PART  - CO-OPERATION

S T A T U T O R Y      I N S T R U M E N T S

The Flood Risk Regulations 2009

The Secretary of State makes the following Regulations under the powers conferred by that

section.

PART 1

(2) They come into force on 10th December 2009.

(3) A duty imposed under these regulations to prepare or publish a document may be satisfied

by having prepared or published a document before these regulations came into force.

(4) Subject to paragraph (5) these regulations extend to England and Wales only.

(5) This regulation and regulation 37 also extend to Scotland.

by water.

(2) It does not matter for the purpose of paragraph (1) whether a flood is caused by—

(a) heavy rainfall,

(b) a river overflowing or its banks being breached,

(c) a dam overflowing or being breached,

(d) tidal waters, or

(e) any other event (or combination of events).

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(3) But “flood” does not include—

(a) a flood from any part of a sewerage system, unless wholly or partly caused by an increase

in the volume of rainwater (including snow and other precipitation) entering or otherwise

affecting the system, or

(b) a flood caused by a burst water main (within the meaning given by section 219 of the

insurance purposes) as a combination of the probability of the occurrence with its potential

consequences.

Regulations.

(a) the Secretary of State in relation to England, and

(b) the Welsh Ministers in relation to Wales.

(2) For the purposes of anything done in relation to a river basin district which includes land in

England and land in Wales, a reference to the Minister is a reference to the Secretary of State and

the Welsh Ministers acting jointly.

(a) the unitary authority for the area, or

(b) if there is no unitary authority, the county council for the area.

(2) “Unitary authority” means—

(a) the council of a county for which there are no district councils;

(b) the council of a district in an area for which there is no county council;

(c) the council of a London borough;

(d) the Common Council of the City of London;

(e) the Council of the Isles of Scilly.

(3) “Lead local flood authority” in relation to an area in Wales means—

(a) the county council for the area;

(b) the county borough council for the area.

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PART 2

(a) a preliminary assessment map, and

(b) a preliminary assessment report in relation to flooding from—

(i) the sea,

(ii) main rivers, and

(iii) reservoirs.

(2) This regulation is subject to regulations 31 and 32.

flooding in its area.

(2) A lead local authority is not required to include in its report information about flooding from

a source mentioned in regulation 9(1)(b) unless the authority thinks that it may affect flooding

from another source.

(3) The Environment Agency—

(a) must review a preliminary assessment report prepared under this regulation, and

(b) may recommend modifications.

(4) Following a review, a lead local flood authority may revise its preliminary assessment

report.

(5) The Agency’s power to require information under regulation 36 includes power to require a

lead local flood authority to provide a preliminary assessment report by a specified date.

(6) This regulation is subject to regulations 33 and 34.

(a) the borders of each river basin and each river sub-basin in the area,

(b) any areas of coastline,

(c) topography, and

(d) the purposes for which the land in the area is used.

(2) The map must be based on all of the following—

(a) relevant information which is in the possession of the Environment Agency;

(b) relevant information which is in the possession of an authority listed in regulation 36(3);

(c) relevant information which is available to the public.

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(a) past floods, and

(b) the possible harmful consequences of future floods.

(2) The report must be based on all of the following—

(a) relevant information which is in the possession of the person preparing the report;

(b) relevant information which is in the possession of the Environment Agency;

(c) relevant information which is in the possession of an authority listed in regulation 36(3);

(d) relevant information which is available to the public.

(3) The floods to be included under paragraph (1)(a) are those—

(a) which had significant harmful consequences for—

(i) human health,

(ii) economic activity, or

(iii) the environment (including cultural heritage), or

(b) which would have significant harmful consequences for those matters if they were to

occur now.

(4) But the report may ignore past floods of a kind that are not likely to occur now.

(5) The report must include—

(a) any information that the person making the report has about the extent and the

conveyance route of past floods, and

(b) an assessment of the harmful consequences of past floods.

(6) The assessment of possible consequences of future floods for the purposes of paragraph

(1)(b) must take account of—

(a) topography,

(b) the location of watercourses,

(c) the location of flood plains that retain flood water,

(d) the characteristics of watercourses,

(e) the effectiveness of any works constructed for the purpose of flood risk management,

(f) the location of populated areas,

(g) the areas in which economic activity is concentrated, and

(h) the current and predicted impact of climate change and any other long term

developments.

