I've developed an audit tracking tool using Excel that has been getting refinements over time to provide meaningful audit data. I've attached its various iterations in the Cove - here is the latest one. It is meant to incorporate risk analysis of audit findings. Those risk levels may provide the "Critical action limits" you are asking about.
I've also started up a
"Risk Based Auditing" thread where corrective action expectations change according to potential impacts of the issue.
The Tracking Log has drop down menus in columns such as "Functional Areas" that are set up in the Database sheet. With this method, your organization can decide on its own root cause types by changing the entries in the peach colored cells in Column AE. They are currently set to record:
- Not following specs or SOP's
- Procedures/SOPs were inadequate/ nonexistent
- Failure to Comply with Regulations
- Equipment Failure
- Improper Equipment Installation
- Improper tools/equipment used for the task
- Equipment inadequate for needs
- Other
The Functional Areas cells can be changed to represent the various types of audits: Customer visits, registrar, internal audits, etc. You might even decide to combine safety, environmental and quality audits in this single tool. Find this group of cells is in the Database page, colored yellow in Column Z:
- Administration
- Design
- Human Resources
- Design & Test Engineering
- Information Systems
- Manufacturing
- Plant Engineering & Maint
- Process Engineering
- Procurement
- Quality Assurance
This particular tracking log is set up to count findings against TS16949 elements - see column AG. You can reset those also.
The Database is set up to automatically update the drop down menus according to what's entered in the database. It will also keep track of and chart everything within the past 12 running months. If you want to change the time frame, the formulas for that are in the Database sheet, column C. The charts may be useful for reporting to management.
I hope this helps!
P.S. Please let me know if there is a problem in the tool, and I will fix it.