DVSA Disciplinary Action: What Happens Next?

Receiving correspondence from DVSA about potential disciplinary action can be worrying, particularly if you are unsure what has triggered the investigation or what the consequences could be.

Whether you are an MOT Tester, Authorised Examiner (AE) or Authorised Examiner Designated Manager (AEDM), it is important to understand what stage of the process you have reached, what DVSA is alleging and what you need to do next.

A DVSA contemplated disciplinary letter does not mean that a final decision has already been made. It means DVSA is considering formal disciplinary action and is giving you an opportunity to make representations before reaching its decision.

In this guide, we explain how DVSA disciplinary action works, what a contemplated disciplinary letter means, what evidence you may receive and what you should consider before responding.

Why Might DVSA Take Disciplinary Action?

DVSA is responsible for maintaining the integrity and standards of the MOT testing service.

Where shortcomings are identified in MOT testing or the operation of an MOT testing station, DVSA can take action according to the circumstances.

Concerns can arise in several ways, including:

• a vehicle re-examination
• an observed MOT test
• complaints or appeals
• intelligence received by DVSA
• analysis of MOT testing activity
• concerns identified during a DVSA visit
• incorrect testing standards or methods
• incorrect operation of the MOT testing service
• repeated compliance shortcomings

Not every shortcoming results in formal disciplinary action. The response will depend on the nature and seriousness of the issue, any relevant history and the circumstances surrounding the case.

How Does the DVSA Disciplinary Process Work?

DVSA uses predefined sanctions and a disciplinary points system to assess shortcomings within the MOT testing service.

Some issues may result in advice or other action without progressing to formal disciplinary proceedings. More serious shortcomings, or an accumulation of disciplinary points, can result in DVSA considering formal action.

Importantly, disciplinary points are used as a guide. DVSA states that it considers all known circumstances when deciding what action should be taken.

The relevant disciplinary points and sanctions for different shortcomings are set out within the DVSA MOT Testing Guide.

What Is a DVSA Contemplated Disciplinary Letter?

Where DVSA is considering formal disciplinary action, it will normally issue what it calls a contemplated disciplinary letter to each party against whom action is being considered.

This is a significant stage in the process.

The letter should explain the case being considered and will normally be accompanied by copies of the documentary evidence DVSA intends to consider, such as Vehicle Examiner reports or photographs.

You will then be invited to make written representations about the case.

A contemplated disciplinary letter is therefore not simply a notification that disciplinary action has already been decided. It is your opportunity to respond before DVSA makes its final decision.

How Long Do You Have to Respond?

Under the current DVSA MOT Testing Guide, written representations are normally required within 15 working days of the date of the contemplated disciplinary letter.

That makes it important to review the correspondence promptly.

Leaving the response until the last minute can make it much harder to properly consider the allegations, examine the evidence and prepare a clear response.

If you have received a contemplated disciplinary letter, start by identifying:

• exactly what DVSA says has happened
• which shortcomings or disciplinary points are being considered
• what evidence DVSA has provided
• whether the facts described are accurate
• which MOT testing requirements are relevant
• whether you have additional evidence that should be considered
• whether there are relevant mitigating circumstances

Your response should be based on the facts and evidence of your particular case rather than assumptions about what DVSA may or may not know.

What Evidence Can DVSA Consider?

The evidence will depend upon how the case arose.

This may include Vehicle Examiner reports, photographs, vehicle examination findings, MOT test information and other documentation gathered during an investigation.

Read the evidence provided with the contemplated disciplinary letter carefully and compare it with the allegations being made.

If something appears incorrect, incomplete or requires further explanation, that may need to be addressed within your representations.

Equally, if a shortcoming has occurred, simply denying it without addressing the evidence is unlikely to produce a useful response.

A strong representation should clearly distinguish between matters that are disputed, matters that require explanation and matters where mitigation may be relevant.

What Are DVSA Disciplinary Points?

The MOT disciplinary system allocates points to specified shortcomings according to their seriousness.

The current DVSA disciplinary procedures set out the points and sanctions that can apply to shortcomings including: 

• incorrect test standards
• incorrect test methods
• incorrect operation of the MOT testing service
• certain shortcomings capable of resulting in cessation without previous warning

The total number of points can help determine the maximum level of disciplinary action normally considered appropriate.

However, the number of points should not be considered in isolation. DVSA also considers the circumstances of the case and relevant previous disciplinary history.

This is one reason it is important to understand exactly which shortcoming DVSA says has occurred and why a particular number of points has been proposed.

Can You Challenge DVSA Disciplinary Points?

Your written representations provide an opportunity to respond to the case DVSA is considering.