(7) A lead local flood authority must have regard to any guidance issued by the Environment

Agency about the form of a preliminary assessment report.

(a) determine in relation to each river basin district whether, in its opinion, there is a

significant flood risk from—

(i) the sea,

(ii) main rivers, and

(iii) reservoirs, and

(b) identify the part of the river basin district affected by that risk (the “flood risk area”).

(2) The Agency may have regard to any guidance issued by the Minister about the criteria for

assessing whether a risk of flooding is significant.

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(3) This regulation is subject to regulation 32.

(a) determine whether, in its opinion, there is a significant flood risk in its area, and

(b) identify the part of the area affected by the risk (the “flood risk area”).

(2) In making a determination under paragraph (1)(a), a lead local authority is not required to

take into account flooding from a source mentioned in regulation 13(1)(a) unless the authority

thinks that it may affect flooding from another source.

(3) The authority may have regard to any guidance issued by the Minister about the criteria for

assessing whether a risk of flooding is significant.

(4) The Environment Agency—

(a) must review the determination and identification of flood risk areas under paragraph (1),

and

(b) may recommend that the lead local flood authority identifies—

(i) a different flood risk area,

(ii) an additional flood risk area, or

(iii) no flood risk area.

(5) If the lead local flood authority disagrees with a recommendation of the Agency, the matter

must be referred to the Minister.

(6) On a referral the Minister must determine the flood risk area (if any) for which the lead local

authority must prepare a flood hazard map and a flood risk map under regulation 19.

(7) In making a determination under paragraph (6) the Minister must have regard to the

cumulative effect of the risk of flooding identified by the Agency and the lead local flood

authority.

(8) The Agency’s power to require information under regulation 36 includes power to require a

lead local authority to notify the Agency of its determination and identification of a flood risk area

by a specified date.

(9) This regulation is subject to regulation 34.

(a) the preliminary assessment maps for each river basin district, and

(b) the preliminary assessment reports prepared by the Agency and by the lead local flood

authorities for each river basin district.

(2) The first preliminary assessment maps and the first preliminary assessment reports for each

river basin district must be published before 22nd December 2011.

(a) the preliminary assessment maps and the preliminary assessment reports prepared by it

under regulation 9, and

(b) its determination and identification of flood risk areas under regulation 13.

(2) Following a review, the Environment Agency may prepare a revised preliminary assessment

map or report.

(3) The first review must be completed before 22nd December 2017.

(4) Subsequent reviews must be carried out at intervals of no more than 6 years.

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(a) the preliminary assessment report prepared by it under regulation 10, and

(b) its determination and identification of flood risk areas under regulation 14.

(2) Following a review, a lead local authority may prepare a revised preliminary assessment

report.

(3) The first review must be completed before 22nd June 2017.

(4) Subsequent reviews must be carried out at intervals of no more than 6 years.

(5) Regulation 10 applies in relation to a review of a preliminary assessment report as it applies

to the first report.

(6) Regulation 14 applies in relation to a review of a determination and identification of flood

risk areas as it applies in relation to the first determination or identification of flood risk areas.

PART 3

under regulation 13—

(a) a flood hazard map relating to the risk of flooding from—

(i) the sea,

(ii) main rivers, and

(iii) reservoirs, and

(b) a flood risk map.

(a) a flood hazard map, and

(b) a flood risk map.

(2) “Relevant flood risk area” means—

(a) the flood risk area identified by the lead local flood authority under regulation 14(1), or

(b) if a referral is made to the Minister, the flood risk area determined by the Minister under

regulation 14(6).

(3) A lead local authority is not required to include in the maps that it prepares information

about flooding from a source mentioned in regulation 18(1)(a) unless the authority thinks that it

may affect flooding from another source.

(4) The Environment Agency—

(a) must review flood hazard maps and flood risk maps prepared under this regulation, and

(b) may recommend modifications.

