What this checklist covers
The Warranty Claim Approval Checklist is a 15-point scorecard for claim validation, policy eligibility, approval hierarchy, and exception/goodwill handling. 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: Claim approval audits should specifically test segregation of duties — confirm that the person approving a claim is genuinely independent of the person who submitted it, not just nominally a different name in the system. Self-approval or rubber-stamp approval by a closely affiliated colleague is a common control gap that undermines the entire approval process.
The checks
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Claim validation and policy eligibility
- Is the vehicle's warranty status (active, expired, extended) verified against the OEM system before a claim is validated?
- Is the claimed fault checked against current warranty policy exclusions before approval is sought?
- Is prior service history reviewed to confirm the vehicle has been maintained in accordance with warranty conditions (e.g., scheduled maintenance)?
- Is a consistent eligibility check applied to every claim, rather than approval being based on the claim's submitter or dealership relationship?
Approval hierarchy
- Is a documented approval hierarchy in place, defining which claim values or types require which level of sign-off?
- Are claims above the standard threshold escalated to the correct approval level (regional/OEM) rather than approved locally?
- Is segregation of duties maintained, with the approver being someone other than the person who created or submitted the claim?
- Is approval turnaround time tracked against target, with delays escalated according to a defined process?
Exception and goodwill approval
- Is a documented process followed for goodwill claims (out-of-warranty assistance), including required justification and sign-off level?
- Are goodwill approvals tracked separately from standard warranty claims, allowing visibility of goodwill spend over time?
- Is goodwill approval frequency and value reviewed periodically to identify patterns that may indicate a recurring product or process issue?
Claim status tracking and governance
- Is each claim's status (submitted, under review, approved, rejected, paid) visible and current in the claim tracking system?
- Are rejected claims reviewed to determine whether resubmission, write-off, or process correction is the appropriate next step?
- Is approval and rejection data reviewed periodically by management to identify trends by technician, fault type, or claim category?
- Is there a documented escalation path for disputed claim decisions between the dealership and the OEM/distributor?
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
