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Consultation on proposals for transposition and implementation of Directive 2002/49/EC of the European Parliament and of the Council of 25 June 2002 relating to the assessment and management of environmental noise

4. Process for making action plans

Action plans

4.1. The END requires the competent authorities, designated by the Member States, to develop and adopt action plans 'designed to manage, within their territories, noise issues and effects, including noise reduction if necessary'. Plans for agglomerations shall also aim to protect quiet areas against an increase in noise. (Article 8, paragraph 1). The END also lists the minimum requirements for the content of each plan (Annex V) (See Annex A to this document).

Coverage of action plans

4.2. The END requires that, by 18 July 2008, the first round of action plans must be made for (Article 8, paragraph 1):

• places near the major roads which have more than 6 million vehicle passages a year, major railways which have more than 60,000 train passages per year and all major airports (those with more that 50,000 movements per year); and
• agglomerations with more than 250,000 inhabitants.

4.3. As with the strategic noise mapping (as set out in Chapter 3), lower thresholds will apply for the second round of action planning and subsequent rounds thereafter. The action plans prepared for 2013 must be made for (Article 8, paragraph 2):

• places near the major roads, major railways and major airports; and
• agglomerations.

4.4. The agglomeration action plans must cover the area of the agglomeration. Outside agglomerations action plans must be developed for places 'near' the designated major sources. The Scottish Executive intends to define the term "places near" in terms of levels of exposure which need to be reported to the Commission: i.e. out to the L_den 55dB and L_night 50dB contour bands in a noise map (see Annex VI of the END). The distance noise propagates from linear sources such as major roads and railways depends on the surrounding features. In practice the distance out to these contour bands is unlikely to be more than 2.5 kilometres. In the case of relevant airports the distance to the L_den 55 dB and L_night 50 dB contours would be rather larger.

Competent authority for developing action plans

4.5. As stated in Chapter 2 the END requires the designation of a competent authority to be responsible for the development of action plans. The competent authority is responsible for ensuring that an action plan is developed but it may well be the case that the necessary powers to implement the actions which might be contained in the plan rest with other bodies. Where this is the case the Scottish Executive intends that the powers for taking action to manage the noise climate will remain with the bodies which already hold them. These powers to take action lie with a wide number of organisations. It is not the Scottish Executive’s intention to alter such arrangements.

4.6. The Scottish Executive expects that any bodies/authorities named in the finalised action plans, including those with the power to take action, should take the necessary steps to treat the action plans as policy. They should, therefore, take the plans into account as a ‘relevant’ or ‘material’ consideration when making a policy decision.

4.7. Therefore, as previously explained in Chapter 2, the Scottish Executive proposes that the Scottish Ministers should be designated as the competent authority for the development of action plans, for each of the agglomerations and for roads and rail. However, where appropriate the Scottish Ministers may enter into agreements with the organisations with the power to take measures to develop the action plans on behalf of the Scottish Ministers. The funding burden for this work would be met by the Scottish Executive. For aviation, the Scottish Executive proposes that each major airport operator (including the designated airports) should be the competent authority for making action plans.

Scope of action plans and the basis on which they are prepared

Action to reduce noise 'if necessary'

4.8. The END states (Article 8, paragraph 1) that the measures to manage and reduce noise within the plans are 'at the discretion of the competent authorities' but that they should address 'priorities' which may be identified by the 'exceeding of any relevant limit value or by other criteria chosen by the Member States'. The END requires the measures within the plans to apply in particular to the most important areas as established by noise mapping (Article 8, paragraph 1). The END also recognises that it will be necessary to carry out a cost-benefit analysis of any action proposed during the development of action plans (Annex V, paragraph 1). This will help to ensure that limited resources are being channelled to the most effective measures.

Limit values

4.9. Member States are required to inform the Commission of existing limit values or limit values in preparation (Article 5, paragraph 4). They must be expressed in terms of the noise indicators L_den and L_night. Limit values are defined as meaning ‘a value of L_den or L_night, and where appropriate L_day and L_evening, as determined by the Member State, the exceeding of which causes competent authorities to consider or enforce mitigation measures' (Article 3 (s)).