Depending on the circumstances, this may involve addressing the factual basis of an allegation, technical evidence, the interpretation of the relevant MOT requirements, the proposed disciplinary points or relevant mitigation.

This does not mean that every proposed point allocation can or should be challenged.

Any response should have a clear factual or technical basis.

Where evidence demonstrates that a shortcoming has occurred, it may be more appropriate to acknowledge the issue, explain the circumstances and provide relevant mitigation rather than attempting to dispute something that can be clearly demonstrated.

Does Corrective Action Automatically Reduce the Sanction?

Not necessarily.

Taking corrective action is still extremely important because it demonstrates that the underlying issue has been identified and steps have been taken to prevent it happening again.

However, DVSA’s guidance makes clear that steps introduced after the event should not automatically be expected to mitigate the current disciplinary case.

For Authorised Examiners, there is an important distinction.

DVSA states that evidence of a quality-control or quality-management regime that was significantly better than the minimum acceptable standard and was already operating before the disciplinary case may be taken into consideration and could result in a reduction in the sanction.

This makes effective, ongoing MOT quality management important long before a problem occurs.

What Can the Outcome of DVSA Disciplinary Action Be?

Formal disciplinary proceedings do not automatically result in cessation.

Depending on the circumstances, outcomes can include a formal warning, a formal warning requiring additional training, short-term cessation or longer periods of cessation.

DVSA currently defines short-term cessation as 28 calendar days. Longer cessation can normally be for two or five years, depending upon the circumstances.

DVSA will notify the Tester or Authorised Examiner of its final decision in writing and set out any conditions attached to the outcome.

Can You Appeal Against DVSA Disciplinary Action?

Where DVSA’s final decision is that a Tester should cease to be approved or an Authorised Examiner should cease to be authorised, DVSA will issue a Notice of Cessation.

A Tester or Authorised Examiner who wishes to appeal against cessation must do so in writing no later than 14 days after the date of the Notice of Cessation. The appeal is made via the DVSA office that notified the decision.

It is important to note that submitting an appeal does not automatically delay the cessation. The cessation will take effect on the date stated in the notice even if the appeal is still being considered.

An appeal may consider matters including the evidence relied upon, the disciplinary procedure followed, the interpretation of the facts, the allocation of disciplinary points or sanction, proportionality and relevant mitigating circumstances. 

What If DVSA Issues a Formal Warning?

A formal warning is different from a Notice of Cessation.

There is currently no statutory right of appeal against a formal warning when it is issued. However, DVSA provides a non-statutory procedure allowing a Tester or Authorised Examiner to request a review where they believe the formal warning was unjustified or that the disciplinary points allocation was excessive.

A request for review must be made in writing within 14 days of the date of issue of the formal warning letter and is independently reviewed by DVSA’s MOT appeals section.

What Should You Do If You Receive a Contemplated Disciplinary Letter?

First, don’t ignore it.

Read the letter and accompanying evidence carefully and establish the deadline for making representations.

Avoid responding immediately while angry, worried or before you have properly reviewed the evidence.

Consider:

• What exactly is DVSA alleging?
• What evidence supports the allegation?
• Is the evidence accurate and complete?
• Which section of the MOT Testing Guide applies?
• Are the proposed disciplinary points appropriate to the alleged shortcoming?
• Is there other evidence DVSA should consider?
• Is there relevant mitigation?
• Are there existing quality-management measures that are relevant to the case?
• Has corrective action been identified where necessary?

Your written representations may become an important part of the disciplinary case, so they should be clear, factual and properly considered.

Getting Help With DVSA Disciplinary Action

You do not have to try to understand the process alone.

Pro-Tech provides independent help with DVSA disciplinary action for MOT Testers, Authorised Examiners and MOT Managers across the UK.

Our support can include reviewing a contemplated disciplinary letter and supporting evidence, helping you understand the relevant MOT requirements and disciplinary points, preparing for DVSA interviews and helping you prepare a clear response to the issues raised.

We can also review MOT quality-management arrangements and identify corrective action where weaknesses have been identified.

If you have received a DVSA contemplated disciplinary letter or are already facing an investigation, find out more about our MOT Disciplinary & DVSA Support service.

Where a case requires specialist legal advice or representation, we will recommend seeking advice from an appropriately experienced solicitor.

Don’t Wait Until the Deadline

The earlier you understand what DVSA is alleging, the more time you have to properly review the evidence and consider your response.

A contemplated disciplinary letter is an opportunity to make representations before DVSA reaches its final decision.

Take the time to understand the case, gather the relevant information and make sure your response accurately addresses the issues being considered.