I. Discipline
What happens when shortcomings are found in MOT testing or operations, why disciplinary action may be taken against authorised examiners and testers, disciplinary points and how they're evaluated, when formal disciplinary action will be taken, making an appeal against cessation of authorisation.
When shortcomings are found either in testing or in the operation of the MOT testing service, DVSA will take action according to the circumstances. For minor shortcomings this will usually consist of advice or counselling, but for more serious cases (or repeated minor shortcomings) formal disciplinary action and prosecution may be considered.
The Secretary of State has absolute discretion to notify persons that they shall cease to be authorised examiners (AE) or testers. These functions are carried out on behalf of the Secretary of State by DVSA.
This section provides guidance for all involved in MOT testing, whether as testers, AEs or DVSA staff, on how this discretion will normally be applied and:
-
explains the procedures normally to be followed when DVSA becomes aware that a tester or AE may not be maintaining the required standards necessary to ensure integrity of the MOT testing service
-
sets out the maximum level of disciplinary action that will normally be applicable so as to ensure procedural consistency
The section is not intended as a set of rules to be rigidly applied. DVSA uses predefined sanctions and a disciplinary points system to gauge the severity of shortcomings, the total number of points is then used as a guide to the appropriate level of disciplinary action. In judging what course to follow in a particular case or series of cases, DVSA will consider all known circumstances and may alter the level of action to reflect the circumstances.
DVSA reserves the right to modify, in light of experience, the points or actions indicated in this section. DVSA will tell you about such modifications in special notices or by amending the pages of this guide.
Where the guide does not cater for a specific shortcoming, points will be allocated in line with those given to shortcomings of similar significance.
DVSA may publish details of vehicle testing stations (VTS) who have been removed from the MOT service following formal disciplinary action. Details will be published after the appeal period has lapsed or the appeal has been determined.
Where a vehicle is re-examined after test, any action taken will be based on its likely condition at the time of test, taking into account all known factors that could have changed the condition of the vehicle.
All judgements are based on the balance of probabilities. However, the Secretary of State does have considerable discretion about who may be testers or AEs and, while seeking always to adhere to the principles stated here, reserves the right to exercise that discretion as widely as seems appropriate to the particular circumstances.
In deciding the appropriate course of action to be taken shortcomings that constitute a threat to road safety, having an impact on the environment or likely to affect the integrity of the MOT scheme or DVSA will be treated with the utmost seriousness and carry more weight in the determination of the final outcome.
The outcome of formal disciplinary action may take the form of:
- no further action
- an advisory warning letter
- a temporary suspension notice
- a formal warning
- cessation of a tester’s approval or an AE’s authorisation in the form of either short term cessation (for 28 calendar days with conditional return) or cessation (for 2 or 5 years)
When considering the outcome of disciplinary cases, DVSA will also consider if the good repute of an AE (including any individuals who is part of the AE) and a tester has been lost. Where good repute has been lost, any affected individual(s) will be unable to hold any role within the MOT testing service.
Where this occurs, DVSA will notify any authorisations that are affected by this loss of good repute, advising that the individual(s) concerned can no longer be involved in MOT testing operations. For further information about repute, see Appendix 7: Convictions and repute
When a problem is brought to DVSA’s attention, either by a tester who is being pressurised by an AE to test improperly or by an AE who is unhappy with a tester’s performance, this will not normally count against the party reporting it. However, where an AE is unhappy with the testing standards of a tester the AE should consider stopping the tester from testing pending the outcome of any action by DVSA.
Testers must be in a fit condition, both physically and mentally, to carry out testing to the required standard. A tester taking medication should read the instructions for its use and, if in doubt, not continue testing without their doctor’s confirmation that the medication will not affect their ability to test. If a tester is recovering from illness or injury, he/she should test only if confirmed as fully fit to do so. A tester being on medication or recovering from illness will not normally be treated as mitigation for errors in testing.
The effectiveness of a tester who is under severe emotional stress must also be suspect. If the stress is likely to affect the tester’s ability to test, they should not test. Similarly, testers whose judgement may be affected by alcohol or other substances should not test. In either event, these factors will not normally be regarded as mitigation, however, each case will be treated on the merits of the evidence available. AEs should implement reasonable management controls to try to ensure that the testers they use are in a fit condition to test.
In cases involving tester’s judgement or minor procedural omissions or deviations from the testing system a formal warning will usually be issued on the first offence that in DVSA’s opinion justifies formal action.
