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What to ExpectWhen Youre Inspected:A Guide for Food Service Operators

Michael R. BloombergMayor

Thomas Farley, M.D., M.P.H.Commissioner

December 2010


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What to Expect When Youre Inspected:

A Guide for Food Service Operators

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2

Food Safety Requires Active Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2

Te Food Protection Course and Certificate . . . . . . . . . . . . . . . . . . . . . . . . . .2

Te Quality Improvement Food Protection Course and Certificate . . . . . . . .3

Te Inspection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3

Scored Violations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3

n Critical and General Violations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

n Condition Levels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Unscored Violations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4

Te Inspection Report and Notice of Violation . . . . . . . . . . . . . . . . . . . . . . .5

Closings and Re-openings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5

Restaurant Inspection Website . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Grading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6

Every Restaurant Can Achieve an A. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7

Food Service Establishment Inspection Scoring Parameters:A Guide to Conditions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8

Critical Violations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8

General Violations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .19

Self-Inspection Worksheet for Food Service Establishments

Special foldout section after page 12


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NYC DOHMH A Guide for Food Service Operators2

Introduction

he New York City Department of Health and Mental Hygiene (Health Department) inspectsapproximately 26,000 food service establishments (sometimes called restaurants here) eachyear to monitor their compliance with city and state food safety regulations. Tis guide reviews

the inspection process, provides information on the restaurant grading program, and includes theFood Service Establishment Self-Inspection Worksheet(after page 12)and Food Service EstablishmentInspection Scoring Parameters: A Guide to Conditions (page 8).

All food workers, including wait staff, should know how to prepare and handle food safely, to prevent food-related illnesses. Owners and managers should study this guide, share it with their employees, and use theSelf-Inspection Worksheet (after page 14) to regularly check their restaurants physical and environmentalconditions and their employees food-handling practices.

Te regulations governing these Health Department inspections are in the Rules of the City of New York,itle 24, Chapter 23, titled Food Service Establishment Inspection Procedures.

Food Safety Requires Active ManagementOperators who monitor their sanitary practices daily and correct violations on their own are more likelyto do well on inspections. Te Health Department encourages all operators to take advantage of its onlineresources and classroom courses to learn how to practice food safety and conduct self-inspectionsto manage and avoid Health Code violations.

The Food Protection Course and Certificateo promote active management, the Health Code requires food service establishments to have a supervisorof food operations with a Food Protection Certificate on duty during all hours of operation to supervisefood preparation and processing. o avoid gaps in supervision, the Health Department recommends thatrestaurants have more than one staff person with a Food Protection Certificate.

Individuals can earn a Certificate by taking and passing the HealthDepartments food protection course, which trains operatorsin food safety and regulatory requirements. Classes are offeredin multiple languages at the departments Health Academy andonline in English, Chinese and Spanish (nyc.gov/html/doh/html/hany/hanyfood-online.shtml). Te Academy course runs over fivehalf days, Monday through Friday, with an exam held on the lastday. Te online course can be taken at any time, but the final exammust be taken at the Health Academy. Department-approved foodprotection classes are also offered by the City University of New

York and the New York State Restaurant Association. Supervisorswho have passed one of these classes are eligible to earn a certificateafter taking an abbreviated course at the Health Academy andpassing a test.

What to Expect When Youre Inspected:

A Guide for Food Service Operators

nyc.gov/html/doh/html/hany/hanyfood-online.shtml


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NYC DOHMH A Guide for Food Service Operators 3

Quality Improvement Food Protection Course and Certificate

Anyone with a Food Protection Certificate is eligible to enroll in the advanced Quality Improvement FoodProtection Course, which teaches managers how to improve management and identify critical controlpointssteps during the food handling and preparation process when safety hazards can be prevented,eliminated or reduced. Te course provides hands-on instruction and practical quality-control information.

opics include how to:n Recognize and correct food safety violations

n Keep potentially hazardous food safe

n Develop a maintenance and cleaning schedule

n Maintain proper personal hygiene practices

n rain employees effectively

Te course consists of two four-hour sessions held on consecutive days and one follow-up session heldabout a week later. At the first session, each participant receives a tool kit for designing and implementing aquality improvement plan tailored to his/her individual establishment. Te course and the implementation

of a quality improvement plan a week later provide the support food service establishments need to achieveand maintain the highest standards in food safety.

