Understanding SQF Audit and Scoring: A Practical Guide for Foodservice Operators

Food companies in the United States face increasing expectations from buyers and regulators to demonstrate they can produce food that is both safe and of high quality. One approach for meeting these expectations is the Safe Quality Food (SQF) program, a certification program overseen by the Safe Quality Food Institute (SQFI). SQF certification is recognized by the Global Food Safety Initiative (GFSI) and is designed to help businesses across the food supply chain implement robust food safety management systems. Restaurants and other foodservice businesses are not immune to these demands. While the SQF program is more commonly associated with manufacturers, processors and distributors, understanding how it works can help hospitality businesses refine their safety programs and improve supplier oversight.

This article breaks down the SQF audit process and scoring system, discusses how certification supports food safety and quality, and offers practical tips for preparation. All information is presented in the context of U.S. regulations and industry practices.

What Is the SQF Program?

The SQF program is a comprehensive food safety and quality management framework aligned with both regulatory requirements and international best practices. It is administered by SQFI, a division of FMI, The Food Industry Association, and is benchmarked to the Global Food Safety Initiative (GFSI).

SQF certification is available for a range of food sector categories, including food manufacturing, packaging, primary production, storage and distribution, food retail, and foodservice. The program includes two main components:

• Food Safety Codes: Focused on preventing food safety hazards through Good Manufacturing Practices (GMPs), Hazard Analysis and Critical Control Points (HACCP), and risk management.
• Quality Codes: Focused on maintaining consistent food quality and brand standards.

Many restaurants rely on suppliers with SQF certification to ensure ingredient integrity and safe sourcing practices.

Why SQF Certification Matters in the Food Industry

• Market access and buyer confidence: SQF certification is widely recognized by retailers and foodservice operators. Many buyers require SQF or another GFSI-benchmarked certification to approve a supplier. Certification signals that a company’s food safety management system meets globally recognized standards, which expands market opportunities and reduces the need for multiple customer audits.
• Comprehensive food safety management: The SQF Code integrates GMPs, HACCP, internal audits and continuous improvement to manage food safety hazards from raw materials through finished products. Certification demonstrates that a site has implemented a systematic approach to identifying and controlling hazards.
• Regulatory alignment: Because the SQF program aligns with U.S. regulatory requirements, achieving certification helps businesses meet expectations for hazard analysis, preventive controls, and documentation.
• Brand protection: Food safety incidents can result in costly recalls and reputational damage. Implementing an SQF system reduces the likelihood of a food safety event and signals to diners that the restaurant or its supply chain partners take safety seriously.

Components of the SQF Audit

SQF audits evaluate both the documentation and physical aspects of a site’s food safety and quality management system. The SQF Food Safety Code lists requirements across several areas:

1. Management commitment: Auditors evaluate senior leadership’s involvement in upholding food safety and quality standards. This includes resource allocation, policy setting, and support for training programs.
2. Document control and records: Sites must keep accurate, complete, and accessible records related to food safety and quality. This includes policies, procedures, training records, verification activities, and corrective actions.
3. Specifications and supplier approval: SQF systems require procedures for developing product specifications, converting formulations to commercial products, and ensuring suppliers meet the required food safety standards.
4. HACCP: A properly documented and implemented Hazard Analysis and Critical Control Point plan is central to SQF certification. Auditors scrutinize hazard analysis, critical control points, monitoring, and verification to ensure the HACCP plan effectively controls hazards.
5. SQF system verification: Sites must have internal audits, validation procedures, and corrective action processes. An internal audit schedule is essential for identifying gaps before a third‑party audit.
6. Product traceability and crisis management: Auditors evaluate traceability systems and recall procedures, ensuring that products can be traced from raw materials through distribution and that crisis management plans are in place.
7. Food defense and food fraud prevention: Measures must protect against intentional contamination and fraudulent activities.
8. Good manufacturing practices (GMPs): SQF audits assess practices such as personnel hygiene, site location, building maintenance, equipment cleaning, water quality, waste disposal, and cross‑contamination controls.
9. Training: Staff training programs for food safety and quality must be established. Training should cover hygiene practices, GMPs, hazard identification and company procedures.

The SQF Audit Process

An SQF certification audit follows a structured sequence:

