When an audit is conducted at an issuing agent’s place of business, the Department of Transportation (PennDOT) checks for the items in the following list. PennDOT recommends agents review this list and make sure their offices are in proper order.

• Issuing agent’s certificate of authorization
• Issuing agent’s executed contract with PennDOT
• Current criminal history reports for all employees, as applicable
• Current affidavits for all employees, as applicable (see Note)
• Training certificates for all employees, as applicable
• Posted schedule of fees, including PennDOT processing fees
• Posted hours of operation
• Accurate inventory of registration plates/permits
• Secure storage of temporary registration cards/plates/permits
• Receipts showing total fees pay able to the Commonwealth of Pennsylvania and fees charged by the agent
• Temporary registrations/plates – Forms MV-1/MV-4ST
  • Issuing agent’s yellow copies of Forms MV-1 and/or MV-4ST; copies of fronts and backs of titles; copies of valid proofs of identification (government-is sued ID); copies of proofs of insurance; copies related to title transfers.
  • If a registration was issued, agent’s copies for each transaction must be filed in consecutive order by plate number. If a registration card only was issued, agent’s copies for each transaction must be filed in chronological order by date of issuance.
  • All information on applications must be completed.
  • If Form MV-3 is attached, it must show the references used to verify the fair market value of the vehicle (i.e., NADA Guide, Kelly Blue Book, etc.).
• In-transit plates – Form MV-120
  • Copies of out-of-state drivers’ licenses; proofs of insurance; proofs that vehicles were purchased in  Pennsylvania within 60 days (for example, copies of certificates of title or manufacturer’s certificates of origin, properly assigned to the applicant).

Here’s how to avoid the most common problems discovered during an audit:

• Organize your files properly with plate issuances separate from plate transfers.
• Keep window permits in booklet form, not in files.
  • Make front and back copies of all documents, including IDs; make sure all supporting documents are copied and attached.
  • Complete all forms in their entirety, including driver’s license numbers and agent ID numbers.
  • Complete the required basic or refresher training and keep current certificates on file.
  • Report to PennDOT when employees leave your business or you gain additional employees.
  • Do not accept out-of-state drivers’ licenses or IDs, fraudulent IDs or no IDs to title and register vehicles in Pa. Accept only the forms of ID listed on PennDOT’s fact sheet, “Acceptable Proof of Identification Documents for Completing Motor Vehicle Forms.”
  • Verify the vehicle identification number (VIN) when required.
  • Obtain the proper authorizations to perform online inquiries of driver and vehicle records.
  • Submit all paperwork on time.

Note: Under contract terms, agents and messengers and their employees must execute annual affidavits stating that they have read and understand the sections of the Pennsylvania Consolidated Statutes and the Pennsylvania Code that apply to motor vehicle transactions. Messengers and their employees must also swear or affirm that they have read PennDOT’s Messenger Manual.