"Cadw" ("Cadw") means the executive agency responsible for administering the exercise of functions vested in the National Assembly relating to the historic environment;

"consultation body" ("corff ymgynghori") has the meaning given by regulation 4;

    (2) Where a body mentioned in paragraph (1) is at any time the responsible authority as regards a plan or programme, it must not at that time exercise the functions under these Regulations of a consultation body in relation to that plan or programme; and references to the consultation bodies in the following provisions of these Regulations are to be construed accordingly.

(a) the first formal preparatory act of a plan or programme occurs after 21 July 2004; and

(b) the plan or programme is of the description set out in paragraph (2) or (3),

the responsible authority must carry out, or secure the carrying out of, an environmental assessment, in accordance with Part 3 of these Regulations, during the preparation of that plan or programme and before its adoption or submission to the legislative procedure.

    (2) The description is a plan or programme which - 

the responsible authority must carry out, or secure the carrying out of, an environmental assessment, in accordance with Part 3, during the preparation of that plan or programme and before its adoption or submission to the legislative procedure for adoption.

    (2) Nothing in paragraph (1) requires the environmental assessment of a particular plan or programme if the responsible authority - 

(a) decides that such assessment is not feasible; and

(b) informs the public of its decision.

    (2) A plan or programme for which an environmental assessment is required by any provision of this Part is not to be adopted or submitted to the legislative procedure for the purposes of its adoption before - 

(a) if it is a plan or programme co-financed by the European Community, the environmental assessment has been carried out as mentioned in regulation 7;

(b) in any other case, the requirements of paragraph (3) below, and such requirements of Part 3 as apply in relation to the plan or programme, have been met.

    (3) This paragraph requires account to be taken of - 

(a) the environmental report for the plan or programme;

(b) every opinion expressed in response to the invitations referred to in regulation 13(2)(d);

(c) every opinion expressed in response to action taken by the responsible authority in accordance with regulation 13(4); and

(d) the outcome of any consultations commenced under regulation 14.

is likely to have significant environmental effects.

    (2) Before making a determination under paragraph (1), the responsible authority must - 

(a) take into account the criteria specified in Schedule 1; and

(b) consult the consultation bodies.

    (2) The responsible authority must comply with a requirement specified under paragraph (1) within 7 days of receiving notification of it.

    (3) The National Assembly may direct that a plan, programme or modification is likely to have significant environmental effects (whether or not a copy of the plan, programme or modification has been sent to it in response to a requirement under paragraph (1)).

    (4) Before giving a direction, the National Assembly must - 

(a) take into account the criteria specified in Schedule 1; and

(b) consult the consultation bodies.

    (5) The National Assembly must, as soon as reasonably practicable after the giving of the direction, send to the responsible authority and to each consultation body - 

(a) a copy of the direction; and

(b) a statement of its reasons for giving the direction.

    (6) In relation to a plan, programme or modification in respect of which a direction has been given - 

(a) any determination under regulation 9(1) with respect to the plan, programme or modification ceases to have effect on receipt of the direction; and

(b) if no determination has been made under regulation 9(1) with respect to the plan, programme or modification, the responsible authority ceases to be under any duty imposed by that regulation.

    (2) The responsible authority must - 

(a) keep a copy of the determination, and any accompanying statement of reasons, available at its principal office for inspection by the public at all reasonable times and free of charge; and

(b) within 14 days of the making of the copy of the determination, take such steps as it considers appropriate to bring to the attention of the public - 


(i) the title of the plan, programme or modification to which the determination relates;

(ii) that the responsible authority has determined that the plan, programme or modification is or, as the case may be, is not likely to have significant environmental effects and, accordingly, that an environmental assessment is or, as the case may be, is not required in respect of the plan, programme or modification; and

(iii) the address (which may include a website) at which a copy of the determination and any accompanying statement of reasons may be inspected or from which a copy may be obtained.

    (3) Where the responsible authority receives a direction under regulation 10(3), it must - 

(a) keep a copy of the direction available at its principal office for inspection by the public at all reasonable times and free of charge; and

(b) within 14 days of the receipt of such a direction, take such steps as it considers appropriate to bring to the attention of the public - 


(i) the title of the plan, programme or modification to which the direction relates;

(ii) that the National Assembly has directed that the plan, programme or modification is likely to have significant environmental effects and, accordingly, that an environmental assessment is required in respect of the plan, programme or modification; and

(iii) the address (which may include a website) at which the National Assembly's direction (and statement of its reasons for giving the direction) may be inspected or from which a copy may be obtained.

    (4) Nothing in paragraph (2)(b)(iii) or (3)(b)(iii) requires the responsible authority to provide a copy of the documents concerned free of charge; but, where a charge is made, it must be of a reasonable amount.

(a) implementing the plan or programme; and

(b) reasonable alternatives, taking into account the objectives and the geographical scope of the plan or programme.

