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Environmental Incidents and

Close Calls
Guidance Note

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Contents
Awareness Guidance ............................................................................................................................................... 6
Identification ............................................................................................................................................................. 8
What are Environmental Close Calls?.......................................................................................................................... 8
What are Environmental Incidents? ............................................................................................................................ 8
Reporting .................................................................................................................................................................. 10
Environmental Close Calls .............................................................................................................................................. 10
Network Rail Functions .............................................................................................................................................. 10
Capital Delivery ............................................................................................................................................................. 10
Environmental Incidents................................................................................................................................................. 10
Who reports an environmental incident?.......................................................................................................... 10
Who should an incident be reported to? ........................................................................................................... 10
Train and Freight Operating Companies- Reporting ................................................................................... 11
Supply Chain Operations (SCO)- Reporting ..................................................................................................... 11
Responsibilities of Route Control ................................................................................................................................ 12
What happens next? ................................................................................................................................................... 12
Specific Guidance ............................................................................................................................................................... 13
Reporting Noise as an environmental incident .............................................................................................. 13
Reporting Asbestos as an environmental incident ....................................................................................... 13
Regulators and Enforcement Action .............................................................................................................. 14
Contacting Regulators ..................................................................................................................................................... 14
Reporting an intended or actual enforcement action from a regulator ............................................ 14
Reporting enforcement action as an environmental incident ................................................................ 14
Technical Guidance .............................................................................................................................................. 16
Investigation and Classification ...................................................................................................................... 17
Initial classification ........................................................................................................................................................... 17
Incident requiring preliminary investigation ........................................................................................................ 17
Final classification ............................................................................................................................................................. 18
Further Investigations...................................................................................................................................................... 18
Specific guidance ............................................................................................................................................................... 19
Identifying protected species and habitats..................................................................................................... 19
Classifying enforcement action by an enforcing authority ..................................................................... 19
Classification Matrix ............................................................................................................................................ 20
Appendix A. Abbreviations and Definitions................................................................................................. 25

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(1) Awareness Guidance

Anyone responsible
for
reviewing/managing
enivronmental close
calls and incidents Is this what I’m looking for?
Anyone who may Train Operating
have cause to raise an Companies (TOCs),
environmental close Freight Operating
call Companies (FOCs) • I want to know if I should raise an environmental close
call.
Identification • I want to know if the incident I am raising is an
and environmental incident.
• I want to know where to find relevant Network Rail
Reporting
processes or guidance regarding raising an environmental
Anyone who may Network Rail close call or incident.
have cause to raise an Contractors
environmental
• I want to know if I need to contact a regulator regarding
(e.g. PCs, framework
incident contractors) an environmental incident.
Technical Authority,
Route Services,
Regions
(Routes and Capital
Delivery (including
Works Delivery))

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2) Technical Guidance

EandSD Technical
Support (TA)

EandSD Technical
Is this what I’m looking for?
SHE Reporting Team Support
(Regional/Route
Services)
• I want to know if I need to investigate an environmental
Investigation incident.
and • I want to understand how to accurately classify an
environmental incident I am investigating.
Classification • I want to understand who manages the initial and the
final classification of an environmental incident.
DCP (NR and EandSD Technical
Contractors) Support (Route)

EandSD Technical
Support (Capital
Delivery)

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Reference Documentation with National Mandate

Network Rail Incident and Close Call governance – wide applicability but includes environment
NR/L3/INV/3001 Reporting and Investigation Manual (Search Standards Page ‘NR/L3/INV/3001/MANUAL’
NR/L3/INV/3001/900 Leading an Investigation
NR/L3/INV/3001/901 Management of Recommendations and Local Actions
NR/L3/INV/3001/902 Reporting of Accidents, Incidents and Occupational Health
NR/L3/INV/3001/903 Risk ranking events including operational close calls, their reporting and level 1 investigations
NR/L3/INV/3001/904 Reporting of and Responding to Enforcement Actions
NR/L3/INV/3001/905 Actions in Response to CIRAS Reports Procedure
NR/L2/OPS/250 Network Rail National Emergency Plan
RIS-8047-TOM SMIS Application Matrix
NR/L2/CIV/168 Asbestos Management

Environmental specific governance

NR/L2/ENV/015 Environment and Social Minimum Requirements for Projects - Design and Construction
NR/L2/ENV/120 Waste Management
NR/L2/ENV/121 Managing Environmental and Social Impact of Noise and Vibration
NR/ L2/ENV/122 Biodiversity
NR/L2/ENV/123 Prevention of Pollution to Land and Water
The Reporting, Investigation and Recording of Safety and Sustainable Development Events and Close Calls within
NR/L3/OHS/0046
Infrastructure Projects
NR/L3/OPS/045/4.14 National Operating Procedures - Control of Environmental Incident Procedures
NR/L3/OPS/045/5.10 National Operating Procedures - Management of Environmental Arrangements

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Awareness Guidance

This section provides guidance on identifying and reporting all environmental incidents and close
calls in line with Network Rail standards and processes resulting from, or associated with the
operation, maintenance, enhancement, or renewal of Network Rail assets (and other SMIS inputs
referenced in NR/L3/INV/3001).