(5) Following a review, a lead local flood authority may revise its flood hazard map or flood risk

map.

(6) The Agency’s power to require information under regulation 36 includes power to require a

lead local flood authority to provide a flood hazard map or a flood risk map by a specified date.

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(a) the likely extent (including water level or depth) of possible floods,

(b) the likely direction and speed of flow of possible floods, and

(c) whether the probability of each possible flood occurring is low, medium or high (in the

opinion of the person preparing the map).

(2) The floods to be included are those for which a significant flood risk has been identified

under regulation 13 or 14.

(3) But the following may be ignored—

(a) a medium or high probability flood caused only by groundwater,

(b) a medium or high probability flood which would affect only an area of coastline that, in

the opinion of the person preparing the map, is adequately protected against flooding.

(4) In paragraph (3) “groundwater” means water which is below the surface of the ground and in

direct contact with the ground or subsoil.

(5) For the purposes of this regulation—

(a) the probability of a flood occurring is low if the chances of it occurring in any 12 month

period are 0.1% or less,

(b) the probability of a flood occurring is medium if the chances of it occurring in any 12

month period are more than 0.1% but not more than 1%, and

(c) the probability of a flood occurring is high if the chances of it occurring in any 12 month

period are more than 1%.

(6) The information included in a flood hazard map must not be inconsistent with the

information included in the river basin management plan for the district.

(7) In this regulation and regulation 21 “river basin management plan” means a river basin

management plan prepared under regulation 11 of the Water Environment Regulations.

(8) A lead local flood authority must have regard to any guidance issued by the Environment

Agency about the form of flood hazard maps.

(a) the number of people living in the area who are likely to be affected in the event of

flooding,

(b) the type of economic activity likely to be affected in the event of flooding,

(c) any industrial activities in the area that may increase the risk of pollution in the event of

flooding,

(d) any relevant protected areas that may be affected in the event of flooding,

(e) any areas of water subject to specified measures or protection for the purpose of

maintaining the water quality that may be affected in the event of flooding, and

(f) any other effect on—

(i) human health,

(ii) economic activity, or

(iii) the environment (including cultural heritage).

(2) “Relevant protected area” means an area—

(a) that is a protected area within regulation 8(2)(a) or (b)(ii) or (iv) of the Water

Environment Regulations, and

(b) that is registered under regulation 8(1) of those regulations.

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(3) The information included in a flood risk map must not be inconsistent with the information

included in the river basin management plan for the district.

(4) A lead local flood authority must have regard to any guidance issued by the Environment

Agency about the form of flood risk maps.

prepared by the Agency and the lead local flood authorities for each river basin district.

(2) The first flood hazard maps and the first flood risk maps for each river basin district must be

published before 22nd December 2013.

prepared by it under regulation 18.

(2) Following a review, the Agency may prepare—

(a) a revised flood hazard map;

(b) a revised flood risk map.

(3) The first review must be completed before 22nd December 2019.

(4) Subsequent reviews must be carried out at intervals of no more than 6 years.

(5) The Agency must, so far as is reasonably practicable, co-ordinate a review under this

regulation with a review of a river basin district under regulation 5(2) of the Water Environment

Regulations.

map prepared by it under regulation 19.

(2) Following a review, a lead local flood authority may prepare—

(a) a revised flood hazard map;

(b) a revised flood risk map.

(3) The first review must be completed before 22nd June 2019.

(4) Subsequent reviews must be carried out at intervals of no more than 6 years.

(5) Regulation 19 applies in relation to a review of a flood hazard and flood risk map as it

applies to the first such map.

PART 4

flood risk area identified by it under regulation 13.

each relevant flood risk area.

(2) “Relevant flood risk area” means—

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(a) the flood risk area identified by the lead local flood authority under regulation 14(1), or

(b) if a referral is made to the Minister, the flood risk area determined by the Minister under

regulation 14(6).

(3) The Environment Agency—

(a) must review a flood risk management plan prepared under this regulation, and

(b) may recommend modifications.

(4) Following a review, a lead local flood authority may revise its flood risk management plan.

(5) The Agency’s power to require information under regulation 36 includes power to require a

lead local flood authority to provide a flood risk management plan by a specified date.

