Any individual person, persons in partnership or company may apply to DVSA via an application for MOT authorisation form (VT01) to become an authorised examiner (AE), authorised to carry out MOT testing of specified vehicle classes as set out in Section A. Introduction.

DVSA publishes information about about authorised vehicle testing stations (VTSs). This includes your trading name, address and phone number to assist the public in finding a VTS in their area.

DVSA will provide information when requested under the Freedom of Information Act. Personal information will not be included in these requests.

Information regarding an AE, VTS or its staff may also be supplied in response to a request from other enforcement agencies, for example the police and HM Revenue and Customs.

An application to become an AE or gain approval for a VTS may be made separately or jointly and must show compliance with the conditions set out in the requirements for authorisation. Further information is available on how to become an MOT station, and should be read in conjunction with this guide.

Final authorisation to carry out MOT testing will be granted only to applicants who can satisfy DVSA that they are of good repute and that their premises, equipment and personnel meet the required standards.

Applying to become an authorised examiner

The application to become an AE must come from the legal entity that will be in full control of the testing operation. This will either be:

• a company
• a partnership
• a sole trader

If a company is in control of the testing operation

In the case of a company, the AE would be the company itself, not the directors or company management staff regardless of who owns the company and who its directors are. The application is to be signed by any person duly authorised by the company to do so.

Written confirmation that the person is duly authorised signed by an ‘officer of the company’ is required (see Abbreviations and definitions).

The directors must be recorded on the company’s register at Companies House.

If a partnership is in control of the testing operation

In the case of a partnership the AE would be the partnership itself, for example the partnership of F Bloggs and A N Other.

The application is to be signed by a person duly authorised by the partnership to do so.

Confirmation that the person is duly authorised in the form of a statement to that effect signed by each of the partners will normally be required together with a copy of the current partnership agreement.

If a sole trader is in control of the testing operation

In the case of a sole trader the AE would be the person making the application, who must sign it.

Any authorisation by DVSA allows only the legal entity authorised to provide the testing service. If a company is reconstituted in a way that leads to a new company registration and number being issued then it will be regarded as a new entity and a new authorisation is needed.

If, in a partnership, a partner leaves or joins, the partnership becomes a new entity, so again a new authorisation is needed, as it is in the case of a sole trader who takes on a partner or forms a company (see also Transfer of records following cessation or disciplinary action).

Application outcomes

Applications will be considered by DVSA following appropriate enquiries and inspections. Applicants will be informed in writing as to the outcome of DVSA’s considerations, which will be either:

• authorisation granted
• approval in principle (AIP)
• intention to refuse

Authorisation granted

This will always have a standard set of conditions but may be subject to additional conditions specified in the authorisation. Standard conditions include compliance with the requirements of the MOT testing guide and the appropriate inspection manuals, as amended from time to time; and special notices.

Approval in principle (AIP) given

This will list items to be complied with before authorisation is granted and will include a time limit after which the AIP will expire. Where the applicant is not prepared to comply with an item, or items, listed they must notify DVSA as soon as is possible, and before the expiry date of the AIP. The application will then be dealt with as in intention to refuse.

Intention to refuse notified

If DVSA, on behalf of the Secretary of State, intends to refuse an application (the legal term is ‘is minded to refuse’), the applicant will be sent a letter. This will give the reason(s) why DVSA intends to refuse the application. The applicant may, within 14 days of the date of the letter, appeal against the refusal.Details of how to do this will be included in the letter.

This process follows the same procedures as an appeal against disciplinary action see Section I8. Appeals against cessation. If an appeal is received within the deadline, it will be considered, and the applicant told of the outcome in due course. If no appeal is received, a further letter will be sent after the 14 days to confirm the refusal.

A DVSA approved MOT Managers course that covers testing responsibilities, administrative arrangements, quality systems, disciplinary and appeal processes must be attended for each AE by:

• an AE Principal for the AE
• the AE Designated Manager for that AE

The course is designed to help the AE and AEDM to fully understand their responsibilities and role within the MOT Service.

Your authorisation can cease by means of:

• voluntary cessation
• automatic cessation
• cessation for disciplinary reasons

Voluntary cessation

An AE may voluntarily cease to be authorised or close an MOT centre at any time by notifying DVSA in writing.

To surrender your AE authorisation or close an MOT centre you must either be:

• the sole trader
• a partner in a partnership with permission to make the request
• the limited company director (AEP)
• someone acting on behalf of the company with permission to make the request

You must fill in the online form to tell DVSA you’re closing an MOT centre.

Once the AE authorisation has ceased or centre has closed, DVSA will:

• refund any unused MOT slots
• remove any roles assigned to this authorised examiner or MOT centre from the MOT testing service

Automatic cessation

An authorisation ceases automatically if:

• the authorised legal entity is no longer in control of the testing operation at the VTS
• the AE is a sole trader who dies, is adjudged bankrupt (or, in Scotland, has their estate sequestered), or becomes a patient within the meaning of Part VIII of the Mental Health Act 1983 (or, in Scotland, becomes incapable of managing their own affair)
• the AE is a partnership and this is then dissolved (see also other changes to business)
• the AE is a company which is no longer trading or operating (for example, dissolved or dormant), or is no longer in control of the authorised site(s) - in some cases, this could also result in disciplinary action
• no tests have been conducted for a period of 12 consecutive months or more under the AE’s authorisation

An AE must notify DVSA if any of the above changes to the business occurs. Testing must stop immediately if any of the above circumstances occurs until DVSA confirms it can recommence.

