text:
Citation and commencement
1
1
These Rules may be cited as the Transport and Works (Applications and Objections Procedure) (England and Wales) Rules 2000.
2
These Rules shall come into force on 16th October 2000.
Revocation
2
Subject to rule 3 below, the Transport and Works (Applications and Objections Procedure) Rules 1992 (“the 1992 Rules ”) are hereby revoked.
Transitional provisions
3
1
Where an application has been made under the 1992 Rules before the date of coming into force of these Rules and the Secretary of State has not, before that date, either made an order pursuant to that application or notified the applicant that he has decided not to make such an order, the 1992 Rules shall continue to have effect in relation to that application and these Rules shall not apply in relation to it.
2
Where these Rules apply to an application but before the date of coming into force of these Rules the applicant has, in relation to that application, served notices that he would have been required to serve pursuant to rule 3(2) and (3) of the 1992 Rules (had the 1992 Rules, applied to that application) he shall not, in relation to that application, be required to serve any notice pursuant to rule 5 of these Rules but shall, when making his application, provide with that application evidence by affidavit of compliance with rule 3(2) and (3) of the 1992 Rules, together with 3 copies of such evidence.
3
Where these Rules apply to an application but before the date of coming into force of these Rules the applicant has, in relation to that application, published pursuant to rule 9(2) of the 1992 Rules the notice which by virtue of that rule he would have been required to serve not more than 14 days before making the application (had the 1992 Rules applied to that application), he shall not be required, in relation to that application, to publish the notice which pursuant to rule 14(2) of these Rules he would otherwise be required to publish not more than 14 days before the making of the application.
Interpretation and notices
4
1
In these Rules (unless the context otherwise requires) references to sections are references to sections of the Transport and Works Act 1992 and —
“ the Act ” means the Transport and Works Act 1992;
“application” means an application under section 6 and “applicant” means a person making, or proposing to make, an application;
“banks”, in relation to an inland waterway referred to in a category in Schedule 2, 5 or 6 below, has the meaning given in section 72(1) of the Land Drainage Act 1991 ;
“bridleway” has the same meaning as in the Highways Act 1980 ;
“byway” means a way shown and described as a byway open to all traffic or a road used as a public path in a definitive map and statement, as defined in section 53(1) of the Wildlife and Countryside Act 1981 ;
“Crown interest” means a Crown or Duchy interest within the meaning of section 25(2);
“cycle track” has the same meaning as in the Highways Act 1980;
“ the Directive ” means Council Directive No. 85/337/ EEC on the assessment of the effects of certain public and private projects on the environment as amended by Council Directive 97/11/ EC ;
“documents” includes photographs, drawings, maps and plans;
“environmental impact assessment” means an assessment, in accordance with Articles 5 to 10 of the Directive, of the likely impact upon the environment of the implementation of the works included in any order in respect of which an application is being, or is to be, made;
“environmental statement” means a statement that contains —
the information referred to in rule 11(1) below, and
such of the information referred to in Schedule 1 to these Rules as may reasonably be required in order to assess the environmental effects of the proposed works and which the applicant can, having regard in particular to current knowledge and methods of assessment, reasonably be required to compile,
and “applicant’s statement of environmental information” means a statement submitted by an applicant as the environmental statement in relation to his application;
“expiry date for objections” means the date, being a date not less than 42 days after the date on which the application in question is made, which the applicant specifies in the notice published pursuant to rule 14(1) below as the final date for making objections and other representations;
“footpath” has the same meaning as in the Highways Act 1980;
“highway” has the same meaning as in the Highways Act 1980;
“local authority” means a county council, a district council, (in Wales) a county borough council, a London borough council, the Common Council of the City of London, the Council of the Isles of Scilly, London Regional Transport and a Passenger Transport Executive;
“local planning authority” means a local planning authority within the meaning of Part I of the Planning Act ;
“objection” has the meaning given by rule 22 below and “objector” shall be construed accordingly;
“occupier” means a person occupying land under a tenancy for a period of more than one month (not being a statutory tenant within the meaning of the Rent Act 1977 or the Rent (Agriculture) Act 1976 ) and includes —
a statutory undertaker (not being an owner) having a right to keep equipment on, in or over land, and
a person having the right to construct or maintain, at a specific position on an inland waterway, a mooring post, gangway, landing stage or other erection or installation for a vessel (not being anything which when not in use is normally carried on the vessel);
“operator” —
in relation to a transport system, means any person carrying on an undertaking which includes the system, or any part of it, or the provision of transport services on the system, and
in relation to an inland waterway, means the navigation authority and, if different, the conservancy authority within the meaning of section 221(1) of the Water Resources Act 1991 ;
“owner”, in relation to land, means a person, other than a mortgagee not in possession, who is for the time being entitled to dispose of the fee simple of the land (whether in possession or reversion) and includes also a person holding, or entitled to the rents and profits of, the land under a lease or agreement, where the unexpired term of that lease or agreement exceeds 3 years;
“pipeline owner” means —
any person in whom a pipe-line, within the meaning of section 65 of the Pipe-Lines Act 1962 is vested, and
any person —
designated as the owner of a controlled pipeline, within the meaning of section 14(2) of the Petroleum Act 1998 , by an order made by the Secretary of State under section 27 of that Act, or
who is entitled to operate any such controlled pipeline in relation to which no such order has been made;
“the Planning Act” means the Town and Country Planning Act 1990 ;
“public telecommunications operator” means —
any person authorised by a licence to which section 8 of the Telecommunications Act 1984 applies to run a public telecommunications system, and
any person to whom the telecommunications code has been applied pursuant to section 10 of that Act;
“relevant coastal authority” means, in relation to works situated, or proposed to be carried out, in tidal waters which do not lie within the boundary of the area of a local authority in England or Wales —
every local planning authority whose area has a boundary which lies within 15 kilometres of any point on the works, or
where there is no such local planning authority, the local planning authority with the area boundary closest to the works;
“representation” has the meaning given by rule 22 below;
“river” means any river (including any part of a river which is tidal or which has been canalised), lake, stream, ditch, culvert, drain, dyke, sluice, weir or any other passage by which water drains, but does not include —
a canal or inland navigation which is not a canalised part of a river,
any part of the river Tweed (as defined in section 2(7) of the Water Resources Act 1991 ),
any part of the river Esk or river Sark at a point where either of the banks of the river is in Scotland,
any part of any tributary stream of the river Esk or river Sark at a point where either bank of such tributary stream is in Scotland, or
a public sewer or a sewer or pipe used primarily for the drainage of a building or any premises appurtenant to a building, or of a street;
“scoping opinion” means an opinion given by the Secretary of State, pursuant to rule 8 below, as to the information to be provided by an applicant in an environmental statement;
“screening decision” has the meaning given by rule 7(3) below;
“statutory undertaker” means —
any person authorised by an enactment to carry on a railway, tramway, trolley vehicle, guided transport, road transport, water transport, canal, inland navigation, harbour, pier, lighthouse, electricity supply, hydraulic power, sewerage or water undertaking,
a pipeline owner,
a public telecommunications operator,
the Post Office,
the British Airports Authority,
the Civil Aviation Authority, and
a public gas transporter within the meaning of Part I of the Gas Act 1986 ;
“street authority” and “street managers” have the meanings given in sections 49(1) and 49(4) respectively of the New Roads and Street Works Act 1991 ;
“tidal waters” means such part of —
the territorial sea adjacent to the United Kingdom, and
the internal waters of the United Kingdom in so far as they are tidal or constitute part of the sea,
as lie within the English area (within the meaning of article 1(2) of the Civil Jurisdiction (Offshore Activities) Order 1987 );
“transport system” means a railway, tramway or trolley vehicle system or a system using a mode of guided transport prescribed by an order made under section 2;
“the Trinity House” has the meaning given in section 223 of the Merchant Shipping Act 1995 ;
“works” means any works that may be authorised by an order made under section 1, 3 or 7 but in rules 7, 8, 11 and 16 below, and in paragraphs 2, 5(c), 7(a), (d) and (e) and 12 of Schedule 8 to these Rules, shall also include any matter that may be authorised by such an order; and
“works affecting”, in relation to any land, means works proposed to be carried out in, on, over or adjacent to that land.
2
Where these Rules require that notice be served, published or displayed in a prescribed form, the notice shall be served, published or displayed (as the case may be), duly completed —
a
in that form,
b
in a version of that form adapted to meet the circumstances of the particular case, or
c
in a form which has substantially the same effect as that form (whether the form is adapted or not),
and, except where these Rules require that the notice in question be published in a newspaper, duly signed by or on behalf of the person required to give the notice.
3
A notice published pursuant to rule 14(2) and (3) below in a local newspaper circulating in Wales shall be expressed in Welsh as well as in English.
