease of Use

9. The key research findings are:

• it is felt that NPPG4 should continue to cover all mineral types (with the exception of opencast coal) unless future planning issues or changing market conditions dictate otherwise;
• it is generally felt that the distinction between "policy" found in NPPGs and "advice" contained in PANs is sufficiently clear;
• there is a perception that the NPPG4 stance is a 'presumption in favour' and that this contrasts with a 'presumption against' stance of more recent NPPGs (including NPPG1 and NPPG16); and
• there is a general consensus that a stronger institutional framework is required to ensure the effective implementation of NPPG4 (in its current or modified form).

Recommendation 3:
NPPG4 should continue to cover all mineral types (with the exception of opencast coal) unless future planning issues or changing market conditions merit the 'separating out' of other individual mineral types.

Recommendation 4:
The current NPPG/PAN 'split' between policy guidance and good practice advice works well and should be maintained.

Recommendation 5:
The perception that the NPPG4 stance of a 'presumption in favour' conflicts with the 'presumption against' stance of more recent NPPGs (including NPPG1 and NPPG16) should be addressed. Whilst all national planning guidance will continue to emphasise the need for proper consideration of all relevant factors, any change in wording will be seen as significant and will need to be carefully considered.

Recommendation 6:
To ensure the successful delivery of NPPG4's stated objectives, consideration should be given to developing a 'firmer support structure'. The Scottish Executive should adopt a stronger and more proactive role in monitoring and reporting on levels of minerals production and demand.

Interpretation of Sustainability

10. The key research findings are:

• significant changes in policy, legislation and approach since the introduction of NPPG4 (1994) include:
  • the introduction of fiscal measures to support the delivery of sustainable patterns of minerals extraction;
  • an increased emphasis on issues traditionally seen as peripheral to the planning process (e.g. 'sustainable construction' and the protection of human rights); and
  • the ongoing development of performance indicators and targets and mechanisms for monitoring these.
• there is considerable debate about the need to move from a perceived 'predict and provide' approach to a 'plan, monitor, manage' system.
• whilst the original NPPG4 framework for sustainable minerals extraction remains relevant, there are differing views on the extent of revision required to reflect the above.

Recommendation 7:
Whilst the underlying principles of sustainable 'mineral extraction' remain unchanged, NPPG4 should be updated to reflect 'recent thinking'. This includes links with wider initiatives such as rural regeneration and reducing and reusing 'waste' materials, the increased emphasis on issues traditionally seen as peripheral to the planning process and the ongoing development of performance indicators and targets to ensure 'delivery on the ground'.

Locational and Operational Considerations

11. The key research findings are:

• there is general agreement that there is a need to review the approach to protecting areas with environmental/landscape designations. In particular, the shift towards placing greater emphasis on the value of local or undesignated sites needs to be reflected;
• further guidance on locational issues would also be welcomed in relation to proximity to residential areas, built heritage (both in terms of impacts on, and contributions to), and the protection of agricultural land;
• the role of the public within the minerals planning process, and the influence of public perceptions on decisions is a key issue mirrored in wider debates about the future of land use planning;
• generally there is sufficient policy and advice on more technical aspects of extraction and operational issues. However, NPPG16 has highlighted the ways in which such advice could be taken further and tailored to address specific issues arising from other types of extraction; and
• there is agreement that more advice on restoration, aftercare, and after-use is required. This should build on examples of good practice, and clarify procedures, particularly in terms of the use of financial bonds and planning agreements.

Recommendation 8:
For clarity and consistency, NPPG4 should be updated to reflect wider policy shifts with respect to protecting areas with environmental and landscape designations. While designations continue to play an important role in protecting areas of greatest importance, NPPG14 reflects the importance of conserving and enhancing the quality of the wider environment. NPPG4 should reflect this changing emphasis.

Recommendation 9:
Improved information on levels of minerals production and demand would enable earlier and clearer identification of potential conflicts between mineral extraction and the protection of important environmental resources.