    (3) The report must include such of the information referred to in Schedule 2 as may reasonably be required, taking account of - 

(a) current knowledge and methods of assessment;

(b) the contents and level of detail in the plan or programme;

(c) the status of the plan or programme in the decision-making process; and

(d) the extent to which certain matters are more appropriately assessed at different levels in that process in order to avoid duplication of the assessment.

    (3) The period referred to in paragraph (2)(d) must be - 

(a) not less than 28 days; and

(b) of such length as will ensure that the consultation bodies and the public consultees are given an effective opportunity to express their opinion on the relevant documents.

    (2) Where the National Assembly has been notified under paragraph (1)(a), the responsible authority must, within such period as the National Assembly may specify by notice in writing to the authority (such period being not less than 21 days), provide the National Assembly with such other information about the plan or programme, or its accompanying environmental report, as it may reasonably require.

    (3) Paragraph (4) applies where - 

(a) the National Assembly, whether in consequence of a notice under paragraph (1)(a) or otherwise, considers that the implementation of a plan or programme is likely to have significant effects on the environment of another Member State; or

(b) a Member State that is likely to be significantly affected by the implementation of such a plan or programme requests the documents specified in paragraph (4)(a).

    (4) Where this paragraph applies, the National Assembly must - 

(a) forward a copy of the plan or programme, and of its accompanying environmental report, to the Secretary of State;

(b) notify the responsible authority that paragraph (3)(a) or (b) applies, as the case may be; and

(c) direct the responsible authority that it must not adopt, or submit to the legislative procedure for adoption, the plan or programme until the consultation exercise has been concluded.

the National Assembly must forward any information it receives to the Secretary of State.

(a) make a copy of the plan or programme and its accompanying environmental report available at its principal office for inspection by the public at all reasonable times and free of charge; and

(b) take such steps as it considers appropriate to bring to the attention of the public - 


(i) the title of the plan or programme;

(ii) the date on which it was adopted;

(iii) the address (which may include a website) at which a copy of it and of its accompanying environmental report, and of a statement containing the particulars specified in paragraph (4), may be viewed or from which a copy may be obtained;

(iv) the times at which inspection may be made; and

(v) that inspection may be made free of charge.

    (2) As soon as reasonably practicable after the adoption of a plan or programme - 

(a) the responsible authority must inform - 


(i) the consultation bodies;

(ii) the persons who, in relation to the plan or programme, were public consultees for the purposes of regulation 13; and

(iii) where the responsible body is not the National Assembly, the National Assembly; and



(b) the National Assembly must inform the Secretary of State,

of the matters referred to in paragraph (3).

    (3) The matters are - 

(a) that the plan or programme has been adopted;

(b) the date on which it was adopted; and

(c) the address (which may include a website) at which a copy of - 


(i) the plan or programme, as adopted;

(ii) its accompanying environmental report; and

(iii) a statement containing the particulars specified in paragraph (4),



may be viewed, or from which a copy may be obtained.

    (4) The particulars referred to in paragraphs (1)(b)(iii) and (3)(c)(iii) are - 

(a) how environmental considerations have been integrated into the plan or programme;

(b) how the environmental report has been taken into account;

(c) how opinions expressed in response to - 


(i) the invitation in regulation 13(2)(d);

(ii) action taken by the responsible authority in accordance with regulation 13(4),



have been taken into account;

(d) how the results of any consultations entered into under regulation 14 have been taken into account;

(e) the reasons for choosing the plan or programme as adopted, in the light of the other reasonable alternatives dealt with; and

(f) the measures that are to be taken to monitor the significant environmental effects of the implementation of the plan or programme.

(a) the degree to which the plan or programme sets a framework for projects and other activities, either with regard to the location, nature, size and operating conditions or by allocating resources;

(b) the degree to which the plan or programme influences other plans and programmes including those in a hierarchy;

(c) the relevance of the plan or programme for the integration of environmental considerations in particular with a view to promoting sustainable development;

(d) environmental problems relevant to the plan or programme; and

(e) the relevance of the plan or programme for the implementation of Community legislation on the environment.

     2. Characteristics of the effects and of the area likely to be affected, having regard, in particular, to the - 

(a) probability, duration, frequency and reversibility of the effects;

(b) cumulative nature of the effects;

(c) transboundary nature of the effects;

(d) risks to human health or the environment;

(e) magnitude and spatial extent of the effects (geographical area and size of the population likely to be affected);

(f) value and vulnerability of the area likely to be affected due to  - 


(i) special natural characteristics or cultural heritage;

(ii) exceeded environmental quality standards or limit values; or

(iii) intensive land-use; and



(g) effects on areas or landscapes which have a recognised national, Community or international protection status.

(a) subject to preparation and/or adoption by an authority at national, regional or local level; or

(b) prepared by an authority for adoption, through a legislative procedure by Parliament or Government.

Subject to the exceptions mentioned below, where the first formal preparatory act in relation to a plan or programme to which these Regulations apply occurs after 21 July 2004, the plan or programme cannot be adopted, or submitted for adoption, unless it has been subjected to environmental assessment under these Regulations (Articles 4.1 and 13.3 of the Directive and regulations 5(1) and 7 of these Regulations).