Preliminary notices
5
1
Where an applicant proposes to make an application for an order which, if made, would authorise the carrying out of works or make provision for matters specified in any of the categories in column (1) of the table in Schedule 2 to these Rules, the applicant shall, not later than 28 days before making an application, serve upon those named against that category in column (2) of that table a notice in the form of Form 1 in Schedule 3 to these Rules.
2
Where the order for which application is to be made would authorise any works or other matters comprising a project for the purposes of Annex I or Annex II to the Directive or the carrying out of any other works, the applicant shall, not later than 28 days before making an application, serve a notice in the form of Form 1 in Schedule 3 to these Rules upon —
a
every local authority in whose area a transport system, inland waterway or other works to which the proposed application relates is or are, or is or are to be, situated, or every relevant coastal authority, as the case may be;
b
in the case of an application affecting land in, or adjacent to, or tidal waters in, or adjacent to, England, the Countryside Agency and the Nature Conservancy Council for England ;
c
in the case of an application affecting land in, or adjacent to, or tidal waters in, or adjacent to, Wales, the Countryside Council for Wales ;
d
the Environment Agency ; and
e
the Secretary of State.
Provision of environmental information
6
1
Subject to paragraph (2) below, where an applicant at any time serves notice on a local planning authority (other than a county planning authority), the Nature Conservancy Council for England, the Countryside Agency, the Countryside Council for Wales, the Environment Agency or any of those named in column (2) of Schedule 2 to these Rules that, for the purposes of a proposed application, he wishes to be provided with relevant environmental information —
a
the recipient of the notice so served, if so requested in writing by the applicant and subject to the recipient being reimbursed the reasonable cost of so doing, shall provide to the applicant any information which the recipient has and which either the recipient or the applicant considers relevant to a screening decision (if that decision has not yet been made) or to the preparation of the environmental statement; and
b
in the event of the recipient failing to provide such information before the end of the period of 28 days beginning with the date of such request the Secretary of State may (upon being requested to do so by the applicant) direct the recipient to provide the information and the recipient shall, upon receipt of such a direction, provide the information forthwith.
2
Paragraph (1) above shall not require the disclosure by the recipient of information which is capable of being treated as confidential, or must be so treated, under regulation 4 of the Environmental Information Regulations 1992 .
The requirement for environmental statement and screening decisions
7
1
When making an application, an applicant shall submit an applicant’s statement of environmental information with that application in relation to any proposed works which are to be covered by that application, if those works constitute a project which is of a type mentioned in Annex I or, subject to paragraph (2) below, Annex II to the Directive .
2
Where the proposed works constitute a project of a type mentioned in Annex II to the Directive an applicant is not required to submit an applicant’s statement of environmental information if the Secretary of State has, under paragraph (13) below, notified the applicant that an environmental impact assessment is not required in relation to those works.
3
Before making an application (other than an application relating to works constituting a project which is of a type mentioned in Annex I to the Directive), an applicant may make a request in writing to the Secretary of State for a decision as to whether or not an environmental impact assessment of the proposed works covered by the application is required (a “screening decision”).
4
A request made pursuant to paragraph (3) above shall be accompanied by —
a
a plan sufficient to identify the land affected by the works in question,
b
a brief description of the nature and purposes of the order which the applicant proposes to seek (if an application is made under rule 9 below), and
c
a brief description of the possible effects on the environment of the works,
and may include such other information and representations as the applicant wishes to provide or make.
5
Unless informed in writing by the Secretary of State that he need not do so, an applicant, before submitting any request under paragraph (3) above for a screening decision, shall serve notice on —
a
every local planning authority in whose area the works would be carried out, were the order for which the applicant proposes to apply to be made, or the relevant coastal authority (as the case may be),
b
where the proposals relate to a project within tidal waters and would require a licence under Part II of the Food and Environment Protection Act 1985 , the Minister of Agriculture, Fisheries and Food,
c
the Environment Agency , and
d
those mentioned in rule 5(2)(b) and (c) above (in the circumstances mentioned in those provisions),
of his intention to make that request and shall include in each such notice the information to be included by virtue of paragraph (4) above in a request for a screening decision.
6
The recipient of any notice served under paragraph (5) above shall, not later than 42 days after receiving that notice, provide the applicant with a written opinion as to whether or not, in the view of the recipient, the works in question should be the subject of an environmental impact assessment.
7
The applicant shall include with any request for a screening decision made under paragraph (3) above copies of any opinions received by him under paragraph (6) above in relation to the works which are the subject of that request.
8
Where a request for a screening decision relates to an order which would, if made, authorise works which for the purposes of the Directive could constitute two or more projects which are not interdependent, the Secretary of State may, if he considers it expedient, treat each such project separately for the purposes of paragraphs (9) to (14) below and, in such a case, the references in those paragraphs to works shall be construed as relating to each such project separately, and the references to a screening decision shall be construed as relating to such a decision in relation to each such project.
9
If the Secretary of State considers that the information provided by an applicant in or with a request made under paragraph (3) above is insufficient to enable him to make a screening decision he shall, not later than 28 days after receiving the request, notify the applicant in writing of the additional information that he considers he requires in order to make that decision.
10
On receiving a notification under paragraph (9) above, the applicant shall provide the Secretary of State with such of the additional information specified in that notification as the applicant is reasonably able to supply and, where any of the additional information so specified is not provided, a written explanation as to why the applicant is unable to provide that information.
11
In making his screening decision, the Secretary of State shall take into account the selection criteria set out in Annex III to the Directive .
12
If the Secretary of State considers that the works in question would be likely to have a significant effect on the environment if carried out, his screening decision shall be that an environmental impact assessment of the works is required.
13
The Secretary of State shall notify the applicant of his screening decision not later than 42 days after receipt of the request made pursuant to paragraph (3) above or, where a notification has been given under paragraph (9) above, not later than 42 days after receiving the further information that the applicant is required to supply by virtue of paragraph (10) above.
14
If the Secretary of State decides that an environmental impact assessment of the works is required, he shall give reasons for that decision in the notification given under paragraph (13) above.
Scoping opinion
8
1
Before submitting an application in relation to works for which an environmental impact assessment is or may be required, the applicant may ask the Secretary of State to state in writing his opinion as to the information to be provided in the environmental statement (a “scoping opinion”).
2
A request under paragraph (1) above shall be accompanied by —
a
a plan sufficient to identify the land affected by the works in question,
b
a brief description of the nature and purpose of the proposed works, and
c
a brief description of the possible effects on the environment of the works,
and may include such other information or representations as the applicant wishes to provide or make.
3
On receiving a request under paragraph (1), the Secretary of State shall, if he considers that he has not been provided with sufficient information to enable him to give a scoping opinion, notify the applicant in writing of the additional information that he considers he requires in order to give that opinion.
4
The Secretary of State shall not give a scoping opinion in response to a request under paragraph (1) above until he has consulted the applicant and the following bodies —
a
every local planning authority in whose area the works would be carried out, were the order for which the applicant proposes to apply to be made, or the relevant coastal authority (as the case may be);
b
where the proposals relate to a project within tidal waters and would require a licence under Part II of the Food and Environment Protection Act 1985, the Minister of Agriculture, Fisheries and Food;
c
the Environment Agency ; and
d
those mentioned in rule 5(2)(b) and (c) above (in the circumstances mentioned in those provisions).
5
In forming a scoping opinion the Secretary of State shall take into account —
a
the specific characteristics of the works in question;
b
the specific characteristics of works of the type concerned; and
c
the environmental features likely to be affected by the works.
6
Subject to paragraph (7) below, the Secretary of State shall notify the applicant who made the request under paragraph (1) above of his scoping opinion, in writing, not later than 42 days after receipt of that request or, where the Secretary of State has given a notification under paragraph (3) above, 42 days after receipt of the additional information mentioned in that notification.
7
Where an applicant makes a request for a scoping opinion under paragraph (1) above at the same time as he makes a request for a screening decision pursuant to rule 7(3) above in relation to the same proposed works, or after he has made a request for such a screening decision but before the Secretary of State has notified him of the screening decision in relation to the works, the Secretary of State shall notify the applicant, in writing, of his scoping opinion not later than 42 days after the date on which he notifies the applicant of his screening decision.
8
Where the Secretary of State has given a scoping opinion to an applicant he shall not be precluded from requiring that applicant to provide further information in connection with any applicant’s statement of environmental information that may be submitted by that applicant in connection with an application relating to the same, or substantially the same, works as were referred to in that scoping opinion.
Form of application
9
1
An application for an order to be made under section 1 or 3 shall be made in writing and shall be addressed to the Secretary of State.
2
In the application the applicant shall give his name and the address to which all requests for further information, notices or other documents required to be served upon the applicant under the Act or these Rules are to be sent.
3
The application shall be signed by —
a
the applicant or, where the applicant is a body corporate, a director, the secretary or a duly authorised officer of that body; or
b
the authorised agent of the applicant.