1. Application and scope definition: The site registers in the SQF database and selects the appropriate SQF Code. The certification body reviews the scope based on product complexity, facility size, and other factors, then assigns an auditor.
2. Pre‑assessment (optional): Many organizations conduct a pre‑assessment or internal audit to identify gaps before the formal audit. This is not mandatory but can reveal issues early and allow time for corrective actions.
3. Initial audit: An SQF food safety auditor conducts an on‑site assessment. The auditor reviews documentation, interviews staff, and observes processes. If information technology allows, a portion of the audit may be conducted remotely, but core activities must be observed on site.
4. Non‑conformity classification: During the audit, deviations from the SQF Code are classified into three categories:
   • Minor non‑conformance: Evidence of random or infrequent failure to meet a requirement. Minor non‑conformances must be corrected within thirty days.
   • Major non‑conformance: A systemic breakdown or significant deviation from a requirement. Corrective actions must also be completed within thirty days, though extensions are possible under certain conditions.
   • Critical non‑conformance: A significant public health risk or deliberate falsification of records requiring immediate notification and action.
5. Corrective action: The site must submit corrective action plans for each non‑conformance. Evidence of root cause analysis and verification of corrective actions is required. If corrective actions are not verified within the timeframe, certification cannot be granted.
6. Technical review: The certification body reviews the audit report and corrective action evidence to ensure consistency and compliance.
7. Certification decision: Based on the final score and verification of corrective actions, the certification body issues an audit rating and certificate or requires re‑audit. Certification is valid for one year, subject to surveillance or re‑certification audits depending on the rating.

How SQF Audit Scoring Works

Scoring methodology

The SQF Code uses a numerical scoring system to assess overall compliance. Each clause of the audit checklist is scored automatically. A site receives 0 points if the requirement meets the criteria, 1 point for each minor non‑conformance, 5 points for each major non‑conformance and 50 points for each critical non‑conformance. These points represent deductions from a maximum score of 100. The final audit score is calculated as 100 minus the sum of points for all non‑conformities. For example, if an audit identified two minor non‑conformances and one major non‑conformance, the final score would be 100 − 7 = 93.

Rating categories and audit frequency

SQF ratings determine whether certification is granted and how often the site must undergo re‑certification or surveillance audits. Table 1 summarizes the rating categories and requirements.

Audits resulting in E or G ratings receive certification with annual re‑certification audits, while a C rating requires a surveillance audit after six months. An F rating indicates insufficient compliance; no certificate is issued, and the site must correct issues before another full audit.

Implications of minor, major, and critical non‑conformities

The classification of non‑conformities affects scoring and certification outcomes:

• Minor non‑conformities may include incomplete documentation, small deviations in record keeping, or occasional lapses in hygiene practices. Each minor counts for one deduction and must be addressed within 30 days. Multiple minor issues can lower the score and may highlight weaknesses in the food safety system, though certification is still typically granted.
• Major non‑conformities indicate a breakdown in the management system. Examples include missing critical elements of the HACCP plan or systemic issues with training. Each major counts for five deductions and must be addressed promptly. Accumulated majors can push a score into the non‑compliant range.
• Critical non‑conformities represent immediate threats to public health or intentional falsification. A single critical deduction of 50 points often results in an F rating and requires immediate corrective action. Certification cannot be granted until a re‑audit confirms resolution.

Key Differences Between SQF and Other Programs

The food industry uses various certification programs to meet customer requirements. While SQF is one of several GFSI‑benchmarked schemes, it has distinguishing features:

• Integrated quality component: Unlike some certification programs that focus solely on safety, the SQF program offers an optional Quality Code to manage specifications and product attributes that may affect brand integrity. This allows businesses to certify both safety and quality in one program.
• Sector‑specific codes: Edition 9 of the SQF Code provides separate modules for food manufacturing, food packaging, primary production and other sectors. This ensures that requirements are relevant to the operations being audited.
• Clear scoring system: SQF’s scoring system provides transparency on performance and determines audit frequency. The combination of minor, major, and critical classifications makes the consequences of non‑conformities clear.
• Mandatory unannounced audits: Within three certification cycles, at least one re‑certification audit must be unannounced. This ensures that certified sites maintain their systems continuously.

Preparing for an SQF Audit

Even though restaurants may not pursue SQF certification directly, many elements of the SQF program overlap with regulatory inspections and supplier audits. Here are strategies to apply the SQF mindset:

1. Choose the appropriate code and understand food sector categories

SQF certification begins with selecting the appropriate SQF Code for your operation. Each code is tailored to a specific food sector category—FSC 7 covers dairy processing, while FSC 9 covers cooked meat manufacturing. Aligning your code ensures that audit criteria reflect your operation’s risks and production processes. If you operate multiple product lines, a certification body can help define the scope and assign the right SQF practitioner, the individual responsible for managing the SQF system within your company.

2. Implement prerequisite programs

SQF requires documented prerequisite programs, which cover facility environment, equipment maintenance, pest control, sanitation, water quality, waste management, and personnel hygiene. These programs lay the foundation for controlling hazards. In restaurants, similar programs include cleaning schedules, temperature controls, cross‑contamination prevention, pest management, and allergen controls. Documented procedures and records are essential for demonstrating compliance.

3. Develop and validate your HACCP plan

A robust HACCP plan is at the heart of SQF certification. Sites must conduct hazard analysis, identify critical control points, establish critical limits, monitor the CCPs, and implement verification and corrective action procedures. For restaurants, although formal HACCP certification is not always required, applying HACCP principles—such as monitoring cooking temperatures, holding times, and allergen segregation—strengthens food safety and prepares you for supplier audits. Validate the plan by verifying that controls consistently prevent, eliminate or reduce hazards to acceptable levels.

