Appeal a regulatory decision from Natural Resources Wales
How to appeal a regulatory decision from Natural Resources Wales or report when we have not followed the Regulators’ Code.
When to use this procedure
You can use this procedure if you want to submit a regulatory appeal against a recent regulatory decision that Natural Resources Wales has made, or where we have failed 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 (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 Natural Resources Wales intends to do something
- where Natural Resources Wales tells you that we are proposing to or minded to do something
We do not consider that we make a regulatory decision when legislation gives us no discretion to do so.
There’s a different way to complain about the standard of service you receive from Natural Resources Wales.
Decisions to prosecute
Natural Resources Wales 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, we will not accept an appeal of the decision to reject an enforcement undertaking offer. This is because when we reject an offer we 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 Natural Resources Wales.
Stage 1: initial regulatory decision review
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 in writing within 15 working days of the date of the regulatory decision, or if the regulatory decision is communicated directly to you in writing, within 15 working days of the date the regulatory decision is received by you. For an alleged failure to act in line with the Regulators’ Code, you must raise your concerns within 15 working days of the action.
If the regulatory decision is communicated directly to you in writing, then unless specified otherwise, the 15 working days start the day we emailed, delivered 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, Natural Resources Wales 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.
Natural Resources Wales will respond to your concerns within 15 working days. If that is not possible, we will write to you and give a timeframe for our response.
Stage 2: formal 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 21 working days of you receiving the Stage 1 response.
If the Stage 1 response is communicated directly to you in writing, then unless specified otherwise, the 21 working days start the day we 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, Natural Resources Wales will consider you to have received the Stage 1 response 3 working days after it was posted.
Send your appeal to enquiries@naturalresourceswales.gov.uk. You must include:
- any reference numbers, such as permit/licence numbers and report form reference
- details of the specific decision being challenged
- the reasons along with any supporting documents/evidence as to why you consider our decision to be incorrect or how the action failed to meet the Regulators’ Code
You should provide all information relevant to your appeal. Any information sent later may not be considered as part of the appeal.
For Radioactive Substances Regulation related appeals, because of security restrictions, you should only include the permit/licence reference and associated report form reference. We will then contact you to obtain further information via a secure method.
After you appeal
Screening
We will check if:
- it is about a regulatory decision or a failure to comply with the Regulators’ Code
- a statutory right of appeal is not available
- a stage 1 review has been completed
- you have sent the appeal within the required time
If we reject your appeal at this point, we will write to you to explain why.
Impartial appeal
A Natural Resources Wales employee not involved in the original decision will lead the appeal, supported by a small impartial team. They may request further information and will consider relevant facts, law, policy, and guidance.
The appeal lead may dismiss the appeal, agreeing with the original decision or uphold the appeal (in full or in part) changing the decision. If we change the decision, we will tell you what will happen next.
Outcome of your appeal
We will write to you with the outcome within 21 working days of receiving your regulatory appeal.
If this is not possible, we will write to you and give a timeframe for our response.
Requesting a regulatory appeal does not suspend the regulatory decision or action unless we have 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 Natural Resources Wales receives a request for a regulatory appeal from someone who is not the regulated person, we will treat this as a complaint.