4
In paragraph (3) above, “director”, in relation to a body corporate whose affairs are managed by its members, means a member of that body.
Documents accompanying applications
10
1
The applicant shall submit with an application 3 copies of that application.
2
The applicant shall submit with the application 4 copies of each of the following documents —
a
a draft of the proposed order;
b
a concise memorandum explaining the powers sought, and the other matters for which provision is to be made in the proposed order;
c
if the applicant is not an individual or a company regulated by the Companies Act 1985 , a declaration as to the status of the applicant;
d
evidence by affidavit of compliance with the provisions of rule 5 above (if they apply);
e
a list of all consents, permissions or licences required under other enactments for the purposes of the powers sought in the application, which at the date of the application are being sought or which have been obtained or refused, specifying for each relevant consent, permission or licence —
i
from whom the consent, permission or licence is or was required;
ii
the date of the application, or of the grant or refusal of the consent, permission or licence (as the case may be); and
iii
the reference number (if any) of such application;
f
any screening decision made by the Secretary of State under rule 7 above and any opinion given by him under rule 8 above, and, in a case where the proposed works are to be subject to an environmental impact assessment, the applicant’s statement of environmental information; and
g
any direction made under rule 18 below.
3
When making an application for an order containing proposals to carry out works, the applicant shall submit with the application —
a
such of the plans and sections described in paragraphs (1) and (3) of rule 12 below as are relevant to that application (subject to paragraph (8) of that rule);
b
an estimate of the cost of carrying out any works authorised by the proposed order, which shall be in the form set out in Schedule 4 to these Rules or as nearly in that form as circumstances permit; and
c
the applicant’s proposals for funding the cost of implementing the order and, in particular, for funding the cost of acquiring land which is blighted land within the meaning of section 149 of the Planning Act.
4
Subject to paragraph (5) below, in the case of an application for an order authorising the compulsory acquisition of land, or the right to use land, or to carry out protective works to buildings, or the compulsory extinguishment of easements and other private rights over land (including private rights of navigation over water), the applicant shall submit with the application the plan and the book of reference respectively described in paragraphs (5) and (7) of rule 12 below.
5
In the case of an application for an order providing for the extinguishment or diversion of rights of way over a footpath, bridleway, cycle track or byway, the applicant shall submit with the application a map of a scale of not smaller than 1:2500 on which the path, way or track concerned, and, in the case of a diversion, the new path, way or track, is clearly delineated.
6
Where the applicant seeks a direction from the Secretary of State, under section 90(2A) of the Planning Act, that planning permission shall be deemed to be granted for the development proposed in the application, he shall submit with the application —
a
a request in writing specifying the development for which the direction for such permission is sought;
b
a statement of any proposed planning conditions;
c
a statement of any matters that are intended to be reserved for subsequent approval by the local planning authority;
d
in respect of those matters not intended to be reserved for subsequent approval by the local planning authority, such further documents as have not otherwise been submitted with the application and which are necessary to support the request for the direction.
7
Where the applicant seeks a direction from the Secretary of State, under section 12(2A) of the Planning (Hazardous Substances) Act 1990 , that hazardous substances consent shall be deemed to be granted, he shall submit with the application —
a
an application for hazardous substances consent in either Form 1 or Form 2 of the forms prescribed in Schedule 2 to the Planning (Hazardous Substances) Regulations 1992 , as the case may require; and
b
the information and documentation specified in such one or more of regulations 5(1)(b), 5(2)(b) and 5(3)(b) of those Regulations as the case may require.
8
As soon as practicable after the date of an application, the applicant shall submit to the Secretary of State evidence by affidavit of compliance with the provisions of rules 13, 14(1) to (8) and 15 below, and shall exhibit to any such affidavit copies of notices placed in newspapers and the London Gazette (and Lloyd’s List if applicable) in accordance with rule 14 below.
Environmental statements: provision of information
11
1
An environmental statement submitted in connection with an application shall include —
a
a description of the project comprising information on the site, design and size of the proposed works;
b
a description of the measures proposed to be taken in order to avoid, reduce and, if possible, remedy any significant adverse effects on the environment of the proposed works;
c
the data required to identify and assess the main effects which the proposed works are likely to have on the environment;
d
an outline of the main alternatives to the proposed works studied by the applicant and an indication of the main reason for his choice, taking into account the environmental effects; and
e
a non-technical summary of the information provided under sub-paragraphs (a) to (d) above.
2
An environmental statement submitted in connection with an application shall, subject to paragraph (3) below, also include so much of the information specified in Schedule 1 to these Rules as is relevant to the proposed works.
3
Where the Secretary of State has given a scoping opinion in relation to the application, the environmental statement in relation to that application need include only the information specified in that scoping opinion.
Plans, sections and books of reference
12
1
The plans referred to in rule 10(3)(a) above are —
a
a plan drawn to a suitable scale not smaller than 1:2500 showing clearly, in relation to existing features, the location, the alignment, if any, and (subject to paragraph (6) below) limits of deviation of the works described, or for which provision is made, in the proposed order;
b
where the plan described in sub-paragraph (a) above comprises 3 or more separate sheets, a key plan drawn to a suitable scale showing clearly the relationship between such sheets; and
c
a plan (which may be the plan described in sub-paragraph (b) above) drawn to a suitable scale not smaller than 1:50,000 showing clearly the general location of any works and, if provision is made for such works in the proposed order, in particular —
i
the general line of the route of any works that are of a linear nature and which exceed 3 kilometres in length; and
ii
the general location, in relation to the coast or river bank, of works of a kind described in section 3(1)(b).
2
All plans referred to in paragraph (1) above shall contain a reference to the National Grid base or, where this is not practicable, to the latitude and longitude of the site of the proposed works.
3
The sections referred to in rule 10(3)(a) above are sections having a suitable vertical scale not smaller than 1:500 and showing, by reference to Ordnance Survey or Chart datum —
a
on the same horizontal scale as the plan described at paragraph (1)(a) above, the levels of the proposed works, including in particular where relevant —
i
ground levels;
ii
the height of every intended bridge, viaduct, aqueduct, embankment and elevated guideway;
iii
the depth of every intended cutting and tunnel;
iv
the levels of the bed of any tidal waters or inland waterway in which it is proposed any works should be situated; and
v
the height of every structure or device (including a cable) intended to be erected above, on or below the surface of, or on or beneath the bed of, tidal waters or an inland waterway;
b
on a horizontal scale not smaller than 1:500, the span and vertical clearance of every intended bridge, viaduct, aqueduct, gantry and other structure or device (including a cable) above ground level, for which provision is made in the proposed order;
c
in cross-section, on a horizontal scale not smaller than 1:500, the depths and water levels of every intended inland waterway, for which provision is made in the proposed order;
d
on a horizontal scale not smaller than 1:500, a cross-section of every intended tunnel, for which provision is made in the proposed order; and
e
on a horizontal scale not smaller than 1:500, any altered gradient of a carriageway or a way forming part of a guided transport system on either side of every level crossing, bridge, tunnel or underpass which would carry the carriageway or way or through which it would pass, for which provision is made in the proposed order.
4
In paragraph (3) above “cable” does not include catenary and related equipment for guided transport systems.
5
The plan referred to in rule 10(4) above is a plan drawn to a suitable scale not smaller than 1:2500 (and which may be the plan described in paragraph (1)(a) above) showing clearly the land —
a
over which it is proposed to acquire powers of compulsory acquisition, or any right to use the land or to carry out protective works to buildings;
b
in relation to which it is proposed that easements and other private rights (including private rights of navigation over water) shall be extinguished;
c
of which the applicant is the sole owner and occupier, and which it is proposed shall be used for the purposes of the order for which application is being made; and
d
in which there subsists a Crown interest, whether or not there are other interests in such land, and which it is proposed shall be used for the purposes of the proposed order.
6
Where the proposed order includes the power to make lateral deviation from the line of any proposed works (other than within the boundaries of a street) —
a
the limits of such deviation shall be clearly shown upon the plan described at paragraph (1)(a) above; and
b
the plan described in paragraph (5) above shall show clearly all land within those limits of deviation which it is proposed shall be subject to powers of compulsory acquisition or the right to use the land or to carry out protective works to buildings, or in relation to which it is proposed that easements or other private rights (including private rights of navigation over water) shall be extinguished.
