Draft Voluntary National
Retail Food Regulatory Program Standards

Appendix A - Supplement to Standard No. 1 - Regulatory Foundation

Part I | Part II | Part III | Part IV

See instructions at end of each Table

PART I

Table A-1 Major Interventions and Risk Factors

Major Intervention and Risk Factors
Section 1. Demonstration of Knowledge
Code Section
2-101.11	Assignment
2-102.11	Demonstration
2-103.11	Person in Charge
Section 2. Employee Health
Code Section
2-201.11	Responsibility of PIC to Require Reporting by Food Employees/Applicants
2-201.12	Exclusions and Restrictions
2-201.14	Responsibility of a Food Employee or an Applicant to Report to the PIC
2-201.15	Reporting by the Person in Charge
Section 3. Consumer Advisory
Code Section
3-603.11	Consumer Advisory (Consumption of Animal Foods that are Raw, Undercooked, or Not Otherwise Processed to Eliminate Pathogens)
Section 4. Approved Source
Code Section	All Food from regulated food processing plants / no home prepared or canned foods
3-201.11	Compliance with Food Law
3-201.12	Food in a Hermetically Sealed Container
3-201.13	Fluid Milk and Milk Products
3-202.13	Shell Eggs
3-202.14	Eggs and Milk Products, Pasteurized
5-101.13	Bottled Drinking Water
Code Section	All shellfish from NSSP listed sources / no recreationally caught shellfish received or sold
3-201.14	Fish
3-201.15	Molluscan Shellfish
Code Section	Game and wild mushrooms approved by regulatory authority
3-201.16	Wild Mushrooms
3-201.17	Game Animals
Code Section	Received at proper temperatures / protected from contamination during transport and receiving / safe and unadulterated food
3-202.11	Temperature
3-202.15	Package Integrity
3-101.11	Safe, Unadulterated, and Honestly Presented
Code Section	Shellstock tags retained for 90 days from the date the container is emptied
3-202.18	Shellstock Identification
3-203.12	Shellstock, Maintaining Identification
Code Section	Written documentation of parasite destruction
3-402.11	Parasite Destruction
3-402.12	Records, Creation, and Retention
Code Section	CCP monitoring records maintained in accordance with HACCP plan
3-502.12	Variance Requirement
Section 5. Time/Temperature
Code Section
3-401.11	Cooking; Raw animal Foods
3-401.12	Microwave Cooking
3-403.11	Reheating for Hot Holding
3-501.14	Cooling*
3-501.16	Potentially Hazardous Food, Hot and Cold Holding
3-501.17	Ready-to-Eat, Potentially Hazardous Food, Date Marking
3-501.18	Ready-to-Eat, Potentially Hazardous Food, Disposition
3-501.19	Time as a Public Health Control*
Section 6. Protection from Contamination
Code Section
3-302.11	Packaged/Unpackaged Food - Separation, Packaging, and Segregation
3-304.11	Food contact with Equipment and Utensils
3-306.14	Returned Food and Reservice of Food
3-701.11	Discarding/ Reconditioning Unsafe, Adulterated, or Contaminated Food
4-501.111	Manual Warewashing Equipment, Hot Water Sanitization Temperatures
4-501.112	Mechanical Warewashing Equipment, Hot Water Sanitization Temperatures
4-501.113	Mechanical Warewashing Equipment, Sanitization Pressure
4-501.114	Chemical Sanitization - Temperature, pH, Concentration, and Hardness
4-501.115	Manual Warewashing Equipment, Chemical Sanitization Using Detergent Sanitizers
4-601.11	Equipment, Food-Contact Surfaces, Nonfood-Contact Surfaces, and Utensils
4-602.11*	Equipment Food-Contact Surfaces and Utensils
4-602.12	Cooking and Baking Equipment
4-702.11*	Before Use After Cleaning
4-703.11*	Hot Water and Chemical
Section 7. Control of Hands as a Vehicle of Contamination
Code Section
2-301.11	Clean Condition
2-301.12	Cleaning Procedure
2-301.14	When to Wash
2-301.15	Where to Wash
2-301.16	Hand Sanitizers
3-301.11	Preventing Contamination from Hands
5-203.11	Handwashing Facilities (Numbers/Capacities)
5-204.11	Handwashing Facilities (Location/Placement)
5-205.11	Using a Handwashing Facility
6-501.18	Maintaining and Using Handwashing Facilities
6-301.11	Handwashing Cleanser, Availability
6-301.12	Hand Drying Provision
6-301.13	Handwashing Aids and Devices, Use Restrictions
Section 8. Good Hygienic Practices
Code Section
2-401.11	Eating, Drinking, or Using Tobacco
2-401.12	Discharges from the Eyes, Nose, and Mouth
2-301.12	Cleaning Procedure
Section 9. Chemical
Code Section
3-202.12	Additives
3-302.14	Protection from Unapproved Additives
7-207.11	Restriction and Storage
7-207.12	Refrigerated Medicines, Storage
7-208.11	Storage (First Aid Supplies)
7-209.11	Storage
7-101.11	Identifying Information, Prominence
7-202.11	Restriction
7-202.12	Conditions of Use
7-203.11	Poisonous or Toxic Material Containers
7-204.11	Sanitizers, Criteria
7-204.12	Chemicals for Washing Fruits and Vegetables, Criteria
7-204.13	Boiler Water Additives, Criteria
7-204.14	Drying Agents, Criteria
7-205.11	Incidental Food Contact, Criteria
7-206.11	Restricted Use Pesticides, Criteria
7-206.12	Rodent Bait Stations
7-206.13	Tracking Powders, Pest Control and Monitoring
7-301.11	Separation
Section 10. Conformance with Approved Procedures
Code Section
8-103.12	Conformance with Approved Procedures (Variance, HACCP plans)
Section 11. Highly Susceptible Populations
Code Section
3-801.11	Pasteurized Foods, Prohibited Reservice, and Prohibited Food