The Inspection

Every food service establishment in New York City receives anunannounced, onsite inspection at least once a year to check if it ismeeting Health Code food safety requirements. Te inspector mayvisit anytime the restaurant is receiving or preparing food or drink,or is open to the public.

Health Department inspectors hold bachelors degrees withsignificant coursework in science. All inspectors undergo months ofintense public health and communications instruction before theyconduct an inspection on their own. Tey are taught to identify andexplain to operators what hazards contribute to food-borne illnessesand to document these accurately in an inspection report.

It is a crime to offeror for the inspector to demandmoney, gifts, or services of any kind. Legal actionwill be taken against anyone who offers or accepts a bribe. o report a bribe, or attempted bribe, call theInspector Generals office at (212) 825-2141.

Scored Violations

Te inspector records observed violations in a handheld computer during the inspection. Each violation is

associated with a range of points depending on the type and extent of the violation, and the risk it posesto the public. At the end of the inspection, the points are added together for an inspection score. Lowerinspection scores indicate better compliance with the Health Code.


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4

Critical and General Violations

Health Code violations are classified as critical or general (see theSelf-Inspection Worksheet for Food Service Establishments after page 12).Critical violations are more likely than general ones to contributeto food-borne illnesses because they may be a substantial risk to the

publics health. Critical violations are given more points than generalviolations. Failing to cook food to required temperatures is a criticalviolation, while failing to provide an accurate thermometer in arefrigerator is a general violation.

Public health hazards are critical violations that pose an immediatehealth threat. Due to their serious nature, they carry the most points.If an establishment does not correct a public health hazard before theend of the inspection, the Health Department may close it immediately.

Pre-permit serious items are critical violations in the design of an establishment, such as improper sewagedisposal or lack of a hand-washing facility near the food preparation area. Te Health Department will notissue a permit if the establishment has one of these conditions. Tese violations must be corrected before the

restaurant opens, or immediately if the establishment is already open to the public. Because these violationsare critical to safe design and operation of the food service establishment, they carry the most points.

Condition Levels

Te number of points an establishment receives for a critical or general violation depends on its conditionlevel, meaning the extent and frequency of the violation. Every condition level is determined by a specificset of parameters (see Page 8, Food Service Establishment Inspection Scoring Parameters A Guide to

Conditions). Some violations have more condition levels and parameters than others. Conditions range fromLevel I, which carries the fewest points, to Level V, which carries the most points. For example, the presenceof one contaminated food item would constitute a Condition Level I violation and would generate the

fewest critical violation points. Four or more different contaminatedfood items would be a Condition Level IV violation, and

the operator would be assessed more violationpoints. Condition Level V, in most instances,

is used to score public health hazardsthat are not corrected at the time of the

inspection and is usually assigned 28points.

Unscored Violations

Some cited violations may result in aNotice of Violation, fine and/or follow-up

inspection, but are not counted toward theinspection score (see the Self-Inspection Worksheet

for Food Service Establishments after page 12).

4 NYC DOHMH A Guide for Food Service Operators

Critical and general violations are listed in theSelf-Inspection Worksheetincluded inthis booklet. Public health hazards are marked with an asterisk (*) and pre-permitserious violations are marked with a plus sign (+).

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The Inspection Report and Notice of Violation

At the end of the inspection, the inspector will:

n Review the results of the sanitary inspection with the operator, explain violations and suggest ways tocorrect them and improve food safety. Cited violations should be corrected as soon as possible, and theestablishment should take steps to prevent them from recurring.

n Issue a printed Inspection Report that states what the inspector observed, the violation points and theinspection score.

n Issue a Notice of Violation if a critical violation was cited, the score was 14 or more points in generalviolations, or if an unscored violation was cited. Tis notice is signed by the inspector and the foodservice operator.

n Provide the date when the Notice of Violation will be heard by a hearing examiner at the DepartmentsAdministrative ribunal. Te back of the Notice of Violation includes contact information for theribunal, a description of the hearing process and information about settlement and hearing by mail.Fines are determined at the ribunal. Tey range from $200 to $2,000 per violation and may be higherfor repeated violations.