7
The book of reference referred to in rule 10(4) above is a book which refers to the plan described in paragraph (5) above and which (subject to the provisions of paragraph (9) below) —
a
contains the names of all those who were, at the beginning of a period of 28 days ending on the date of the application, owners or occupiers of the land which it is proposed shall be subject to —
i
powers of compulsory acquisition,
ii
rights to use land, or
iii
rights to carry out protective works to buildings,
and of all those who were, at the beginning of that period, entitled to enjoy easements and other private rights over land (including private rights of navigation over water) which it is proposed shall be extinguished;
b
where there is a Crown interest in land which it is proposed shall be used for the purposes of the order for which application is being made, specifies the owner of that interest;
c
specifies land —
i
the acquisition of which is subject to special parliamentary procedure;
ii
which is Green Belt land within the meaning of section 2 of the Green Belt (London and Home Counties) Act 1938 ;
iii
for which other land is to be given in exchange;
iv
that is to be given in exchange for other land;
v
which is within a European site or a European marine site, as those expressions are defined in regulations 2(1) and 10(1) of the Conservation (Natural Habitats, &c.) Regulations 1994 ;
vi
which is within an area of outstanding natural beauty, designated as such by an order made by the Countryside Agency, as respects England, or the Countryside Council for Wales, as respects Wales, under section 87 of the National Parks and Access to the Countryside Act 1949 ;
vii
which is within a National Park within the meaning of the National Parks and Access to the Countryside Act 1949;
viii
which is a property appearing on the World Heritage List kept under article 11(2) of the 1972 UNESCO Convention for the Protection of the World Cultural and Natural Heritage ;
ix
which is within the Broads ;
x
which is a scheduled monument within the meaning of the Ancient Monuments and Archaeological Areas Act 1979 ;
xi
which has been notified under section 28(1) (areas of special scientific interest) of the Wildlife and Countryside Act 1981 ;
xii
to which section 29(3) (nature conservation orders) of the Wildlife and Countryside Act 1981 applies; and
d
specifies, for each plot of land identified in it and within which it is intended that all or part of the proposed works, or any part of a proposed work, shall be carried out, the area in square metres of that plot.
8
Where provision is made in the proposed order for any works which are —
a
proposed to be formed or constructed for the accommodation of an owner or occupier of land adjacent to a proposed transport system or inland waterway, or
b
ancillary to a proposed transport system, inland waterway or works of a kind described in section 3(1)(b),
the applicant shall not be obliged to show them as required by paragraphs (1) and (3) above but shall give such indication of them as is reasonably practicable.
9
Where the name of an owner or occupier of land cannot be ascertained after reasonable enquiry has been made, the applicant shall not be obliged to specify such information in the book of reference but shall indicate clearly in the book of reference that this information has, or might have, been omitted.
10
Subject to paragraph (9) above, where the applicant has made all reasonable enquiries in order to attempt to obtain the information mentioned in paragraph (7) above, the application shall not be invalidated by reason only of an error in, or the omission of information from, the book of reference.
Deposit of copy application, etc , with others
13
1
The applicant shall serve a copy of the application and of every document that these Rules require shall accompany it, together with a statement containing the information set out in paragraph (6)(h) below, upon —
a
every local authority in whose area a transport system, inland waterway or other works to which the application relates is or are (or is or are to be) situated or, where the application relates only to a part of such system, waterway or works, upon every local authority in whose area such part is (or is to be) situated,
b
every relevant coastal authority, and
shall deposit copies of the application, those documents and that statement in the library of the House of Commons and, unless the Secretary of State directs otherwise, in the library of the House of Lords.
2
Where the application relates to works of a kind described in section 3(1)(b), the applicant shall serve a copy of the application and of every document (other than a copy of a document) which is required by these Rules to accompany it, together with a statement containing the information set out in paragraph (6)(h) below, upon the Trinity House.
3
In the case of an application for an order authorising the works or other matters specified in any of the categories in column (1) of the table in Schedule 5 to these Rules, the applicant shall serve upon those named against such category in column (2) of that table a copy of the application and copies of the relevant documents.
4
The applicant shall not be obliged by virtue of this rule to serve upon anyone more than one copy of the same document.
5
All documents required to be served upon anyone by virtue of this rule shall be so served forthwith after the making of the application.
6
In this rule, “relevant documents” means —
a
the draft of the proposed order;
b
the memorandum required by rule 10(2)(b) above;
c
a copy of any direction given under rule 18;
d
in the case of categories 1 to 6, 8, 10 and 14 to 21 in the table in Schedule 5 to these Rules, any screening decision, scoping opinion and applicant’s statement of environmental information relating to the application that has been made;
e
in the case of category 10 in the table in Schedule 5 to these Rules, the map referred to in rule 10(5) above;
f
in the case of categories 1 to 4, 7 and 9 to 11 in the table in Schedule 5 to these Rules, the estimate referred to in rule 10(3)(b) above;
g
such of the plans and sections described in rule 10 above as these Rules require shall accompany the application and as are relevant to the category in the table in Schedule 5 to these Rules under which the copy application is served; and
h
a statement specifying the capacity (or, if there is more than one, the capacities) in which the recipient is served, the expiry date for objections and the address to which an objection is to be sent.
Publicity for application
14
1
The applicant shall, after the application has been made, publish forthwith in the London Gazette (and, if the application relates to works of a kind referred to in section 3(1)(b), and the Secretary of State so directs, in Lloyd’s List) a notice of the application, which shall —
a
state the name of the applicant and the address given pursuant to rule 9(2) above;
b
state to whom the application has been made;
c
summarise the main proposals and specify the location of the proposed works (if any); and
d
state the address to which objections are to be sent and the expiry date for objections.
2
The applicant shall publish, in the newspapers prescribed by paragraph (3) below, a notice in the form of Form 2 in Schedule 3 to these Rules, such notice to be published on 2 separate occasions, the first publication to be not more than 14 days before, and not later than, the date of the application and the second to be not more than 7 days after the date of the application.
3
The newspapers referred to in paragraph (2) above are —
a
in the case of an application relating to works situated, or proposed to be carried out, in tidal waters and not lying within the area of a local authority, a local newspaper circulating in the area of each relevant coastal authority; and
b
in every other case, a local newspaper circulating in each area in which the proposals contained in the application are intended to have effect.
4
In the case of an application for an order authorising the works or other matters specified in any of the categories in column (1) of the table in Schedule 6 to these Rules, the applicant shall, forthwith after the application has been made, serve upon those named against such category in column (2) of that table a notice containing the information specified in paragraph (5) below, and every notice served under the provisions of this paragraph shall state the capacity (or, if there is more than one, the capacities) in which the recipient of the notice is served.
5
The information referred to in paragraph (4) above is —
a
the name of the applicant,
b
to whom the application has been made, and the address to which objections are to be sent,
c
a concise summary of the matters for which provision is to be made in the order for which application has been made (including, in a case to which paragraph (6) or (7) of rule 10 above applies, a statement that deemed planning permission or deemed hazardous substances consent, as the case may be, has been sought),
d
the names of all places, which shall be places within the area to which the proposals in the proposed order relate (or as close as reasonably practicable to that area), where a copy of the application and of the documents which are required by these Rules to accompany it may be inspected free of charge at all reasonable hours until the expiry date for objections, and
e
a statement that, until that date, any objection to the making of the order, or any other representation in relation to it, may be made by writing, stating the grounds for the objection or representation, to the Secretary of State at the address specified pursuant to sub-paragraph (b) above,
but in the case of a notice required to be published in a local newspaper it shall not be necessary for the notice to include any information pursuant to sub-paragraph (c) or (d) above concerning a proposal contained in the application which is not relevant to the area in which such newspaper circulates.
6
In the case of an application for an order authorising works the applicant shall, forthwith after the application has been made, display a notice in the form of Form 3 in Schedule 3 to these Rules upon, or as close as reasonably practicable to, the proposed sites of those works at a place accessible to the public and, where the order for which application has been made would include linear works exceeding 5 kilometres in length, such a notice shall be displayed at intervals of not more than 5 kilometres along the whole of the proposed route of the works.
7
Where the order for which application has been made would authorise —
a
the extinguishment or diversion (whether such diversion would be permanent or temporary) of a public right of way, or
b
the stopping-up or diversion of a street, or a restriction on the use of a street by any person or traffic, whether such stopping-up, diversion or restriction would be permanent or, in the case of a street specifically named in the proposed order, temporary,
the applicant shall, forthwith after the application has been made, display a notice in the form of Form 4 in Schedule 3 to these Rules, upon the right of way or street at, or as close as is reasonably practicable to, each point of extinguishment, diversion, stopping-up or restriction.
8
In the case of an application for an order providing for the discontinuance of all railway passenger or tramway services from any station, or upon any line, to which the provisions of sections 37 to 39 (inclusive) of, or Schedule 5 to, the Railways Act 1993 apply, the applicant shall, forthwith after the application has been made, display a notice in the form of Form 5 in Schedule 3 to these Rules at every station or tram stop to be closed and at every station directly served by an advertised service running from any station to be closed.
9
The applicant shall use his best endeavours to ensure that every notice displayed under the provisions of paragraphs (6) to (8) above shall continue to be displayed in a legible form until the expiry date for objections.
