What this checklist covers
The Warranty Policy Compliance Checklist is a 15-point scorecard for OEM warranty policy adherence, repair guidelines, claim limits, and authorisation rules. 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: Policy compliance audits work best as a scenario-based conversation rather than a document review alone. Present the warranty administrator with two or three realistic claim scenarios and ask how each would be handled under current policy — gaps in actual understanding surface faster this way than by checking whether the policy document is merely present and filed.
The checks
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Policy awareness and updates
- Is the current OEM warranty policy document available and accessible to warranty administrators and service staff?
- Are policy updates from the OEM/distributor cascaded to relevant staff within a defined timeframe of release?
- Can warranty administrators and service advisors correctly state current policy positions on common scenarios when checked at random?
- Is a log maintained of policy briefings conducted, confirming which staff have been updated on which policy version?
Repair guideline adherence
- Are repairs performed in accordance with the OEM's documented repair procedure for the specific fault, rather than a workshop-preferred shortcut?
- Is the use of genuine OEM parts (versus aftermarket or substitute parts) verified for all warranty repairs, as required by policy?
- Are technical service bulletins (TSBs) relevant to the fault checked and applied before a warranty repair is finalised?
- Is repair work consistent with the claimed labour operation, with no work performed outside the scope of the approved claim?
Claim limits and timelines
- Are claim value limits per repair type understood and adhered to, with claims exceeding standard limits handled via the correct exception process?
- Are claim submission and customer notification timelines as specified by OEM policy being consistently met?
- Is the warranty period calculation (from date of sale/registration, not delivery or invoice date) applied correctly and consistently?
Authorisation rules and governance
- Are pre-authorisation requirements for specific repair types (e.g., major component replacement) being followed before work begins?
- Is the dealership's compliance with OEM authorisation rules reviewed periodically as part of internal governance, not only during OEM-led audits?
- Are instances of policy non-compliance identified internally, documented, and corrected before they are discovered by an external OEM audit?
- Is there a designated person at the dealership accountable for overall warranty policy compliance, distinct from day-to-day claim processing?
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