To minimise any disruption to a business that wishes to continue trading following any such changes, AEs should notify DVSA in advance when any of the above changes are planned allowing any necessary applications for new authorisations to be processed before the change takes place. An authorisation cannot automatically be transferred with a business.

Cessation for disciplinary reasons

DVSA, on behalf of the Secretary of State (see Section F. The Driver and Vehicle Standards Agency), has the discretionary power to take disciplinary action against an AE, including cessation of the authorisation.

Failure to adhere to the requirements for authorisation may result in disciplinary action against the AE or the tester. Section I. Discipline explains the disciplinary and appeal processes.

If the AE is a sole trader

When the AE is a sole trader, the responsibility for taking action to ensure that the authorisation is operated in accordance with the Secretary of State’s requirements and the penalties for failure to do so falls on that person.

If the AE is a company

In the case of a company, the responsibility for taking action to ensure that the authorisation is operated in accordance with the Secretary of State’s requirements and the penalties for failure to do so falls on:

• all the officers of the company (see Abbreviations and definitions)
• any other person duly authorised by the company to sign applications and other similar documents relating to the authorisation

If the AE is a partnership

In the case of a partnership, the responsibility for taking action to ensure that the authorisation is operated in accordance with the Secretary of State’s requirements and the penalties for failure to do so falls on:

• each partner
• any other person duly authorised by the partnership to sign applications and other similar documents relating to the authorisation

Transfer of records following cessation or disciplinary action

Where the constitution or administration of a business changes, and the individual AE or one or more partners or directors or officers of a company continue under the new entity, any records, including those of disciplinary matters, will continue to be regarded as relevant to the reconstituted business. Similarly, if any individual AE, partner or director or officer of a company takes up an equivalent role with another AE, any existing records (again including disciplinary ones) will be regarded as relevant to the new AE.

Independence of new AEs

Where the authorisation of the AE has ceased, for disciplinary reasons as above, anyone wishing to apply for authorisation at that site(s) must be able to show that they are sufficiently independent from the former AE, partners or officers of the company.

The maximum acceptable involvement of the former AE is as landlord.

The former AE, including the AEDM and any individuals who were directly accountable in the cessation of the previous authorisation shall not be involved in any way with the management or responsibility of any authorisation.

The spouse, partner, family members of the former AE, including the AEDM and any individuals who were directly accountable in the cessation of the previous authorisation, would not be considered sufficiently independent.

Other changes to businesses

It is not necessary to stop testing immediately for changes other than those described in automatic cessation. DVSA must be notified and receive a full and complete application within 28 calendar days where there is any other significant changes to the control or operation of the business.

Failure to notify such changes within this period may be treated as a shortcoming under Section I. Discipline and may result in the VTSs approval to test being suspended until an acceptable application has been received.

Such changes would include:

• a sole trader entering into a partnership
• any change in the partnerships constitution (where the AE is a partnership)
• any change to the directors of the company (where the AE is a company)
• any change to the person who was required to attended the MOT managers’ course - this only applies where a trained person is required under section B2. Training
• any change in trading name or court appointed supervision of the business other than that which is described as automatic cessation
• a company that continues to operate under the same registration and company number may continue testing provided that any changes to the officers of the company or change in the relationship to any parent company have been notified

It is possible for the AEDM, or other appropriate roles, to update some authorisation details directly on the MOT testing service, such as phone numbers, email address and correspondence address. Any other details must be notified to DVSA in writing.

The AE can cease the appointment of a tester. In the case of a multi-site AE, this cessation may be from all sites, a selection of sites, or a single site. A cessation by one AE does not affect any current or future nominations by other AEs.

Authorisations are granted in accordance with the conditions applicable to the authorisation.

These conditions include compliance with:

• the requirements for authorisation applicable at the time of authorisation
• this guide
• appropriate inspection manuals, as amended from time to time

Additional conditions may also be specified and acceptable with the written authorisation. AEs are in law fully responsible for ensuring that statutory MOT testing at their VTSs is carried out to the required standard and in the manner instructed by DVSA.

Failure to adhere to the conditions of an authorisation or notify DVSA of a change in the constitution or operation of a business or approved site may result in disciplinary action (see Section I. Discipline). For a partnership or company, all partners or directors and officers of the company are equally responsible.

Each authorisation is required to have an AEDM and a SM for each VTS, which may be the same person. See Section M. System roles and user roles.

The responsibilities of testers are set out in Section E. Tester.

AEs are held fully responsible for the actions of their staff and others acting on their behalf or with their agreement, all such staff must be adequately supervised and fully conversant with their testing duties.

