Food Service Processing
Resume:
CHAPTER **
FOOD SERVICE ESTABLISHMENT INSPECTION PROCEDURES
§23-01 Definitions and construction of words and terms.
§23-02 Scoring of sanitary inspections.
§23-03 Letter grading.
§23-04 Intervals between inspection cycles.
§23-05 Notices of violation and penalties for sustained violations.
§23-06 Revocation or suspension of permits.
§23-07 Posting letter grades.
§23-08 Effect of other laws and construction.
§23-09 Submitting proof of correction for eligible first-time violations.
§23-10 Acceptance of proof of correction for eligible first-time violations. Appendix 23-A: Food Service Establishment & Non-Retail Food Processing Establishment- Inspection Worksheet
Appendix 23-B: Food Service Establishment Inspection Scoring Parameters - A Guide To Conditions
Appendix 23-C: Food Service Establishment And Non-Retail Food Processing Establishment Penalty Schedule - Scored Violations Appendix 23-C: Food Service Establishment And Non-Retail Food Processing Establishment Penalty Schedule - Unscored Violations
§23-01 Definitions and construction of words and terms. Compliance inspection shall mean an inspection not for the purposes of grading conducted within a cycle.
Condition level shall mean the value (I, II, III, IV or V) based on the number, magnitude or pervasiveness of occurrences, or the seriousness of risk presented by a violation.
Critical violations shall mean the violations of the Health Code or other applicable law listed under the classification critical violations in Appendix 23-A of these rules. Cure means that the respondent has submitted proof of having corrected a first-time violation and the Department has accepted such proof. First-time violation means a violation of law, identified in Appendix 23-C of this Chapter, committed by a respondent for the first time and cited on a summons that either is pending or has not been adjudicated by OATH as defaulted or sustained. Food service establishment or establishment shall have the same meaning as the definition in § 81.03 of the Health Code, except that it shall not include mobile food vending units.
General violations shall mean violations listed under the classification "general violations" in Appendix A and Appendix B of this Chapter. Grade card shall mean the card containing the letter grade associated with the score for an inspection.
2
Grade pending card shall mean the card issued by the Department to an establishment indicating that an establishment's grade for the current cycle is in the process of being determined.
Health Tribunal means the Health Tribunal at OATH, the adjudicatory body established by §558 of the New York City Charter, formerly known as the Department’s Administrative Tribunal, whose operation was transferred to OATH by Executive Order No.148, effective July 3, 2011.
Initial inspection shall mean the first sanitary inspection within an inspection cycle. Inspection cycle shall mean a series of related inspections consisting of at least an initial inspection and including, if triggered by the initial or any subsequent inspections within that cycle, a reinspection and any compliance inspections conducted by the Department because of a previous inspection score in that cycle. Notice of violation means the document issued by the Department to a respondent that specifies the charges forming the basis of an adjudicatory proceeding at the Health Tribunal and seeks a monetary penalty.
OATH shall mean the Office of Administrative Trials and Hearings of the City of New York.
Operating or in operation shall mean that a food service establishment is receiving, preparing, storing or serving food or that the establishment is open to the public. Pre-permit inspection shall mean a sanitary inspection conducted prior to permit approval to determine compliance of a food service establishment with the Health Code and other applicable law, regardless of whether the establishment is in operation. Pre-permit serious item is a violation, identified in Appendix 23-A of this Chapter by a plus sign that shall be corrected prior to approval of the permit. Public health hazards are critical violations or conditions that are known to contribute directly to food-borne illness or disease, identified with an asterisk in Appendix 23-A of this Chapter, and which include, but are not limited to, imminent health hazards defined in Article 81 of the Health Code and Part 14 of the State Sanitary Code. Reinspection shall mean a sanitary inspection conducted for the purpose of grading following receipt of a score of 14 or more points on an initial inspection. Re-opening inspection shall mean the pre-operational inspection conducted after the Department closes an establishment to determine whether conditions leading to the closing have been corrected.
Sanitary inspection shall mean any on-site review by the Department of a food service establishment's physical facilities, food handling operations, equipment, sanitary condition, maintenance and worker hygiene practices. The term may but shall not be limited to include initial, reinspection, compliance and pre-permit inspections. Summons means a document, including a notice of violation, issued by the Department to a respondent, that specifies the charges forming the basis of an adjudicatory proceeding at OATH.
