Vehicle Market Surveillance Unit: enforcement policy

The Driver and Vehicle Standards Agency (DVSA) has a market surveillance unit, which inspects vehicles, trailers and equipment to make sure they meet safety and environmental standards.

DVSA’s vehicle market surveillance unit is responsible for checking a wide range of automotive products, including:

1. How DVSA conducts investigations

The Vehicle Market Surveillance Unit will carry out investigations and tests based on:

• annual programme of tests and inspections of products on the UK market
• reports from industry
• reports from general public

1.1 Annual programme of tests

DVSA will conduct an annual programme of tests and inspections of products on the UK market, alongside checks of any relevant documentation. They will take a proportionate, risk based approach when doing this.

Products will generally be selected based on their actual or expected market share, with other products added to make sure a full range of manufacturers is included.
Some other products will also be added at random to make sure that the products tested can not be predicted.

1.2 Intelligence-led investigations

The industry or general public can report someone making or selling unsafe or illegal vehicles or parts.

After DVSA has received a report they will review the information and decide what to do next.

This could include:

• investigating the report further
• asking for more information
• working with other government departments and agencies or the police

1.3 What DVSA can do to investigate

If DVSA suspect a business or individual of not complying with environmental or safety standards they can:

• check if businesses have the correct documentation
• enter and search premises
• inspect or seize any automotive products or documents

1.4 How DVSA prioritises investigations

When deciding whether to start and prioritise an investigation, it will consider:

• the potential scale and severity of the problem, and the risk that the alleged problem presents to road safety, the environment, fair competition or other aspects of government policy
• the quality of any intelligence received
• any statutory limitation periods that would impact the ability to take enforcement action
• a history of previous breaches or offences
• DVSA’s current capacity and the estimated resources to bring an investigation to completion
• the interaction with any existing investigations

2. What DVSA can do when it finds unsafe vehicles or components

When DVSA finds evidence of unsafe or illegal vehicles, products or parts it can:

• offer advice and guidance
• issue warnings
• issue recall notices
• issue fines (called civil penalties)
• prosecute the individual or business

2.1 How DVSA decides what to do

When making a decision on what to do, DVSA will consider all the individual facts, test the evidence, and then weigh up the following public interest factors:

• level of intent, and whether the offence has been committed deliberately, recklessly or because of negligence
• the attitude to the offence, such as if you were uncooperative during the investigation or when DVSA offers advice or guidance
• if any offences have been committed previously, DVSA are more likely to take punitive action if the offender has a history of non-compliance or offending
• personal circumstances of the offender, including serious ill-health and the ability to pay if the sanction includes a fine
• whether the public have been put at risk

DVSA can take action against a corporate body, an individual or both. Where an offence is as a result of a company’s activities, they will usually take action against the company.

Where an offence is committed by a body corporate as a result of the consent or neglect of any director, manager, secretary or other officer, that person could also be guilty of an offence. DVSA may take action against that person.

Where an individual or company is going through an insolvency procedure DVSA may still start or continue a prosecution if the test under the Code for Crown Prosecutors is met. DVSA will apply for permission from the court or insolvency practitioner when it needs to.

2.2 Provide advice and guidance

DVSA will work with other government departments and agencies to communicate with the industry so they can stay up-to-date and understand what they need to do to meet safety and environmental standards.

Generally, this advice will be given to the whole industry. However, DVSA can offer specific guidance to an individual or a business that has committed an offence or is likely to commit an offence.

The advice and guidance can be verbal or written and may be recorded.

Any continued or further breach after the advice has been given will be taken into account when further enforcement action is taken.

2.3 Issue a warning

DVSA can issue a written warning if it believes an individual or business has committed an offence.

This warning will contain:

• what the offence is
• the action you need to take and by when
• what will happen if you do not take action

The warning will be kept on record. Any continued or further breach after the warning has been given will be taken into account when further enforcement action is taken.

2.4 Working with manufacturers to recall and fix or stop selling a product

If DVSA find that a product is unsafe or does not meet the required standards, they will look to work with the relevant manufacturers to agree a plan on what they should do to fix this.

The plan will detail what you need to do to make sure your product meets safety or environmental standards. This can mean that the product will be recalled and fixed.

For information about what should happen when a vehicle defect is reported or a vehicle recall is issued you can read vehicle safety defects and recalls: code of practice.

When DVSA believes that the actions taken or proposed by a manufacturer or distributor are not sufficient to mitigate a safety risk, they can also take action under the General Product Safety Regulations 2005.

2.5 Issue a fine

DVSA can issue a fine (called a civil penalty) if it finds that you have broken a regulation that allows for civil sanctions.