(2) The plan must include details of—

(a) objectives set by the person preparing the plan for the purpose of managing the flood risk,

and

(b) the proposed measures for achieving those objectives (including measures required by

any provision of an Act or subordinate legislation).

(3) In setting the objectives, the person preparing the plan must have regard to the desirability

of—

(a) reducing the adverse consequences of flooding for—

(i) human health,

(ii) economic activity, or

(iii) the environment (including cultural heritage), and

(b) reducing the likelihood of flooding, whether by exercising powers to carry out structural

work or otherwise.

(4) The measures must, in particular, include measures relating to—

(a) the prevention of flooding,

(b) the protection of individuals, communities and the environment against the consequences

of flooding, and

(c) arrangements for forecasting and warning.

(5) In determining the proposed measures for achieving the objectives, the person preparing the

plan must have regard to—

(a) the costs and benefits of different methods of managing the flood risk,

(b) the information included in the flood hazard map and the flood risk map,

(c) the river basin management plan for the area,

(d) the effect of floodplains that retain flood water,

(e) the environmental objectives, within the meaning of regulation 2 of the Water

Environment Regulations, and

(f) the likely effect of a flood, and of different methods of managing a flood, on the local

area and the environment.

(6) A flood risk management plan must include—

(a) a map showing the boundaries of the flood risk area,

(b) a summary of the conclusions drawn from the flood hazard maps and flood risk maps for

the area,

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(c) a description of the proposed timing and manner of implementing the measures

mentioned in paragraph (2)(b), including details of the bodies responsible for

implementation,

(d) a description of the way in which implementation of those measures will be monitored,

(e) a report of the consultation under paragraph (7), and

(f) where the person preparing the report thinks it appropriate, information about how the

implementation of measures under the flood risk management plan and the river basin

management plan for the area will be co-ordinated.

(7) The Environment Agency and each lead local flood authority must consult the following

about the proposed content of a flood risk management plan—

(a) authorities listed in regulation 36(3) that may be affected by the plan, and

(b) the public.

(8) A lead local flood authority must have regard to any guidance issued by the Environment

Agency about the form of flood risk management plans.

(9) In this regulation “river basin management plan” means a river basin management plan

prepared under regulation 11 of the Water Environment Regulations.

the Agency and by the lead local flood authorities for each river basin district.

(2) The first flood risk management plans for each river basin district must be published before

22nd December 2015.

under regulation 25.

(2) The first review must be completed before 22nd December 2021.

(3) Subsequent reviews must be carried out at intervals of no more than 6 years.

(4) Following a review, the Agency must prepare a revised flood risk management plan.

(5) The revised flood risk management plan must—

(a) take account of the likely impact of climate change on the occurrence of floods,

(b) include an assessment of the progress made towards implementing the measures under

regulation 27(2)(b), and

(c) if any measures proposed in the previous flood risk management plan have not been

implemented, include a statement of the reasons why those measures have not been

implemented.

under regulation 26.

(2) The first review must be completed before 22nd June 2021.

(3) Subsequent reviews must be carried out at intervals of no more than 6 years.

(4) Following a review, the lead local flood authority must prepare a revised flood risk

management plan.

(5) The revised flood risk management plan must—

(a) take account of the likely impact of climate change on the occurrence of floods,

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(b) include an assessment of the progress made towards implementing the measures under

regulation 27(2)(b), and

(c) if any measures proposed in the previous flood risk management plan have not been

implemented, include a statement of the reasons why those measures have not been

implemented.

(6) Regulation 26 applies in relation to a review of a flood risk management plan as it applies to

the first such plan.

PART 5

basin district if before 22nd December 2010—

(a) the Agency carries out an assessment (whether or not the assessment complies with the

requirements of Part 2) of the flood risk in the district from—

(i) the sea,

(ii) main rivers, and

(iii) reservoirs, and

(b) having regard to that assessment, the Agency considers that there is a significant flood

risk in the district.