10
The applicant shall supply a copy of the application, or of any document that these Rules require shall accompany an application, to any person who requests such a copy, subject to the payment by that person of a reasonable charge for the provision of that copy, and the applicant shall ensure that information as to how such copies may be obtained is displayed at every place at which copies of the application and those documents are made available for inspection.
Notices to owners and occupiers
15
1
The applicant shall, forthwith after the application has been made, serve a notice in the form of Form 6 in Schedule 3 to these Rules (in this rule referred to as “Form 6”) upon all those, other than the applicant and the owner of any Crown interest, named in the book of reference described in rule 12(7) above.
2
In every case to which the provisions of rule 12(9) above apply, the applicant shall, forthwith after the application has been made, serve a notice in the form of Form 6 in the manner provided by section 66(4)(a) and (b).
Development likely to have significant effects on the environment in another part of the United Kingdom or certain other states
16
1
This rule applies where an application for an order under section 1 or 3 has been made and —
a
it appears to the Secretary of State that the application relates to proposed works which would be likely to have significant effects on the environment in Scotland, Northern Ireland, the Isle of Man, or the Channel Islands;
b
it appears to the Secretary of State that the application relates to proposed works which would be likely to have significant effects on the environment in another Member State; or
c
another Member State whose environment is likely to be affected significantly by the proposed works to which the application relates requests information relating to the application.
2
In a case falling within paragraph (1)(a) above, the applicant shall publish, if so directed by the Secretary of State, the information specified in paragraphs (1)(a) to (d) and (5)(c) and (d) of rule 14 above (as the Secretary of State may direct) in such newspapers circulating in the place in question as the Secretary of State may specify.
3
In a case falling within paragraph (1)(b) or (c) above, the Secretary of State shall —
a
send to the Member State in question, as soon as is reasonably possible and in any event no later than the date of the publication of a notice in the London Gazette, pursuant to rule 14(1) above, in relation to the application in question or, in a case falling within paragraph (1)(c) above, no later than 7 days after receiving a request from the Member State in question, the information mentioned in paragraph (4) below; and
b
give the Member State in question a reasonable time in which to indicate whether it wishes to participate in the procedure for the consideration of the application in question.
4
The information referred to in paragraph (3)(a) above is —
a
a description of the proposed works, together with any information the Secretary of State has in connection with the application as to the possible significant effects of the works on the environment of the Member State in question; and
b
information on the nature of the decision which may be taken.
5
Where a Member State has indicated, in accordance with paragraph (3)(b) above, that it wishes to participate in the procedure for the consideration of the application the Secretary of State shall, as soon as is reasonably possible, send to the state in question (in so far as these documents and information have not already been supplied to that state) —
a
a copy of the application;
b
a copy of the applicant’s statement of environmental information; and
c
any relevant information regarding the procedure for the consideration of the application and for undertaking an environmental impact assessment of the proposed works in question.
6
In a case falling within paragraph (1)(b) or (c) above, the Secretary of State shall also —
a
arrange for the documents and other information referred to in paragraphs (4) and (5) above to be made available, within a reasonable time, to the authorities referred to in Article 6(1) of the Directive and to the members of the public in the territory of the Member State likely to be affected significantly;
b
ensure that those authorities and the members of the public concerned are given an opportunity, before any order is made authorising the works in question, to forward to the Secretary of State, within a reasonable time, their opinion on the information supplied;
c
enter into consultations with the Member State in question, regarding any potential significant effects of the proposed works on the environment of that Member State, the measures envisaged to reduce or eliminate such effects and such other matters relating to the proposed works as may be relevant to that Member State; and
d
provide, in agreement with the other Member State, a reasonable period of time for such consultations to take place before taking any decision as to whether or not to make the order in question.
7
Where a Member State has been consulted in accordance with paragraph (6)(c) above, the Secretary of State shall inform that Member State of his decision as to whether or not the order in question should be made and shall send to that Member State a statement of —
a
the content of the decision and any conditions attached to the decision;
b
the main reasons for the decision and considerations on which it is based; and
c
a description, where relevant, of the main measures that the applicant is to be required to take in order to avoid, reduce and, if possible, remedy any major adverse environmental effects of the works.
Further documents, information and notices
17
1
Where, in the opinion of the Secretary of State, the applicant’s statement of environmental information should contain any additional information in order to constitute an environmental statement for the purposes of the application in question, the Secretary of State shall direct the applicant to supply that information.
2
Without prejudice to paragraph (1) above, the Secretary of State, when considering an application in relation to which an applicant’s statement of environmental information has been provided, may direct the applicant to provide such further information as may be specified concerning any matter which is required to be, or may be, dealt with in the environmental statement.
3
Where any such direction as is mentioned in paragraph (1) or (2) above has been given by the Secretary of State, the applicant shall comply with the requirements of that direction within such period as may be specified in that direction by the Secretary of State, or if no such period is specified as soon as is reasonably practicable to do so.
4
Where information is provided by the applicant pursuant to paragraphs (1) to (3) above, the applicant shall —
a
publish, in the newspapers prescibed by rule 14(3) above circulating in the areas to which the information is relevant, a notice in the form of Form 7 in Schedule 3 to these Rules;
b
serve a copy of the information on each person on whom, in accordance with these Rules, a copy of the applicant’s statement of environmental information was served;
c
provide a copy or an additional copy of the information, or any part of the information, to any person who requests it, subject to the payment by that person of a reasonable charge for the provision of any such copy or additional copy; and
d
provide the Secretary of State with 4 copies of the information.
5
The Secretary of State may direct an applicant to produce such evidence to verify any information in the applicant’s statement of environmental information or in any further information provided as a consequence of a direction given under paragraph (1) or (2) above as the Secretary of State may reasonably require.
Waiver of requirements in relation to applications
18
1
An applicant may, at any time before or after making an application, submit a request, in writing, to the Secretary of State for a direction that any provision contained in rules 5, 9, 10 (other than paragraph (2)(f) of rule 10) and 12 to 15 shall not apply (or shall apply in part only) to an application he has made or proposes to make.
2
A request made under paragraph (1) above shall give reasons for the request.
3
Where a request is made under paragraph (1) above the Secretary of State may, where he is satisfied that it is impossible, impracticable or unnecessary for the applicant to comply with any provision contained in the rules mentioned in paragraph (1) above —
a
direct that the provision in question shall not apply, or shall apply in part only, to the application in question; and
b
whether or not a direction has been given pursuant to sub-paragraph (a) above, direct that the applicant shall comply with the provision in question, or any part of it, at such later date as may be specified in the direction.
Compliance with rules which would not otherwise apply
19
1
Where an applicant would not otherwise be required to comply with any provision contained in rules 5, 10 and 12 to 15 above but the Secretary of State is of the view that it would be appropriate to require the applicant to comply with that provision, the Secretary of State may serve notice on the applicant requiring him to comply with the provision in question.
2
A notice served under paragraph (1) above —
a
shall give reasons for requiring the applicant to comply with the provision in question; and
b
may only be served before an application is made or during the period of 42 days following the date of application.
3
Where, as a consequence of a notice served under paragraph (1) above, the applicant is required to submit or serve a document or serve, publish or display a notice, the applicant shall comply with that requirement within such period as may be specified in the notice served upon him.
Fees for applications
20
1
Upon the making of an application the applicant shall pay a fee to the Secretary of State calculated in accordance with Schedule 7 to these Rules.
2
In the circumstances specified in paragraph (3) below, an applicant may make a written request to the Secretary of State, for the repayment of any part of the fees paid pursuant to paragraph (1) above in relation to an application.
3
The circumstances are —
a
where, on a motion moved by a Minister of the Crown pursuant to section 9(4), either House of Parliament declines to pass a resolution approving proposals contained in the proposed order in question; or
b
where the application is withdrawn before the expiration of the time limit specified in paragraph (4) below (whether or not a motion pursuant to section 9(4) is to be, or has been, moved in relation to the application in question).
4
The time limit is —
a
in the case of an application in relation to which, pursuant to rule 4(1) of the Transport and Works (Inquiries Procedure) Rules 1992 , the Secretary of State has given notice of his intention to hold a public inquiry, the expiration of the period of 14 days commencing with the date on which any such inquiry is closed;
b
in the case of an application in relation to which the Secretary of State has given to any person the opportunity of appearing before and being heard by a person appointed by the Secretary of State pursuant to section 11(1), the expiration of the period of 14 days commencing with the date on which the person appointed ceases to hear any representations made to him as a consequence of that opportunity being afforded;
c
in the case of an application in relation to which the provisions of rule 25 below apply, the end of the day on which is completed the latest of such of the time periods specified in paragraphs (2) to (4) of that rule as shall apply to that application; or
d
in any other case, the end of the operative date.
5
Where a request is made pursuant to paragraph (2) above, the Secretary of State shall repay to the applicant such portion (if any) of the fee paid as the Secretary of State shall consider appropriate.
6
In this rule “the operative date” has the same meaning as in rule 24 below.
