Establishing a compliance management system (CMS) is not a “one and done” event. Once ownership has implemented compliance programs, begun employee compliance training, and established a culture of compliance at the dealership, the next step is to monitor the compliance program.

Monitoring the CMS requires consistent and regular reviews to determine what is working, where compliance weaknesses exist, and taking prompt corrective action to address identified deficiencies. Compliance monitoring includes tracking consumer complaints.

The third interdependent control of a CMS is consumer-complaint response. This involves the following requirements:

• A uniform system to receive consumer complaints and inquiries;
• Categorizing received complaints in a uniform and consistent manner; and
• Responding to complaints in a prompt and consistent manner.

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