(2) Where paragraph (1) applies—

(a) the Agency must prepare a preliminary assessment report for the river basin district

before 22nd December 2017,

(b) the first review of the preliminary assessment report must be carried out no more than 6

years after the date on which the documents are published, and

(c) regulations 15(2) and 16(3) do not apply in relation to the first preliminary assessment

report to be prepared by the Agency for the relevant river basin district.

(3) This regulation ceases to apply in relation to a river basin district on completion of the first

review of the preliminary assessment map prepared by the Agency for the area.

river basin district if the Environment Agency determines before 22nd December 2010 that it will

prepare a flood hazard map, a flood risk map and a flood risk management plan for the whole of

the river basin district.

(2) Where paragraph (1) applies, these regulations have effect with the following

modifications—

(a) the reference in regulation 18 to each flood risk area identified by the Agency is a

reference to the river basin district,

(b) the reference in regulation 20(1) to flood risk areas is a reference to the river basin

district,

(c) regulation 20(2) is omitted, and

(d) the reference in regulation 25 to each flood risk area identified by the Agency is a

reference to the river basin district.

(3) Where paragraph (1) applies, the Environment Agency must review the decision whether—

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(a) to prepare a new flood hazard map, flood risk map and flood risk management plan for

the river basin district, or

(b) to prepare a preliminary assessment report for the district in accordance with Part 2 of

these regulations.

(4) The first review must be completed before 22nd December 2017.

(5) Subsequent reviews must be carried out at intervals of no more than 6 years.

(6) Where the Agency prepares a preliminary assessment map and report following a review

under this regulation—

(a) Part 2 (apart from regulations 15(2) and 16(3) insofar as they relate to the report to be

prepared by the Agency) shall apply to the Agency in relation to the district (and this

regulation shall cease to apply), and

(b) the first review of the preliminary assessment map and report under regulation 15 must be

carried out no more than 6 years after the date on which the documents are published.

2010—

(a) the authority carries out an assessment (whether or not the assessment complies with the

requirements of Part 2) of the flood risk in its area, and

(b) having regard to that assessment, the authority considers that there is a significant flood

risk in the area.

(2) Where paragraph (1) applies—

(a) the authority must prepare a preliminary assessment report for its area before 22nd June

2017,

(b) the first review of the preliminary assessment report must be carried out no more than 6

years after the date on which the report is published, and

(c) regulations 15(2) and 17(3) do not apply in relation to the first report prepared by the

authority.

(3) This regulation ceases to apply in relation to a lead local flood authority on completion of the

first review of the preliminary assessment report prepared by the authority.

22nd December 2010 that it will prepare a flood hazard map, a flood risk map and a flood risk

management plan for the whole of its area.

(2) Where paragraph (1) applies, these regulations have effect with the following

modifications—

(a) the reference in regulation 19(1) to a relevant flood risk area is a reference to the

authority’s area,

(b) the reference in regulation 20(1) to flood risk areas is a reference to the authority’s area,

(c) regulation 20(2) is omitted, and

(d) the reference in regulation 26(1) to a relevant flood risk area is a reference to the

authority’s area.

(3) Where paragraph (1) applies, the authority must review the decision whether—

(a) to prepare a new flood hazard map, flood risk map and flood risk management plan for

the whole of its area, or

(b) to prepare a preliminary assessment report in accordance with Part 2 of these regulations.

(4) The first review must be completed before 22nd June 2017.

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(5) Subsequent reviews must be carried out at intervals of no more than 6 years.

(6) If the authority prepares a preliminary assessment report following a review under this

regulation—

(a) Part 2, apart from regulations 15(2) and 17(3), shall apply in relation to the lead local

flood authority (and this regulation shall cease to apply),

(b) the first review of the preliminary assessment report under regulation 17 must be carried

out no more than 6 years after the date on which the report is published.

PART 6

exercising any function under these regulations.

(2) The following are “relevant authorities”—

(a) the Environment Agency, and

(b) each lead local flood authority.

Agency to provide information which the Agency reasonably requires in connection with its

functions under these regulations.

(2) The Environment Agency and an authority listed in paragraph (3) must comply with a

request of a lead local flood authority to provide information reasonably required in connection

with the lead local flood authority’s functions under these regulations.

