“After the Audit: Root Cause, Corrective Actions, and Maintaining the Food Safety System” guides food safety professionals through the essential steps after an SQF audit. Presented by Tammy Van Buren, Compliance Manager at SQF, and Jennifer Lott, Technical Development Director at SGS North America, the session emphasizes practical strategies to maintain compliance and strengthen food safety systems.
Submitting appeals promptly—ideally, the day after an audit—can help prevent unnecessary corrective actions. The appeals process begins with the Certification Body (CB) and can be escalated to SQFI if needed. When submitting an appeal to SQFI, documentation of any CB denials is required to support your case and ensure proper review.
2. Root Cause Analysis (RCA) & Corrective Actions (CA)
The PDCA (Plan-Do-Check-Act) cycle provides a structured framework for managing corrective and preventive actions. Tools like the 5 Whys method, including “5 Whys three ways,” help identify why an issue occurred, why it wasn’t detected, and why the system allowed it. Additional problem-solving tools, such as Fishbone diagrams, Tris, and Turtle diagrams, can support comprehensive analysis. Common mistakes include stopping RCA too early, blaming individuals, or attributing issues to vague causes like “lack of resources.” Verifying corrective actions should be based on the frequency and effectiveness of processes rather than a fixed timeline.
3. Correction, Corrective Action, and Preventive Action
It’s important to understand the distinct roles of corrections, corrective actions, and preventive actions. Corrections address immediate problems, such as picking up a hose left on the floor. Corrective actions eliminate the root cause identified through analysis, while preventive actions take proactive steps to reduce the likelihood of future issues. Alone, corrections do not remove non-conformances, they simply address immediate concerns.
4. Auditor Interactions & Food Safety Culture
Auditors evaluate not only compliance but also the food safety culture of a site. Open communication during emergencies or unforeseen events demonstrates accountability and reinforces trust. Concealing issues from auditors is discouraged; focus should always be on how issues are addressed according to the food safety plan. In larger facilities, having a secondary guide to assist the primary auditor can highlight operational commitment and help manage immediate corrections efficiently.
5. Foreign Object Detection
SQF requires facilities to have a foreign material contamination program based on risk assessment, though specific detection devices, such as metal detectors, are not mandated. Compliance with customer or regulatory requirements is essential to avoid non-conformances and ensure that products meet safety expectations.
Promptly submitting appeals can help prevent unnecessary corrective actions, while conducting effective root cause analysis (RCA) ensures that corrective actions address the true underlying issues and avoid common mistakes. It’s important to recognize that corrections, corrective actions, and preventative actions each play distinct roles in maintaining compliance, supporting both immediate problem resolution and long-term risk prevention. Equally critical is fostering a strong food safety culture, as auditors evaluate site culture as rigorously as processes, and their perception can influence audit outcomes. Finally, foreign object control programs must be designed to meet both SQF requirements and specific customer expectations, ensuring comprehensive protection against contamination.
For More Information
Explore additional SQF guidance and best practices on root cause analysis and post-audit management at the SQFI Blog and SQFI Trainings.
