What this checklist covers
The Warranty Documentation Checklist is a 15-point scorecard for job cards, technician reports, diagnostic evidence, and warranty file completeness. 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: The clearest test of warranty documentation quality is a cold-pull exercise: pick a claim number at random, with no advance notice, and time how long it takes staff to produce the complete file. A file that takes more than a few minutes to assemble — or arrives incomplete — indicates a documentation gap that would surface in a real OEM audit.
The checks
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Job cards and customer complaints
- Is the original job card retained on file for every warranty claim, matching the claim reference number?
- Is the customer's complaint recorded on the job card in the customer's own words, rather than pre-translated into a technical fault description?
- Is the job card signed by the customer at intake, confirming the recorded complaint and vehicle condition?
- Are job cards for warranty claims retained for the minimum period required by OEM policy, with no premature disposal?
Technician reports and photos
- Does every warranty file include a technician's written findings describing the fault, cause, and corrective action taken?
- Are photographs of the failed part or defect included in the file where required by OEM policy, clearly showing the fault?
- Are photographs date-stamped or otherwise verifiable as being taken during the relevant repair, not reused from a prior claim?
- Is the technician's name and certification level recorded against the warranty repair, supporting accountability for the diagnosis?
Diagnostic reports
- Is a diagnostic tool printout or report attached to the file for claims involving electronic or sensor- related faults?
- Does the diagnostic report content support the fault code and labour operation claimed, with no inconsistency between the two?
- Are diagnostic reports legible, complete, and not missing pages or truncated data?
Repair orders, invoices and approval records
- Is the final repair order/invoice retained on file, itemising labour and parts consistent with the submitted claim?
- Are pre-authorisation approval records (where required) retained and cross-referenced to the relevant claim?
- Is the complete warranty file (job card through to approval) organised and retrievable as a single set, not scattered across multiple uncross-referenced locations?
- Would the warranty file, if requested by the OEM for audit, be produced complete and within a reasonable timeframe (e.g., same day)?
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