Orders made by the Secretary of State under section 7
21
Schedule 8 to these Rules (which imposes duties and powers on the Secretary of State in relation to cases in which the Secretary of State is proposing to make an order under section 7) shall have effect.
Objections and representations: general
22
1
Subject to paragraph (2) below, an objection or representation made in relation to an application shall only be an objection or representation for the purposes of these Rules if it —
a
is received by the Secretary of State on or before the expiry date for objections;
b
is made in writing;
c
states the grounds of the objection or representation;
d
indicates who is making the objection or representation; and
e
provides an address to which any correspondence relating to that objection or representation may be sent.
2
Where an objection or representation relates to information supplied by the applicant pursuant to rule 17 above after the application has been made, that objection or representation will be an objection or representation for the purposes of these Rules even where it is made after the expiry date for objections, if it is made not later than 42 days after the date on which the information is supplied to the Secretary of State or the last date on which a notice relating to the information is published in a newspaper pursuant to rule 17(4) above, whichever date is the later.
3
In this rule and in rules 23 to 26 below, a reference to an objection or representation includes a reference to any document submitted with an objection or representation.
Notice of objections and other representations
23
1
The Secretary of State shall, as soon as reasonably practicable after he has received an objection or representation, provide the applicant with a copy of that objection or representation.
2
As soon as reasonably practicable after the expiry date for objections the Secretary of State shall provide the applicant with a list of the objections and representations that the Secretary of State has received stating, in each case —
a
the name and address of the objector or maker of the representation; and
b
the reference number given to the objection or representation.
Application of written representations procedure
24
1
Subject to paragraphs (2) to (4) below, rule 25 below shall apply to an objection unless, on or before the operative date, the Secretary of State has —
a
given written notice in accordance with rules made under section 9 of the Tribunal and Inquiries Act 1992 that he will cause a public local inquiry to be held;
b
given written notice to the applicant and every objector who made the objection in question that the objection will be dealt with in accordance with section 11(2);
c
informed the objector in question and the applicant that it appears to him that the objection is of a type mentioned in paragraph (a) or (b) of section 10(3); or
d
published a notice in the London Gazette in accordance with section 9(2) identifying the application and the proposals in it which in his opinion are of national significance.
2
Rule 25 below shall not apply in relation to an objection if, not later than the operative date, a statutory objector informs the Secretary of State in writing that he wishes the objection to be referred to a public local inquiry or dealt with in accordance with section 11(2).
3
Rule 25 below shall cease to apply to an objection if after the operative date either the Secretary of State or a statutory objector, as the case may be, takes in relation to that objection one of the steps mentioned in paragraph (1) or (2) above.
4
Notwithstanding that one of the steps mentioned in paragraph (1) or (2) above has been taken, the Secretary of State may, with the consent of the applicant and every statutory objector, and after consulting such other persons as he thinks fit, direct that rule 25 below shall thereafter apply to all objections that have not been withdrawn; provided that, where any of the steps required to be taken under that rule have been taken before the date of that direction, they need not be taken again.
5
In this rule —
“statutory objector” means a person within section 11(4) who has made an objection which has not been withdrawn; and
“the operative date” means the date falling 28 days after the expiry date for objections.
Procedure by written representations
25
1
Where none of the steps mentioned in paragraphs (1) and (2) of rule 24 above has been taken by the operative date the provisions of this rule shall apply and the Secretary of State shall notify the applicant and all those who have made an objection or a representation pursuant to rule 22 above that this is the case.
2
The applicant may, not later than 28 days after the date of the giving of such notification to him, submit to the Secretary of State representations upon each objection.
3
The Secretary of State shall, not later than 7 days after the receipt of representations from an applicant pursuant to paragraph (2) above, serve a copy of those representations upon the relevant objector and shall advise him of his rights under paragraph (4) below.
4
An objector may, not later than 21 days after the service upon him by the Secretary of State of a copy of the applicant’s representations, reply in writing to the Secretary of State and, where such a reply is made, the Secretary of State shall, not later than 7 days after the receipt of such reply, serve a copy of it upon the applicant.
5
The Secretary of State may, at any time before the making of a determination under section 13, by notice in writing require the applicant or any objector to submit, within such reasonable time as the notice may specify, such further information in relation to an application or objection as the notice may specify.
6
Where any further information is submitted pursuant to paragraph (5) above the Secretary of State shall not make a determination until he has afforded to any person he considers is likely to be affected by such further information a reasonable opportunity of commenting upon it.
Submission of written objections and representations to inquiry or hearing
26
Where the Secretary of State causes a public local inquiry to be held or gives an objector an opportunity of being heard before a person appointed by the Secretary of State, the Secretary of State shall submit every objection and all representations made pursuant to rule 22 above either to the inquiry inspector or to the person so appointed, as the case may be, as soon as it is reasonably practicable to do so.
Power to set later time limits
27
The Secretary of State may in a particular case allow further time for the taking of any steps (including a step which he is required or enabled to take himself) which may or must be taken pursuant to these Rules and any reference to a date by which or a period within which any step is required to be taken shall be construed accordingly.
Applications relating solely to Wales
28
1
This rule applies where an application for an order to be made under section 1 or 3, or a proposal to make an order under section 7(1)(b) or (c), relates solely to any matter specified in paragraph (2) below .
2
The specified matters are —
a
the construction or operation of a transport system in Wales;
b
the construction or operation of an inland waterway in Wales;
c
the carrying out of works which interfere with rights of navigation within Wales or in the territorial sea adjacent to Wales; and
d
any works or other matters which would be carried out, or occur wholly, in Wales, or which would affect only Wales, and which are ancillary to any of the matters specified in sub-paragraphs (a) to (c) above.
3
Where this rule applies, these Rules shall have affect in relation to the application or proposal in question as modified by paragraphs (4) to (7) below.
4
Subject to paragraph (5) below, references in these Rules to the Secretary of State, other than the reference in rule 3(1) above, shall be construed as references to the National Assembly for Wales.
5
In rule 24 above, the reference to the Secretary of State, in so far as it relates to paragraph (1)(d) of that rule, shall be construed as a reference to the Secretary of State and the National Assembly for Wales but otherwise shall be construed as a reference only to the Assembly.
6
The following provisions in column (2) in Schedule 2 to these Rules shall not apply —
paragraph 1(a);
paragraph 5(b);
paragraph 7(b);
paragraph 9(b);
paragraph 13(b);
paragraph 14(b);
paragraph 15(b); and
paragraph 19(b).
7
The following provisions in column (2) in Schedule 5 to these Rules shall not apply — paragraph 1(a);
paragraph 5(b);
paragraph 8(b);
paragraph 14(b);
paragraph 15(b);
paragraph 16(b); and
paragraph 22(b).
8
In Schedule 6 to these Rules, in column (2), paragraph 6(i)(b) shall not apply.
9
In Schedule 8 to these Rules, paragraph 7(d) shall not apply.
Signed by authority of the Secretary of the State for the Environment, Transport and the Regions
Gus Macdonald
Minister of State,
Department of the Environment, Transport and the Regions
10th August 2000


type: legislation

jurisdiction: UK

text:
Title and commencement
1
These Regulations may be cited as the Retailers' Records for Veterinary Medicinal Products Regulations 2000 and shall come into force on 1st February 2000.
Interpretation
2
1
In these Regulations “ the Act ” means the Medicines Act 1968 and the term “veterinary medicinal product” is defined as in Article 1.2 of Council Directive 81/851/ EEC on the approximation of the laws of the Member States relating to veterinary medicinal products .
Record keeping for veterinary medicinal products
3
1
Any person who sells veterinary medicinal products by retail must comply with the requirements of paragraphs (2) to (4) below in relation to those products.
2
For each incoming and outgoing transaction a record must be kept of —
a
the date of the transaction,
b
the identity of the product,
c
the manufacturer’s batch number,
d
the quantity received or supplied,
e
the name and address of the supplier or recipient, and
f
where relevant, the name and address of the prescribing veterinarian and a copy of the prescription.
3
At least once a year a detailed audit of all such transactions must be carried out and recorded, with incoming and outgoing products reconciled with those held in stock, and any discrepancies recorded.
4
All records kept in accordance with the preceding paragraphs must be durable, but may be kept by electronic means, and must be kept for a period of three years from the date of the transaction or audit, and made available on request to a person duly authorised in writing by any person or body having a duty of enforcement given by regulation 5 below.
Application of regulation 3
4
1
Regulation 3 above only applies to the sale by retail of —
a
veterinary medicinal products intended for administration to animals whose flesh or products are intended for human consumption and in respect of which a withdrawal period must be observed, and
b
other veterinary medicinal products intended for administration to such animals unless the products are on a general sale list within the meaning of section 51(2) of the Act .