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Incident Occurrence to Incident Closeout- Flowchart

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Identification
What are Environmental Close Calls?
An environmental close call is an event that, in other circumstances, could have resulted in
potential harm to the environment. Examples of environmental close calls include:

• an unexpected find (e.g. due to not being identified during a dilapidation survey) of
contaminated soils, or other potentially hazardous substances during construction or
maintenance works but has not been spread/mixed with non-contaminated soils or caused
harm or damage to people, the environment or property;

‘Our Senior Construction Manager found a load of fly tipping at our proposed work site. Some of the material
looked a bit questionable so was sent off for testing. Looks like it contains asbestos. Good thing it wasn’t
disturbed before we found it.’

• an unexpected protected species finds, which has not been disturbed, injured or killed.
• an unexpected archaeological find, which has not been disturbed, damaged or destroyed;
or

‘We only called out for a small job to manage some vegetation either side of a bridge for signal sighting.
There was an up to date report of ecological constraints for the location and our ecologist provided us with
some precautionary methods of working. What we didn’t expect was to find a dormouse sleeping at the base
of the shrubs! Work stopped immediately, that’s for sure. Close call!’

• tools specified within project deliverables have not been used e.g. the RSSB Carbon Tool or
the Environment and Social Appraisal (ESA) tool (EN1); or petrol-powered chainsaws used
instead of battery-operated chainsaw specified in Work Package Plan (WPP)

What are Environmental Incidents?

An environmental incident is– ‘a specific unplanned event or occurrence that has an environmental
impact and may require an immediate response in order to minimise the impact’. An environmental
incident can (but not always) result in a quantifiable loss e.g. of fuel, or a result of a breach of an
agreed process or practice. Table 1 provides some context as to the various ‘impact areas’ for
environmental incidents and some examples of what constitutes an environmental incident.

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Table 1: Environmental impact categories and incident examples

Impact categories Incident examples

‘incidents that result in or have the potential to result in an impact to/in…’

• Hydrocarbon spillages e.g. petrol, hydraulic oils and cable, lubricant and cutting oils
• Spillages of hazardous and non-hazardous materials including those with polluting potential e.g. detergents, disinfectants, foodstuffs,
fertilisers, paints and dyes, other organic liquids
‘land and water’ • Discharge of waters from site not in accordance with any regulatory requirements or permissions
• Construction or operational activities occurring over or within a watercourse without the necessary regulatory permissions
• Unauthorised/illegal disposal or transport of hazardous and/or non-hazardous waste e.g. waste movements with incomplete/missing
Hazardous/Special Waste Consignment Note or Waste Transfer Note

• Damage or destruction to a statutory site (e.g. Special protection Area (SPA), Special Area for Conservation (SAC), Site of Special Scientific
‘nature conservation – Interest (SSSI))
protected sites and
• Disturbance, injury, or death of protected species (with regards to disturbance, where those legal protections are afforded)
species’
• Breach of a Tree Preservation Order (TPO)
• Failure to adhere to the prescriptions of a Site Management Statement for a SSSI

‘local or national • Causing damage to a listed building, building with a preservation order, or a scheduled monument
heritage’
(e.g. designated building • Causing damage to areas of archaeological relevance or other relevant designation
or structure) • Breach of planning consent in relation to protection of heritage

• Dust or other airborne particulates detected outside of operational boundary (including smoke and steam)
Statutory nuisance • Odour detected outside of operational boundary
(‘any action which may • Noise detected outside of operational boundary including vehicles in a street
be prejudicial to health or • Artificial light emitted outside of operational boundary
a nuisance’) • Fly tipping

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Reporting
Environmental Close Calls

Network Rail Functions

Guidance on reporting close calls can be accessed via Safety Central. Environmental close calls are
raised in the same way as those for safety. Further assistance on raising close calls in your area
can be sought from your local HSEA Specialist or Environmental Specialist/Manager.

