Appeal a regulatory decision from the Environment Agency

When to use this process

If you are regulated by the Environment Agency, you can use this process to:

• submit a regulatory appeal against a recent regulatory decision that they have made
• challenge them if they fail 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 forms. (ForFor 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.

When you cannot use this process

Complaints

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 Environment Agency does not accept regulatory appeals in relation to decisions to reject an enforcement undertaking offer. SuchThese anare offer is usually rejected eitherbecause because:

• wethe haveEnvironment Agency has decided to either:
  • prosecute, in which case that decision will be subject to ongoing review under the Code for Crown Prosecutors
  • we have decided to impose 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: Informal 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

  First, 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.

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

  You need to doraise thisyour concerns within 14 calendar days of either:

  • the date of the regulatory decision
  • the or,date you receive the regulatory decision, if the regulatory decision is communicated directly to you in writing, within 14 calendar days of the date you receive the regulatory decision. writing

  For an alleged failure to act in line with the Regulators’ Code, you mustneed to 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 thewhen day the Environment Agency email,either:

  • emails, deliverdelivers or handhands the regulatory decision to you,you
  • leaves or leave the regulatory decision at your address. 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.

  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. An Environment Agency employee who is impartial will consider the appeal.

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

  If the Stage 1 response is communicated directly to you in writing, then unless specified otherwise, the 28 calendar days start thewhen day the Environment Agency email,either:

  • emails, deliverdelivers or handhands the Stage 1 response to you,you
  • leaves or leave the Stage 1 response at your address. 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 Stage 2 regulatory appeal

  You bymust completingmake thesure onlinethat form.your regulatory appeal:

  You

  • is shouldconcise provideand factual – you can write up to 15,000 characters
  • is supported by directly relevant, reasonable and proportionate evidence – you can add up to 10 supporting documents
  • includes all the information relevantnecessary tofor your appeal.appeal Any– any information sentyou send later may not be considered as part of the appeal.appeal

  If your Stage 2 regulatory appeal does not meet these requirements, the Environment Agency may return it to you.

  Start now

  Contact enquiries@environment-agency.gov.uk if you cannot use the form.form or need to request an alternative format.

  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 act in line with the Regulators’ Code
  • a statutory right of challenge is not available
  • you have completed Stage 1 of the process
  • you have sent the Stage 2 appeal within the required time
  • your appeal meets all the requirements

  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 is impartial will consider the appeal. This meanswill be someone who was not involved in the original decision.

  Both Theyyou and the impartial person will be provided with a document that willincludes include all the 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‘stand in the shoesshoes’ 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. TheThey impartial person may, wherewhen they consider it appropriate, take account of new information and considerations since the original decision was made.

  The impartial person may:

  • dismiss the appeal, agreeing with the original decision
  • uphold the appeal, in whole or in 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.

  RequestingIf you request a regulatory appealappeal, this 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

  Your information will be treated as a complaint if you are neither:

  • the regulated person
  • someone acting on behalf of the regulated person