Recommendation 10:
Given the changing context of the rural and agricultural economies in Scotland, NPPG4 guidance in relation to agricultural land should be expanded from conservation of 'prime agricultural land' to take account of wider rural regeneration issues.

Recommendation 11:
There is evidence that the 'buffer zone' advice set out in NPPG16 is being applied more widely. Given both this, and the general level of interest in this aspect of guidance, the issue merits further consideration. This should include a review of the appropriate balance between prescriptiveness and the need for site-by-site assessment.

Recommendation 12:
As there is still a perceived variation in the quality of operating conditions and aftercare, a PAN on restoration, aftercare and afteruse would be welcomed.

Recommendation 13:
The policy position in relation to the use of financial restoration bonds and legal agreements should be clarified. As many planning authorities already require financial bonds, the inclusion of such a requirement in NPPG4 would help to ensure a 'level playing field.

Guidelines for Primary Aggregates

12. The key research findings are:

• there is considerable debate about continuing with 'ensuring an adequate and steady supply of aggregates' as an overriding policy objective;
• there was broad agreement that the system has delivered an adequate supply of aggregates. However, industry representatives also suggested that whilst the system has worked so far, there could be a problem ten years from now, as a result of current policy restrictions. Any review of NPPG4 should take into account long term prospects, as well as performance to date;
• irrespective of the above, there is a clearly identified need for an improved system for collecting, collating and publishing aggregates data. Such a system could be implemented and monitored by a co-ordinating 'RAWP-type' body;
• a more strategic approach to minerals planning, possibly including national forecasts and regional apportionments, would also help to resolve the uncertainty over the definition of 'local market areas'; and
• there is considerable support for the view that landbanks are necessary to ensure 'adequate and steady supply', although there is some confusion over the interpretation of the guidance on landbanks provided in NPPG4. Opinions on the continued validity of the landbank system are divided.

Recommendation 14:
Maintaining an 'adequate and steady supply of aggregates' remains a valid policy objective, provided that 'adequate', 'supply' and 'aggregates' are defined to ensure policy priorities are clear (e.g. policy with regard to the exporting of aggregates and the emphasis placed on alternative and substitute materials).

Recommendation 15:
To deliver an 'adequate and steady supply of aggregates' requires an improved system for collecting aggregates data. To facilitate this, further consideration should be given to establishing a Scottish RAWP or Aggregates Roundtable. Such a body could also help ensure a more consensual and consistent approach to the definition of local market areas.

Recommendation 16:

There is considerable support for maintaining the landbank concept as an integral part of the aggregates planning system, provided that the policy is clearly defined to ensure consistency of interpretation, the information is available to identify and maintain landbanks and there is some degree of flexibility to ensure other policy objectives are not compromised.

Guidelines for Recycled and Secondary Aggregates

13. The key research findings are:

• there is an increased policy emphasis on the production and use of recycled and secondary aggregates and this should be reflected in any revisions to NPPG4;
• recycling activities are influenced by a range of economic, technical and regulatory factors. However, land use planning has a role to play in the provision of an adequate network of facilities for the production of recycled and secondary aggregates;
• whilst there are concerns about the availability of information on waste arisings and reuse, the development of targets for the production of recycled and secondary aggregates is supported. These should be reflected in planning policy guidance and should take account of acknowledged regional differences and
• there is strong support for the inclusion of further practical guidance in NPPG4 on identifying sites for the production of recycled and secondary aggregates, controlling environmental effects and on determining whether recycled and secondary aggregates production represents the BPEO for aggregates supply.

Recommendation 17:
Ongoing work to develop targets and indicators for the production of recycled and secondary aggregates should be reflected in NPPG4, and should acknowledge regional differences.

Recommendation 18:
The increased policy emphasis on the production and use of recycled and secondary aggregates should be reflected in a revised NPPG4 to ensure that primary aggregates are used only as a 'last resort'. Reference should be made to wider initiatives such as sustainable waste management and sustainable construction.

