Understanding DVSA roadside checks and investigations

If you are an operator of commercial vehicles, it is likely that at some point you will find yourself subject to a DVSA roadside check or investigation. In this article, we’ll outline what a roadside check is, the potential outcomes and how to respond to an inspection or investigation.

What is the DVSA?

The Driver and Vehicle Standards Agency (DVSA), formerly known as the Vehicle and Operator Services Agency (VOSA), is a government agency responsible for ensuring that drivers, vehicles and fleet operators meet stringent safety and environmental standards.

Types of investigations carried out by the DVSA

The DVSA conducts three main types of investigations:

• Maintenance investigations: these focus on the operator's maintenance records and practices to ensure that vehicles are being kept in a roadworthy condition.
• Traffic investigations: these examine how the operator is managing drivers' hours, tachograph data, load security, and other operational aspects.
• Desk-based assessments: these are remote assessments that review documentation and records to evaluate the operator's compliance.

These investigations will often be triggered by a roadside check in which problems are found with an operator’s vehicle or driver.

What is a roadside check?

A roadside check is an inspection of a commercial vehicle, such as a lorry, van, bus, or coach, carried out by a police officer, a DVSA Traffic Examiner or a DVSA Vehicle Examiner. Many police forces also have a dedicated Commercial Vehicle Unit (CVU) which can conduct checks.

Roadside checks are a way to keep unsafe vehicles off the road and ensure that vehicles and drivers meet the required standard. Roadside checks might be carried out at the roadside or at dedicated testing sites.

Checks that may be made during a roadside inspection include:

• Vehicle load weight: if the vehicle is carrying an authorised weight.
• Vehicle roadworthiness: whether the vehicle is roadworthy, including its brakes, lights and reflectors, steering, silencers and tyres.
• Driving licence: if the driver has a valid driving licence and CPC.
• Emissions standards: whether the vehicle meets emissions standards.
• Tachograph records: if tachograph records are up to date and whether there are any drivers’ hours infringements.

If the roadside checks are failed, a prohibition notice may be issued. DVSA can also issue a fine (graduated fixed penalty notice) up to £300. An operator and driver may even be prosecuted for operating a dangerous vehicle.

DVSA prohibition notices

The DVSA has the power to issue prohibition notices to drivers and operators of vehicles that are deemed unfit for service or for some other reason. They are issued by DVSA examiners and police officers and prohibit the driving of the vehicle on the road until the defect has been rectified.

There are a number of different types of prohibition notice that can be issued.

Offence rectification notice (ORN)

An offence rectification notice is issued where infringements are found in an inspection which do not pose an immediate thread. The notice requires the operator to rectify the defect and send evidence of this to the DVSA.

PG3 inspection direction

A PG3 inspection direction directs a vehicle to a specific location for inspection. This notice may be issued for various reasons, such as weighing the vehicle, conducting a mechanical inspection, or checking tachograph records.

PG35EC technical roadside inspection report

A PG35EC technical roadside inspection report is issued following a roadside inspection of a heavy goods vehicle or public service vehicle when no defects are found, or if defects are found but they are not serious enough to warrant a prohibition notice. The report notes any advisory defects found and the operator is expected to fix them as soon as the vehicle returns to its operating centre.

PG9 prohibition notice

A PG9 prohibition notice is issued if a vehicle is deemed unfit for service due to defects. The notice may take effect immediately (PG9 I) or after a delay of up to 10 days (PG9 D) – this will depend on the seriousness of the defect.

Depending on the nature and seriousness of the defect, the PG9 will either be marked with an X, an S, or have no marking:

• No marking indicates that the defect may or may not be caused by a maintenance issue.
• A marking of X indicates that the defect is not due to a maintenance issue.
• A marking of S indicates that the vehicle has a serious issue which constitutes a significant failing of roadworthiness and should have been picked up in safety inspections.
  
  

If an Immediate PG9 notice is issued, the vehicle cannot be driven until the issue is rectified. Driving the vehicle while an Immediate PG9 notice is in force is an offence.

