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When to use this procedure

You may use this procedure if you want to submit a regulatory appeal against a recent regulatory decision that the Environment Agency has made, or a failure to act in accordance 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 (for example, recording on a compliance assessment report that there has been non-compliance with a permit 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 accept regulatory appeals for decisions to prosecute. Thats because the Code for Crown Prosecutors, under which these decisions are made, requires a continuing process of review to be applied to all cases.

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

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

Enforcement undertakings

The decision to reject an enforcement undertaking offer is a regulatory decision. However, the Environment Agency will not review a decision to reject if they receive the request within 28 calendar days of a prosecution court hearing. This is because there is not enough time available and it risks interfering with the court process.

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.

Stage 1: Discussion before a regulatory appeal

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, or if the regulatory decision is communicated directly to you in writing, within 14 calendar days of the date the regulatory decision is received by you. In respect of an alleged failure to act in accordance 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.

This helps with quick corrections 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 Agencys 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 and make sure you 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
• why you believe the regulatory decision is wrong or how the action failed to meet the Regulators Code
• any supporting documents

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 comply with the Regulators Code
• a statutory right of appeal is not available
• you have had a stage 1 discussion
• 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 review

After the initial review, an Environment Agency employee who was impartial to the original decision will review the appeal. 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 may agree with (uphold) the original decision or change it.

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

If the Environment Agency receives a request for a regulatory appeal from someone who is not the regulated person, they will treat this as a complaint.