Premises and equipment

Every AE must, at all times, properly maintain the premises, facilities and testing equipment at all VTSs for which they are responsible. The facilities and equipment include:

• all facilities and equipment that were present at the time of the VTS’s approval and any additions or alternatives that have been subsequently agreed with DVSA

• all facilities and equipment required by any mandatory upgrade introduced by DVSA

All testing equipment must be kept in good working order. Measuring apparatus must be calibrated in accordance with DVSA’s requirements. If an item of mandatory test equipment is not re-calibrated by its due date, then testing which uses that item must not continue.

Testing must stop on any class or type of vehicle as soon as any mandatory item of equipment malfunctions, in a way that could prevent a test being properly conducted on that class or type of vehicle. Testing must not be resumed until the equipment is properly repaired. If equipment fails during a test but before its use has been completed, the test must be aborted, and any fee paid returned.

Roller/plate brake testers and headlamp aim testers can be calibrated anytime during the six months following its last date of calibration. The equipment is then considered calibrated until the end of the 6th month.

There are three exceptions to the general rule above:

• where a roller or plate brake tester malfunctions testing may continue, for up to 2 working days from the time the defect occurred, using the DVSA approved decelerometer - only tests booked before the malfunction can be carried out under this arrangement

• where the wheel free play detector malfunctions at an ATL or OPTL approved VTS, testing may continue for 7 calendar days from the time the defect occurred, using the conventional method with an assistant for those specific parts of the test - after that testing cannot continue

• where an item of connected equipment is unable to connect to the MOT testing service but otherwise is performing correctly, testing may continue for up to 7 calendar days from the time the defect occurred - after that testing cannot continue for vehicles that require that equipment

All testing equipment which requires a mandatory upgrade or inspection must be completed within the requirements. Testing must stop on any class or type of vehicle as soon as the deadline for upgrade or inspection is reached. Mandatory upgrade or inspections can be introduced by DVSA, by equipment suppliers or the Health and Safety Executive. Mandatory inspections include those required on lifts and hoists covered under LOLER.

An AE must apply to DVSA for approval prior to the changes being made for:

• addition of test classes

• replacement or modification of any fixed test equipment that will alter the approved dimensions or layout

• alterations to the building or the layout of equipment

The AE can apply using the Application for MOT Authorisation Form (VT01). Supporting drawings should be enclosed with the application.

No proposed change will be acceptable if it reduces clearances or dimensions (including those for access) below the limits specified in the requirements for authorisation or, for features approved only as ‘acceptable variations’, below their existing values.

DVSA must be notified of any changes to fixed equipment or equipment that needs to be connected (transfer results to the MOT testing service) using the ‘Change testing equipment’ link on the VTS page on the MOT testing service. Provided the notification has been given, the AE can proceed to have the equipment installed and use it. This includes upgrading to connected equipment where an API key must also be requested using the ‘Request a key’ link.

The changes will be checked by DVSA at the next visit. If the changes do not meet the requirements for authorisation approval may not be given.

The renewal of mobile testing equipment does not have to be notified to DVSA provided that the replacement is on the current DVSA approved list and will not affect the range of vehicles that can be tested.

Security

AEs are responsible for ensuring that blank MOT contingency testing (CT) certificates are not accessible at any time to unauthorised persons.

In the event of loss or theft of blank CT certificates the AE must immediately either:

• notify DVSA via the customer service centre

• report the loss by emailing the MOT mailbox

The AE must send a full written account of the circumstances within one working day.

An AE may consider removing a tester from the list of testers at any of the VTS(s) within their authorisation to cover periods of extended absence. This could include for prolonged illness. This should be considered for periods in excess of 3 weeks. At the end of the period of absence the AE can reinstate the tester to the list of testers.

The AE shall take reasonable precautions to ensure that all MOT security code users which they are responsible for safeguard their security cards or authentication apps, passwords and their unique email address recorded on the user’s MOT testing service (MTS) profile.

The chosen method to generate an MOT security code must be protected and retained in the personal possession of that MTS user and not left unsecured.

Outside working hours, the security of the MOT security code generator is the responsibility of the MTS user.

AEs must ensure that MOT security code users do not:

• disclose their password to anyone

• share the MOT security card, authentication app or access to their MTS profile unique email account with anyone

• write down their password

• leave MOT security cards or authentication apps in an unsecured location

• write their user ID, password or answers to their security questions on the security card

Contact DVSA

Liability for vehicle damage

The extent of an AE’s liability for damage is set out in Regulation 14 of the Motor Vehicles (Tests) Regulations 1981 (Statutory Instrument 1981 No 1694) as amended and in part reproduced in Appendix 4: Liability for loss or damage. It describes the scope of AE’s responsibility for loss, damage or injury caused while vehicles are in their custody for MOT tests, and while the test is being carried out.

AEs must not display disclaimers of such liability in their VTSs and must ensure that no vehicle presenter is asked to sign any such disclaimer.

Convictions

AEs must notify DVSA immediately in writing of any convictions of individuals involved in the MOT service under their authorisation. This includes:

• AEPs
• AEDMs
• AEDs
• site managers
• site admin
• testers

For conviction definitions see Appendix 7: Convictions and repute.