§23-02 Scoring of sanitary inspections.
The Department shall when conducting a sanitary inspection assess points only for those violations, violation conditions and condition levels listed in Appendix 23-A (Food Service Establishment Sanitary Inspection Scoring Worksheet) and Appendix 23-B (Food Service Establishment Sanitary Inspection Scoring Parameters--A Guide to Conditions) 3
to this Chapter. Terms used in these appendices shall have the same meaning as their definitions in Article 81 of the Health Code.
§23-03 Letter grading.
(a) The Department, whenever practicable and subject to §23-04, shall conduct an inspection cycle at least annually at each food service establishment required by §81.51 of the Health Code to post a letter grade for the purpose of issuing such establishment a grade that identifies and represents that establishment's compliance with those laws and regulations that require it to operate in a sanitary manner so as to protect public health. Based on the results of either the initial inspection or reinspection in a cycle, an establishment shall in accordance with these rules be issued a letter grade of either "A," "B," or "C" for that cycle, except that an establishment shall not receive any grade if the Department orders that it be closed.
(b) The Department shall issue a letter grade of "A" to any establishment that receives fewer than 14 points on either the initial inspection or reinspection in a cycle.
(c) The Department shall not issue a letter grade to any establishment receiving 14 or more points on an initial inspection, but shall schedule a reinspection to occur no sooner than 7 days after the initial inspection. The Department shall on the reinspection issue a letter grade of "B" to any establishment receiving 14-27 points and a letter grade of "C" to any establishment receiving 28 or more points.
(d) The Department in any cycle may, in addition to conducting an initial and any reinspection for the purpose of issuing an establishment a letter grade, also conduct a compliance inspection after any inspection that results in a score of 28 points or more. The score received on any compliance inspection shall not change an establishment's letter grade for that cycle.
§23-04 Intervals between inspection cycles.
(a) A food service establishment shall post its letter grade until the Department issues it a new letter grade card or until a "grade pending" card is required to be posted in the establishment's next inspection cycle. The Department shall not wait one year to schedule the next inspection cycle for any establishment that receives 14 or more points on its initial inspection, but instead the interval of time between the final inspection in such cycle and the initial inspection in the establishment's next cycle shall be determined by the higher score from either its initial inspection or its reinspection:
(1) An initial inspection commencing a new cycle shall be conducted 150 to 210 days after the reinspection at an establishment that receives a score of 14 to 27 points on an initial inspection or reinspection and does not score 28 or more points on either of these inspections.
(2) An initial inspection commencing a new cycle shall be conducted 90 to 150 days after the final inspection of the cycle at an establishment that receives a score of 28 or more points on its initial inspection or reinspection.
(3) An initial inspection commencing a new cycle shall be conducted within 60 to 120 days of reopening for an establishment that is authorized by the Department to reopen following a Department closure that occurs on an initial or reinspection of that establishment.
(b) Notwithstanding any other provision of this Chapter to the contrary, in circumstances when the Department believes there is an increased risk to public health, nothing in 4
this section shall prohibit the Department from inspecting an establishment and treating that inspection as the initial inspection in a new cycle. Such circumstances include, but are not limited to, an establishment having a history of Department closure(s), being the subject of complaints of unsanitary conditions, or being compromised following an environmental emergency.
§23-05 Notices of violation and penalties for sustained violations.
(a) The Department shall issue a notice of violation whenever a food service establishment is cited on any sanitary inspection for one or more critical violations or accumulates 14 or more points, regardless of whether any critical violations are cited on such inspection.
(b) All violations shall be recorded and/or cited individually on inspection reports and notices of violation.
(c) A Health Tribunal hearing examiner must impose the penalty set forth in Appendix C for any sustained violation.
§23-06 Revocation or suspension of permits.
(a) Findings of serious and persistent violations or uncorrected public health hazards on any sanitary inspection may provide the basis for commencement of a proceeding to revoke or suspend a permit pursuant to Article 5 of the Health Code.
(b) The Department shall post signs on any establishment that it orders closed indicating that such establishment is not open to the public and shall remove any posted grade- related card.