Capital Delivery
Principal Contractors must report environmental close calls periodically. Refer to NR/L3/0HS/0046
-The Reporting, Investigation and Recording of Safety and Sustainable Development Events and
Close Calls within Infrastructure Projects, for detailed guidance on reporting close calls within
Capital Delivery projects.

Environmental Incidents

When reporting and managing an environmental incident, Network Rail’s National

Operating Procedures – Control of Environmental Incident Procedures-
NR/L3/OPS/045_4.14 and Network Rail’s Reporting and Investigation Manual
NR/L3/INV/3001/MANUAL should be followed. This guidance note seeks to provide
further clarity and detail in addition to these documents.

Who reports an environmental incident?

As per NR/L3/INV/3001/902– Reporting of Accidents, Incidents and Occupational Health., ‘all
employees/contractors shall report any ‘incidents to the appropriate control office and responsible
manager’ (see Appendix A for definition of ‘Responsible Manager’).

Who should an incident be reported to?

Environmental incidents within the Route and Capital Delivery must be reported to the relevant
control office, this is either Route Control or SCO 24/7 (see Incident Occurrence to Incident Closeout-
Flowchart, page 7 as the relevant “Control Office” NR/L3/INV/3001/902 may differ) who input the
environmental incident into their relevant incident management system (e.g. Incident Reporting
and Investigation Software (IRIS), iTracker, Control Centre Incident Log (CCIL), or Level 1 form (if
a Principal Contractor)) it will then be received by the SHE Reporting Team (see NR/L3/0HS/0046 -
The Reporting, Investigation and Recording of Safety and Sustainable Development Events and
Close Calls within Infrastructure Projects for reporting environmental incidents in Capital Delivery).

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Train and Freight Operating Companies - Reporting

Train and freight operating companies (TOCS and FOCs respectively) will advise Route Control in
the event of any environmental close call or incident (Part E of Commercial Manual-
Environmental Protection).

Part E gives Network Rail, TOCS, and FOCs have the right to take action to address environmental
damage. Each TOC/FOC is obliged to give Network Rail a copy of its Environmental Policy and to
notify the other promptly of any circumstances that could lead to environmental damage.

Environmental damage is defined as in Part E as: ‘any material injury or damage to persons, living
organisms or property (including offence to man’s senses) or any pollution or impairment of the
environment resulting from the discharge, emission, escape or migration of any substance, energy,
noise or vibration.’

Supply Chain Operations (SCO)- Reporting

For environmental incidents involving On Track Machines (OTM) provided by SCO (either directly
operated or operated by suppliers), the OTM Operator will advise SCO 24/7 who in turn will raise an
IRIS entry. This will trigger an incident investigation by SCO.

The incident shall also be reported to Route Control by the Responsible Manager (NR personnel) in
charge of the worksite (e.g. Track Quality Supervisor) and recorded into CCIL.

When the incident is above threshold for reporting to the Environmental Regulator; Route Control
will report the incident to the Environment Agency, and, SCO 24/7 will liaise with Route Control to
obtain the environmental regulator’s (e.g. EA) incident reference number and add it to the IRIS
report (see next section ‘Responsibilities of Route Control’).

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Responsibilities of Route Control

For environmental incidents reported to Route Control, it is the responsibility of Route Control to
upload details of the incident to CCIL which reaches the SHE Reporting Team (NR/L3/OPS/045/4.14
details the minimum information required by Route Control to report the incident). Table 2 details
some further responsibilities of Route Control from advisement of an environmental incident through
to management of the incident. This includes liaison with the relevant regulator ( see ‘Regulators and
Enforcement Action’).

Table 2 Responsibilities of Route Control during an environmental incident

Route Control Responsibilities

Receive reports of environmental incidents from business and supply chain
Enable full assessment of impact of incident
Provide internal communications from incident discovery to close out
Report incidents to regulatory bodies
Engage the Emergency Spill Response Contractor (ESRC) if required
Notify Train/Freight Operating Companies that may be affect by the incident

What happens next?

After Route Control (or SCO 24/7 if the relevant Control Office) reports the incident to the SHE
Reporting team (through CCIL, iTracker, or IRIS) the incident will be assigned an initial classification
by the SHE Reporting Team within 5 days of the incident occurring.

A Level 1 - Preliminary Report and Investigations Form (NR2072P) must be completed for all
Category 3, 2 and 1 incidents (NR/L3/INV/3001). More on investigations can be found in the second
part of this guidance note: ‘Investigation and Classification-Technical Guidance’.

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Specific Guidance

This section gives further guidance on how to appropriately identify incidents or close calls specific
to some environmental disciplines. This section will continue to be updated, with further
information steered by lessons learned and business need.