The requirement for environmental assessment applies, in particular, to any plan or programme prepared for agriculture, forestry, fisheries, energy, industry, transport, waste management, water management, telecommunications, tourism, town and country planning or land use, which sets the framework for future development consent of projects listed in Annex I or II to Council Directive 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; and to any plan or programme which, in view of the likely effect on sites, has been determined to require an assessment pursuant to Article 6 or 7 of Council Directive 92/43/EEC on the conservation of natural habitats and of wild flora and fauna, as last amended by Council Directive 97/11/EC (Article 3.2 of the Directive and regulation 5(1) to (3) of these Regulations).

There are exceptions for plans and programmes that determine the use of a small area at local level, and for minor modifications, if the authority responsible for preparing the plan or programme (referred to in these Regulations as the "responsible authority") has determined under regulation 9(1) of these Regulations that they are unlikely to have significant environmental effects (Article 3.3 and regulation 5(6) of these Regulations). The responsible authority's determination may, however, cease to have effect if the National Assembly gives a direction under regulation 10(3).

The requirement for environmental assessment also applies to other plans and programmes which set the framework for future development consent of projects if they are the subject of a determination under regulation 9(1) that the plan or programme is likely to have significant environmental effects (Article 3.4 of the Directive and regulation 5(4) of these Regulations). The responsible authority's determination may, however, cease to have effect if the National Assembly gives a direction under regulation 10(3).

The requirement for environmental assessment under these Regulations also applies where a plan or programme in relation to which the first formal preparatory act occurred before 21 July 2004 has not been adopted, or submitted for adoption, before 22 July 2006. If an environmental assessment would have been required if the first formal preparatory act had occurred after 21 July 2004, the plan or programme must be subjected to environmental assessment unless the National Assembly directs that that is not feasible and informs the public to that effect (Articles 4.1 and 13.3 of the Directive and regulation 6 of these Regulations).

Regulation 7 makes provision for environmental assessment of plans and programmes co-financed by the European Community (other than those excepted by Article 3.9 of the Directive) to be carried out in conformity with the specific provisions in relevant Community legislation (Article 11.3 of the Directive).

Regulation 8 prevents the adoption, or submission for adoption, of a plan or programme for which an environmental assessment is required under these Regulations, before the completion of that assessment. An environmental assessment is not complete until account has been taken of the environmental report for that plan or programme, the opinions expressed in the course of the required consultations and the outcome of any transboundary consultations (Article 8 of the Directive). Regulation 8 also prevents the adoption, or submission for adoption, of a plan or programme while the National Assembly is considering whether the plan or programme is likely to have significant environmental effects.

Regulation 9 deals with the making of determinations by the relevant authority as to whether a plan or programme is likely to have significant environmental effects. The criteria to be applied are set out in Schedule 1 to these Regulations (Article 3.5 of, and Annex II to, the Directive). Determinations cannot be made unless the relevant authority has consulted designated bodies ("the consultation bodies"). The designation of the consultation bodies is dealt with in regulation 4 (Article 6.3 of the Directive). In the case of every plan and programme to which these Regulations apply the consultation bodies will consist of, or include, the Countryside Council for Wales, Cadw and the Environment Agency.

Regulation 10 enables the National Assembly to require a responsible authority to provide it with relevant documents. It also enables it to direct that a particular plan or programme is likely to have significant environmental effects. In the latter case, any determination to the contrary made under regulation 9(1) of these Regulations by a responsible authority ceases to have effect. If a responsible authority has not made any determination under that provision, the National Assembly's direction relieves it of the duty to do so.

Regulation 11 requires the publication of determinations under regulation 9 (Article 3.7 of the Directive) and directions under regulation 10.

Environmental assessment under these Regulations includes the preparation of an environmental report (Article 5 of the Directive and regulation 12 of these Regulations). The matters to be included in the environmental report are specified in Schedule 2 to these Regulations (Article 5.1 of, and Annex II to, the Directive).

Regulation 13 specifies the consultation procedures that must be undertaken in relation to a draft plan or programme for which an environmental report has been prepared under these Regulations (Articles 5.4 and 6 of the Directive).

Regulations 14 and 15 deal with transboundary consultations and include procedures for consultations in relation to those draft plans and programmes prepared in Wales that are likely to have significant effects on the environment in other Member States (Article 7 of the Directive).

Regulation 16 deals with procedures after the adoption of a plan or programme that has been the subject of an environmental assessment under the Regulations. It requires the person who prepared the plan or programme to give notice of its adoption and to make it and other specified information available for inspection (Article 9 of the Directive).

Regulation 17 relates to the monitoring of the significant environmental effects of implementing plans and programmes (Article 10 of the Directive). It requires the person by whom the plan or programme was prepared to monitor with a view to identifying, at an early stage, unforeseen adverse effects, and being able to undertake appropriate remedial action.