How to Prepare for an SQF Certification Audit 

Reviewed and Approved by Kaci Foote, FSNS Certification & Audit Accreditation Manager 

1-Minute Summary 

• SQF requires highly detailed procedures with clearly defined responsibilities. 
• SOPs must move beyond general statements to outline exactly who does what and how. 
• A designated SQF practitioner (and backup) must lead your program. 
• Internal audits, employee training, and real-world implementation are key to audit success. 
   

What to Expect During an SQF Certification Audit 

Unlike some food safety standards that may focus more on policy, SQF emphasizes assigning responsibility, demonstrating control, and maintaining the system over time. Fulfilling these responsibilities is key to preparing for your SQF food safety certification audit. 

Don’t be overwhelmed, however – if your site operates with food safety at its core, the audit becomes a formal review of what you already do. With the right preparation and focus, you can approach your SQF audit with confidence. 

We provide steps for preparing for a successful SQF food safety audit. 

Step 1: Choose the Right Code Based on Your Food Sector Category (FSC) 

Your first step is determining which SQF Food Sector Category (FSC) applies to your facility. SQF divides its standards into industry-specific categories. Most food manufacturers fall under “Food Manufacturing,” but the others include: 

• Primary Animal Production 
• Primary Plant Production 
• Aquaculture 
• Animal Product Manufacturing 
• Dietary Supplements 
• Pet Food 
• Animal Feed 
• Manufacture of Food Packaging 
• Storage & Distribution 
• Food Retail 
• Foodservice 
• Quality 

Choosing the FSC for your site determines which SQF Code you’ll follow, so it’s critical to select the right one before registering (the next step).  

Step 2: Register and Appoint an SQF Practitioner 

All sites pursuing SQF certification must register in the SQF database. This step officially starts your audit process. 

Next, assign an SQF practitioner – a trained internal employee responsible for developing and maintaining your food safety system. You must also designate a backup practitioner. Contractors or consultants cannot fill these roles. 

While not mandatory, it’s strongly encouraged that your SQF practitioner complete an SQF implementation course to fully understand the code’s structure, expectations, and audit process. HACCP training, meanwhile, is a prerequisite and must be completed. 

FSNS offers food safety training courses, both virtual (live, instructor-led) and in-person, so check our schedule. 

Step 3: Write Detailed Procedures with Clear Responsibilities 

SQF is especially focused on specific, actionable procedures. Every mandatory clause in the code ties methods to responsibilities. 

This means that your SOPs must be specific and detail what must be done and by whom. In a cleaning SOP, for example, simply writing “Clean food contact surfaces daily” lacks necessary detail. Add information such as… 

• Exact surfaces to be cleaned. 
• Specific cleaning agents and tools. 
• Frequency and sequence of cleaning. 
• The job title(s) responsible for each task. 

Some sites use generic templates from third-party programs and simply add their company name and a few other details. These tools are a good start, but your procedures must be tailored to your facility and verified on the production floor. Implementation is just as important as documentation. 

Step 4: Understand SQF Mandatory Clauses and Scoring 

SQF includes mandatory clauses, similar in concept to BRCGS’s fundamental clauses, which we talk about in this article about preparing for a BRCGS audit. These are non-negotiable; failure to comply can result in point deductions and, ultimately, audit failure. 

Let’s look at the SQF Food Safety Code: Food Manufacturing Edition 9 as an example. It lists the Mandatory Clauses as follows:  

Make sure you read and understand these clauses prior to your SQF certification audit. 

Note: SQF Code Edition 10 is on the horizon. We will reach out to our customers with updates once it is implemented. 

Step 5: Conduct a Gap Analysis and Internal Audit 

An SQF gap analysis is essential to identify areas that need improvement before the audit. Start with a desk audit of reviewing the standard and comparing your site’s procedures and processes. This is where our complimentary SQF audit checklist (FSC: Food Manufacturing) can help you. 

We also offer an SQF checklist for the Animal Product Manufacturing category. 

Pair this with a full internal audit that mirrors the structure and depth of a formal SQF audit. 

• Walk the facility like an auditor. Check documentation and observe operations in real time. Are written procedures being followed?  
• Test your documentation. Are logs, monitoring records, and corrective action reports complete and updated?  
• Ask employees food safety questions. Can they explain their role in food safety? If not, address these training gaps with them so they are confident and prepared for the real thing. 
• Look for trends in your data. If you’re monitoring sanitation effectiveness, can you show trending data that proves consistent performance?   

Be your own worst critic at this stage. Your goal is to uncover and correct any inconsistencies between what’s written and what’s actually happening. If a deviation is found, document it, implement a corrective action, and verify that it was resolved. 

Step 6: Consider Including the Optional Quality Code 

The SQF Quality Code is optional but highly recommended for companies aiming for a comprehensive system that includes both food safety and quality. 

Adding it: 

• Reinforces commitment to continuous improvement. 
• Strengthens product quality systems. 
• Allows use of the SQF Quality Shield in marketing. 

If your products rely on consistent quality as much as safety, the Quality Code is worth pursuing. 

Step 7: Final SQF Certification Audit Readiness Check 

In the final week before your SQF certification audit, shift into maintenance mode. You should be verifying systems, not creating them at the last minute. 

Here’s your final checklist: 

• Are all procedures and records current, accurate, and accessible? 
• Can your traceability system track ingredients quickly and completely? 
• Have all corrective actions from your internal audit been closed out? 
• Are employees prepared for auditor questions and facility walkthroughs? 

A facility that’s audit-ready every day doesn’t need to panic the day before. 

Prepare and… Relax! 

An SQF certification audit is your opportunity to demonstrate that food safety is embedded in how you work every day. If your documentation is strong, your people are trained, and your procedures are followed on the floor, your SQF certification audit will simply be a way to demonstrate what you already do each day, not a source of anxiety. 

For help with SQF readiness checks, internal audits, pre-assessments, or certification services, contact FSNS Certification & Audit. We’re here to guide you every step of the way.