Policy paper

Extant water quality provisions offences

Updated 21 February 2024

Applies to England

1. Water Resources Act 1991

Section 91B(3):

Failure to give notice of abandonment of a mine.

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

Section 202(4):

Failure to provide information required by a notice under section 202.

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

The civil sanction we can impose is:

• variable monetary penalty

Section 217(1):

Criminal liability of directors, managers and secretaries in relation to offences that their company (body corporate) is guilty of and which are proved to have been committed with the consent, connivance or attributable to their neglect.

This does not require enforcement action against the first party and different responses can be given to each. You should make reference to the public interest factors.

Civil sanctions are only available for this offence where they are available for the offence for which the body corporate is guilty.

Section 217(2):

Liability of members of a body corporate where they manage the company affairs.

This does not require enforcement action against the first party and different responses can be given to each. You should make reference to the public interest factors.

Civil sanctions are only available for this offence where they are available for the offence for which the body corporate is guilty.

Section 217(3):

Liability of third parties for offences under the water pollution provisions.

This does not require enforcement action against the first party and different responses can be given to each. You should make reference to the public interest factors.

Civil sanctions are only available for this offence where they are available for the offence for which the body corporate is guilty.

Section 161D(1):

Failure to comply with an Anti Pollution Works notice.

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

The civil sanction we can impose is:

• variable monetary penalty

2. Control of Pollution (Oil Storage) (England) Regulations 2001

Regulation 9:

Failure to meet the requirements of Regulations 3 to 5 of the Oil Storage Regulations.

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

The civil sanctions we can impose are:

• restoration notice
• fixed monetary penalty
• variable monetary penalty
• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

3. Nitrate Pollution Prevention Regulations 2015

Regulation 41(1) and 7:

Failure to ensure that the total amount of nitrogen in livestock manure applied to a holding in any calendar year does not exceed 170kg per hectare in accordance with Regulation 7.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 8:

Failure to ensure that the total amount of nitrogen in organic manure spread in a twelve-month period on any given hectare, does not exceed 250kg in accordance with Regulation 8.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 10:

Failure to produce a fertilisation plan before spreading nitrogen fertiliser in accordance with Regulation 10.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 11:

Failure to calculate available nitrogen or record required information before spreading organic manure in accordance with Regulation 11.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 12:

Failure to ensure that the total amount of nitrogen spread on a crop or group of crops does not exceed the specified figure in accordance with Regulation 12.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 13:

Failure to ensure that the amount of nitrogen spread on grass grown for dehydration or for chlorophyll production is in accordance with Regulation 13.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 15:

Failure to produce, maintain, update or keep a copy of a risk map of a holding on which organic manure is spread in accordance with Regulation 15. 

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 16:

Spreading nitrogen fertiliser or manufactured nitrogen fertiliser otherwise than in accordance with Regulation 16. 

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 16(1):

Failure to undertake a field inspection to consider the risk of nitrogen getting into surface water. 

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 17:

Spreading organic manure within 10 metres of surface water or 50 metres of a borehole, spring or well otherwise than in accordance with Regulation 17. 

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 18:

Failure to ensure that equipment used to spread slurry by broadcasting is in accordance with Regulation 18. 

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 19:

Failure to ensure that organic manure applied to the surface of bare soil or stubble is incorporated into the soil in accordance with Regulation 19. 

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 20:

Spreading organic manure with high readily available nitrogen on land during the closed period otherwise in accordance with Regulation 20.   

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 21:

Failure to ensure organic manure with high readily available nitrogen is spread in accordance with Regulation 21.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 22:

Spreading manufactured nitrogen fertiliser on land during the closed period otherwise in accordance with Regulation 22. 