Closings and Re-openings

Te Health Department may order a restaurant to temporarily close to correct a public health hazard thatcannot be corrected before the end of an inspection or when the restaurant is operating without a valid

permit. A restaurant may also be closed if it scores 28 or more points on three consecutive inspections. Priorto closure, an inspector will contact a supervisor, who will determine whether to order the establishmentclosed. If it is closed, Health Department closure signs must be immediately posted in the window(s)and/or door(s), all operations must cease, and the restaurant must remain closed for business until it isauthorized by the Health Department to reopen. Te Department will monitor the establishment toensure it remains closed and issues additional violations for not complying with the closing order.

o reopen, the establishment must submit a written statement to the Health Department indicating that ithas corrected all the violations that led to its being closed. Te operator may be asked to attend an informalmeeting with Health Department supervisors. If it appears that sanitary conditions have improved, aninspector will conduct a reopening inspection while the establishment remains closed to the public. HealthDepartment supervisors will determine whether it may reopen.

After re-opening, the establishment will be inspected for compliance with the Health Code. If it is insufficient compliance, it may remain open and will be inspected again in about three months. Repeatedviolations may prompt the Health Department to initiate procedures for the revocation or suspensionof the operators permit at a hearing before the New York City Office of Administrative rials andHearings. Tis may result in the establishment being closed for a longer period of time, or permanently.

Use the Self-Inspection Worksheetand Guide to Conditionsin this booklet to conductregular self-inspections. Tese worksheets provide examples of the violations inspectorslook for and the points they assign for each. By regularly identifying and immediatelycorrecting violations in your establishment, you not only protect your customers butimprove your chances of a successful inspection.

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Restaurant Inspection Website

Consumers may check an establishments inspection history. Restaurant scores, grades and the detailsof inspection results are available on the Health Departments searchable restaurant inspection websiteat nyc.gov/health/restaurant.

GradingAs of July 2010, certain types of food service establishmentsincluding restaurants, coffee shops,bars, nightclubs, and most cafeterias and fixed-site food standsmust post letter grades that correspond totheir sanitary inspection scores. A score of 0-13 results in a grade of A; 14-27 points, a B; and 28 or morepoints, a C.

Letter grades are not issued to mobile food vending units, temporary food service establishments, foodservice establishments operated by primary or secondary schools, hospital-operated cafeterias, correctionalfacilities, charitable organizations (including soup kitchens or other prepared food distribution programs)or food service establishments operated by not-for-profit membership organizations that serve food only totheir members.

Only certain inspections result in a grade. Every food serviceestablishment is scheduled for at least one inspection per year. Arestaurant that scores 0 to 13 violation points on its first inspection

will receive an A-grade card that must be posted immediately.

An establishment that does not score an A on its initial inspectionwill not have to post a grade until it has had the opportunity to

improve its sanitary conditions and is re-inspected. If an A is issuedon re-inspection, the A grade card must be posted immediately. Anestablishment receiving a B or C grade on re-inspection receivestwo cards: one showing the letter grade and one that says GradePending; one of those cards must be posted immediately. Te finalgrade is determined at the Administrative ribunal.

Te frequency of inspections depends on a restaurants score.Restaurants with A grades are inspected less often than those

with B or C grades. Frequent inspections of poorer-performingestablishments enable the Health Department to closely monitortheir food safety practices, while giving them more opportunitiesto improve their grades.

Te letter grade or Grade Pending card must be posted in a placewhere it is easily seen by people passing by. It must be on the frontwindow, door or an outside-facing wall. Te card must be withinfive feet from the front door or other entrance, and within six feetfrom the ground or floor.

For additional information on grading and the schedule of how often food establishments are inspected,visit nyc.gov/html/doh/html/rii/foodservice.shtml.

Restaurants with A grades are inspected less often than those with B or C grades.Score 0 to 13 points = A; Score 14 to 27 points = B; Score 28 or more points = C

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NYC DOHMH A Guide for Food Service Operators

SANITARY INSPECTION GRADE

SANITARY INSPECTION GRADE


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EVERY RESTAURANT CAN ACHIEVE ANAvoid Common Sanitary ViolationsFollow the steps below to practice A-grade food safetyand keep your customers safe from food-borne illness.