(3) The authorities are—

(a) a lead local flood authority,

(b) a district council for an area for which there is no unitary authority,

(c) an internal drainage board (within the meaning given by section 1 of the Land Drainage

(d) a highway authority (within the meaning given by section 1 of the Highways Act

(e) a company which holds an appointment under Chapter 1 of Part 2 of the Water Industry

(f) a reservoir undertaker (within the meaning given by section 1 of the Reservoirs Act

(g) a navigation authority (within the meaning given by section 219 of the Water Industry

Act 1991,

section 21(2) the New Roads and Street Works Act 1991 and section 259 of the Greater London Authority Act 1999.

schedule 1), the Competition Act 1998 (section 54 and 74 and schedule 10), the Competition Act 1998 (Competition

Commission) Transitional, Consequential and Supplemental Provisions Order 1999 (S.I. 1999/506) (article 30), the Water

and Sewerage Undertakers (Inset Appointments) Regulations 2000 (S.I. 2000/1842) (regulation 2), the Enterprise Act 2002

(sections 86, 164 and 278 and schedules 9 and 25), the Enterprise Act 2002 (Protection of Legitimate Interests) Order 2003

(S.I. 2003/1592) (article 16), and the Water Act 2003 (sections 11, 36, 53 to 56 and 101 and schedules 4, 8 and 9).

of, and Schedule 2 to, the Environment Act 1995 (Consequential Amendments Regulations 1996 (S.I. 1996/593).

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(h) a harbour authority (within the meaning given by section 313 of the Merchant Shipping

(i) Natural England,

(j) the Historic Building and Monuments Commission for England,

(k) the Countryside Council for Wales, and

(l) the Welsh Ministers.

(4) The information must be provided—

(a) in the form or manner specified in the request, and

(b) within the period specified in the request.

PART 7

the part of the district that is in Scotland.

(2) Before exercising any function under these regulations in relation to the Northumbria River

Basin District, a relevant authority must consult the Scottish Environment Protection Agency.

(3) The following are “relevant authorities”—

(a) the Environment Agency, and

(b) each lead local flood authority.

(4) “Northumbria River Basin District” has the meaning given by regulation 2 of the Water

Environment (Water Framework Directive) (Northumbria River Basin District) Regulations

the part of that district that is in England.

(2) “Solway Tweed River Basin District” has the meaning given by regulation 2 of the Water

Environment (Water Framework Directive) (Solway Tweed River Basin District) Regulations

Parliamentary Under Secretary of State

13th November 2009 Department for Environment, Food and Rural Affairs

These Regulations transpose Directive 2007/60/EC of the European Parliament and of the Council

on the assessment and management of flood risks for England and Wales.

Part 1 of the regulations is introductory.

Security Act 1997.

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Part 2 imposes duties on the Environment Agency and local authorities to prepare preliminary

assessment reports about past floods in each river basin district, and the possible harmful

consequences of future floods. The Environment Agency is also under a duty to prepare a

preliminary assessment map of each river basin district. Following these assessments, the

authorities must identify areas which are at significant risk of flooding. The assessments and

decisions of areas at significant risk must be reviewed at least every 6 years.

Part 3 imposes a duty on the Environment Agency and local authorities to prepare flood risk maps

and flood hazard maps for each area which has been identified as being at significant risk of

flooding.

Part 4 imposes a duty on the Environment Agency and local authorities to prepare a flood risk

management plan for each area which has been identified as being at significant risk of flooding.

The plan must set objectives for the purpose of managing the flood risk and propose measures for

achieving those objectives.

Part 5 provides some exceptions to these duties.

Part 6 imposes duties on the Environment Agency and relevant local authorities to co-operate with

one another for the purpose of these regulations, and certain authorities to comply with requests to

supply information those purposes.

Part 7 makes special provision for the two river basin districts which straddle the border between

England and Scotland.

A full regulatory impact assessment of the effect that this instrument will have on the costs of

business and the voluntary sector, and a transposition note have been prepared and are available

on the Defra website at www.defra.gov.uk.

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E5254 11/2009 195254T 19585

S T A T U T O R Y I N S T R U M E N T S

The Flood Risk Regulations 2009