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 23:

Failure to ensure organic manure or bedding contaminated with organic manure is stored in accordance with Regulation 23.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 24:

Failure to ensure that the separation of any slurry into its solid and liquid fractions is done in accordance with Regulation 24.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 25:

Failure to provide sufficient storage for all slurry and poultry manure produced on the holding and for rainfall, washings or other liquid that enters the vessel during the storage period in accordance with Regulation 25.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 25A:

Failure to record the total size of a new holding in accordance with Regulation 25A.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 25B:

Failure to calculate and record those things required by Regulation 25B.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 26:

Failure to record the number of animals in a building or hardstanding or the temporary field sites used for free-standing heaps for the previous storage period in accordance with Regulation 26.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 27:

Failure to record livestock numbers or calculate and record the amount of nitrogen in their manure produced during the previous year as specified in Regulation 27.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 28:

Failure to record information of, or ascertain the nitrogen content of, livestock manure brought on to a holding or to record information of livestock manure sent off a holding, in accordance with Regulation 28.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 29:

Failure to keep the original laboratory report when using sampling and analysis to determine nitrogen content in organic manure.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 30:

Failure to record details of crops sown upon which nitrogen fertiliser is or is intended to be spread on in accordance with Regulation 30.

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 31:

Failure to record details of spreading of organic manure or manufactured nitrogen fertiliser in accordance with Regulation 31.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 32:

Failure to record the yield achieved by an arable crop or how grassland was managed in accordance with Regulation 32.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 33:

Failure to keep a copy of advice relied upon from a FACTS adviser in accordance with Regulation 33.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 34:

Failure to update records when changes occur in accordance with Regulation 34.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 35:

Failure to keep a record for 5 years in accordance with Regulation 35.

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

Regulation 41(1) and 37(3):

Failure to meet the derogation conditions in relation to a holding in accordance with Regulation 37(3).

The standard criminal and offence specific responses are:

• warning

• formal caution

• prosecution

The civil sanctions we can impose are:

• compliance notice

• restoration notice

• fixed monetary penalty

• variable monetary penalty

• stop notice

The civil sanction which can be offered is:

• enforcement undertaking

4. Water Industry Act 1991 (WIA)

Section 120(9):

Where a sewerage undertaker fails to refer to the Environment Agency, within 2 months, any question as to whether the discharges of special category effluent should be prohibited or made subject to conditions.

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

The civil sanctions we can impose are:

• compliance notice
• restoration notice
• fixed monetary penalty
• variable monetary penalty

The civil sanction which can be offered is:

• enforcement undertaking

Section 130(7):

Where a sewerage undertaker fails to refer to the Environment Agency any question as to whether any operations for the purpose of or in connection with the reception or disposal of special category effluent should be prohibited or made subject to conditions.

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

The civil sanctions we can impose are:

• compliance notice
• restoration notice
• fixed monetary penalty
• variable monetary penalty

The civil sanction which can be offered is:

• enforcement undertaking

Section 133(5):

Where a sewerage undertaker fails to exercise its powers so as to secure compliance with the provisions of a notice served by the Environment Agency under section 132 WIA.

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

The civil sanctions we can impose are:

• restoration notice
• variable monetary penalty

Section 135A(2)(a):

Failure to provide information.

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

The civil sanction we can impose is:

• variable monetary penalty

Section 165(3):

Failure to take all necessary steps to secure discharge is free as may be reasonably practicable from all of the following:

• mud and silt
• solid, polluting, offensive or injurious substances
• any substances prejudicial to fish or spawn, or to spawning beds or food of fish

Summary only. The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

Section 166(8):

Contravention of section 166 requirements or a condition of a consent, by a water undertaker.

Summary only. The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

5. SSAFO Regulations 2010

In this section, SSAFO refers to the Water Resources (Control of Pollution) (Silage, Slurry and Agriculture Fuel Oil) (England) Regulations 2010.

Regulation 10(1) and 3(1):

Failure to ensure silage is made and stored in accordance with Regulation 3(1).

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

Regulation 10(1) and 3(4):

Opening or removing wrapping of a silage bale within 10 metres of an inland freshwater or coastal water.

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

Regulation 10(1) and 4(1):

Failure to ensure slurry is stored in a slurry storage system in accordance with Regulation 4(1).

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

Regulation 10(1) and 5(1):

Failure to ensure fuel oil on a farm is stored in accordance with Regulation 5(1).

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

Regulation 10(1) and 7(4A)*:

To fail to comply with the requirements of a Regulation 7(1) notice requiring works.

The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution

Regulation 10(2) and 9:

Failure to notify of the construction, substantial enlargement or reconstruction of a silo, slurry storage or fuel oil storage system in accordance with Regulation 9.

Summary only offence. The standard criminal and offence specific responses are:

• warning
• formal caution
• prosecution