(c) Prior to authorizing any closed establishment being allowed to re-open, the Department shall conduct a re-opening inspection. The Department may conduct as many inspections as it deems necessary to determine whether the establishment is in compliance with applicable law and may be reopened for operation.
(d) If an establishment that is required by §81.51 of the Health Code to post a letter grade is closed and then allowed to re-open, upon re-opening, the grade card that had been posted by the establishment before the closure will be posted again, except that where the closure occurred on the establishment's initial inspection, a "grade pending" card shall be posted, and any grade card previously posted shall be removed, and where the closure occurred on a reinspection a "grade pending" card or the letter grade card corresponding to the score on the reinspection shall be posted.
§23-07 Posting letter grades.
(a) The Department shall at the time of inspection provide any establishment required by
§81.51 of the Health Code to post a letter grade that receives a score of 13 or less on an initial or reinspection with a grade card displaying the letter grade "A," which shall be posted immediately by the establishment.
(b) If an establishment required by §81.51 of the Health Code to post a letter grade receives a score of 14 or more points on an initial inspection, and is not closed by the Department, it shall continue to post its grade card from the prior cycle until its reinspection. If the establishment has been issued no prior grade card, it shall have no posting until its reinspection.
5
(c) If an establishment required by §81.51 of the Health Code to post a letter grade receives a score of 14 or more points on the reinspection, and is not closed by the Department, the Department shall provide the establishment with a "grade pending" card and a grade card displaying the letter grade that corresponds with its inspection score at the reinspection. The establishment shall immediately post either the grade card or the "grade pending" card. If the establishment elects to post the "grade pending" card, it may only do so until it has had an opportunity to be heard at the Health Tribunal pursuant to subdivision (d) of this section and §81.51 of the Health Code.
(d) Effect of adjudication at the Health Tribunal on grading of establishments required by §81.51 of the Health Code to post letter grades:
(1) If the establishment appears personally at the Health Tribunal and as a result of such proceeding the score received on a reinspection does not change the grade, the establishment shall immediately upon receipt of the notice of decision remove any posted "grade pending" card and post the grade card provided by the Department at such inspection.
(2) Subject to the provisions of paragraph (3) of this subdivision, if the establishment does not appear at the Health Tribunal on or before the scheduled hearing date, the establishment shall, on the date of the hearing, post the letter grade card provided by the Department at the reinspection.
(3) If the establishment appears at the Health Tribunal on the scheduled date, but the hearing is unable to proceed for any reason, or if the establishment makes a timely request for an adjournment and such adjournment is granted, the establishment may continue to post the "grade pending" card and defer posting the letter grade card until the adjourned hearing date. In no event shall an establishment fail to post the grade card after the adjourned hearing date if the establishment is not able to proceed on such date.
(4) If the establishment appears at the Health Tribunal and as a result of such proceeding the score received for the reinspection changes in a way that results in a change of grade, the Department shall provide the establishment with a new letter grade card that shall be promptly posted by the establishment in place of any other letter grade card or "grade pending" card.
(5) If the establishment receives notice of decision by mail, the establishment shall immediately upon receipt of the notice of decision remove any grade pending card and post the grade card provided with the notice of decision, if any. If no new grade card is issued with the notice of decision, the establishment shall immediately post the grade card issued by the Department at the reinspection.
(6) When an establishment settles the notice of violation issued at the reinspection by mail, online, or in person, the establishment shall immediately upon settlement post the grade card issued by the Department at such reinspection.
(7) The disposition of any notice of violation at the Health Tribunal shall not affect any provision of this Chapter or other applicable law other than the issuance of a grade.
(e) An establishment required by §81.51 of the Health Code to post a letter grade shall shred or otherwise dispose of all non-current letter grade cards and "grade pending" cards in a manner that prevents reuse of the cards. 6
(f) The "grade pending" or letter grade card shall be posted in a conspicuous place where it is visible to passersby. The card shall be placed on the front window, door or exterior wall of an establishment required by §81.51 of the Health Code to post a letter grade. The card shall be within five feet of the front door or other opening to the establishment where customers enter from the street, at a vertical height no less than four feet and no more than six feet from the ground or floor. An establishment without a direct entrance from the street shall post the grade card or "grade pending" card at a place designated by the Department at its immediate point of entry so that it is clearly visible to passersby.