2
Regulation 3 above does not apply to the sale by retail of a veterinary medicinal product by a person required to keep a record of the sale by virtue of an order made under section 57 of the Act relating to veterinary drugs as defined in section 132(1) of the Act which is for the time being in force.
Enforcement
5
1
It is the duty of —
a
the Minister of Agriculture, Fisheries and Food in relation to England,
b
the Scottish Ministers in relation to Scotland,
c
the National Assembly for Wales in relation to Wales, and
d
the Department of Health, Social Services and Public Safety in relation to Northern Ireland,
to enforce the provisions of these Regulations.
2
The Royal Pharmaceutical Society of Great Britain are under a duty concurrently with the Minister of Agriculture, Fisheries and Food in relation to England, the Scottish Ministers in relation to Scotland and the National Assembly for Wales in relation to Wales to enforce the provisions of these Regulations, except that this duty cannot be exercised in relation to the types of location specified in section 108(9) of the Act.
3
Any duty of enforcement imposed by the preceding paragraphs is deemed to be a duty imposed by sections 108 to 110 of the Act as the case may be, and the provisions of sections 111 to 114 (other than sections 111(3) and 112(7)) and 119 of, and Schedule 3 to, the Act apply for the purposes of these Regulations as if they had been made under the Act, and as if an offence contrary to, and proceedings under, these Regulations were an offence and proceedings under the Act.
Offence and penalties
6
1
Any person who contravenes regulation 3 above is guilty of an offence and liable —
a
on summary conviction, to a fine not exceeding the statutory maximum, or
b
on conviction on indictment, to a fine or to imprisonment for a term not exceeding two years or to both.
2
Where an offence under these Regulations which has been committed by a body corporate is proved to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, any director, manager, secretary or other similar officer of the body corporate or any person who was purporting to act in any such capacity he, as well as the body corporate, is guilty of that offence and liable to be proceeded against and punished accordingly.
3
When the affairs of a body corporate are managed by its members the provisions of paragraph (2) above shall apply in relation to the acts and defaults of a member in connection with his functions of management as if he were a director of the body corporate.
4
In paragraphs (2) and (3) above references to a “body corporate” include references to a partnership in Scotland and, in relation to such partnership, any reference to a director or other officer of a body corporate is a reference to a partner.
Revocation
7
Regulation 6 of, and Schedule 2 to, the Medicines (Sale or Supply) (Miscellaneous Provisions) Regulations 1980 (pharmacy records) shall be revoked in so far as they apply to retail sales of veterinary medicinal products.
Hayman
Minister of State,Ministry of Agriculture, Fisheries and Food
6th January 2000
Signed by authority of the Secretary of State for Health
Hunt
Parliamentary Under-Secretary of State,
Department of Health
7th January 2000


text:
Title, commencement and extent
1
These Regulations may be cited as the Genetically Modified and Novel Foods (Labelling) (England) Regulations 2000, shall come into force on 10th April 2000 and shall apply to England.
Interpretation
2
1
In these Regulations–
“ the Act ” means the Food Safety Act 1990;
“biscuits” includes wafers, rusks, oatcakes and matzos;
“confectionery product” means any item of chocolate confectionery or sugar confectionery;
“Directive 79/112” means Council Directive 79/112/ EEC on the approximation of the laws of the Member States relating to the labelling, presentation and advertising of foodstuffs, as amended (in so far as is relevant to these Regulations) by Council Directive 86/197/EEC and Council Directive 89/395/EEC ;
“edible ice” includes ice-cream, water ice and fruit ice, whether alone or in combination, and any similar food;
“fancy confectionery product” means any confectionery product in the form of a figure, animal, cigarette or egg or in any other fancy form;
“flour confectionery” means any cooked food which is ready for consumption without further preparation (other than reheating), of which a characterising ingredient is ground cereal, including shortbread, sponges, crumpets, muffins, macaroons, ratafias, pastry and pastry cases, and also includes meringues, petits fours and uncooked pastry and pastry cases, but does not include bread, pizzas, biscuits, crispbread, extruded flat bread or any food containing a filling which has as an ingredient any cheese, meat, offal, fish, shellfish, vegetable protein material or microbial protein material;
“the GMO particulars” means the additional specific labelling particulars required by Article 2(3) of Regulation 1139/98 and Articles 2 and 4 of Regulation 50/2000;
“novel food”, “novel food ingredient” and “place on the market ” have the same meaning in these Regulations as they have in Regulation 258/97;
“prepacked for direct sale” means–
in relation to a food other than flour confectionery, bread and edible ices, prepacked by a retailer for sale by him on the premises where the food is packed or from a vehicle or stall used by him, and
in relation to flour confectionery, bread and edible ices, prepacked by a retailer for sale as in paragraph (a) of this definition, or prepacked by the producer of the food for sale by him either on the premises where the food is produced or on other premises from which he conducts business under the same name as the business conducted on the premises where the food is produced,
and in this definition “premises” includes any ship or aircraft;
“preparation”, in relation to food, includes manufacture and any form of processing or treatment, and “prepared” shall be construed accordingly;
“Regulation 258/97” means Regulation ( EC ) No. 258/97 of the European Parliament and of the Council concerning novel foods and novel food ingredients;
“Regulation 1139/98” means Council Regulation (EC) No. 1139/98 (as corrected ) concerning the compulsory indication, on the labelling of certain foodstuffs produced from genetically modified organisms, of particulars other than those provided for in Directive 79/112/EEC , as amended by Commission Regulation (EC) No. 49/2000 ;
“Regulation 50/2000” means Commission Regulation (EC) No. 50/2000 (as corrected ) on the labelling of foodstuffs and food ingredients containing additives and flavourings that have been genetically modified or have been produced from genetically modified organisms;
“sell” includes offer or expose for sale and have in possession for sale, and “sale” shall be construed accordingly.
2
Other expressions used both in these Regulations and in Regulation 1139/98 or Regulation 50/2000 have the same meaning in these Regulations as they have in the Regulation concerned.
3
Food shall be regarded as prepacked for the purposes of these Regulations if–
a
it is ready for sale to the final consumer or to a mass caterer, and
b
it is–
i
put into packaging before being offered for sale in such a way that the food, whether wholly or only partly enclosed, cannot be altered without opening or changing the packaging, or
ii
wholly enclosed in packaging before being offered for sale and the food is intended to be cooked without opening the packaging,
but food shall not be regarded as prepacked for the purposes of these Regulations if it comprises an individually wrapped sweet or chocolate which is not enclosed in any further packaging and which is not intended for sale as an individual item.
4
Any reference in these Regulations to a numbered regulation shall, unless the context otherwise requires, be construed as a reference to the regulation so numbered in these Regulations.
Food to which Regulation 1139/98 or Regulation 50/2000 applies
Exemptions
3
1
Subject to paragraph (2) below, these Regulations shall not apply in respect of any food brought into England–
a
from a member State (other than the United Kingdom), or
b
from another part of the United Kingdom,
in which it was lawfully sold, having been produced in a member State, or in which it was in free circulation and lawfully sold, if the requirements of Regulation 1139/98 or Regulation 50/2000 (as applicable), as read in each case with Directive 79/112, are met in respect of that food.
2
Nothing in paragraph (1) above shall prevent the enforcement of regulation 7(c).
3
For the purposes of paragraph (1) above, “free circulation” has the same meaning as in Article 23(2) of the Treaty establishing the European Community.
4
Any prepacked food, either contained in an indelibly marked glass bottle intended for re-use and having no label, ring or collar, or the largest surface of whose packaging has an area of less than ten square centimetres, need not be marked or labelled with the GMO particulars.
Manner of marking or labelling: general requirement
4
When any food other than food to which regulation 5 applies is sold, any particulars with which it is required to be marked or labelled by Regulation 1139/98 or Regulation 50/2000 shall appear–
a
on the packaging,
b
on a label attached to the packaging, or
c
on a label which is clearly visible through the packaging,
save that, where the sale is otherwise than to the final consumer, such particulars may, alternatively, appear only on the commercial documents relating to the food where it can be guaranteed that such documents, containing all such particulars, either accompany the food to which they relate or were sent before, or at the same time as, delivery of the food.
Manner of marking or labelling: special rules
5
1
This regulation applies to–
a
food which is not prepacked;
b
food which is prepacked for direct sale; and
c
any individually wrapped fancy confectionery product which is not enclosed in any further packaging and which is intended for sale as a single item.
2
When any food to which this regulation applies is sold to the final consumer, any particulars with which it is required to be marked or labelled by Regulation 1139/98 or Regulation 50/2000 shall, except as provided in paragraph (3) below, appear–
a
on a label attached to the food, or
b
on a menu, notice, ticket or label which is readily discernible by an intending purchaser at the place where he chooses that food.
