What this checklist covers
The Warranty Parts Retention Checklist is a 15-point scorecard for failed parts tagging, storage, retention period, and OEM audit readiness. 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 most reliable way to audit parts retention is a blind retrieval test: select three claim numbers from the warranty system at random and ask staff to physically locate the corresponding retained parts without advance notice. Inability to locate a part that the system shows as ‘pending retention’ is the clearest possible audit failure in this category.
The checks
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Tagging and claim reference
- Is every warranty-replaced part tagged with the claim reference number immediately upon removal from the vehicle?
- Does the tag include sufficient detail (VIN, date, part number) to trace the part back to the original claim without ambiguity?
- Are tags securely attached and legible, with no parts found loose, untagged, or with illegible tags during the audit?
- Is a parts retention log maintained, cross- referencing each stored part to its claim number and storage location?
Storage and physical condition
- Is a designated, secure storage area maintained exclusively for warranty parts pending inspection or return?
- Is the storage area organised (shelving, bins, labelling) to allow any specific part to be located quickly when requested?
- Are parts stored in a manner that preserves their condition for inspection (e.g., fluids contained, fragile parts protected)?
- Is the storage area secured against unauthorised access, removal, or tampering with retained parts?
Retention period and disposal
- Are parts retained for at least the minimum period specified by OEM policy before disposal is considered?
- Is a documented disposal log maintained, recording the date, authorisation, and method of disposal for each part released?
- Is disposal only carried out after explicit OEM/distributor clearance where required by policy, rather than on the dealership's own initiative?
Oem audit readiness
- Could a specific retained part, if requested by the OEM auditor, be located and produced within a reasonable timeframe?
- Is the parts retention area itself included in the dealership's own internal audit cycle, rather than only being reviewed when an OEM audit is announced?
- Are staff responsible for parts retention aware of current OEM policy on tagging, storage duration, and disposal authorisation?
- Has the dealership previously failed an OEM parts retention audit, and if so, have the root causes been addressed?
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
