What this checklist covers
The Dealer Compliance Checklist is a 15-point scorecard for statutory licences, OEM agreements, insurance, safety approvals, and regulatory requirements. Each criterion is scored from 1 to 5 on what the auditor sees on the day, and every gap goes into an action plan with an owner and a close date.
AutoSmart tip: Dealer compliance audits carry legal and regulatory exposure and should verify original documents, not copies, wherever possible. Any Red-rated finding in licences, permits, or insurance coverage should be escalated to the Dealer Principal and regional compliance team the same day, rather than deferred to the formal report.
The checks
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Statutory licences and permits
- Is the commercial registration/trade licence current, valid, and matching the business activities actually conducted at the site?
- Are municipality, civil defence, and any other local operating permits valid and displayed or filed as required?
- Are environmental permits (where applicable) for waste handling and emissions current and on file?
- Is a register maintained tracking all licence and permit expiry dates, with renewal actions triggered in advance?
Oem agreements and insurance
- Is the dealer agreement with the OEM/distributor current, signed, and consistent with the operations actually being conducted?
- Is general liability and garage/dealer insurance coverage current, with policy documents available for inspection?
- Is product liability or warranty-related insurance coverage (where required by the OEM agreement) current and adequate?
- Are any sub-dealer, partner, or outsourced service agreements current, signed, and compliant with OEM policy on third-party arrangements?
Safety approvals and tax documents
- Are fire safety and civil defence compliance certificates current, with the most recent inspection findings closed out?
- Is the VAT/tax registration certificate current, displayed where required, and consistent with invoicing practice?
- Are tax filings and statutory financial submissions up to date, with no overdue filings at the time of audit?
Data compliance and local regulations
- Is customer data handled in accordance with applicable data protection regulations, including consent for marketing communications?
- Is a data retention and disposal policy in place and followed for customer and transaction records?
- Are staff working in customer-facing or back- office roles holding valid work permits/residency documentation as required by local law?
- Is a documented process in place for tracking and responding to changes in local regulatory requirements affecting dealer operations?
How to run it
How the scoring works
Before the visit, fill in the dealer or centre, the auditor, the date and the audit cycle. Then score each of the 15 checks from 1 to 5 on what you see on the day, not on what the site aims for, and add them up out of 75.
- 1Not in place
- 2Attempted
- 3Defined
- 4Managed
- 5Fully sustained
- Green60–75 · 80–100%Compliant. Keep the standard.
- Amber38–59 · 50–79%Improvement needed: a structured action plan within 30 days.
- Red0–37 · Below 50%Priority intervention, escalated to regional management.
Then close every gap
Each gap goes into the action plan tracker and moves through four stages until the auditor closes it.
- 1PendingOwner and close date set
- 2In progressWork under way, evidence gathered
- 3CompletedEvidence submitted for review
- 4ApprovedVerified and closed by the auditor