Detailed guidance on waste, land and water related incidents specifically, as well as their associated
mitigation measures, can be found within the corresponding standards: NR/L2/ENV/120 - Waste
Management; and NR/L2/ENV/123 - Prevention of Pollution to Land and Water.

Reporting Noise as an environmental incident

All noise complaints raised must be directed to the National Helpline and should be noted in the
site daily log. To prevent duplication when reporting of complaints as an environmental incident,
complaints should be monitored locally on a weekly basis, consolidated, and reported against the
relevant category outlined in Table 1.

Refer to NR/L2/ENV/121 - Managing Environmental and Social Impact of Noise and Vibration for
guidance on the complaints process.

Reporting Asbestos as an environmental incident

There are various circumstances where asbestos may be found on the railway. It is vital to identify
when it should be reported as an environmental incident (see table 3):

Table 3: Asbestos incident examples

Incident
Description Action
type
intact asbestos discovered does not
Follow the processes laid out in Asbestos
appear in a survey; or
Discovery of Management Standard (NR/L2/CIV/168) and
damaged or appropriate Regional or Property Asbestos
previously unknown asbestos
suspect Management Plan that underpins it:
inadvertently disturbed by operative;
asbestos
or
Discovery ‘shall be reported to the responsible
– no exposure person and the reactive fault line. The close
asbestos had previously been
call procedure shall be followed once
unknowingly disturbed and then
emergency actions have been completed.’
discovered
asbestos is known in fly tipping; or
Fly tipped Follow the processes laid out in
asbestos asbestos is suspected in fly tipping; or NR/L2/CIV/168 and within the appropriate
Regional or Property Asbestos Management
– no exposure testing of fly tip contents in advance Plan that underpins it.
of removal show the presence of an
Asbestos Containing Material (ACM)
Follow the relevant emergency procedure in
NR/L2/CIV/168 (Appendix G).
Confirmed
Where there is potential or confirmed Must be reported to the DEAM and Incident
exposure
exposure to asbestos Contact Centre (HSE) under RIDDOR by the
HoRSHE/DoRSHE or HoSS.

N.B. RIDDOR reporting is driven by SMIS.

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Regulators and Enforcement Action

Contacting Regulators
It is Route Control’s responsibility to contact the relevant national Regulator (e.g. EA, NRW, SEPA,
NE) if any of the following environmental incidents occur and/or exceeds the volume thresholds in
Table 4 or follows into one of the following categories:

• is, on, or within 250m of a statutory protected site

• has or may have affected protected species/habitats (including watercourses)
• does not fit in a particular category; and/or
• there is any doubt regarding the actual extent or impact of the incident.
Route Control shall confirm to the regulatory body that Network Rail is dealing with the incident
(supply the contact number of the nominated person (e.g. Railway Investigation Officer (RIO)
attending site); and that the nominated person will contact them and advise what measures are
being taken to deal with the incident.

NOTE 2: Reporting requirements will vary between the three Regulators: Scottish Environment Protection
Agency (SEPA), Environment Agency (EA), and Natural Resources Wales (NRW). SEPA does not conform to
the thresholds in Table 4 and should be notified in the case of any spill. This guidance note is intended as a
guide and, if further information is required, visit the appropriate Regulator’s website, or contact your local
environment specialist/manager.

Reporting enforcement action as an environmental incident

Enforcement action should not be reported as an environmental incident if it is associated with an
event that has already been reported, investigated, and uploaded to SMIS. If already reported as
an incident, the relevant incident report on SMIS should be updated to denote any related
enforcement action.

If the enforcement action relates to an event that has not previously been reported as an
environmental incident, it itself should be raised according to the standard reporting procedure
illustrated in the flowchart on Page 7 (see also ‘Classifying enforcement action by a enforcing
authority’ in the Technical Guidance).

Reporting an intended or actual enforcement action from a regulator

The following detail has been extracted from NR/L3/INV/3001/904 – Reporting of and Responding
to Enforcement Actions. This manual should be referred to for Network Rail’s structured process on
reporting of enforcement actions and the management of the response to any enforcement actions
served on network Rail.

National Authorities that have the power to serve Network Rail with an Enforcement Notice for
environmental incident include:

• Environment Agency
• Natural Resources Wales
• Natural England

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• Scottish Environment Protection Agency

• NatureScot
• Marine Management Organisation
• Local Authorities

Intent of or actual enforcement action may be served at a local level regarding a local matter, it
may be served at a local level regarding an enforcement action that requires national oversight or
at a formal meeting with Network Rail staff (N.B. actual enforcement action should be served
formally on Network Rail at its registered office but this is not always the case).