Where there is one or more instances of more serious procedural omissions or deviations from the testing standards this may lead to a short-term cessation.
Where there are instances of significant procedural omissions, for example major elements of the test missed, significant negligence or significant malpractice, a single instance will usually lead to cessation.
A single serious incident of substandard testing that could have a significant effect on road safety will usually lead to cessation.
Cessation will usually be justified for a single case if the tester is personally involved in an act which could also justify single offence cessation for an AE or where very serious infringements have taken place.
Appendix 8.1. Cessation without previous warning (single offence cessation) indicates the type of case usually considered to be very serious.
Serious infringements that involve fraud may be considered for prosecution.
Cessation will be justified if
- a tester receives any conviction, as defined in Appendix 7: Convictions and repute
- a tester is deemed to no longer be of good repute, as defined in Appendix 7: Convictions and repute
A tester who has been required to stop testing because of failure to complete required training or demonstration tests but who continues to take part in testing, other than as an assistant, may have disciplinary action taken against them resulting in cessation.
Where disciplinary action has resulted in the issue of a formal warning or short-term cessation letter this may be taken into consideration should further disciplinary action be contemplated. Such letters generally remain valid for 5 years from their date of issue.
Cessation will be considered where any individual involved in an authorisation:
- receives any conviction, as defined in Appendix 7: Convictions and repute
- is deemed to no longer be of “good repute”, as defined in Appendix 7: Convictions and repute
Except in the case of very serious infringements that DVSA consider to justify single offence cessation action, an AE will normally have been issued with a formal warning and given the opportunity to correct failings, before the subsequent offences under consideration lead to the cessation of authorisation. Appendix 8.1. Cessation without previous warning (single offence cessation) indicates the type of case usually considered to be very serious.
Serious infringements that involve fraud may be considered for prosecution.
Where offences are serious enough to justify consideration for cessation, with the exception of single offence cessation, short term cessation (with or without training) action will normally be considered in the first instance.
Where single offence cessation is considered, DVSA will take care to ensure that the offence justifies such serious action having regard to the risk to road safety or the repute of the MOT testing service.
Normally, the points counted against an AE will be no less than those counted against the tester for the same fault unless there is clear evidence of deceit by the tester and the AE has not been remiss in the application of management controls and quality assurance. Tester shortcomings brought to DVSA’s attention by an AE as a result of management quality checks will not normally be counted against the AE.
Previous disciplinary sanctions can be taken into consideration for 5 years should further disciplinary action be contemplated from the date of issue.
Multi-site AEs
In considering cases involving AEs who operate at more than 1 site, each site will be treated separately in the first instance. If the repute of the MOT testing service is considered to have suffered through the actions of the AE, DVSA has the right to issue a notice of cessation to the AE regarding all of the AEs’ sites. If a specific site is subject to cessation for disciplinary reasons, then no further sites will be authorised in the same catchment area within the period of cessation. Regardless of whether any individual sites are subject to notices of cessation, DVSA may review the overall effectiveness of that AE’s management system.
If it appears to DVSA that there are problems affecting a significant proportion of sites DVSA may ask for an action plan to be prepared and implemented to improve the group performance. If problems continue, DVSA may consider granting no further authorisations until the record of the remaining parts of the group has improved or, in severe cases issuing notices of cessation to part or all of the group. In considering the overall performance of the group, convictions relating to non-VTS sites within the group may also be taken into consideration
Where an AE has been shown on the balance of probabilities to be culpable of misdemeanours affecting all sites, for example deliberate failure of minor items to encourage trade, and the resulting accumulated disciplinary points are sufficient to warrant disciplinary action all sites may be issued with notices of cessation.
