Dealership Compliance Appraisal
*Mark your top 5 liability concerns:
Auto Sales Compliance Risk
Advertising & Disclosure
Code of Ethics
Money Laundering (OFAC, IRS 9300, etc.)
Packing (Desking and F&I)
Revenue Recognition (i.e. accounting for spot delivery, deal closure, etc.)
Telemarketing
Gramm Leach Bliley (privacy)
Credit Practices (Desking and F&I)
Dealership Employment Practices
Disability
Discrimination
Family And Medical Leave Act
Harassment
Hiring
Termination
Performance Evaluation
Substance Abuse
Wage & Hour
Workers Comp
Proceed and mark the selections in the survey below.
Auto Sales Compliance Risk
For Telephone marketing, do you have...
YES NO
1. A telephone marketing policy?
2. An email marketing policy?
3. A possible misconduct report form?
4. A list certification required filing updated monthly?
5. Guidelines & procedures for updating do not call lists?
6. State specific reference material?
7. Training for all employees?
8. Telemarketing training/assessment course for supervisors?
For advertising & disclosure, do you have...
YES NO
1. An advertising policy including how to report complaints?
2. A truth in lending/leasing policy?
3. A used car rule policy?
4. Possible misconduct report form?
5. Operational guidelines – a buyers guide?
6. Truth in lending/leasing and/or advertising guidelines?
7. Advertising training/assessment course?
8. Used car rule training/assessment-training for supervisors?
For money laundering, do you have...
YES NO
1. A money laundering policy?
2. A cash reporting policy?
3. An OFAC policy?
4. Suspected misconduct report form?
5. Operational guidelines – SDN hit procedures for supervisors?
6. Annual form 8300 compliance certification?
7. Operational guidelines–form 8300 cash reporting procedures?
8. Money laundering training/assessment course?
For Gramm Leach Bliley, do you have...
YES NO
1. An information privacy policy?
2. Possible misconduct report form?
3. A GLB safeguard controls policy?
4. GLB risk assessment form?
5. A GLBA program audit required filing?
6. GLB operational guidelines?
7. A GLBA training/assessment course?
For "packing," do you have...
YES NO
1. A policy on packing?
2. Guidelines for supervisors about packing?
3. Packing policy training for all relevant employees?
4. A suspected misconduct report form?
For credit practices, do you have...
YES NO
1. A policy on credit practices?
2. Operational guidelines about packing?
3. Credit practices policy training for all relevant employees?
4. Suspected misconduct report form?
For revenue recognition aka "spot delivery," do you have...
YES NO
1. A policy on spot delivery?
2. Operational guidelines for spot delivery?
3. Spot delivery policy training for all relevant employees?
4. Possible misconduct report form?
For a code of ethics, do you have...
YES NO
1. A policy on corporate ethics?
2. Guidelines for supervisors about corporate ethics?
3. Corporate ethics policy training for all employees?
4. Suspected misconduct report form?
Dealership employment practices
For harassment, do you have...
YES NO
1. A harassment policy including how to report complaints?
2. A harassment report form?
3. Guidelines for supervisors?
4. State specific reference material for HR?
5. Training for all employees?
6. Training for supervisors?
For discrimination, do you have...
YES NO
1. A discrimination policy including how to report complaints?
2. Discrimination report form?
3. EEO-1 report form for HR?
4. Guidelines for supervisors?
5. State specific reference material for HR?
6. Training for all employees?
7. Training for supervisors?
For the Family & Medical Leave Act, do you have...
YES NO
1. FMLA policy?
2. FMLA request form?
3. Guidelines for supervisors?
4. State specific reference material for HR?
5. Training for all employees?
6. Training for supervisors?
For wage & hour issues, do you have...
YES NO
1. Overtime request form?
2. Guidelines for supervisors?
3. State specific reference material for HR?
4. Training on exempt non-exempt designations?
For Americans with Disability Act, do you have...
YES NO
1. A policy on ADA?
2. Guidelines for supervisors about accommodations?
3. State specific reference material for HR?
4. Training for all employees?
5. Training for supervisors?
6. Accommodation request form?
For substance abuse issues, do you have...
YES NO
1. Policy on substance abuse?
2. Guidelines for supervisors?
3. State specific reference material for HR?
4. Training for supervisors?
For worker's compensation issues, do you have...
YES NO
1. A safety policy?
2. An accident report form?
3. Recommended training for employees?
4. State specific reference material?
For termination issues, do you have...
YES NO
1. A progressive discipline policy?
2. Supervisor guidelines on discipline and termination?
3. Training for supervisors?
For hiring, do you have...
YES NO
1. Supervisor guidelines?
2. Training for hiring supervisors?
For performance evaluations, do you have...
YES NO
1. Supervisor guidelines?
2. Performance evaluation form?
3. Training for supervisors?
Are you currently a customer of Compli?
YES NO
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