How to close out audit findings on time
A day-by-day plan from the closing meeting to accepted evidence, plus what certification bodies reject and how to stop the same finding coming back.
4 min read
You usually have about four weeks: SQF Edition 9 gives 30 calendar days to close minor and major findings, and BRCGS generally gives 28 days to submit corrective action evidence. For each finding, contain the problem, find the root cause, fix the cause, and send evidence that the fix worked. Start in the first week. Most late close-outs come from leaving the root cause until the last few days.
A four-week close-out plan
Based on a 28 to 30-day deadline. Confirm your exact dates with your certification body at the closing meeting.
Closing meeting
Write down every finding, its grade, the clause, and the deadline. If you don’t understand a finding, ask now; it’s much harder later.
Contain and assign
Deal with anything affecting product today. Log every finding in your corrective action register with an owner and a due date well before the deadline.
Find the root cause
Ask why until you reach something you can change: a procedure, a schedule, a resource, a training gap. Check whether the same gap exists elsewhere on site.
Fix the cause
Change the procedure, retrain against the new version, repair the equipment, update the form. Keep the old and new versions.
Collect the evidence
Photos, revised documents, training records, and a run of records showing the fix working since you made it.
Submit, with a buffer
Send it a few days early. If the certification body asks for more, you still have time to respond before the deadline.
A worked 5 Whys example
Finding: two CCP cooking records in March weren’t verified by a second person.
- Why? The supervisor who verifies them was on leave.
- Why did nobody cover? No one else was named as a back-up verifier.
- Why not? The procedure names one person, not a role with a deputy.
- Root cause: the verification procedure has no cover arrangement.
- Fix: name a deputy, train them, update the procedure, and check every other procedure that depends on one person.
Notice the fix isn’t “remind the supervisor”. “Retrained staff” or “human error” on their own rarely satisfy an auditor.
Evidence that gets accepted, and evidence that doesn’t
| Type of finding | Evidence that usually works | Evidence that usually doesn’t |
|---|---|---|
| Missing or incomplete records | Revised form or process, plus completed records since the fix | The missing records filled in after the audit |
| Procedure gap | Revised, approved procedure and training records against it | A draft with no approval or training |
| Facility or equipment issue | Dated photos of the repair and the maintenance record | A quote or a plan to fix it, with no temporary control |
| Supplier issue | Current certificate, updated approval and how expiries are now tracked | An email asking the supplier for a certificate |
| Training gap | Training records plus a competency check | A sign-in sheet on its own |
Can’t finish in time because the fix needs building work or new equipment? Under SQF Edition 9, extra time can be agreed for structural changes, provided you put temporary controls in place. Raise it with your certification body early. Source: SQF Food Safety Code, Edition 9 (section 9.4); BRCGS 28-day guidance via GoAudits.
Stop the same finding coming back
Auditors usually start by checking last year’s findings. A repeat suggests the fix didn’t work, and it can be graded more seriously the second time.
- Add each closed finding to your internal audit schedule, and re-check it at three and six months.
- Trend your corrective actions monthly. Three small findings in the same area usually point to one bigger cause.
- Review open and closed findings at your management review.
Every finding tracked to evidence
EthicalHub’s corrective action workflow records the finding, root cause, owner, due date and evidence, and flags actions before they go overdue. Your consultant can review and sign off remotely, and the closed actions go straight into your audit pack for next year’s auditor.
See the corrective action workflow
A walkthrough using a finding from your last audit.
Closing out findings: common questions
How long do I have to close out audit findings?
What happens if I miss the close-out deadline?
What is a root cause in a corrective action?
What evidence should I send to close a finding?
Close findings before they’re due.
See how EthicalHub tracks corrective actions from finding to evidence.