Catalytic Converter Restricted Sale Recordkeeping Audit

Inspection template for auditing state-required records for restricted catalytic converter sales, including buyer identification, transaction documentation, and retention controls.

Audit Scope and Transaction Sample

• Audit period documented
  Record the start and end dates covered by the audit.
• Sample of restricted catalytic converter sales identified
  Enter the number of transactions reviewed in the sample.
• Transactions reviewed are restricted catalytic converter sales only
  Confirm the sample excludes unrelated scrap or general parts transactions.
• Applicable state recordkeeping rule identified
  Document the state law, rule, or internal policy governing catalytic converter sale records.

Buyer Identification Verification

• Buyer government-issued ID recorded
  Confirm the file includes the buyer's government-issued identification details required by state law.
• Buyer name matches transaction record
  Confirm the buyer name on the ID matches the sale record and any purchase documentation.
• ID number or identifier captured in accordance with policy
  Confirm the required ID number, license number, or other identifier is recorded as required by the applicable rule.
• ID copy or image is legible and retained
  Confirm any retained copy or image of the buyer ID is readable, complete, and attached to the file if required.

Transaction Record Completeness

• Date and time of sale recorded
  Confirm the transaction date and time are documented for each reviewed sale.
• Seller and buyer information complete
  Confirm the record includes all required seller and buyer fields required by the state recordkeeping standard.
• Catalytic converter description and quantity recorded
  Confirm the record identifies the converter or converters sold, including quantity and any required serial or part identifiers.
• Purchase price and payment method documented
  Confirm the sale record shows the amount paid and the payment method used.

Retention, Accessibility, and Control

• Records retained for required retention period
  Confirm the business retains catalytic converter sale records for the full period required by state law or policy.
• Records are organized for prompt retrieval
  Confirm records can be located quickly by date, buyer, or transaction reference during an inspection.
• Electronic records are backed up and access-controlled
  Confirm electronic files are backed up, access is restricted to authorized personnel, and edits are traceable.

Compliance Exceptions and Corrective Actions

• Missing or incomplete records identified
  Confirm whether any reviewed transactions were missing required documentation or contained incomplete fields.
• Exceptions logged with corrective action owner
  Confirm each deficiency or non-conformance has an assigned owner and due date for correction.
• Inspector notes and supporting evidence attached
  Attach supporting evidence such as redacted record images, audit notes, or screenshots of the file index.