4. Build a culture of food safety and training

Personnel at every level play a role in food safety. Training programs should cover GMPs, hygiene practices, allergen management, cross‑contamination prevention and emergency procedures. SQF audits examine not only whether training occurred but also whether staff understand and apply the concepts. Create training records and track staff competence; assign refresher training when necessary. A culture of food safety encourages employees to report issues and take corrective actions.

5. Conduct internal audits and use SQF audit checklists

Regular internal audits help identify weaknesses before a third‑party auditor does. The SQF Code provides specific audit checklists tailored to each sector. Using these checklists internally allows you to review every clause, evaluate compliance, and document findings. Identify trends such as recurring minor non‑conformities and implement corrective and preventive actions. For restaurants, internal checks may include verifying that temperature logs are completed, cleaning schedules are followed, and allergen controls are working effectively.

6. Document corrective actions and continuous improvement

SQF certification is not a one‑time event but a process of continuous improvement. Every non‑conformity should trigger a root cause analysis and corrective action. Document the issue, identify the cause, implement a fix, and verify that the fix prevents recurrence. Over time, analyze non‑conformities to spot systemic issues. A cycle of continuous improvement strengthens your food safety management system and increases the likelihood of achieving higher scores in future audits.

How KNOW Supports Your SQF Journey

Implementing SQF requires more than creating a binder of procedures; you need a system that ensures every task is completed, documented, and accessible for auditors.

KNOW is purpose-built to help operational teams in food businesses stay compliant, audit-ready, and efficient without the manual burden..

• Digital checklists and logbooks: Replace paper logs with mobile checklists for pre‑requisite programs, sanitation routines, temperature monitoring, and HACCP verification. Staff know exactly what to do, and managers have a complete record of compliance at their fingertips.
• Corrective action tracking: When audits or internal checks reveal non‑conformities, KNOW lets you assign corrective actions, set deadlines, and monitor progress until closure. This ensures minor issues don’t become major ones and keeps your audit score high.
• Training and knowledge management: Upload your SQF procedures, HACCP plans, and GMP training materials so that employees can access them on their smartphones. Track who has completed training and schedule refreshers to maintain competence.
• Audit readiness dashboard: KNOW provides real‑time visibility into task completion, equipment status, and outstanding corrective actions across all locations. Before an announced or unannounced audit, you can quickly see where you stand and address any gaps.
• Maintenance and incident management: Report equipment failures or facility issues with photos and videos, route them to the right team, and follow progress until resolution. Keeping equipment and facilities in good condition reduces the risk of non‑conformities.

By digitizing your operations, KNOW helps you integrate SQF principles into daily workflows, making certification less daunting and compliance more consistent.

Book your free demo to see how KNOW can streamline your SQF preparations and help you maintain a high audit score.

Final Thoughts

The Safe Quality Food program has become a cornerstone for food safety and quality assurance in the global supply chain. For restaurants and foodservice operators, understanding the SQF audit process and scoring system is valuable for two reasons: it informs supplier selection, and it provides a model for strengthening internal food safety programs. The SQF Code classifies non‑conformities as minor, major, or critical and uses a points‑based system to calculate a final score. Scores determine whether a site receives a rating of Excellent, Good, Complies, or Fails to Comply, and they drive audit frequency. By adopting SQF principles, such as formalizing prerequisite programs, implementing robust HACCP plans, conducting internal audits, and fostering a food safety culture, foodservice businesses can ensure safer operations and better manage risk.

Ultimately, whether or not you pursue SQF certification, embracing its rigorous standards can help protect public health, meet buyer specifications, and build a reputation for high‑quality and safe food. By focusing on continuous improvement and using structured scoring to evaluate compliance, restaurants can keep pace with evolving food safety requirements and stand out in a competitive market.

Frequently Asked Questions

1. What is the difference between SQF and other certifications like BRCGS or FSSC 22000?

While all three schemes are benchmarked to GFSI and focus on food safety, SQF uniquely offers an optional Quality Code to address product quality attributes. The scoring system is transparent, using point deductions for minor, major, and critical non‑conformities.

2. How long does SQF certification last?

Certification is typically valid for 12 months, with re‑certification audits required annually for Excellent and Good ratings. Sites with a Complies rating must undergo a surveillance audit after six months. At least one audit every three years must be unannounced.

3. What happens if my audit score is below 70?

A score below 70 results in an F rating, meaning the site fails to comply. No certificate is issued, and the site must correct the issues identified and undergo a re‑audit before certification can be granted.

4. Is SQF certification necessary for restaurants?

SQF certification is not typically pursued by individual restaurants, but many distributors and manufacturers supplying restaurants are certified. Restaurants benefit by understanding the program’s principles when selecting suppliers and by applying its rigorous standards to their own food safety practices.

5. Can a business choose only the Quality Code?

The Quality Code is designed to be an extension of the Food Safety Code. A site must be certified to the relevant Food Safety Code or an equivalent GFSI program before obtaining Quality certification.