3
In any case where food–
a
is food to which the labelling requirements of Regulation 1139/98 or Regulation 50/2000 apply,
b
is–
i
not prepacked, or
ii
prepacked for direct sale, and
c
is sold to the final consumer at appropriate premises,
use of alternative labelling in place of the GMO particulars shall not alone be treated as a contravention of those labelling requirements and for this purpose alternative labelling is used where, instead of the particulars referred to in Article 2(3) of Regulation 1139/98 or in Articles 2 and 4 of Regulation 50/2000 appearing in the manner specified in paragraph (2)(a) or (b) above, alternative particulars are displayed in accordance with paragraph (4) below.
4
Alternative particulars are displayed in accordance with this paragraph in relation to any food referred to in paragraph (3) above if there appears on a menu, notice, ticket or label which is readily discernible by an intending purchaser and which is located at the place at the premises where he chooses that food–
a
in the case of food to which the labelling requirements of Regulation 1139/98 apply, indications to the effect that some of the food sold at those premises contains ingredients produced from genetically modified soya beans or maize, or both, as the case may be, and that further information is available from the staff; and
b
in the case of food to which the labelling requirements of Regulation 50/2000 apply, indications to the effect that some of the food sold at those premises contains additives or flavourings, or both, as the case may be, produced from a genetically modified organism, and that further information is available from the staff.
5
In this regulation, “premises” includes any ship or aircraft and “ appropriate premises” means premises where–
a
the staff provide clarification at the request of an intending purchaser as to whether–
i
particular food sold at those premises, other than food falling within Article 1(2) or 2(2) of Regulation 1139/98, is produced in whole or in part from a genetically modified product referred to in Article 1(1) of that Regulation, and
ii
particular food sold at those premises contains additives or flavourings produced in whole or in part from a genetically modified organism; and
b
there is an established procedure at those premises for keeping staff informed of that information.
6
When any food to which this regulation applies is sold otherwise than to the final consumer, the particulars with which it is required to be marked or labelled by Regulation 1139/98 or Regulation 50/2000 shall appear–
a
on a label attached to the food, or
b
on a ticket or notice which is readily discernible by the intending purchaser at the place where he chooses the food, or
c
in commercial documents relating to the food where it can be guaranteed that such documents either accompany the food to which they relate or were sent before, or at the same time as, delivery of the food.
Intelligibility of marking or labelling
6
1
The particulars with which a food is required to be marked or labelled by Regulation 1139/98 or by Regulation 50/2000, or which appear on a menu, notice, ticket or label pursuant to these Regulations, shall be easy to understand, clearly legible and indelible and, when a food is sold to the final consumer, the said particulars shall be marked in a conspicuous place in such a way as to be easily visible.
2
Such particulars shall not in any way be hidden, obscured or interrupted by any other written or pictorial matter.
3
Paragraph (1) above shall not be taken to preclude the giving of such particulars at mass caterers, in respect of foods the variety and type of which are changed regularly, by means of temporary media (including the use of chalk on a blackboard).
General
Offences and penalties
7
If any person–
a
sells any food to which the labelling requirements of Regulation 1139/98 or of Regulation 50/2000 apply which is not marked or labelled with the GMO particulars, except in the case of any food to which regulation 5(3) applies and in respect of which alternative particulars are displayed in accordance with regulation 5(4),
b
sells any food which is not marked or labelled in accordance with regulation 4, 5 or 6, or
c
places on the market any novel food or novel food ingredient in respect of which the additional requirements relating to consumer information set out in Article 8(1) of Regulation 258/97 have not been met,
he shall be guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale.
Enforcement
8
1
Subject to paragraph (2) below, each food authority shall enforce and execute these Regulations in its area and be the competent authority in its area for the purposes of the second paragraph of Article 2(2)(b) of Regulation 1139/98.
2
Each port health authority shall enforce and execute these Regulations in its district in relation to imported food and be the competent authority in its district in relation to such food for the purposes of the second paragraph of Article 2(2)(b) of Regulation 1139/98.
3
In this regulation “food authority” does not include–
a
the council of a district in a non-metropolitan county except where the county functions have been transferred to that council pursuant to a structural change;
b
the appropriate Treasurer referred to in section 5(1)(c) of the Act (which deals with the Inner Temple and the Middle Temple).
Defence in relation to exports
9
In any proceedings for an offence under these Regulations, it shall be a defence for the person charged to prove–
a
that the food in respect of which the offence is alleged to have been committed was intended for export to a country which has legislation analogous to these Regulations and that it complies with that legislation; and
b
in the case of export to a member State of food to which Regulation 1139/98 or Regulation 50/2000 applies, that the legislation complies with the provisions of Regulation 1139/98 or Regulation 50/2000, as appropriate, as read with Directive 79/112.
Application of various provisions of the Act
10
1
The following provisions of the Act shall apply for the purposes of these Regulations and, unless the context otherwise requires, any reference in those provisions to the Act or Part thereof shall be construed for the purposes of these Regulations as a reference to these Regulations–
section 2 (extended meaning of “sale” etc. );
section 3 (presumption that food is intended for human consumption);
section 20 (offences due to fault of another person);
section 21 (defence of due diligence) as it applies for the purposes of section 8, 14 or 15;
section 30(8) (which relates to documentary evidence);
section 35(1) to (3) (punishment of offences) in so far as it relates to offences under section 33(1) and (2) as applied by paragraph (3) below;
section 36 (offences by bodies corporate).
2
In the application of section 32 of the Act (powers of entry) for the purposes of these Regulations, the reference in subsection (1)(a) to the Act shall be construed as including a reference to Regulation 258/97, Regulation 1139/98 and Regulation 50/2000.
3
The following provisions of the Act shall apply for the purposes of these Regulations and, unless the context otherwise requires, any reference in those provisions to the Act shall be construed for the purposes of these Regulations as including a reference to these Regulations as read with Regulation 258/97, Regulation 1139/98 and Regulation 50/2000–
section 33 (obstruction etc. of officers);
section 44 (protection of officers acting in good faith).
Consequential amendments
11
1
The Food Labelling Regulations 1996 shall be amended (in so far as they apply to England) in accordance with paragraphs (2) to (11) below.
2
In regulation 2(1) (interpretation), the definitions of “the GMO particulars ” and “Regulation 1139/98” shall be omitted.
3
In regulation 3(1)(iv) (exemptions), there shall be substituted for the words “, Directive 94/54 and Regulation 1139/98” the words “and Directive 94/54”.
4
In regulation 26 (small packages and certain indelibly marked bottles)–
a
in paragraph (1), sub-paragraph (b) and the word “or” preceding it shall be omitted; and
b
in paragraph (3A), the words “and the GMO particulars” shall be omitted.
5
In regulation 35 (general requirement as to manner of marking or labelling), the words “or by Regulation 1139/98” shall be omitted.
6
In regulation 36 (manner of marking or labelling in the case of food to which regulation 23 or 27 applies)–
a
in paragraph (1), the words “or by Regulation 1139/98” and “or (4A)” shall be omitted; and
b
paragraphs (4A) to (4C) shall be omitted.
7
In regulation 38(1) (intelligibility of marking or labelling), the words “ or by Regulation 1139/98” shall be omitted.
8
In regulation 44(1) (offences and penalties), sub-paragraph (f) shall be omitted.
9
In regulation 47(b) (defence in relation to exports), there shall be substituted for the words “, Directive 94/54 and Regulation 1139/98” the words “ and Directive 94/54”.
10
In regulation 48 (application of various provisions of the Food Safety Act 1990), paragraph (2) shall be omitted.
11
In regulation 50 (transitional provision), paragraphs (5) to (7) shall be omitted.
12
The Novel Foods and Novel Food Ingredients Regulations 1997 shall be amended (in so far as they apply to England), by omitting item 7 in the Schedule (specified Community provisions).
Transitional provisions
13
1
In any proceedings for an offence under–
a
regulation 7(a), or
b
regulation 7(b), as read with regulation 5 or 6,
in relation to the particulars with which any relevant food is required to be marked or labelled by Regulation 1139/98, it shall be a defence to prove that–
i
in the case of food sold to the final consumer, it was prepared using an ingredient which was on sale before 1st Sepember 1998, or
ii
in the case of food sold to a mass caterer, it was prepared using an ingredient which was on sale before 10th April 2000.
2
In any proceedings for an offence under–
a
regulation 7(a), or
b
regulation 7(b), as read with regulation 5 or 6,
in relation to the particulars with which any relevant food or is required to be marked or labelled by Regulation 50/2000, it shall be a defence to prove that the food was sold to the final consumer or to a mass caterer and was prepared using an ingredient which was on sale before 10th April 2000.
3
For the purposes of paragraphs (1) and (2) above, “relevant food” means food which is–
i
not prepacked, or
ii
prepacked for direct sale.
Hayman
Minister of State, Ministry of Agriculture, Fisheries and Food
16th March 2000
Gisela Stuart
Parliamentary Under Secretary of State for Health,
Department of Health
16th March 2000