Scottish Government

Development Department Research Programme
Research Findings No.139 - The Review of NPPG4: Land for Mineral Working

Land Use Consultants, Glasgow

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1 Opencast coal and related minerals, are now covered by NPPG 16 (March 1999).

Main Findings

• NPPG4 continues to be well received as it provides a useful summary of all relevant mineral planning policy considerations.
• NPPG4 should continue in its present form, setting out national minerals planning guidance for the purposes of plan preparation and development control.
• 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 improvements which have inevitably arisen from the 'hands on' use of the first version of NPPG4.
• There is a general consensus that a stronger institutional framework is required to ensure the successful delivery of NPPG4's stated objectives, and that the Scottish Executive should adopt a stronger and more proactive role in monitoring and reporting on levels of minerals production and demand.

Background

As part of a series dealing with planning issues of national importance, Circular 51/1977 introduced National Planning Guidelines 'on the location of quarries for sand and gravel, and hard rock' (para. 2). The guideline divided the country into three broad zones based on a number of factors including the general landscape character of the area. It also recommended the establishment of landbanks and accepted, in principle, the establishment of an exporting coastal superquarry. Circular 51/1977 was superseded by NPPG4: Land for Mineral Working in 1994. With the exception of opencast coal and related minerals, NPPG4 remains the key source of minerals policy guidance for planning authorities in Scotland.

Although NPPG4 was written prior to the publication of much of the generic national planning guidance 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' guidance notes (e.g. archaeology and natural heritage) it is likely that there would be considerable resistance if it were suggested that NPPG4 should be 'discontinued'.

Aim and Methods

The central aim of the research was 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. The research involved extensive consultation with NPPG4 'users' including local planning authorities, Scottish Executive Inquiry Reporters, trade associations and other industry representatives; and non-government organisations and other sectoral interests. This included discussion of the following:

• views on the overall clarity of policy intentions and ease of use;
• the extent to which the existing guidance adequately addresses 'stakeholder' concerns;
• interpretation of the term 'sustainability' in relation to minerals planning;
• feedback from the 'hands on' use of NPPG4 (including involvement with development plans/development control decisions);
• views on the continued relevance of the policy statements.

The consultation was supplemented by a review of relevant literature, post _1994 policy and legislation and of a hierarchy of development plans and development control decisions.

Key Findings and Recommendations

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.

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 'hand on' use of the first version of NPPG4.

Clarity of Policy Intentions and Overall Ease of Use

Generally, NPPG4 is seen as a clearly written, well laid out, understandable and concise document. Further explanation or clarification was requested in relation to a small number of issues and inevitably, there are some inconsistencies with more recent policy and advice. Perhaps the most important issue raised in relation to the overall use of NPPG4 concerns the institutional structure necessary to ensure the successful delivery of NPPG4's stated objectives.

Interpretation of Sustainability

Differing interpretations of sustainability are inevitable and this topic generated considerable debate. However, whilst it is generally accepted that the underlying principles of 'sustainable mineral extraction' remain unchanged, 'recent thinking' emphasises 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

Some aspects of the guidance generated more discussion than others and this reflects recent/emerging policy developments (e.g. with regard to the treatment of designations and agricultural land), and continued uncertainty with regard to the appropriate level of prescriptiveness, and developments in 'good practice' restoration and aftercare. Clarification in relation to the use of financial bonds and planning agreements, and the application of 'buffer zone advice' would particularly be welcomed.

Guidelines for Primary Aggregates

Perhaps unsurprisingly, this policy advice generated more discussion than any other section of the guidance. The debate focussed on the validity of the policy objectives, the guidance on landbanks and the practical difficulties of determining levels of 'need'/'supply', and 'appropriate market areas'.

It is generally felt that 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. The delivery of this 'supply' requires an improved system for collecting aggregates data. 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

There is an increased policy emphasis on the production and use of recycled and secondary aggregates. It is generally accepted that the land use planning implications of the policy, research and technological advances that have taken place post-1994 should be reflected in any revisions to NPPG4. Land use planning has a key role to play in the provision of an adequate network of production facilities and the control of any environmental effects.

Guidelines for other Minerals

With the exception of coastal superquarries, there are fewer concerns about planning guidance on 'other' minerals. The issue of superquarries inevitably arose during the course of this research and views have been reported. It is recommended that NPPG4 guidance on the development of coastal superquarries is clarified. Peat extraction may require further attention, particularly given more recent policy guidance relating to designated areas. The same may apply to planning guidance on metalliferrous and other specialised minerals in light of recent interest in baryte reserves.

Development Plans

Many of the issues raised during the course of this research reflect the wider debate over the development planning system in Scotland, including concerns over the lengthy preparation process, inconsistent approaches to policy making and the availability of accurate information for the identification of preferred areas for different development activities. It is recommended that policy support for the identification of areas of search and preferred areas is 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. It is also suggested that the preparation of mineral subject plans should be encouraged, where appropriate, provided that information and resourcing issues are addressed fully.

Development Control

Development control encompasses a wide range of detailed aspects of minerals development, many of which are covered in previous sections. In relation to the actual procedures of development control, the main issues raised during the course of the research included the use of conditions, planning agreements and restoration bonds. Concerns were also raised over the level of technical expertise of development control officers involved in minerals decision-making and the related need for specialist advice. Consideration should be given to the need for further advice and/or training, including the appropriate and effective use of planning conditions and legal agreements.

About the Study

National Planning Policy Guideline 4 (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 NPPG 16 (March 1999), NPPG4 remains the key source of minerals policy guidance for planning authorities in Scotland. 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 research comprised a targeted review of relevant literature; the compilation of a 'checklist' of post-1994 policy and legislation with the potential to influence minerals planning in Scotland; consultation seminars with NPPG4 'users'; questionnaire surveys of all local planning authorities and of Scottish Executive Inquiry Reporters involved in minerals issues; and a review of a hierarchy of development plans and development control decisions to track the influence of NPPG4 'on the ground'. The report describes the aims and methods of the research, outlines the findings and provides recommendations for potential review.