The Role of Internal Audits in SQF Certification

Internal audits are one of the most valuable tools in your SQF toolbox. While often seen as a pre-certification checkpoint, their true purpose is deeper: to proactively evaluate your system’s effectiveness, uncover compliance gaps, and drive a culture of continuous improvement long before an external auditor steps foot on site.

SQF Code mandates internal audits as part of a facility’s verification activities. But how those audits are executed—and how you respond to findings—can be the difference between a smooth certification process and a cycle of costly corrective actions.

What an Effective Internal Audit Should Cover

A successful internal audit goes beyond checking off a compliance list. It should:

• Assess each clause of the applicable SQF Code (Food Safety, Quality, or Fundamentals), including sector-specific requirements.
• Include interviews with employees at all levels, from front-line workers to supervisors, to gauge understanding and awareness.
• Conduct on-floor observations across different shifts and departments to ensure practices align with procedures.
• Review records and documentation spanning at least 30–60 days of operations, including monitoring logs, verification checks, and training forms.
• Evaluate corrective and preventive actions (CAPA) from prior internal audits, regulatory inspections, or customer complaints.

Audits should be segmented by system element, such as:

• Management Commitment and Review
• Document Control and Recordkeeping
• HACCP and Food Safety Plans
• PRPs (e.g., sanitation, pest control, allergen management)
• Supplier and Incoming Goods Management
• Personnel Training and Competency
• Internal Trace and Recall Procedures
• Equipment and Facility Maintenance
• Food Defense and Crisis Management

A robust internal audit program also uses tools like:

• Clause-by-clause checklists aligned with the latest SQF Code version
• Audit scoring systems to prioritize risk areas
• Visual audit maps to track when and where audits occur throughout the facility

Common Internal Audit Gaps—and How to Avoid Them

• Audit schedules aren’t followed: Internal audits should be conducted according to a documented schedule that reflects the facility’s risk profile. High-risk areas should be audited more frequently.
• Auditors lack training: Internal auditors should be trained on SQF principles, interview skills, and evidence gathering. Without training, they may miss key indicators or hesitate to record non-conformities.
• Lack of objectivity: Assigning employees to audit their own departments introduces bias. Use cross-department audits or third-party support for neutrality.
• Superficial findings: A low number of findings doesn’t always mean compliance. It may reflect a surface-level review. Internal audits should identify minor breakdowns before they escalate.
• Weak follow-up: Findings must be documented with detailed descriptions, supported by evidence, and addressed through timely, validated corrective actions.

Corrective Actions: Closing the Loop

Corrective actions are more than patches. They are an opportunity to identify the root cause of non-conformities and implement system-level changes that prevent recurrence.

A strong CAPA process includes:

1. Identification of the issue, including source (e.g., audit finding, deviation, customer complaint)
2. Containment to mitigate immediate risk (e.g., isolating product, halting line activity)
3. Root cause analysis using structured tools like 5 Whys, Ishikawa Diagrams, or Fault Tree Analysis
4. Corrective action planning, assigning responsibilities, due dates, and measurable outcomes
5. Implementation and verification, which may include retraining, document updates, procedural changes, or equipment calibration
6. Validation of effectiveness, confirmed through re-audits, trend reviews, or third-party verification
7. Documentation, maintained in a CAPA log or centralized quality management system

Each corrective action should be categorized by severity and tracked for recurrence to identify systemic weaknesses.

How Internal Audits Prepare You for Certification

When executed properly, internal audits:

• Act as a simulation of the third-party audit process
• Build familiarity with audit questioning and documentation review
• Identify records or implementation gaps before auditors find them
• Ensure that practices align across all shifts and departments
• Encourage employees to engage with the food safety system and speak confidently about their roles

Most importantly, internal audits demonstrate a commitment to self-monitoring and continuous improvement—two principles that weigh heavily in an auditor’s final evaluation.

Registrar Corp’s Role in Strengthening Your Internal Audit Program

Our food safety specialists:

• Conduct independent internal audits with fresh perspective
• Help develop internal auditing SOPs, schedules, and reporting tools
• Provide practical training for internal auditors based on current SQF Code standards
• Review previous audit findings and CAPA logs to assess closure effectiveness
• Offer system-wide readiness assessments prior to third-party certification

Our goal is not just to prepare you for the audit—but to help build the competency, ownership, and structure needed to sustain SQF compliance year-round.

Final Takeaway: Internal Audits Set the Tone for Audit Success

An internal audit isn’t just about catching errors—it’s a strategic process that reveals what your operation looks like when no one’s watching. That insight is priceless.

When paired with a disciplined corrective action process, internal audits become the engine of continuous improvement that drives SQF certification success—and long-term operational excellence.