(g) Letter grade cards shall not be removed except when authorized by the Department.
§23-08 Effect of other laws and construction.
(a) These rules shall be read and enforced in accordance with all applicable provisions of law, including, but not limited to, the State Public Health Law and Sanitary Code, the New York City Health Code, and Title 17 of the Administrative Code of the City of New York.
(b) No provision herein shall limit the authority of the Department to conduct such other inspections or take any other action it deems necessary, to enforce any provision of law within the jurisdiction of the Department.
(c) If any provision of this Chapter is adjudged invalid by any court of competent jurisdiction, such judgment shall not affect or impair the validity of the remainder of this Chapter.
§23-09 Submitting proof of correction for eligible first-time violations.
(a) Submission of proof of correction must be in writing in a form approved or provided by the Department.
(b) The proof must be submitted to the Department electronically or in person within seven (7) calendar days of the date the violation was issued as recorded on the summons, except that the cure period of a first-time violation of Administrative Code
§ 17-504(f) is within thirty (30) days of the issuance of the notice of violation.
(c) Such proof must be affirmed by the permittee or their authorized representative that it is complete and accurate to the best of such person’s knowledge.
(d) Submission of any false statements in support of a proof of correction may be subject to penalties prescribed for violations of Health Code § 3.19 and other applicable law.
(e) A permittee whose first-time violation is pending at OATH for adjudication is not eligible to submit a proof of correction for a subsequent identical violation.
§23-10 Acceptance of proof of correction for eligible first-time violations.
(a) The Department must accept the proof of correction if it determines that the proof is adequately documented and submitted timely in accordance with §23-09 of this Chapter. Acceptance of proof of correction constitutes a cure and an admission of the violation for all purposes, except as provided in subdivision (b) of this section.
(b) A first-time violation whose proof of correction has been accepted by the Department will not be subject to a civil penalty.
7
(c) The determination of whether a violation is a first-time violation shall be based solely on the records of the Department.
(d) The Department may require further documentation in addition to the proof of correction and may inspect the establishment or take any other action as it deems necessary before acceptance or rejection of such proof.
(e) Nothing in this Chapter limits the authority of the Department to conduct other inspections or take any other action it deems necessary to enforce any provision of law within the jurisdiction of the Department.
1
APPENDIX 23-A:
FOOD SERVICE ESTABLISHMENT & NON-RETAIL FOOD PROCESSING ESTABLISHMENT INSPECTION WORKSHEET Critical Violations
Conditions
Score
I II III IV V
Time and Temperature Control for Safety (TCS) Food Temperature 2A* Food not cooked to required minimum internal temperature: Food Required Minimum Internal Temperature
at or above
Poultry, poultry parts, ground and comminuted
poultry, all stuffing containing poultry, meats,
fish or ratites
165 F for 15 seconds with no interruption of
the cooking process
Ground meat, and food containing ground and
comminuted meat
158 F with no interruption of the cooking
process, except per individual customer request
Pork, any food containing pork 150 F for 15 seconds Mechanically tenderized or injected meats 155 F
Whole meat roasts and beef steak Required temperature and time listed in 81.09(c)(3), except per individual customer
request
Raw animal foods cooked in microwave 165 F, covered, rotated or stirred for 2 minutes Shell eggs 145 F for 15 seconds, except per individual customer request
All other foods 140 F for 15 seconds
– – – 10 28
2B* Hot TCS food item not held at or above 140º F. 7 8 9 10 28 2C Hot TCS food item that has been cooked and cooled is being held for service without first being reheated to 165º F or above for 15 seconds within 2 hours. 5 6 7 8 – 2D Precooked TCS food in hermetically sealed and intact packages from commercial food processing and non-retail processing establishments not heated to 140º F within 2 hours. 5 6 7 8 – 2E Whole frozen poultry or poultry breasts, other than a single portion, cooked frozen or partially thawed. 5 6 – – –
2F Meat, fish, poultry, eggs or molluscan shellfish served or offered raw or undercooked without written consumer advisory.