It is important that any intent to serve Network Rail with an Enforcement Notice is recorded on the
Network Rail Regulatory Risk Register which is managed by the Director of Regulator Liaison (please
search for the individual in post and their contact details using OrgPlus on MyConnect) within 1
working day. This may be escalated to the person’s line management for further escalation to the
Director of Regulator Liaison.

Actual enforcement action received outside a registered Network Rail office should be sent to the
Director of Regulator Liaison and to General Council (National Policy 7 Strategy) within 1 working
day.

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Technical Guidance

This section provides guidance on investigating and classifying environmental incidents

and close calls in line with Network Rail standards and processes (section 3). The guidance
note serves to assist in the proper classification of environmental incidents to ensure the
appropriate level of investigation is undertaken.

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Investigation and Classification
Initial classification

When Route Control or SCO 24/7 input environmental incident into their relevant incident
management system (e.g. IRIS, iTracker, CCIL) it will then be received by the SHE Reporting Team
(flowchart, page 7).

An initial classification is then attributed to the incident by the SHE Reporting Team utilising the
information provided and in consideration of the impact prior to the appropriate level of
investigation being undertaken locally.

Category 4 events
If the event is a Category 4 incident, a Level 1 (L1) investigation is not required. The SHE Reporting Team
are responsible for confirming the assignment of the category within 10 working days of the incident
occurring. If further information about the event is required, the SHE Reporting Team shall contact the
responsible manager or Route Control for more information. A suggestion that the event constitutes a
Category 4 event may be provided in the detail of the incident to the SHE Reporting Team by Route
Control or SCO 24/7 (or on the Level 1 provided by a Responsible Manager).

N.B. The decision to undertake a L1 report for a Category 4 event may be taken locally, e.g. for a Capital
Delivery function that has embedded this into their processes as a tool to identify trends.

Incident requiring preliminary investigation

For all Category 3, 2 and 1 incidents the Responsible Manager (who either actually reported or was
responsible for the reporting of the incident to the relevant Control Office) must ensure that a
nominated person (or in Capital Delivery, a PC) completes a Level 1 - Preliminary Report and
Investigations Form (NR2072P) within 5 working days (NR/L3/INV/3001).

The nominated person should add initial data for any event recorded in the Route Control, or SCO
24/7 log to a Level 1 investigation form within one working day of the event occurring. Risk ranking
data completed by a competent person must also be included on the completed preliminary
investigation form (this also assists the DCP in determining if addition levels of investigation may
be required.

Incidents should be uploaded to IRIS where possible. The Level 1 form is also available from the
Investigation HUB site. Other Level 1 online forms within an approved system may be used.

Although the Level 1 (preliminary) investigation may be completed by a nominated person it must
be reviewed by a Designated Competent Person (DCP) (a ‘live’ list of DCPs can be found on
MyConnect). If the review confirms it accurately reflects the circumstances of the event, it shall be
signed and forwarded to the relevant SHE Reporting Team (NR/L3/INV/3001/903).

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NOTE 3: for Network Rail led investigations, the lead investigator (DCP) must hold the relevant (e.g. the most
recently mandated) Network Rail competency for conducting investigations and for PC led investigations the
individual must be suitably trained and competent in accordance with their management system and the
most recently mandated Network Rail requirements for investigation competencies.

Final classification

During the Level 1 investigation the initial incident classification will need to be reviewed and may
need to be revised by the DCP to reflect the actual harm to the environment. Tables 4 and 5
illustrate each of the 4 impact categories referenced in Table 1 and provide examples to assist in
attributing a Category (3-1) to the incident.

Further Investigations

The level of investigation required is determined by the risk ranking and the process set out in
NR/L3/INV/3001/900. Should a Level 2 or Level 3 investigation be required, a copy of the completed
Level 1 (preliminary investigation) form shall be provided to the Lead Investigator.

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Specific guidance

This section gives further guidance on how to appropriately classify incidents specific to some
environmental disciplines. This section will continue to be updated, with further information steered
by lessons learned and business need.

Identifying protected species and habitats

As incidents involving ecology may require specialist knowledge, further guidance on the process
for identifying ecological constraints can be found in NR/L2/ENV/122/01 - Module 01
‘Management of Biodiversity’ and Safety Central. Also, the following pieces of legislation list species
that receive legal protection in the UK.