Recommendation 19:
Consideration should be given to the provision of further practical advice on identifying sites for the production of recycled and secondary aggregates, controlling environmental effects at both permanent and temporary sites and on determining whether recycled and secondary aggregates production represents the BPEO for aggregates supply. This could be provided through an additional PAN or revisions to PAN50 and accompanying annexes.

Guidelines for Other Minerals

14. The key research findings are:

• with the exception of coastal superquarries, there are fewer concerns about planning guidance on the extraction of 'other' minerals;
• coastal superquarries continue to be the subject of extensive debate. Indeed, they appear to have resulted in an exacerbation of the polarisation of Industry and environmental groups in relation to minerals planning in general. Further guidance on national policy would be welcomed by all those involved in the minerals planning process;
• peat extraction may also require further attention, particularly given more recent policy guidance relating to designated areas;
• increasing attention may need to be paid to the planning guidance on metalliferrous and other specialised minerals in light of recent interest in Barytes reserves; and
• the winning of marine dredged minerals may require further attention in light of more recent policy on coastal planning, and evidence of growing Industry interest in its potential.

Recommendation 20:
Given a perceived shift in government policy, NPPG4 guidance on the development of coastal superquarries should be clarified.

Recommendation 21:
Whilst the need to protect nature conservation and archaeological interest is widely accepted, policy statements with respect to peat extraction should make more explicit reference to the need to balance conflicting objectives.

Recommendation 22:
References to consulting government with regard to establishing 'national interest' or 'national significance' should be reviewed, given recent indications that the determination of need is market led rather than a matter of government policy.

Development Plans

15. The key research findings are:

• on the whole, development planning advice has been viewed as generally acceptable;
• development plans have been criticised as being unwieldy and too slow to prepare. The debate on minerals policy making is no exception to this;
• despite this, NPPG4 itself is generally considered to provide adequate advice for the preparation of Local and Structure Plans;
• there are several key issues which could be the subject of an extended policy focus, including the growing emphasis on recycling, other aspects of sustainable minerals planning and a more holistic approach to resource management;
• policy formulation relies on the availability of accurate and up to date information. Many authorities do not feel well equipped to make policy decisions on the basis of their own judgement or knowledge of the market;
• a number of authorities have experienced difficulties in terms of the designation of preferred areas. This suggests that a key objective of NPPG4, balancing environmental protection with market requirements, is not being realised in practice; and
• there is some confusion over the role and status of non-statutory guidance.

Recommendation 23:
Given recent moves towards the preparation of waste subject plans, the merits of mineral subject plans should be reviewed. The preparation of these plans should be encouraged (where appropriate) provided that information and resourcing issues are addressed fully.

Recommendations 24:
Policy support for the identification of areas of search and preferred areas should be reviewed. Whilst demarcation of these areas can provide a level of certainty, ensure early identification of potential conflict with other uses and enable proper environmental scrutiny and appraisal, information requirements and resourcing issues must be addressed for boundaries to be drawn in a meaningful way.

Recommendation 25:
The role and status of non-statutory guidance should be clarified. Whilst this should reflect the Executive's support for greater use of supplementary guidance, this should not be seen as a substitute for adequate development plan coverage of mineral planning issues.

Development Control

16. The key research findings are:

• the use of planning conditions is critical. This was particularly highlighted in relation to the operational phase of extraction aftercare, restoration and after-use of sites and the production of recycled and secondary aggregates;
• concerns have been raised over the level of technical expertise of development control officers involved in minerals decision-making; and
• the linkages between development plan policies and development control decision-making are also interesting. In light of the primacy of the development plan, there is a need to explore how potentially controversial policies, or a lack of explicit policy guidance, have led to contentious development control decision-making on the ground.

Recommendation 26:
Given the complex and often technical nature of development control decisions, consideration should be given to the need for further advice and/or training at both officer and elected member level. Given the potentially intrusive and long-term nature of mineral operations, this should include the appropriate and effective use of planning conditions and legal agreements.

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