5 – – – –
2G* Cold TCS food item held above 41ºF; smoked or processed fish held above 38 F; intact raw eggs held above 45 F; or reduced oxygen packaged (ROP) TCS foods held above required temperatures except during active necessary preparation. 7 8 9 10 28
2
2H* After cooking or removal from hot holding, TCS food not cooled by an approved method whereby the internal product temperature is reduced from 140º F to 70º F or less within 2 hours, and from 70º F to 41º F or less within 4 additional hours. 7 8 9 10 28
2I TCS food removed from cold holding or prepared from or combined with ingredients at room temperature not cooled by an approved method to 41º F or below within 4 additional hours.
5 6 7 8 –
2J* ROP TCS foods not cooled by an approved method as specified in approved HACCP plan.
7 8 9 10 28
Food Source
3A* Food from unapproved or unknown source or home canned or home prepared. Live animal slaughtered in establishment. ROP fish not frozen before processing; or ROP foods prepared on premises transported to another site.
– – – 10 28
3B* Shellfish not from approved source, not or improperly tagged/labeled; tags not retained for 90 days. – – – 10 28
3C* Unclean or cracked whole eggs or unpasteurized liquid, frozen or powdered eggs kept or used.
7 8 9 10 28
3D* Food packages, canned food, hermetically sealed containers swollen, leaking or rusted, or otherwise damaged, without “Do Not Use” label and not segregated from other consumable food items.
7 8 9 10 28
3E* No or inadequate potable water supply. Water or ice not potable or from unapproved source. Bottled water not NY State certified. Cross connection in potable water supply system.
– – – 10 28
3F* Unpasteurized milk or milk product (except certain aged cheese) served. – – – 10 28 3G Raw fruit or vegetables not properly washed prior to cutting or serving. 5 6 7 8 – 3I* Unpasteurized juice packaged and sealed on premises not labeled or label incomplete; no warning statement. – – – 10 28
Food Protection
4A Food Protection Certificate (FPC) not held by manager or supervisor of food operations. – – – – 10 4B* Food worker spits; prepares food or touches utensil when ill with a disease transmissible by food or has exposed infected cut or burn on hand. – – – 10 28 4C* Food worker does not use utensil or other barrier to eliminate bare hand contact with food that will not receive adequate additional heat treatment. 7 8 9 10 28 4D* Food worker does not wash hands thoroughly after using the toilet, coughing, sneezing, smoking, eating, preparing raw foods or otherwise contaminating hands or does not change gloves when gloves are contaminated.
– – – 10 28
4E* Toxic chemicals or pesticides improperly labeled, stored or used such that food contamination may occur. 7 8 9 10 28
3
4F* Food preparation area, food storage area, or other area used by employees or patrons, contaminated by sewage or liquid waste. – – – 10 28 4G* Unprotected TCS food re-served. – – – 10 28
4H* Raw, cooked or prepared food is adulterated, contaminated, cross-contaminated, or not discarded in accordance with HACCP plan. 7 8 9 10 28 4I Unprotected non-TCS food re-served. 5 6 7 8 –
4J Properly calibrated thermometer or thermocouple not provided or not readily accessible in food preparation and hot/cold holding areas to measure temperatures of TCS foods during cooking, cooling, reheating, and holding.
5 – – – –
4K Evidence of rats or live rats in establishment’s food or non-food areas. 5 6 7 8 28 4L Evidence of mice or live mice in establishment’s food or non-food areas. 5 6 7 8 28 4M Live roaches in establishment’s food or non-food areas. 5 6 7 8 28 4N Filth flies or food/refuse/sewage associated (FRSA) flies or other nuisance pests in establishment’s food and/or non-food areas. FRSA flies include house flies, blow flies, bottle flies, flesh flies, drain flies, Phorid flies and fruit flies. 5 6 7 8 28
4O Live animals other than fish in tank or service animal in establishment’s food or non-food areas. 5 6 7 8 –
4P Food containing a prohibited substance held, kept, offered, prepared, processed, packaged, or served. – – – 10 28
Facility Design and Construction
5A* Sewage disposal system not provided, improper, inadequate or unapproved. – – – 10 28 5B* Harmful, noxious gas or vapor detected. Carbon monoxide (CO) level at or exceeding nine (9) ppm. – – – 10 28
5C+ Food contact surface, refillable, reusable containers, or equipment improperly constructed placed or maintained. Unacceptable material used. Culinary sink or other acceptable method not provided for washing food.