• A full and comprehensive list of protected species in the UK can be found under
Schedule 5 (animals) and Schedule 8 (plants) of the Wildlife and Countryside Act
1981.
• A full and comprehensive list of invasive non-native species in the UK can be found
under Schedule 9 of the Wildlife and Countryside Act 1981.
• A full and comprehensive list of European protected species can be found under
Schedule 2 (animals) and Schedule 5 (plants) of the Conservation of Habitats and
Species Regulations 2017 (as amended)
An up to date list of priority species and priority habitats is available for England (JNCC), Wales
(Wales Biodiversity Partnership) (N.B. The list is still the same as that previously under Section
42 of NERC and is under review by NRW), and Scotland (NatureScot).

If you are unsure about the about identifying a species or habitat, you must seek advice from a
competent person e.g. a Network Rail or Principal Contractor ecologist, framework ecological
consultant, environment manager or environment specialist.

Classifying enforcement action by an enforcing authority

If enforcement action by an enforcing authority (list in 2.2.3) is served on Network Rail concerning
an incident that has not previously been subject to reporting or investigation by Network Rail, then
that the notice shall constitute a Category 3 event at initial classification by the SHE Reporting
Team when input into SMIS. This is to ensure the event is subject to a Level 1 Preliminary
Investigation, and the final classification of the incident is the subject of approval by a DCP and
any further investigations that may be required are cited as appropriate.

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Classification Matrix
Table 4: to categorisation of the
environmental impact of spills.

‘…environmental impact or effect on the environment, people, and/or property.’ NOTE 5: If the volume of the spill is
either below or at the maximum
Category 4 Category 1 volume for the pollutant specified, use
Negligible impact or effect Category 3 Category 2 Major, serious, Category 4.
Minor or minimal Significant persistent and/or
Pollutant Max Volume extensive NOTE 6: For spills exceeding the
maximum volume Table 4 - Classifying
Organic liquids/slurries Other Environmental Incidents MUST
e.g. blood, offal, sewage sludges, antifreeze, cutting 25 litres also be utilised for further assessment
lube, cooking oils, glycerine, alcohol of the impact e.g. a spillage involving 55
Pesticides (inc herbicides) 5 litres the spill is greater litres of fuel and contamination of a nearby
Inorganic powders than the watercourse requiring 1 week of remediation
50kg maximum
e.g. silt, sand, cement chalk, gypsum/plaster works would fall under Category 3.
Paints and dyes 50 litres volume and;
Fertilisers 250 litres the incident fits the spill is greater the spill is greater NOTE 7: The below matrix is an extract
Beverages 250 litres any of the than the than the from NR/L3/OPS/045/4.14 - Control of
Food stuffs statements listed maximum volume maximum volume Environmental Incident Procedures.
particularly sauces, sugars, salt, syrups, milk, cream, 250 litres under Category 3 and; and;
yoghurt and vinegar in the table the incident fits the incident fits NOTE 8: The environmental impact to
Disinfectants below. any of the any of the fish stocks can vary depending on the
5 litres
e.g. household bleach, toilet cleaners, surface cleaners statements listed statements listed type of material spilt and the species of
Detergents under Category 2 under Category 1 fish impacted. For additional guidance
the spill is greater
e.g. washing powders/liquids, shampoos, soaps, 25 litres in the table below. in the table below. on assessing the impact to fish stocks,
than the
car/train cleaning chemicals maximum please refer to the
Hydrocarbons volume and does
20 litres
e.g. lubricating oil, transmission fluids not fit any of the • Environment Agency’s Common
statements listed Incident Classification Scheme,
Fuel under Categories • the Natural Resources Wales’ Incident
50 litres Categorisation Guidance Note; and
e.g. l, diesel, gas oil 3, 2 or 1 in the
table below. • the Scottish Environment Protection
Agency’s Compliance Assessment
•
Scheme Manual.

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Impact Category 4 Category 3 Category 2 Category 1 Table 5: Categorisation of the