Checks by DVSA staff

DVSA uses a risk based approach to managing the MOT service, assessing VTS sites and test standards to determine the potential risk of non-compliance. AEs can view their site’s risk rating on the MOT testing service.

A guide to manage your MOT centre sets out the standards and good practises a VTS should strive towards to be assessed as a low risk of non-compliance.

AEs must allow the:

• inspection of their testing arrangements, equipment, facilities and records
• checking of their tester’s competence
• re-examination of recently tested vehicles by DVSA staff at any time during normal working hours or that the VTS is open

AEs should always ask to see the official warrant that DVSA enforcement staff carry. If you have doubts about anyone asking to see official documents, refuse access and call the DVSA customer service centre.

AEs must ensure their staff behave with respect and consideration towards DVSA staff, their agents and the public and remove such conduct that might reasonably be expected to cause, obstruction, insecurity, discomfort, offence, humiliation or harm.

Test appointments

Appointments made for vehicles without a current MOT certificate (which could not be legally driven to and from the testing station without an appointment) must be recorded in writing. The record must include the:

• vehicle’s registration mark
• date and time of the appointment
• name of the person making it

The record must be kept for at least 3 months after the date of the appointment.

Dormant sites

AEs will be expected to staff and maintain their VTSs as operational concerns. Where no tests have been conducted at a site for a consecutive period of 3 months AEDMs are required to contact DVSA detailing the reasons and any corrective action being taken. AE’s may also voluntarily surrender the authorisation and close the VTS.

When no tests have been conducted for a consecutive period of 12 months DVSA will consider this as notification of the AE’s wish to voluntarily surrender approval of the site. DVSA will write to the AE confirming the cessation of the site. This will be considered to be a non disciplinary cessation and AEs may re-apply at any time.

Decline to test

An AE must not carry out an MOT test on a vehicle if it is of a class or type of vehicle which they are not authorised to test, or a type of test they are not authorised to carry out. If the presenter asks for the reason in writing a CT30 may be completed and given to the presenter.

Refusal to test

Where an AE intends to refuse to test a vehicle the vehicle presenter must told straight away of any such circumstances, pointing out that consequently the test cannot be carried out. No fee may be charged for a test refused in these circumstances.

If the presenter asks for the reason in writing, the vehicle must be registered via the MOT testing service and a VT30 produced giving the reason(s).

Refer to the relevant MOT inspection manual, Introduction, for details of reasons for refusal to test.

Abandoned and aborted tests

If, once a test has been registered, it becomes clear that the test cannot be completed because of any of the circumstances set out in Appendix 3: Grounds for refusal to carry out a test, then the test must be either:

• abandoned after being completed as far as is possible and a test certificate refused because the tester considers it unsafe to continue or because it becomes apparent during the test that certain items cannot be satisfactorily inspected - an appropriate fee may be charged for the test
• aborted because a test cannot be completed due to a problem with the VTS’s testing equipment or the tester - no fee may be charged for the test

In both of the above the test is cancelled on the MOT testing service and a VT30 must be issued, stating the reason why the test was abandoned or aborted.

Viewing the test

Any individual presenting a vehicle has the right to observe the test from the approved viewing area(s) or via camera relayed images.

Conduct of test and test standards and methods

AEs must ensure that the MOT tests are carried out without avoidable distraction or interruption and strictly in accordance with the conditions of their authorisation, which includes compliance with:

• this guide
• the requirements for authorisation
• the appropriate inspection manual
• any other instructions issued by DVSA

They must ensure that, for each test:

• the vehicle is registered on the MOT testing service at the commencement of the test
• the appropriate test result is recorded on completion
• where required, the appropriate documentation is issued before the vehicle leaves the premises

The tester who carries out the test must:

• make all assessments of any pass/fail criteria
• confirm all database entries
• sign all appropriate documentation

AEs must ensure that assistance is always available to testers for those parts of the test that require it.

Once started, a test must be completed to the maximum extent safely possible (see abandon/abort above). If a test has to be aborted because of equipment failure or because the tester is unable to continue the test (for example, if the tester becomes unwell), no fee may be charged. The reason why the test was aborted must be entered onto the system and a VT30 produced. If the tester who started the test is not available to abort the test on the MOT testing service, this can be done by another tester.

Retests (Re-examinations)

Where the vehicle fails the test and it is expected that the defect(s) can be rectified within one hour, the tester can elect to use the PRS facility (see Abbreviations and definitions. Provided the tester has completed the initial examination before any repairs are carried out and the vehicle has been retained and repaired at the VTS.

If the defects are rectified within one hour of completion of the test, the tester must then enter the results on the MOT testing service recording the defects and the pass.

If the defects cannot be rectified, for any reason, within one hour then the vehicle must be failed. PRS is a partial re-examination for which no fee can be charged and during which the tester cannot register any new tests.