Some examples of typical circumstances that can lead to disciplinary action against a tester or AE are:
- a justified complaint where defects have been found on a vehicle that had previously passed its MOT test (this is known as an ‘inverted appeal’)
- a justified appeal against a vehicle that had previously failed its MOT test (this is known as a ‘statutory appeal’)
- a re-examination of a recently tested vehicle by DVSA revealing an incorrect pass/fail decision
- an observed test where a vehicle (with or without induced defects) is submitted for examination by a ‘mystery shopper’ (a person posing as a customer) in order to check the tester’s testing methods or standards and those methods or standards appear to be inadequate/incorrect
- an unobserved test with induced defects - this provides for leaving the vehicle at the VTS and collecting it later that day in order to check the tester’s testing methods or standards - generally, this is used to target sites where there are perceived standards issues or other enforcement methods are impracticable
- an observed test when DVSA has asked for test procedures to be demonstrated by a tester and these procedures have proved unsatisfactory
- the recognition by DVSA of a deficiency in the operation of the MOT testing service at a VTS
- other more involved investigations in cases where DVSA believe there may be significant abuses, which may include covert surveillance of sites offering MOT tests or at sites where potentially testable vehicles are present
- data analysis or intelligence that triggers investigations leading to identification of a deficiency
- involvement in offering a service that undermines MOT test standards or the integrity of the MOT testing service, such as removing or bypassing emission control equipment or the ‘clocking’ of odometer instruments
Serious corrosion will not normally be considered to warrant disciplinary action, for the application of incorrect testing standards, if it was reported more than three months after the original test. In the case of other defects, disciplinary action is unlikely to be considered if the fault was reported more than 28 days after the original test.
Shortcomings found are attributed a predefined sanction or scored under a points system; the points for particular shortcomings are set out in the appendices listed below. Shortcomings not listed are allocated the same scores as others of similar seriousness.
| Subject | Appendix |
|---|---|
| Single offence cessation | 8.1 |
| Incorrect test standards | 8.2 |
| Incorrect test methods | 8.3 |
| Incorrect operation of MOT service | 8.4 |
Action after initial assessment of points
The course of action to be taken by DVSA will be determined by DVSA’s initial assessment.
A low points score may lead to advice being given to the tester or AE.
A higher score may result in DVSA considering formal disciplinary action. DVSA will determine whether starting the formal disciplinary procedure is justified; if it is not, appropriate advice may be issued to the AE or tester.
A level 1 sanction will lead to advice being given to the tester or AE.
A level 2 sanction will lead to a temporary suspension notice being issued to the AE or tester.
A level 3 sanction will result in DVSA considering formal disciplinary action against the AE or tester.
At the end of this section is a flow-chart showing the normal chain of events from the finding of shortcomings to the point at which action is considered.
Advice
If the points score from a visit is below the level shown in the chart at the end of this section or a level 1 sanction is defined, advice will normally be given.
It is not part of the formal disciplinary system however, it can be taken into account in considering the significance of mitigation offered in a formal disciplinary case arising within 5 years of the advice being given.
For any advice to be used in this way it must be given in writing and this will normally be via a copy of the vehicle examiner’s report, or advisory warning letter/notice. They can be delivered electronically via email or through an MOT testing service notification/event.
Temporary suspension notices
Temporary suspension notices will be issued if a level 2 sanction is defined at the point a shortcoming is discovered.
A temporary suspension notice will remain in place until sufficient rectification to the shortcoming found has taken place, and sufficient evidence of rectification is accepted by DVSA.
Temporary suspension notices can be taken into account in considering the significance of mitigation offered in a formal disciplinary case arising within 5 years of the notice being issued.
Formal disciplinary action will normally be initiated if a level 3 sanction is defined or the points score from a visit or occurrence is at or above the level shown in the chart at the end of this section.
Unless otherwise specified, if formal disciplinary action is to be considered, a letter (referred to as a contemplated disciplinary letter) will be sent to each of those parties against whom action is being considered.
The letter will be accompanied by copies of all documentary evidence that is being considered such as vehicle examiner’s reports or photographs and will invite written representations to be made via email about the case within 15 working days of the date of the letter.
In addition, if the maximum level of sanction indicated is cessation, the contemplated disciplinary letter will note any previous formal warnings and short term cessation letters which will be considered in deciding what action DVSA will take.
Where cessation is contemplated and previous formal warnings or short-term cessations are cited, testers and AEs may make relevant representations about all cited formal warnings or short-term cessations.
DVSA will review the evidence and representations on any previous formal warnings or short-term cessation letters that are being considered.
Formal warnings which have previously been reviewed will not be reviewed further, unless new and additional evidence is provided.
Once the deadline is passed, DVSA will consider the action to be taken. All representations made by, or on behalf of, the tester or AE will be studied, together with the evidence and photographs sent along with the contemplated disciplinary letter. Should any new evidence (other than clarification or confirmation of previous evidence) be considered by DVSA, the tester or AE will be given the opportunity to comment on it.
The case may then be re-scored considering all the evidence offered.