7 8 9 10 28
5D+ No hand wash facility in or adjacent to toilet rooms or within 25 feet of food preparation or service or ware washing area; or hand wash facility not accessible, obstructed or used for non-hand washing purposes. No hot and cold running water or water at inadequate pressure. No soap or acceptable hand-drying device.
– – – 10 28
5E+ Toilet facility not provided for employees or for patrons when required. Shared patron- employee toilet accessed through kitchen, food prep or storage area or utensil washing area.
– – – 10 28
5F+ Inadequate or no refrigerated or hot holding equipment to maintain TCS foods at required temperatures. Outdoor refrigerator not locked, secured. – – – 10 28 4
5G+ Separate, enclosed, properly equipped and sized cleaning and service area not provided in mobile food commissary; street, sidewalk used for cleaning units. – – – 10 28 5H+ No facilities available to wash, rinse, and sanitize dishware, glassware, utensils, equipment or refillable returnable containers. No approved written standard operating procedure for avoiding contamination by refillable returnable containers.
– – – 10 28
5I+ Refrigeration used to implement HACCP plan for ROP foods not equipped with an electronic system that continuously monitors time and temperature. – – – 10 28 Food Worker Hygiene and Other Food Protection
6A Personal cleanliness inadequate. Outer garment soiled with possible contaminant. Effective hair restraint not worn when required. Jewelry worn on hands or arms: fingernail polish worn; or fingernails not kept clean and trimmed. 5 6 7 8 –
6B Tobacco or e-cigarette use, eating, or drinking from open container in food preparation or other area where food, equipment or utensils may be exposed to contamination. 5 6 7 8 – 6C Food, supplies, or equipment not protected from potential source of contamination during storage, preparation, transportation, display, service or from customer’s refillable, reusable container.
5 6 7 8 _
6D Food contact surface not properly washed, rinsed and sanitized after any activity where contamination may have occurred. 5 6 7 8 –
6E Sanitized equipment or utensil, including in-use food dispensing utensil, improperly used or stored. 5 6 7 8 –
6F Wiping cloths soiled or not stored in sanitizing solution; inadequately sanitized. 5 6 7 – – 6G* HACCP plan not approved or approved HACCP plan not maintained on premises. – – – 10 28 6H Records and logs not maintained to show that approved HACCP plan has been properly implemented. – – – – 28
6I ROP TCS food not labeled in accordance with approved HACCP plan. – – – 10 28 6J Refillable, reusable beverage container filled with TCS foods. 5 6 7 8 – Other Criticals
7A Duties of an officer of the Department interfered with or obstructed. – – – – 28 Critical Violations Total:
5
General Violations
Conditions Score
I II III IV V
Garbage, Waste Disposal and Pest Management
8A Harborage or conditions conducive to attracting pests to the premises and/or allowing pests to exist when pests or signs of pests are present.
– – 4 5 –
8B Garbage receptacles not pest or water resistant, or covered with tight-fitting lids, except while in active use. Garbage receptacles and covers not cleaned after emptying and prior to reuse.
2 – – – –
8C Pesticide use not in accordance with label or applicable laws. Pesticides, other toxic chemicals improperly used/stored. Unprotected, unlocked bait station used. 2 3 4 5 28 Food Protection
9A Cans of food with dented body damage not segregated from other cans for return to distributor.
2 3 4 5 –
9B Thawing procedures improper. 2 3 4 5 –
9C Food contact surface chipped, cracked, worn, or in a condition where it cannot be properly maintained or cleaned. 2 3 4 5 –
9D Food service operation occurring in room or area used as living or sleeping quarters. 2 3 4 5 – 9E “Wash hands” sign not posted at hand wash facility. 2 – – – – Facility Maintenance
10A Toilet facility not maintained or provided with toilet paper, waste receptacle or self-closing door.
2 3 4 5 –
10B Back-siphonage or back-flow prevention device not provided where required; equipment or floor not properly drained; sewage disposal system in disrepair or not functioning properly. Condensation or liquid waste improperly disposed of. 2 3 4 5 28
Contact this candidate