Statutory free retests, requiring only a partial re-examination, are available when:

• the VTS has not changed ownership

• the vehicle remains at the VTS for repair and the re-examination is conducted before the end of the 10th working day following the day of the initial test - in such circumstances the vehicle must not leave the premises and the failure result must be recorded following the initial test

• the vehicle is returned to the same VTS where the vehicle failed the initial test before the end of the next working day on which testing is carried out and all the failure items are those which are statutory free retest items only (see Section L. Accounts and fees)

If the vehicle is removed from the VTS for repair and returned for a retest before the end of the tenth working day following the day of the initial test then, provided the test station has not changed ownership, only a partial re-examination is required. For which half the statutory maximum test fee may be charged.

When a partial re-examination is permissible, the tester must examine all the failed defects (dangerous and major) along with any items that may have been affected by repairs carried out since the initial test. Where applicable the partial retest must also include carrying out another brake performance test and entering the results in the MOT testing service. The tester should also check any minor defects and or advisory items that had been recorded at the time of the initial test and mark as repaired as appropriate.

In all other cases, a vehicle having failed an MOT test must have a full re-examination when presented for retest and a further test fee (up to the maximum allowed for the class) may be charged.

Vehicles in classes 4A or 5A that have passed the seat belt installation element of a test but failed in other ways, that are returned to the same VTS for retest, must be re-examined as class 4 or 5 respectively. That is, the seat belt installation check should not be repeated or the additional fee for that check charged. In such cases the VT30 for the original fail must be endorsed or a non-component advisory should be recorded to the effect that the seat belt installation check has been passed.

Ideally, any re-examination should be carried out by the tester who completed the original test, but where this is not reasonably practicable any tester listed at that VTS may carry out the re-examination.

If, during the re-examination of a vehicle in any circumstances, it becomes clear that the vehicle does not meet the necessary standard, whether because the original defect has been inadequately repaired or because another defect is present, the vehicle must be failed and a further failure for the test outcome recorded.

Charges for repair work carried out on the vehicle, with the owner’s prior consent, are made by the garage in the usual way and are not covered by the statutory test fee.

If, after the retest only minor defects remain and a pass result is recorded, then there is no further retest option to remove the minor defects.

There is no retest for tests that result in only minor defects or advisory items.

Use of testing stations by DVSA

AEs must allow their VTSs to be used by DVSA for examining vehicles subject to an appeal or complaint about a test result provided that 3 days’ notice has been given. The notice period may be reduced by mutual agreement. DVSA will pay one half of the relevant test fee for the use of the premises and equipment unless the arrangement is cancelled at least 24 hours prior to the appointment.

AEs are responsible for the quality of testing within their garage or garages.

Others, most notably testers, also have a responsibility upon them associated with this, but it is for AEs to ensure there are adequate systems for the management of the quality of testing at their garage or garages.

To that end AEs must ensure an adequate system of quality management at each of their VTSs. Such a system will need to be tailored to meet the individual circumstances of the VTS or VTSs, such as:

• number of VTSs
• volume of test
• numbers of testers
• experience of staff

In all cases its objective must be the same; to best ensure that MOT testing is conducted to consistently high standards.

In operating systems, AEs should always remember that sometimes things will go wrong. A successful quality management system is one that identifies things going wrong in a timely way and helps the AE put things right. A quality regime that never identifies things going wrong is unlikely to be working effectively. Where things are found to be going wrong, then it is key to record this and show what has been done to prevent reoccurrence.

Going forward, much of DVSA’s focus in identifying how well garages are managing quality will come from reviewing their quality management system. This will mean that it is necessary to document the system and how it operates. This need not be an onerous task – and, again, needs to be proportionate to the size and complexity of the AE’s operation.

The overall quality management system should always include:

• people
• training
• procedures
• equipment
• assurance
• improvement

People

This should include:

• policies for recruiting staff
• probation criteria
• policies around what you will do when there are quality failings
• information about site managers (where they are used)

Where AEs do have a responsibility across sites there would be an expectation that site managers are suitable individuals with suitable training to do their job.

Training

This will include the checks you do to make sure that all of your staff have the necessary training, both mandated training from DVSA, and also any other training they need to be able to understand and implement changes to tester’s manuals, test standards and test results entry. Also, any training they require to safely work in your garage. It may include a link to your people policy so that there is clarity on what you expect from your staff in terms of their own personal development. It would be expected that such a system should be designed to ensure that all staff conducting MOT testing have followed the in-year training requirement and have passed the annual assessment.

Procedures

You need to ensure that your staff know how MOTs operate in your VTSs including:

• what documents to use
• how bookings are operated
• how to access information such as manuals, guides and reports (for example, test quality information, test logs, slot usage and transactions)

Equipment

This needs to ensure that all relevant staff understand how to ensure equipment upkeep and calibration, that process is clear and there are clear procedures for dealing with any equipment failures.

Assurance

A procedure needs to be in place to check that at least a sample of MOTs are checked to ensure that the correct routines and procedures are followed and that the correct standards are applied.

