Reservoir offences
Updated 21 February 2024
Applies to England
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1. Reservoirs Act 1975
1.1 Potential environmental impact
We will use the potential environmental impact when we consider the offences. Currently we do this by assessing the risk category of the reservoir described in section 1.2. We equate this to the Common Incident Classification Scheme or the Compliance Classification Scheme enforcement response for the Environmental Impact Public Interest factor as explained in our Enforcement and sanctions policy.
1.2 Potential effect of dam breach
Category A
Where a breach could endanger lives in a community. We consider a community to be not less than 10 people.
Category B
Where a breach:
- could endanger lives not in a community (usually inhabitants of isolated houses and operatives in treatment works immediately below the dam and in other places of work in the flood path)
- could result in extensive damage including erosion of agricultural soils and the severing of main road or rail communications
Category C
Where a breach would pose negligible risk to life and cause limited damage. Therefore, this includes flood-threatened areas that are ‘inhabited’ only spasmodically. For example, footpaths across the flood plain and playing fields. In addition, this category covers loss of livestock and crops.
Category D
Special cases where no loss of life can be foreseen as a result of a breach and very limited additional flood damage would be caused. Many small reservoirs with low earth dams may cause no real problem, except that of replacement, if they wash out. The point of assessment for whether the damage is significant or not can be taken as the first site below the dam at which some feature of value exists (for example, a mill or road bridge).
1.3 Source of data
Table 1, pages 6 to 7 ‘Floods and Reservoir Safety’ (3rd Edition), The Institution of Engineers, Thomas Telford Books, 1996. This is an amended version of the table, you can refer to the original publication for further information.
The Building Research Establishment classify these categories as 1 to 4 respectively.
Section 6(1):
Construction or enlargement of a large raised reservoir without the appointment of a construction engineer to design and supervise the construction or alteration of the reservoir. Also includes a reservoir being brought back into use after abandonment.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Reservoirs classification scheme does not apply to this offence.
Section 6(2):
Using a new large raised reservoir other than as stated on the certificate of the construction engineer.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 6(3):
Using a large raised reservoir constructed by the alteration of an existing reservoir that is not a large raised reservoir other than as stated on the certificate of the construction engineer.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 6(4):
Using a large raised reservoir constructed by the alteration so as to increase its capacity, from the time the construction engineer first gives a certificate other than as stated on the certificate of the construction engineer.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 6(5):
Supervision of qualified civil engineer until final certificate issued.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Reservoirs classification scheme does not apply to this offence.
Section 8(3):
Non-compliance with requirements for the construction or enlargement of a large raised reservoir, subject to the undertaker referring the matter to a referee, failing to put into effect measures in the interests of safety.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Reservoirs classification scheme does not apply to this offence.
Section 9(1):
Bringing a large raised reservoir that has been abandoned back into use as a reservoir without a qualified civil engineer making a report on it and supervising the reservoir until issue of a final certificate.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Reservoirs classification scheme does not apply to this offence.
Section 9(2):
Using a large raised reservoir, which has been abandoned, other than in accordance with the certificate of the engineer.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 9(3):
Re-using a large raised reservoir, subject to the undertaker referring the matter to a referee, without putting into effect any recommendations made by the qualified civil engineer employed to inspect the reservoir and report on it.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 10(1):
Failing to have a large raised reservoir inspected and a report prepared.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Reservoirs classification scheme does not apply to this offence.
Section 10(6):
Subject to any reference of the matter to a referee, failing to put into effect the recommendations made as to measures to be taken in the interests of safety.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Reservoirs classification scheme does not apply to this offence.
Section 11(1):
Failing to keep the records or install the instruments required to obtain the records.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 11(2):
Failing to keep the record of information in the manner and at the intervals directed by the construction engineer or inspecting engineer.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 12(1):
Failing to appoint a supervising engineer.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Reservoirs classification scheme does not apply to this offence.
Section 13(1):
Altering a reservoir in order to render it incapable of holding more than 25,000 m3 of water without employing a qualified civil engineer to design or approve and supervise the alteration.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 13(3):
Operating a reservoir as if it were discontinued without the alteration having been made and a certificate given.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 14(1):
For an abandoned reservoir, failing to obtain from a qualified civil engineer a report as to the measures (if any) that ought to be taken in the interests of safety to secure that the reservoir is incapable of filling accidentally or naturally with water or is only capable of doing so to an extent that does not constitute a risk.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 14(2):
Subject to any reference to a referee, failing to put into effect any recommendation as to the measures to be taken in the interests of safety, before the reservoir is abandoned or as soon as practicable afterwards.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Reservoirs classification scheme does not apply to this offence.
Section 21(1)(a):
Failure to give notice to enforcement authority to construct a large raised reservoir (whether as a new reservoir or by alteration of an existing reservoir that is not a large raised reservoir), or to alter a large raised reservoir so as to increase its capacity, including the appointment of a construction engineer.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 21(1)(b):
Failure to give notice to enforcement authority as to bring a large raised reservoir back in to use as a reservoir after that use has been abandoned.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 21(2):
Failure to inform enforcement authority as to abandonment, where the use of a large raised reservoir as a reservoir is abandoned.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 21(3):
Failure to inform enforcement authority as to appointment or cessation of a supervising engineer.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 21(4):
Failure to inform enforcement authority as to appointment of an inspecting engineer.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 22(1)(a):
Unless there is reasonable excuse for the default or failure, the undertaker shall be guilty of an offence, if by wilful default, any of the provisions of the Sections 6, 8(3), 9(1), 9(2), 9(3), 10(1), 10(6), 11, 12(1), 13, 14(1) or 14(2) are not observed or complied with.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 22(1)(b):
Unless there is a reasonable excuse for the default or failure, the undertaker shall be guilty of an offence, if they fail to comply with a notice from the enforcement authority under Sections 8, 9, 10, 12 or 14.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Reservoirs classification scheme does not apply to this offence.
Section 22(2):
The Undertaker fails, without reasonable excuse, to give in due time any notice required by the Act to the enforcement authority.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Section 22(3):
If the undertaker or persons employed by them without reasonable excuse refuse, or knowingly fail to afford to any persons the facilities required by Section 21(5) or to furnish to any person the information and particulars so required.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Reservoirs classification scheme does not apply to this offence.
Section 22(4):
If for the purposes of Section 21(5) a person makes use of any document or furnishes any information or particulars which they know to be false in a material respect, or recklessly make use of any document or furnish any information or particulars which is or are false in a material respect, they shall be guilty of an offence.
The standard criminal and offence specific responses are:
- warning
- formal caution
- prosecution
Reservoirs classification scheme does not apply to this offence.