Avoid the most commonly cited violations and improveyour chances to achieve an A.

Be sure employees are trained in basic foodsafety and supervised by someone who has

a food protection certificate.n Arrange work schedules so that a supervisor with a food

protection certificate is on duty whenever your restaurantis receiving or preparing food, or is open to the public.

n rain supervisors to use the Self-Inspection Worksheet toregularly evaluate and improve the restaurants conditionand employees food safety practices.

n Provide food safety training for all employees whohandle food.

Hold food at the proper temperature.

n Review Health Department rules for temperature-holding requirements.

n Be sure equipment used to hold hot and cold foodis working properly.

n Use thermometers to monitor the temperature of foodsin hot or cold storage.

n rack food taken from hot or cold storage, and record

how long it is out.

Control conditions that promote pests.n Seal all cracks, crevices and holes in walls, cabinets and doors

to prevent rodents, cockroaches and flies from entering.n Install rodent-proof door sweeps on outside doors.

n Store food and garbage in pest-proof containers.

n Clean grease, oil and food particles from all surfacesand equipment, including the floor underneath.

n Keep range hoods clean and grease-free.

n Contract with a pest control professional licensed to workin restaurants.

Protect food from contamination during storage,preparation, transportation and display.n Keep food covered until served.

n Keep food separated by temperature and type.Avoid cross-contamination by separating potentiallyhazardous foods (like raw poultry) from ready-to-eat

items (like salad mix).

Maintain all food surfaces.n Clean and sanitize all food-preparation surfaces after

each use; remove caked-on food.

n Repair or replace deeply-grooved cutting boardsand chipped or broken surfaces so they can be

properly sanitized.

Maintain all non-food surfaces.n Review Health Department rules on acceptable

materials; surfaces should be smooth and cleanable.

n Keep all surfaces clean.

Maintain all plumbing and check it frequently.n Monitor all plumbing fixtures and make needed

repairs immediately.

n Be sure plumbing is fitted with approved devices(valves, anti-siphonage pieces, vacuum breakers)to prevent backflow.

n Clean and maintain grease traps.

Michael R. BloombergMayor

Thomas Farley, M.D., M.P.H.Commissioner


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NYCDOHMHAGuideforFoodServiceOperators

23

* Public Health Hazards (PHH) must be corrected immediately + Pre-permit Serious (PPS) Violations

FOOD SERVICE ESTABLISHMENT INSPECTION SCORING PARAMETERS: A GUIDE

GENERAL VIOLATIONS

VIOLATION CONDITION I CONDITION II CONDITION III CONDIT

10I Single service itemreused, improperlystored, dispensed ornot used when required.

Single service item reused,improperly stored, dispensedor not used when required.

Example:drinking

straws not protected fromcontamination.


Example:drinking straws not

properly dispensed and paperplates not protected fromcontamination.


Example:drinking straws

not properly dispensed,paper plates not protectedfrom contamination andforks not protected fromcontamination.

Single service itimproperly storor not used whe

Example:drink

not properly dispaper plates notfrom contaminaforks not proteccontamination forks reused.

10J Wash hands signnot posted at hand-wash facility.

Wash hands sign not postedat hand-wash facility.

99B General other. Inspector must call office to discuss corrective action, enforcement measures or appr


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New York City Department of Health and Mental HygieneBureau of Food Safety and Community Sanitation

253 Broadway, 13th Floor, CN-59A

New York, NY 10007

Michael R. Bloomberg

Mayor

Tomas Farley, M.D., M.P.H.

Commissioner of Health and Mental Hygiene

Daniel Kass, M.S.P.H.

Deputy Commissioner, Division of Environmental Health

Bureau of Food Safety and Community Sanitation Contact Information

Phone: (212) 676-1600

Fax: (212) 676-1666

Web: www.nyc.gov/health

Elliott S. Marcus

Associate Commissioner

Robert Edman

Assistant Commissioner

Michelle Robinson

Deputy Executive Director, Program Planning and Policy

Copyright 2010

Published by the New York City Department of Health and Mental Hygiene

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