An AE may consider implementing an assurance approach which could include a third party or trade representative. Any third party should cover aspects relating to MOT test standards and the administrative management of the MOT business. Alternative approaches could be to:

• nominate an experienced and well-regarded tester to conduct the assurance checks
• rotate the responsibility across the team
• partner with neighbouring garages

All those carrying out assurance checks must be trained as MOT testers and hold a Level 2 qualification in MOT Testing or equivalent for the appropriate class and comply with the requirements for annual training and assessments.

The key factor in whatever approach is to ensure that all testers have a proportion of tests rechecked by someone who is independent of that tester – so they can have some degree of objectivity.

The frequency of checks may typically be expected to be 1 per tester every 2 months. However, this is based on the average garage throughput of 2 to 3 tests per day for experienced testers – so should be varied to reflect the volume of tests done or any other special circumstances – such as the experience of testers. For example, if a tester is inexperienced or doing twice the average of 2 to 3 tests per day you should consider increasing the checks to once a month.

Where a VTS has one tester it is expected that the AE should also have in place a suitable means of assuring the quality of testing This could include using a third-party assessor, a reciprocal arrangement with a local VTS. Where this is not possible other methods should be used to ensure the quality of testing, for example the use of test quality reports to check the testers own performance against the national statistics, noting reasons for differences and any action taken if appropriate.

The assurance processes in place should be subject to regular review, this will enable an AE to monitor the effectiveness and if necessary, make changes where required.

Assurance checks should include the operation of the VTS, and the test quality of the MOT tests carried out by the testers at the VTS.

Whoever is conducting the quality assurance check should either:

• closely watch all parts of the test as they are carried out
• closely observe the testing process and conduct a full re-examination of the vehicle to check standards application

Once the tester has completed the test, which will be the subject of a quality control (QC) check, any difference in the test result, test standards or observed defects must be discussed and resolved prior to confirmation of the test result on the MOT testing service.

The result of the assurance check must be recorded, including any agreed action. That agreed action could be additional training, a garage development session or any other appropriate action. The key thing here is to show that corrective action is taken.

Where unusually high numbers of failings are found, it would be expected that the frequency of checks is increased until such time as it is evidenced that the problem has now been solved.

Improvement

Overall, the system needs to demonstrate that things are fixed when they are found wanting. A good quality system will find problems and record their resolution so there is a culture of learning and improving.

The MOT testing service contains personal data. The collection, storage and use of personal data within the service is explained generally in the DVSA personal information charter and in the privacy notice for MOT testing service.

All system users must ensure that the data held is kept secure and only released to those who have a right to see it.

Access for registered users of the MOT testing service will be via a secure log-on process, designed to reduce the opportunity for unauthorised access. In addition to an MOT security code, all users require a user ID and a password and users may only access data appropriate to their role(s).

It is the responsibility of each individual user of the system to ensure that all the information or data that is processed is done so legally. Failure to comply with the Act may lead to prosecution over and above any DVSA disciplinary action.

Some personal information relating to the users is held on the system, such as testers name and address, and care should be taken when accessing this information.

Each system role has a clearly defined set of access rules that allow access to information appropriate to that role. Audit logs will be created and kept on the system, and will record all appropriate actions against each user ID.

In order to safeguard the data, each system user should not:

• give another person information that they would not otherwise have access to - this includes test result information

• supply any information to a third party or member of the public unless you are told otherwise in the current MOT guide, inspection manuals or special notices (SNs), such as providing documents to vehicle presenters - any requests for information should be made in writing and sent to DVSA’s Information Access Team at DVSA headquarters

• access personal information when there is a danger that unauthorised persons may view the information

DVSA national headquarters

The definitive versions of the MOT testing guide and inspection manuals are available to be viewed on the MOT testing service and on GOV.UK. A special notice (SN) will advise you when amendments to the electronic versions are published.

Vehicle testing stations (VTSs) do not have to retain paper copies and DVSA no longer support hard copy updates for these publications. Where a customer requests further information they should be shown via the MOT testing service or directed to the online version.

SNs are issued periodically by DVSA to inform those involved with MOT testing about changes to the service and to highlight areas of concern. Authorised examiners (AEs) must ensure that all testing staff always have ready access to all current, relevant SNs and that all current testers have read and acknowledged them.

The SN is sent to all service users via the MOT testing service and you can also view MOT manuals and special notices: detailed information.

Customer information and leaflets are available in electronic format and may be viewed online and printed. There is no requirement for AEs to stock or distribute this information.

The current information available is:

• car parts checked at an MOT
• motorcycle parts checked at an MOT
• diesel smoke test poster for MOT garages

The official forms used in connection with the MOT service are listed below, together with notes on their use. These forms must only be used for MOT purposes and in accordance with this guide.

VT01 - Application for MOT authorisation or a variation to MOT authorisation

The form must be completed in accordance with the relevant guidance notes. See Section B1. Application and authorisation.

Any false statement may put at risk the application or any authorisation resulting from it.

When a change is made which requires the submission of a VT01, you can download the form or request a form from the DVSA customer service centre.

Contact DVSA

VT9 - Authorisation of an examiner

DVSA issues this certificate when an AE is authorised. It specifies the classes of vehicle that the AE can test and the approved premises. It must be displayed on the designated MOT notice board at that VTS. You can apply for a replacement VT9 certificate online if you have lost or damaged the original.

