Appeal a regulatory decision from the Environment Agency

When to use this procedureprocess

YouIf canyou useare thisregulated procedureby ifthe Environment Agency, you wantcan touse this process to:

• submit a regulatory appeal against a recent regulatory decision that thethey Environmenthave Agencymade
• challenge hasthem made,if orthey afail failure to act in line with the Regulators’ Code.

What a regulatory decision is

A regulatory decision is a decision taken in the exercise of a regulatory function, which is adverse to a regulated person.

This can include taking a step that removes an operator from the regulated community, such as removing an operator from a register of exemptions.

It also includes setting a charge for a site which is payable under a charging scheme and decisions on regulatory report formsforms. (for(For example, recording on a compliance assessment report that there has been non-compliance with a permit condition).condition.)

What is not a regulatory decision

A regulatory decision is not:

• advice and guidance
• a notice that the Environment Agency intends to do something
• where the Environment Agency tells you they are proposing to or minded to do something

The Environment Agency does not consider that they make a regulatory decision when legislation gives them no discretion.

There’s a different way to complain about the standard of service you receive from the Environment Agency.

Decisions to prosecute

The Environment Agency does not accept regulatory appeals for decisions to prosecute. That’s because the Code for Crown Prosecutors, under which these decisions are made, requires a continuing process of review to be applied to all cases.

Enforcement undertakings

The decision to reject an enforcement undertaking offer is a regulatory decision. However, the Environment Agency will not accept an appeal of the decision to reject an enforcement undertaking offer. This is because when the Environment Agency rejects an offer they have decided to prosecute or issue a monetary penalty, which has a statutory right of appeal.

If you have a ‘statutory right of appeal’

Do not follow this process if you have a statutory right of appeal for a regulatory decision. Instead, follow the appeal process in the documents you received from the Environment Agency.

Making a regulatory appeal

There are two stages to the process that you need to follow.

Stage 1: DiscussionInformal resolution before a regulatory appeal. Stage 1 is an opportunity for quick corrections to be made and to resolve misunderstandings.

Stage 2: If the response you receive in Stage 1 does not resolve your issue, you can send a Stage 2 regulatory appeal. An Environment Agency employee who is impartial will consider the appeal.

Stage 1: Informal resolution before a regulatory appeal

RaiseFirst, you need to raise your concerns with the officer or team which made the regulatory decision or took the action you think did not follow the Regulators’ Code.

You need to do this within 14 calendar days of the date of the regulatory decision,decision oror, if the regulatory decision is communicated directly to you in writing, within 14 calendar days of the date you receive the regulatory decisiondecision. is received by you. For an alleged failure to act in line with the Regulators’ Code, you must raise your concerns within 14 calendar days of the action.

If the regulatory decision is communicated directly to you in writing, then unless specified otherwise, the 14 calendar days start the day the Environment Agency email, deliver or hand the regulatory decision to you, or leave the regulatory decision at your address. If the regulatory decision is communicated to you by post, then unless specified otherwise, the Environment Agency will consider you to have received the regulatory decision 3 working days after it was posted.

Stage 1 is an opportunity for quick corrections to be made and to resolve misunderstandings.

The Environment Agency should respond to your concerns within 14 calendar days. If that is not possible, they will write to you and give a timeframe for their response.

Stage 2: Regulatory appeal

If the response you receive in Stage 1 does not resolve your issue, you can send a Stage 2 regulatory appeal.

You must send this within 28 calendar days of you receiving the Environment Agency’s Agency’s Stage Stage 1 response.

If the Stage 1 response is communicated directly to you in writing, then unless specified otherwise, the 28 calendar days start the day the Environment Agency email, deliver or hand the Stage 1 response to you, or leave the Stage 1 response at your address. If the Stage 1 response is communicated to you by post, then unless specified otherwise, the Environment Agency will consider you to have received the Stage 1 response 3 working days after it was posted.

Send your appeal to enquiries@environment-agency.gov.uk. You must include:

• details of the decision or action, for example any reference numbers, such as permit numbers and report form reference
• the name of the officer or team you contacted during Stage 1
• a2 copy of your stage 1 submission and the Environment Agency response, making sure it includes the date you were sent the Stage 1 response
• why you believe the regulatory decisionappeal isby wrongcompleting or how the actiononline failed to meet the Regulators’ Code
• any supporting documents

form.

You should provide all information relevant to your appeal. Any information sent later may not be considered as part of the appeal.

Start now

Contact enquiries@environment-agency.gov.uk if you cannot use the form.

After you appeal

Initial review

The Environment Agency will look at your appeal to make sure that:

• it is about a regulatory decision or a failure to complyact in line with the Regulators’ Code
• a statutory right of appealchallenge is not available
• you have hadcompleted aStage stage 1 discussionof the process
• you have sent the appeal within the required time

If they reject your appeal at this point, the Environment Agency will write to you to explain why.

Impartial appeal

After the initial review, an Environment Agency employee who wasis impartial to the original decision will consider the appeal. This means someone who was not involved in the original decision. They will be provided with a document that will include all relevant information. You will also be provided with a copy of this document.

The impartial person may ask for more information from you or the original decision maker during the appeal.

The impartial person will, as far as possible, stand in the shoes of the original decision-maker and consider all the relevant facts, law, policy or guidance related to the decision. They will consider the information that you submit and the information from the original decision-maker. The impartial person may, where they consider it appropriate, take account of new information and considerations since the original decision was made.

The impartial person maymay:

• dismiss agreethe withappeal, (uphold)agreeing with the original decision
• uphold the appeal, in whole or changein it.
  part, changing the original decision

If they change the decision, they will tell you what will happen next.

Outcome of your appeal

The Environment Agency should write to you with the outcome within 28 calendar days of your regulatory appeal.

If that is not possible, the Environment Agency will write to you and give a timeframe for their response.

Requesting a regulatory appeal does not suspend the regulatory decision or action unless the Environment Agency has written to you confirming that it does.

Following this process does not affect your right to:

• ask the courts to review a decision or action
• make a complaint to the ombudsman

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