In some cases, an operator issued with a PG9 prohibition notice may be required to notify the Traffic Commissioner as soon as possible and no later than 28 days from the date that the notice was issued.

A PG9 prohibition notice can lead to a Traffic Commissioner public inquiry which may lead to your operator’s licence being reviewed, so it is important that operators take quick action to resolve the issue and put in place a plan to avoid a repeat.

PG9A variation notice

A PG9A variation notice is used to change the details of an existing PG9 prohibition notice. A PG9A notice may be used if:

• Further defects are discovered which widen the scope of remedial work required.
• A temporary repair has been made at the roadside which allows the vehicle to be driven away for further repairs.
• To force immediate repairs to be carried out if a delay on the PG9 notice had previously been given.

PG9B exemption notice

A PG9B exemption notice is issued when a PG9 notice is given, but the examiner believes that the vehicle can be moved for repair without posing a risk to public safety.

PG9C refusal to remove a prohibition notice

A PG9C refusal to remove a prohibition notice will be issued if a vehicle is reinspected after a PG9 notice has been issued but is still deemed to be unroadworthy.

PG10 removal of prohibition notice

A PG10 removal of prohibition notice is issued when a vehicle has been reinspected and deemed to be roadworthy by an examiner.

TE160 prohibition notice

A TE160 prohibition notice is issued to vehicles for offences other than drivers’ hours or roadworthiness, most commonly a vehicle is overweight or poorly loaded.

TE160DH prohibition notice

A TE160DH prohibition notice is issued to drivers who have breached the driver's hours rules. This may be due to driving beyond their maximum allowed driving time or not taking sufficient rest breaks.

Selection for inspection

The DVSA uses the Operator Compliance Risk Score (OCRS) data to decide which vehicles to stop at the roadside and which operators to visit for compliance purposes. Operators with a higher risk rating are more likely to be subject to checks.

The system uses data collected from encounters between DVSA inspectors and an operator’s vehicles such as:

• information from annual tests;
• roadside inspections; and
• desk-based assessments of operators' records.

Points are allocated for any ‘negative encounter’, which is when any defect or offence is noted. The number of points relates to the severity of the defect or offence.

The OCRS system also records positive encounters or events where no faults are found or the vehicle is issued with a pass certificate. No points are allocated on these occasions, but the event is recorded.

The OCRS system uses a rolling three-year data set to calculate an operator's score. The impact of an offence decreases over the three-year period.

The OCRS risk bands are:

• Blue: This category is reserved for DVSA Earned Recognition Operators who are measured differently.
• Green: Low risk operators.
• Amber: Medium risk operators.
• Red: High risk operators.
• Grey: Unknown operators.

The OCRS is re-scored and updated daily.

What is the DVSA Earned Recognition Scheme?

The DVSA's Earned Recognition scheme is a voluntary scheme for operators who demonstrate a high level of compliance. Operators who join the scheme are subject to less frequent checks from the DVSA and can benefit from a reduced risk of being stopped at the roadside.

Responding to a DVSA enforcement notice

It is important to respond correctly and promptly to a DVSA enforcement notice as your operator’s licence may be at stake. Here are some key tips to follow:

• Prepare for inspections: operators should be prepared for DVSA inspections, both at the roadside and at their operating centre. This includes maintaining accurate records, ensuring vehicles are roadworthy, and training drivers on relevant regulations.
• Consider whether the matter is reportable: in some cases a PG9 incident will be reportable to the Traffic Commissioner.
• Check your OCRS score regularly: OCRS scores should be regularly checked for recording errors and scoring. A slip into amber or red can result in an increased likelihood of a roadside stop or investigation.
• Respond to any enforcement notices promptly: it is important to respond to DVSA prohibition notices promptly by addressing the identified defects and clearing the PG9.
• Conduct and investigation: much like a failed MOT, if a PG9 has been issued the operator or transport manager would be expected to investigate the route cause and take appropriate action.
• Seek expert advice: if you are facing a DVSA investigation, you will need to seek legal advice from a specialist transport regulation solicitor. They can provide expert guidance, represent you during interviews and assist you in providing documentation.