VT9A - Vehicle testing classes, fees and appeals poster

This poster outlines the:

• test classes
• test fees
• retest procedures
• appeals procedure
• DVSA customer service centre details

It must be publicly displayed in the VTS on the designated MOT notice board or adjacent if it will not fit.

Download the MOT test fees and appeals poster.

VT17 - Notice of appeal

This form is used by anyone who wishes to appeal against the result of a test. It must be made available to the customer upon request and is available on GOV.UK.

It covers the decision to either pass or fail a vehicle. It must be completed and sent by the appellant to DVSA customer service centre.

An appeal against the decision to fail a vehicle must be sent to DVSA customer service centre not more than 14 working days from the date the failure was recorded.

An appeal against the decision to pass a vehicle should be made within 28 calendar days of test for mechanical defects and 3 months of test for corrosion related defects.

VT20 - Test certificate

When required, this must be printed via the MOT testing service except when operating in contingency testing (CT), where test documents will be handwritten.

Production or completion of the VT20 test certificate

A test record is created on the MOT testing service database, on completion of the test when the tester is satisfied that all the test requirements have been met.

A test certificate must be printed and issued if:

• The customer requests a copy
• The vehicle is not registered in the UK
• The vehicle is imported
• There is no VIN on the vehicle as presented
• There is no VRM on the vehicle as presented
• The test was conducted under contingency and the customer requests a copy from the MOT testing service

A test certificate must be printed via the MOT testing service when requested except when operating in CT. In such instances all test documents must be hand-written. Templates for handwritten forms are available to print from the MOT testing service. Customers may exchange hand-written certificates for printed ones. This can only be done after the result has been entered as part of the CT catch up process. The exchange of a hand-written test certificate for a printed test certificate is free of charge.

Except in the cases of a duplicate, exchange or a replacement certificate, the tester who carried out the test must sign the test certificate, after checking its content.

In the case of a retest for which only a partial re-examination is required or as described in Section B5. Testing responsibilities - Retest, the tester who has carried out the retest examination must confirm on the MOT testing service the test result, pass or fail, after they have re-examined the vehicle to the extent required by Section B5. Testing responsibilities - Retest. They must also sign and check the content of the certificate for accuracy.

Test record corrections

Amendments to test records can only be carried out before the expiry date of the test record.

If an error on a test record is identified, the tester who carried out the test must amend the test record on the MOT testing service after the relevant details have been verified.

However, if the original tester isn’t available another tester may make the change to the record.

A test record can only be amended by the VTS that carried out the test for a change in vehicle colour or a change to the current odometer reading. Changes to an odometer reading can only be completed within 28 calendar days of the test completion, the new reading must be that seen on the day the change is made.

If the VRM of a vehicle is changed after the test has been recorded on the MOT testing service, this cannot be altered by a VTS. The customer should be advised to contact the Driver and Vehicle Licensing Agency (DVLA).

DVSA amends test records and can issue replacement test certificates when the original AE is no longer authorised. DVSA may change:

• VRM and/or VIN
• Vehicle colour
• Vehicle make or model
• Odometer reading
• Country where the vehicle is registered
• The MOT test centre that is stated on the record

Find out more information about correcting MOT certificate mistakes.

Replacement test documents

If a test record has been amended, if required, a replacement certificate must be issued free of charge. The original test certificate issued via the MOT Testing Service should be destroyed.

If a substitute tester amends the test record they must sign the replacement certificate on the issuer signature line.

Details of who changed the test record, the VTS number and the date of issue will be printed at the appropriate place on the test certificate.

For replacement CT20 see Section N. MOT contingency testing procedures.

Replacement test documents cannot be issued if the VTS is operating under CT.

Duplication of test documentation

Test details are held on the system so duplicates may be issued by any VTS on payment of the appropriate fee, providing that the customer can demonstrate their right to acquire the duplicate document.

In order to validate that right, the customer must provide either the test number from the original certificate or the unique reference number from the V5C, plus the VRM. If the customer requests the duplicate at the original VTS, they may alternatively present the subject vehicle to satisfy this proof.

Where the request is made at a VTS that didn’t test the vehicle before issuing the certificate the VTS will need to enter onto MOT testing service the 11-digit reference number from that vehicles latest log book (V5C).

Duplicate test documents can be produced by all VTS roles, the producer must add their signature on the issuer signature line.

Vehicle owners can also acquire a duplicate test certificate free of charge online from the check MOT history service.

A duplicate must not be issued by a VTS more than 18 months after the date of the test.

A VTS issuing a duplicate test certificate is entitled to charge a fee for this as specified on the MOT test fees and appeals poster (VT9a).

Alterations to VT20

VT20s showing alterations must not be issued.

If the VRM of a vehicle is changed after an MOT test, see Replacement test documentation.