Disciplinary casework and letters will be sent to you by email as the preferred option. This will be encrypted and sent to your personal email address on the MOT testing service (MTS) system, which will ensure data protection. In the case of an AE, the email will be sent to the authorised examiner designated manager (AEDM) of the AE. It is therefore essential, users check their email address is correct, personal and not shared. Instructions on how to open the letters will be contained within the same email.
If you have engaged a third-party consultant, it will be your personal decision to forward this information onto them. We will not send this information to anyone except the individual(s) concerned in the case.
Where a case is judged serious enough to justify formal action, one of the following options will be chosen:
- a formal warning, a warning which will be taken into account in the event of future formal disciplinary action
- a formal warning as above but with a requirement to successfully complete additional training
- a tester’s approval or AE’s authorisation will cease in the form of either a short term cessation, (for a period of 28 calendar days) or a cessation (for a period of two or five years)
If the action is a formal warning with a requirement to complete additional training, the notice will also tell the tester or AE that if they do not complete and record evidence of the training, they will be prevented from testing from a date specified. That date will normally be 35 working days after the date of the notice. Once the training has been successfully completed, testing rights will be restored. The case will still count as a formal warning should any future disciplinary action be considered.
Testers and AEs will be notified of the final decision in writing along with any conditions attached to the outcome.
Where the outcome is a 2 or 5 year cessation:
The AE must submit a full application and meet all current requirements to be accepted back into the MOT scheme, and their AEDM must attend an MOT managers course.
A tester must demonstrate they meet the acceptable criteria for becoming a tester as specified in Section E2. Eligibility for becoming a tester. In addition, they must also complete the required training and complete a practical demonstration, refer to Appendix 6 Tester Training and Demonstration Tests.
Where the outcome is short term cessation:
The AE must submit an application and meet all the requirements for an AE following a short term cessation be accepted back into the MOT scheme.
This will include:
- Completion of a VT01 application form
- DBS checks for each AE principal and the AEDM
- Declarations of non-conviction for the business and each AEP
- Declaration that the site remains unchanged from the previous authorisation
- The AEDM may have to attend an MOT managers course if they have not done so in the previous 2 years.
- If the AEDM is not an AE principal, an AE principal may need to attend an MOT managers course on behalf of the AE.
The application must be submitted after the issue of the notice of cessation but before the end of the period of cessation. After this date a full application will need to be submitted. Testing may only resume after the 28 day cessation period and once these and any other requirements have been met.
The maximum level of sanction normally considered appropriate for any particular points score is set out in the following appendices:
| Subject | Appendix |
|---|---|
| Testers | 8.6 |
| Authorised examiners | 8.7 |
AEs and testers can provide mitigation that is relevant to the current disciplinary case, DVSA will consider this and it may lead to a reduction in the sanction that is imposed.
Additionally, in the case of an AE, if evidence is offered of the operation of a quality-control or quality management regime significantly better than the minimum acceptable to DVSA, in operation prior to the disciplinary case, this will be taken into consideration and could lead to a reduction in the level of sanction taken.
Although steps put in place to prevent further issues will be considered, AEs and testers should not expect this to mitigate the current case.
Notice of cessation
Where cessation is the outcome of formal disciplinary action this will normally become effective 35 working days after the issue of a notice of cessation. In the case of cessation for 2 or 5 years this period may be reduced. For example, the notice has early effect should DVSA believe there to be a serious risk to road safety.
For a tester, the notice period before cessation becomes effective may be reduced to either:
- 10 working days, if the particular case justifies more than 100 points
- Immediate effect, if the particular case justifies 500 points or more
For an AE, the notice period before cessation becomes effective may be reduced to either:
- 10 working days, if the particular case justifies 200 points or more and previous formal warnings or short term cessations justifying a total of 140 points or more are still valid
- Immediate effect, if the case being considered justifies single offence cessation under Appendix 8.1. Cessation without previous warning (single offence cessation)
Cessation may be implemented with immediate effect, without DVSA first issuing the normal contemplated disciplinary letter or considering any representation in a few very serious cases that DVSA sees as representing a very significant risk to road safety or the integrity of the MOT service.
The notice period before cessation becomes effective for AEs and Testers may be extended to a maximum of 24 hours. During this period testing may be monitored, where anomalies are identified the cessation will take immediate effect.