Category Negligible Minor or minimal Significant Major, serious, persistent impact of environmental
and/or extensive incidents within the given
impact categories
Breach of consent, licence, or permit Breach of legislation, consent, Major, serious, persistent, and/or
Could which results in a minor/minimal licence or permit which leads to a extensive negative environmental
apply to negative environmental impact; or significant negative impact on the impact as result of breach of
any Impact enforcement notice for an incident environment; or legislation, absence of consent, NOTE 9: For incidents
Category in not previously reported within NR Absence of/failure to obtain an licence, or permit. characterised by statements in
Table 2 (initial classification) approved consent, licence, or more than one category, select
= All permit where one is required to the highest category.
carry out works.
Short term remediation required Medium term remediation Long term remediation required NOTE 10: This list is not an
(less than 2 weeks) and / or temporary required (between 2 weeks and 6 (more than 6 mo) and/or exhaustive list. Further guidance
All impact on quality or use of the land, months) and/or environmental enforcement action taken by an is available from the
water or air regulator involvement environmental regulator with
potential for prosecution • Environment Agency’s
Scale of the area impacted by Scale of the area impacted by the Scale of the area impacted by the Scale of the area impacted by the Common Incident
the incident is less than 200m incident is less than 200m and any incident is between 200m - 2km incident is more than 2km Classification Scheme;
and; persistent pollution is less than 7 days. and any persistent pollution is less AND/OR • the Natural Resources Wales’
All any persistent pollution is less than 7 days. Persistent pollution Incident Categorisation
than 7 days and; does not (7 days or more) Guidance Note; and
meet statements in categories • the Scottish Environment
3, 2 and 1 (Tables 2and3) Protection Agency’s
Planned/Unplanned works taking Planned/Unplanned works taking Compliance Assessment
place without an appropriate place without an appropriate Scheme Manual.
environmental risk environmental
All assessment and/or control measures risk assessment and/or control
in place and with minimal subsequent measures in place leading to a
impact to the environment, people, or significant environmental impact.
property.

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Category 1
Category 4 Category 3 Category 2
Impact Major, serious, persistent and/or
Negligible Minor or minimal Significant
Category extensive

Extensive clean-up/remediation
Fly tipping involving non-toxic, non- Fly-tipping with any of the fly tipping
Fly tipping involving toxic, hazardous; operations required to address major
‘to land and hazardous, non-infectious waste; and characteristics listed under category 3 and
and/or infectious waste; and/or with pollution or fly tip incident involving toxic,
water’ which poses no serious risk to human requiring decontamination under 6
serious risk to human health hazardous or infectious
health; and does not require months
materials/substances over 6 months.
decontamination

Closure of a minor unlicensed potable Closure of a licensed potable water

water abstraction e.g. serving 1-2 extraction point required
households
Persistent long-term deterioration in status
‘to land and
Significant but localised or temporarily of a Water Framework Directive water
water’
deterioration in status of a Water body that the effects prevent it reaching
Framework Directive water body. its favourable condition.
NOTE: This may be discovered during the NOTE: This may be discovered during the
investigation. investigation.

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Category 1
Category 4 Category 3 Category 2
Impact Major, serious, persistent and/or
Negligible Minor or minimal Significant
Category extensive
N.B. If the fish is a protected species,
‘to nature the incident is a Category 1 incident, if Water pollution causing the death of
conservation – Water pollution causing the death of Water pollution causing the death of
protected sites
watercourse/waterbody is adjacent to less than 10 fish
10 or more but less than 100 fish 100 or more fish
and species’ or within a non- statutory site, it is a
minimum of a Category 2 incident
Damage or destruction to a statutory
protected site (e.g. SSSI, SPA, SAC,
‘to nature NNR);
Injury or death to a priority species or Damage or destruction to a non-
conservation – Disturbance, injury, or death to a
damage or destruction to a priority statutory protected site (e.g. SINC,
protected sites protected species;
and species’ habitat LWS)
Damage or destruction to the habitat
of a protected species (where afforded
legal protection),
Confirmed uncontrolled spread of a
‘to nature native or non-native species (which is Confirmed uncontrolled spread of
conservation –
protected sites
not listed on Schedule 9), but which is a Schedule 9 invasive non-native
and species’ deemed to be having a significant species.
negative impact on the habitat.
Damage to or removal of a tree
protected under a TPO without
‘to nature permission from the Local Authority;
conservation –
protected sites
damage to or removal of a protected
and species’ hedgerow without a hedgerow
removal notice from the Local
Authority.

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Category 1
Category 4 Category 3 Category 2
Impact Major, serious, persistent and/or
Negligible Minor or minimal Significant
Category extensive
‘to local or Actual removal or damage to a locally Actual removal or damage to a
national heritage ‘ listed building or structure nationally listed building or structure
Significant effect on the local public’s
normal use of land and/or water.
Minimal effect on the local public’s Significant effect on the national
Typical incidents could include (but
normal use of land and/or water where public’s normal use of land and/or
not limited to) temporary closure of a
the impact is reduced to an individual water.
Statutory local public road or footpath,
or a localised area. Typical incidents could include (but
nuisance temporary disruption to the water
Typical incidents could include (but not limited to) cancellation of a
supply of a group of residential
not limited to) temporary disruption to national event or temporary closure of
homes/community
the water supply of a local residential a national road without
building/school/care
building. consents/permits/DIA.
home/commercial building without
consents/permits/DIA.
Noticeable and sustained
Extensive deterioration of air quality
deterioration in air quality from;
from; a large release of toxic
visible sources (dust and particulate
substances following loss of control,
fallout) or emission of toxic materials
major fire or equipment failure; or
Statutory impacting on the locality; or
Short term, localised impact to air
nuisance
quality e.g. dust, odours such as smoke Unintentional or accidental release of
Unintentional or accidental release of
very large quantities of ozone
large quantities of ozone depleting
depleting substance or those linked to
substance or those linked to global
global warming e.g. over an extensive
warming e.g. over an extensive area.
area. Unrecovered
RECOVERED