Dangerous defects

If the tester considers a non-testable item to be so defective as to render the vehicle dangerous to drive on the road, the tester must warn the vehicle presenter of the nature of such defects. This must be recorded by selecting the dangerous defects option when entering the results on the system or manually by annotating the certificate when hand completed. Dangerous defects must be clearly explained to the vehicle presenter.

VT29/VT29M – MOT inspection checklist

This form may be used by testers to record information whilst conducting an MOT test. Download a copy of the MOT inspection checklist, it is also available to print on the MOT testing service.

When testing in CT, testers must use this form to record:

• any failure defects with sufficient detail to allow subsequent data entry
• any advisory items found

VT30 – Refusal of an MOT test certificate

When required, this must be printed via the MOT testing service except when operating in contingency, then test documents will be handwritten. Templates for handwritten forms are available to print from the MOT testing service.

Following test registration, a VT30 must be issued:

• when a tester refuses to test a vehicle for any of the qualifying reasons set out in Appendix 3: Grounds for refusal and the vehicle presenter requests a ‘refusal to test’ decision in writing
• when a test has to be abandoned because the tester considers it unsafe to continue or because it has become apparent during the test that certain items cannot be satisfactorily examined
• when a test is aborted due to a problem with VTS equipment or tester
• on request when a test is completed and the vehicle has failed to meet the required standards
• if the tester considers an item on the vehicle, whether testable or not, to be so defective as to render the vehicle dangerous to drive on the road

If the test is abandoned because items cannot be examined

When a test has to be abandoned because the tester considers it unsafe to continue or because it has become apparent during the test that certain items cannot be satisfactorily examined, the tester must:

• complete as much of the test as possible and include any failure defects found during the partial test
• give the reason why it was considered that the test could not be completed

If the vehicle fails to meet the required standards

When a test is completed and the vehicle has failed to meet the required standards. the test record must detail the reasons for failure and if required the VT30 must be issued and signed by the tester who carried out the test.

If the vehicle remains at the VTS for repairs that are likely to take more than 1 hour to complete, the test failure must be recorded on the MOT testing service and if required a VT30 must be issued on completion of the test.

If the tester decides to use the pass after rectification at station (PRS) facility (see Section B5. Testing responsibilities), then they must complete the test before repairs are carried out. Once the repairs are complete the tester must register the results on the MOT testing service and if required, issue a VT30 in addition to a VT20.

If the vehicle is dangerous to drive on the road

If the tester considers an item on the vehicle, whether testable or not, to be so defective as to render the vehicle dangerous to drive on the road, the tester must warn the vehicle presenter of the nature of such defects.

Non testable defects must be recorded by entering a manual advisory and selecting the dangerous option.

Dangerous defects must be clearly explained to the vehicle presenter.

VT32 – Advisory notice

An advisory notice is issued to the vehicle presenter advising the outcome of an inspection carried out by a DVSA examiner. It includes the English/Welsh dual language version (VT32W).

Exchange test documentation

Test documentation issued under CT, may be exchanged for printed versions at the original VTS if requested. No charge can be made for this service. If the customer is unable to produce the hand-written documents the procedure for duplicate issue should be followed.

For information on exchange CT certificates see Section N. MOT contingency testing procedures.

Welsh language policy

DVSA has a Welsh language policy for records and documents issued at locations in Wales. It says:

• MOT test certificates will be generated in both English (VT20) and Welsh (VT20W) - all standard machine printed text will have the Welsh equivalent - the tester can print either or both certificates as required

• refusal notices will be generated in both English (VT30) and Welsh (VT30W) - all standard machine printed text will have the Welsh equivalent - the tester can print either or both certificates as required

• advisory notices will be VT32W with all standard machine printed text in both English and Welsh

• when operating in CT, hand-written entries need only to be in English and the VT30W need not be issued

• contingency test certificates will be printed in English only

All documentation copies must be retained in a readily retrievable manner at the issuing VTS for the duration of the retention period. Following this period all documents should be securely destroyed in an environmentally friendly manner.

Retention periods

The number of months that each document must be retained for is explained in the following table.

A month is defined as a calendar month from the date the test result was entered.

If emissions records are not available, DVSA could consider that an emission test was not conducted.

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

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.

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)

Testers and AEs will be notified of the final decision in writing along with any conditions attached to the outcome.

Fast track

This process simplifies and speeds up the disciplinary process. It provides less uncertainty for the authorised examiner and tester, as they will know the outcome sooner.

The process will only be used when:

• there is factual evidence that can be documented 
• the evidence is not contested
• the authorised examiner (AE) and tester both agree that the shortcoming has occurred, and they are content to use this process
• the AE or vehicle testing station (VTS) and tester have no preceding disciplinary cases in the previous 5 years

and where the shortcomings have been identified in any of the following circumstances:

• statutory test results are recorded using the wrong vehicle details
• mystery shopper for Class 4, 5 or 7 only, where 2 to 4 defects are missed or incorrectly applied
• a targeted reinspection, MOT Compliance Survey or an appeal for Class 4, 5 or 7, where 2 to 4 defects are missed or incorrectly applied

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 maximum level of sanction normally considered appropriate for any particular points score is set out in the following appendices:

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.

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.

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