Cessations in relation to convictions or repute, as defined in Appendix 7: Convictions and repute will normally be implemented for:
-
the AE - 28 days after the DVSA have been notified
-
a tester - with immediate effect
Period of cessation for testers
When a tester ceases to be approved for disciplinary reasons, this will normally be for:
-
28 calendar days - in the case of short-term cessation
-
2 years - the period may be extended to 5 years where the cessation results from repeated shortcomings considered to have major road safety implications or damage the integrity of the MOT testing service.
-
5 years - where the cessation results from a shortcoming(s) listed in Appendix 8.1. Cessation without previous warning (single offence cessation)
-
an indefinite period - where cessation has been actioned in relation to conviction, as defined in Appendix 7: Convictions and repute
Period of cessation for authorised examiners
When an AE has ceased to be authorised for disciplinary reasons this will normally be for:
-
28 calendar days - in the case of short-term cessation
-
2 years - the period may be extended to 5 years where the cessation results from repeated shortcomings considered to have major road safety implications or damage the integrity of the MOT testing service.
-
5 years - where the cessation results from a shortcoming(s) listed in Appendix 8.1. Cessation without previous warning (single offence cessation)
-
an indefinite period - where cessation has been actioned in relation to conviction as defined in Appendix 7: Convictions and repute - the cessation will remain in place until all convictions become spent
Testers who have ceased to be approved and AEs who have ceased to be authorised following disciplinary action may appeal against the action to the Secretary of State.
An AE or tester wishing to lodge such an appeal must do so in writing, as soon as possible and no later than 14 days after the date of the notice of cessation, via the DVSA office that notified the decision.
Cessation will take effect on the date notified even if the appeal is still under consideration.
The Secretary of State has delegated the decision on such appeals to the Chief Executive of DVSA who is supported by a wholly independent section.
An important element of this procedure is that appeals must be fully made aware of the relevant issues and arguments so that they can properly review the decision.
Your written representations or statement must contain full particulars of the reason(s) for the case you wish to appeal. DVSA may refuse a request for an appeal where acceptable grounds for the appeal have not been advised.
To assist you, the grounds of appeal have been categorised. The following list is not exhaustive, and it is recognised that there are some overlapping ground. The grounds of appeal include:
- the disciplinary procedures have not been followed by DVSA at each and every stage
- the technical evidence is disputed
- other evidence is disputed
- the wrong interpretation has been placed upon the facts
- the sanction imposed or the number of disciplinary points allotted is not in accordance with the MOT testing guide
- the penalty is not proportionate to the offence
- there are mitigating circumstances
Once a decision has been made by our MOT appeals team, in general, there is no further form of appeal to DVSA. Once you have exercised your right of appeal and no new evidence has been provided that would change our decision; it would not be appropriate for the case to be reviewed further.
If you remain dissatisfied with the outcome of the appeal you can ask your MP to refer the case to the Parliamentary and Health Services Ombudsman (PHSO); although please be aware due to the nature of MOT testing sitting under a legislative process, they may not be prepared to consider your request. If they do, please note that PHSO will only look for instances of maladministration.
Further information can be found on the ombudsman website.
Alternatively, you can seek to have the decision judicially reviewed. A High Court judge will scrutinise the decision to establish whether the decision made was lawful.
Read more about how a judicial review works.
If you choose to seek a judicial review of the decision, this should be lodged as soon as practically possibly and no later than 3 months after the date of the appeal decision.
Informal hearings
An appellant may ask for an informal hearing, guidance on which can be found in Appendix 8.8: Informal hearings.
There is currently no statutory right for a tester or AE to appeal against the issue of a formal warning at the time it is issued however, there is a non-statutory provision for a tester or AE to request a review of a formal warning.
If a tester or AE believes that the issue of a current formal warning was unjustified, or the disciplinary points allocation was excessive he may request a review of the decision.
A tester or AE wishing to request such a review must do so in writing:
- no later than 14 days after the date of issue of the formal warning letter
- via the DVSA office that issued the formal warning
The formal warning will be independently reviewed by the DVSA MOT appeals section.
Where cessation is contemplated and previous formal warnings cited, testers and AEs may make representations about all cited formal warnings, irrespective of those that have already been formally reviewed.
Y= Yes N= No
Cessation may be implemented with immediate effect, without DVSA first issuing the normal contemplated disciplinary letter or considering any representation in a few very serious cases that DVSA sees as representing a very significant risk to road safety or the integrity of the MOT service.