The fine’s amount will depend on:

• what the offence is
• the size of the company
• whether your offence or non-compliance has been committed deliberately, recklessly or because of negligence
• whether you have a history of non-compliance or offending
• if you are cooperative during the investigation
• if you have financially benefited from the offence

How a fine is issued

The fine will be issued in writing and will contain:

• the offence you have committed
• the fine amount
• the date the fine was issued
• the date you need to pay the fine by
• how to pay the fine
• how to appeal the fine if you disagree with it
• what steps DVSA will take if you do not pay the fine

Appealing against a fine

You can appeal a fine if you disagree with it. The fine notice will contain the date you need to appeal by.

When you appeal you need to say why you disagree with DVSA’s decision. You need to provide DVSA with any other information or evidence that supports this.

An appeal will only be successful if you can prove:

• the decision was based on an error of fact
• the decision was wrong in law
• the decision was unreasonable
• the amount is unreasonable
• any other aspect of the fine is unreasonable

Once DVSA receives an appeal they will review the information and evidence provided.

If your appeal is successful they may:

• cancel the fine
• change the fine, for example, reduce the amount

If your appeal is unsuccessful DVSA will let you know and set out when you need to pay the fine by.

2.6 Taking you to court

DVSA can take you to court in the most serious cases. Someone independent from the investigation team will make the decision to do this.

Before DVSA decides to start a prosecution, it will:

• make sure that the test in the ‘Code for Crown Prosecutors’ is met – this means DVSA must be satisfied that there is a realistic prospect of securing a conviction and that it is in the public interest to start criminal proceedings
• be satisfied that it is the most appropriate enforcement action to take based on the evidence
• identify and make sure that the right person or entity is prosecuted for the right offence
• make decisions fairly, impartially and with integrity
• consider the resulting implications and consequences

DVSA is authorised by the Secretary of State, in accordance with section 29(5)(e) of the Criminal Justice Act 2003, as the relevant prosecutor in relation to the specified functions of the DVSA, to institute criminal proceedings in accordance with the requirements of section 29 and section 30 of that act.

DVSA has authority to institute proceedings in England and Wales.

In Scotland, cases will be referred by DVSA to the Crown Office and Procurator Fiscal Service for any prosecution decision and action to be taken.

In Northern Ireland, cases will be referred to the Public Prosecution Service.

The provisions in the legislation state what penalty the courts can apply. DVSA may apply for ancillary orders following a conviction. The court will then decide whether to impose these, depending on the legislation.

3. Reporting and publicising the results

DVSA will regularly communicate the results of its programmes of inspections and testing to the general public and industry.

DVSA can issue press releases to the media highlighting factual information about offences and publicising convictions. It does this to help to advance public protection and act as a deterrent.

DVSA will not usually share findings before the investigation has ended or if it could affect an existing or potential investigation or enforcement action.

If you ask DVSA to give you feedback on what happened with a criminal prosecution, you’ll get it when:

• any investigation and criminal or other official proceedings have ended
• a decision has been made if the person appeals against their verdict

DVSA cannot give feedback on an ongoing case. Criminal investigations can take time.

Read the report someone making or selling unsafe or illegal vehicles or parts: privacy notice to find out how DVSA collects, uses and stores your personal information.

4. Vehicle Market Surveillance Units enforcement principles

When DVSA carries out enforcement action it will follow the regulator’s code and apply the following principles.

4.1 Acting proportionately

DVSA will act proportionately when applying the law. DVSA will take into account and balance the cost of taking enforcement action against the benefit of taking it.

DVSA aims to only take enforcement action when necessary and in a proportionate way.

4.2 Taking effective enforcement action

DVSA will try to make sure that all its enforcement action supports compliant businesses, and that it contributes to helping people stay safe on Britain’s roads.

DVSA aims to deal with non-compliant businesses, not allowing them to grow at the expense of safer roads, safer vehicles and safer drivers.

DVSA will consider the impact of its activities on businesses to make sure that it’s acting where needed, and in a proportionate manner as detailed in growth duty guidance.

4.3 Keeping standards and processes transparent

DVSA will be transparent with standards and processes. DVSA will make clear to the industry what they must do to comply with the law, what they can expect, what action DVSA are taking and why, and their right to make representations or to appeal.

4.4 Being consistent

DVSA aims to be consistent in:

• the advice it gives
• responses to breaches of the Law
• the use of powers and decisions on whether to prosecute
• how it is decided what fine is appropriate in similar factual circumstances

DVSA investigators will use their professional independent judgement and discretion, taking account of behaviour, intent, impact, and offending history.

4.5 Acting with integrity

DVSA investigators will act with integrity, looking at each case objectively and fairly. We will be responsible for each enforcement decision and action we take and will explain it where appropriate.