4.10. As no formal limit values exist in Scotland the Scottish Executive will frame a submission stating this to meet our obligations under Article 5 paragraph 4. However, we do have guidelines and other threshold values already found in regulations and guidance. These include Planning Advice Note 56, the Noise Insulation Regulations 1975 (as amended in 1988)²¹, and the Noise Insulation (Railways and Other Guided Transport Systems) Regulations 1996²². The Antisocial Behaviour (Noise Control) (Scotland) Regulations 2005 refer to domestic internal noise limits of 41dB(A) daytime, 37dB(A) evening and 31dB(A) night. In addition, some industrial installations will already be subject to noise limit values via their permits. The Scottish Executive proposes to use these existing policies as part of the process for establishing other criteria for the prioritisation for action plans as set out below.

Other criteria

4.11. The END offers very limited advice on the criteria which might be used to prioritise action plans and establish where noise reduction is necessary. If further guidance is produced by the European Commission this is unlikely to be in time for the transposition of the END in the UK. It will, in the interim, be necessary for the Scottish Executive to issue further information on how to prioritise and develop an action plan and judge when noise reduction measures are necessary (Article 8, paragraphs 1 and 2). These criteria will have to be included in the implementing regulations, necessitating their revision at that point. This information will also advise on the cost-benefit analysis to use when considering possible noise reduction measures.

4.12. The Scottish Executive intends to issue this information and prioritisation criteria, based where possible on existing guidance and best practice, for all sources covered by the END. The information on prioritisation criteria will be ultimately included in the transposition regulations and they will therefore be subject to public consultation before they are finalised (See paragraph 4.30). These criteria will then be submitted to the European Commission in compliance with Article 8, paragraph 3.

4.13. The bodies drawing up the draft action plans will have to take account of these prioritisation criteria in the course of their work. Therefore, this information would be produced in advance of the first round of action planning in 2008 which would have to refer to them. The Scottish Executive believes that the prioritisation criteria would need to be reviewed every five years in accordance with the action planning timetable. If any revisions were considered to be required, they would be subject to full public consultation.

Quiet areas in an agglomeration and in open country

4.14. Article 3(l) and 3(m) of the END have the following definitions:

• ‘quiet area in an agglomeration’ shall mean an area, delimited by the competent authority, for instance which is not exposed to a value of L_den or of another appropriate noise indicator greater than a certain value set by the Member State, from any noise source;
• ‘quiet area in open country’ shall mean an area, delimited by the competent authority, that is undisturbed by noise from traffic, industry or recreational activities.

4.15. Article 1, paragraph 1(c) of the END states that one of the aims of the END is to preserve environmental noise quality where it is good. Article 8, paragraph 1(b) of the END requires that action plans should aim to protect quiet areas in agglomerations against an increase in noise. There is no requirement, or indeed mechanism, in the END at this stage to address quiet areas in open country. However, this may change at a later date. Article 11 requires the Commission, by 18 July 2009, to submit a report to the European Parliament and Council on whether there is a need for further community actions on environmental noise and to propose implementation strategies. One aspect that this report will consider, among other things, will be the protection of quiet areas in open country.

4.16. Research on the issue of quiet areas is still at an early stage and the European Commission hopes to produce further guidance in due course. The Scottish Executive is of the opinion that the strategic noise mapping will not be able to identify definitively quiet areas, and will in practice only identify potentially quiet areas. This is due to the impact of other acoustic and non acoustic factors, not addressed by the strategic noise maps, that may have a bearing on how noise in an area might be perceived.

4.17. The Scottish Executive’s overall aim is to identify areas that would benefit from the protection of their existing potentially quiet environment. The proposed approach is to combine the noise maps with information regarding land use, as well as other relevant information (including, for example, local transport plans, development plans and spatial strategies) in the making of action plans.

4.18. The Scottish Executive proposes therefore that two criteria would be used, in parallel, to establish ‘potentially quiet areas in an agglomeration’:

• Using relevant land use maps for the agglomerations, identify, appropriate areas for designation as a potentially quiet area (e.g. certain recreational spaces); and
• An acoustic threshold locating areas not exposed to a value of L_den greater than 55dB(A) from any individual noise source considered under the END (i.e. noise from road, rail and air transport, industrial noise and noise from ports).