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Appendix A. Abbreviations and Definitions

An occurrence that had the potential to develop into environmental incident.
N.B. There will have been no injury, loss or damage to any person, asset or the
Close call environment, as the occurrence was identified, and actions taken locally or by a
responsible manager prevented the situation developing into an environmental
incident.
DCP Designated competent person
An action or activity that results in a consequence to or for the surrounding
Event environment.
EandSD Environment and Sustainable Development
Fluorinated gases (F-gases) are a type of man-made gases which are typically used as
F-Gas substitutes for ozone-depleting substances. This family of gases include
hydrofluorocarbons (HFCs), perfluorocarbons (PFCs) and sulphur hexafluoride (SF 6).
Extracted from NR/L3/0HS/0046:
An event that results in a quantifiable loss or breach of an agreed process or practise.
Incident (General) An event that results in the uncontrolled addition/unwanted discharge of an unwanted
chemical or biological substance to land, air or water; or the endangerment, damage or
destruction of any flora or fauna protected by law.
Any non-native animal or plant that has the ability to spread, causing damage to the
Invasive species environment, our economy, human health and the way we live. It is an offence to cause
the spread of Sch 9 invasive species.
A preliminary investigation to establish the facts and preliminary causes of an
accident or incident, and whether there is a need for further investigation. Also
Level 1 Investigation known as a preliminary investigation. Note: Level 1 (preliminary) investigations
must be completed on the approved Level 1 form or on an approved system
such as IRIS.
An event that occurs in a particular boundary which is relative to the magnitude of the
Localised Area event or subject.
The person nominated by the designated competent person (DCP) to complete a Level
Nominated person 1 Preliminary form risk ranking from the drop-down box in accordance with this module.
A species which it has been introduced to the UK by human intervention and is outside
Non-native species its natural range.
Non-statutory Sites of local conservation interest and protected by planning processes and the Local
protected site Authorities, known as Local Wildlife Sites (LWSs).
Ozone depleting Chemicals that damage the ozone layer in the upper atmosphere.
substance
Habitats and species identified as being the most threatened and requiring
conservation action under the UK Biodiversity Action Plan (N.B. The UK BAP was
succeeded by the UK Post-201 Biodiversity Framework in 2012 but remains an
Priority important reference source utilised in drawing up statutory lists of priority species in
Species/Priority England, Wales and Scotland as required under: Section 41 of the Natural Environment
Habitats and Rural Communities Act 2006 (England); Section 7 of the Environment (Wales) Act
2016; and Section 2(4) of the Nature Conservation (Scotland) Act 2004, respectively.
Most BAP work is now undertaken at county level.
For the purposes of this guidance note, this includes:
a) Persons with the competence and responsibility within their function for:
• the safe and sustainable operation, maintenance or renewal of the railway;
Responsible Manager • briefing the reporting or investigation process to employees;
• managing or supporting the reporting or investigation process.
b) Persons responsible for managing, administering and delivering contracts

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either for major or minor works schemes, e.g. Project Managers.

SHE Safety, health, and environment

Sites which receive protection through certain recognition of its biodiversity and/or
geological value. This includes:
• Sites of Special Scientific Interest (SSSIs)
Statutory protected • Special Areas of Conservation (SACs)
• Special Protection Areas (SPAs)
site
• Ramsar sites
• National Nature Reserves (NNRs)
• Local Nature Reserves (LNRs)
• Sites of Importance for Nature Conservation (SINCs)
An order made by a local planning authority which prohibits the cutting down,
Tree Preservation uprooting, topping, lopping, wilful damage, or wilful destruction of protected trees
Order (TPO) without the local planning authority’s consent, under the Town and Country Planning
Act 1990.
Water Framework EU Directive (Water Framework Directive 2000/60/EC) which commits EU Member
Directive States to achieve ‘good’ qualitative and quantitative status of all water bodies.

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