4.19. The 55dB(A) figure has been suggested since it is the lowest value that must be marked on the strategic noise maps produced for the END. Areas that meet both these criteria could then be considered as ‘potentially quiet areas’. The organisations involved in the preparation of the action plans required by the END would then aim to ensure the preservation of the existing quiet environment in these areas.

Q4.1 Do you agree with the proposed approach? If not, what alternative approach would you propose?

Steps in developing an action plan

4.20. While the END makes a clear link between the strategic noise mapping exercise and the action plans which must be developed (Article 1, paragraph 1 (c); Article 8, paragraph 1; Annex IV, paragraph 4; and Annex V, paragraph 1), the level of detail from strategic noise mapping is only likely to be sufficient to highlight areas where noise levels may be of concern.

4.21. Once the competent authority has been established and the Scottish Executive has identified priorities for noise reduction and other noise management issues (as set out in paragraph 4.12), we propose that the task of developing a draft action plan should be carried out by various bodies and organisations – to be known as ‘key partners’ - depending on the noise source considered. Where the Scottish Ministers are the competent authority for making the action plans (the Scottish Executive proposes that this should be the case for roads, rail and agglomerations), he/she would enter into agreement with key bodies regarding the preparation of the draft plans. Further details are set out in Chapters 5, 6, and 8 but we propose the following key partners:

• Roads –Roads Authorities (including the Scottish Trunk Roads Authority);
• Rail – Network Rail;
• Agglomerations –Scottish Executive through the use of consultants (in the absence of a single Local Authority for all of these large areas).

4.22. The key partners would be tasked with producing a draft plan (on behalf of the Scottish Ministers), on the basis of the noise maps, in accordance with the requirements of the END and taking account of the information (See paragraph 4.11) provided by the Scottish Executive regarding the prioritisation of action plans. The Scottish Executive proposes that the key partner would draw up the a draft plan in consultation with a number of relevant stakeholders including the public (possibly through residents groups or by holding local workshops) in accordance with Article 8, paragraph 7. It is suggested that the regulations should set out a number of statutory consultees (this is explored in more detail in Chapters 5, 6, and 8) that the key partners must consult at this stage, but this need not be an exclusive list.

4.23. In drawing up the draft action plan, the key partner would take into account a number of issues, including the ‘relevant criteria’ as established by the Scottish Executive (See paragraph 4.11) consideration of the effectiveness of any actions and appropriate cost-benefit analysis. A number of practical options would be identified and the costs and benefits established.

4.24. This draft plan would then be subject to full public consultation (meeting the requirements of Article 8, paragraph 7). The key partner would then submit the draft plan, amended if necessary in the light of the public consultation, to the Scottish Ministers, as the competent authority, for approval. Once the Scottish Ministers have collected the plan, or approved the draft plan as complete and in accordance with the requirements in the END (see paragraph 3.27) they would then submit the final plan to the European Commission.

4.25. The process is summarised in the steps below:

• Key partner, in consultation with statutory consultees and other relevant local stakeholders draws up a draft action plan on the basis of the noise maps and guidance issued by the Scottish Executive;
• Draft plan put out to public consultation for 6 weeks in line with current planning proposal consultations;
• Results of public consultation analysed and draft action plan amended in the light of these as appropriate by the key partner;
• Plan submitted to the Scottish Ministers;
• Plan approved by the Scottish Ministers;
• Plan published and sent to Commission.

Should the plan be found to be inadequate at the approval stage it would be returned to the key partner to amend/complete or would if necessary, be amended/completed by the Scottish Ministers.

4.26. The END requires the first round of strategic noise maps on which the action plans will be based to be prepared by 30 June 2007 and the first round of action plans to be prepared a year later on 18 July 2008. Therefore this allows a maximum of just over 12 months to prepare, agree and finalise the action plans.

4.27. It should be noted that this is the generic process and, as stated in paragraph 4.11, the Scottish Executive intends to consult on and issue further information on developing action plans at a later stage.

4.28. Airport action plans may be a separate case as we propose that the Airport Operators should be the competent authority for the making of the action plans. The airport operators, as competent authorities would make the action plans for their airports in accordance with the requirements in the END. This would include involving the public both at the pre-drafting stage and consulting them on the draft plan once it has been produced.

4.29. Once the airport operators had made the action plans they would submit them to the Scottish Ministers whom the Scottish Executive proposes designating as the competent authority for the collection of action plans. This collection function will include checking that the competent authorities have included the relevant material under all headings required by the END and the implementing regulations. Only then will the Scottish Ministers submit the maps to the European Commission. This process is explained in greater depth in Chapter 7.

Q4.2: Do you agree with the proposed generic approach towards developing action plans to manage noise?

How we will consult the public on action plans

4.30. The END stipulates that the Action Plan proposals must be put out to public consultation, and that the public be given early and effective opportunities to participate in the preparation (and review) of action plans. The results of that participation must then be taken into account when finalising the action plan. The public must also be informed of the decisions eventually taken (Article 8, paragraph 7).

4.31. Where the Scottish Ministers are the competent authority for the making of action plans the Scottish Executive is proposing two stages of public consultation process during the making or revision of an action plan. The first stage would be consultation on what the action plan might contain in the light of the information on prioritisation criteria and a cost benefit analysis (See paragraph 4.12). The second stage of the consultation process would be on the draft action plans themselves. The draft plan would also set the proposals in context by setting out the criteria that they are based on, along with details of the cost-benefit analysis. The Scottish Executive proposes that the public consultations at this stage should last for at least 6 weeks, in line with current planning proposal consultations. In the case of airport operators, who are proposed as the competent authority for airport action plans, it would be their responsibility to ensure that the requirements of the END had been met. The Scottish Ministers, as part of the collecting function, would ensure that this was done, before submitting the plan to the European Commission.

4.32. We are proposing that the consultation documents would be made available electronically on a central website. Hard copies would also be made available for inspection at regional offices of national organisations involved and relevant local authority offices or public libraries. The plans could also be supplied by post for a reasonable charge.

4.33. Written comments on the draft plans would be requested in the consultation exercise. Respondents would be able to submit their comments to a dedicated postal address or on-line.

Q4.3: Do you agree with the above proposals for public consultation on the draft action plans?

4.34. In the transposition of the END, the Scottish Executive are also aware of the ongoing work on the implementation of Directive 2003/35/EC²³ which is due to be transposed into UK law by 25 June 2005. This Directive relates to public participation rights in the preparation and review of relevant plans but does not directly affect the END and the Scottish Executive is working to ensure that, in the transposition of both Directives, no duality of work is required.

Review of action plans

4.35. The END also requires that action plans be reviewed, and revised if necessary, at least every five years (Article 8, paragraph 5). The Scottish Executive proposes to establish a cycle where all action plans are revised (if necessary) every five years in the light of a mapping exercise which will be carried out the year before. The process for the revision of action plans would be the same as for their creation, including the requirements regarding public consultation.

4.36. The END also requires that action plans be reviewed, and revised if necessary, when there is a major development affecting the existing noise situation (Article 8, paragraph 5). The Scottish Executive proposes that the trigger for that review (and potential consequential revision) would be a development as set out in paragraph 3.26 such that could require a change to the existing action plan. Ideally the review and any subsequent revision should be carried out by the organisation or authority that carried out the mapping originally.

Q4.4: Do you agree with the proposed trigger for the review of action plans?

Finalisation of Action plans

4.37. As with the noise mapping In the context of action planning, there should be an approval process which will act as the mechanism whereby it is made clear when the legal duty to produce a map has been adequately discharged. This function is to ensure that action plans comply with the requirements of the END.

4.38. If the Scottish Ministers are named as the competent authority for the preparation of the action plans, this approval will be an integral part of the preparation process. If the Scottish Ministers are not the competent authority (this may be the case for airports, where we propose that the competent authority for the making of plans should be the relevant airport operator (see Chapter 7)) the Scottish Ministers will instead be designated as the competent authority for the collection of the plans. This collection function will include ensuring that the competent authorities responsible for producing the plan have adequately discharged their responsibilities and complied with the requirements of the END. Only then will a summary of the plans be submitted to the European Commission (in accordance with Article 10, paragraph 2).

Publication of action plans

4.39. Final adoption of the plans would be announced by publication of a notice by the Scottish Ministers. The plans would be available on the internet and also in hard copy from the head office of the organisation responsible for the development of the plan. The Scottish Ministers would take responsibility for onward transmission of the summaries of the plans to the European Commission.

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