********* End of Table A-1. **********

Instructions for Table A-1

Evaluate your jurisdiction's code, regulation or ordinance against each Food Code section grouped by interventions and risk factors listed in Table A-1 above. To obtain credit for the intervention/risk factor, each of the code sections must be checked in the block of the right hand column. A check mark indicates that your code/regulation contains language at least as stringent as the main requirements in the corresponding FDA Food Code section. For example, under the section "Good Hygienic Practices," each of the 3 items must have a check in the right-hand column indicating that your code/regulation meets the intent of all three Food Code sections.

Note: If your code requirement is as stringent or more stringent than the Food Code requirement, you receive credit for that section. For example, if your code/regulation requires the PERSON IN CHARGE to demonstrate knowledge of the Code by being a certified FOOD protection manager who has shown proficiency through passing a test that is part of an ACCREDITED PROGRAM but does not provide other options for demonstration of knowledge, consider this as meeting 2-102.11. You would then place a check mark in the right-hand column adjacent to 2-102.11

Table A-2 Regulatory Foundation Summary - Interventions and Risk Factors

	Major Food Code Interventions and CDC-identified Risk Factors
	Description		PASS/FAIL
1	Demonstration of Knowledge
2	Employee Health
3	Consumer Advisory
4	Approved Sources
5	Time/Temperature
6	Protection from Contamination
7	Control of Hands as a Vehicle of Contamination
8	Good Hygienic Practices
9	Chemical
10	Conformance with Approved Procedures
11	Highly Susceptible Populations
Assessment of ______________________________________ (regulatory agency) Conformance with Interventions / Risk Factors			Overall Rating PASS FAIL

 

Instructions for Table A-2

1. Use the information from Table A-1 to complete this table. Determine a PASS or FAIL rating for each of the eleven (11) Interventions/Risk Factors by reviewing the check marks on Table A-1. If all of the Code sections listed under an Intervention/Risk Factor have a check mark in the right-hand column on Table A-1, give yourself a PASS rating for that item on Table A-2.

   If any of the Code section provisions are missing, as indicated by a blank in the right-hand column of Table A-1, indicate FAIL for that Intervention/Risk Factor. For example: Under "Approved Source," if your code/regulation does not address mushroom species picked in the wild, the right-hand column adjacent to 3-201.16 on Table A-1 would be blank. Therefore, the "Approved Source" Intervention/Risk Factor on Table A-2 would be marked as FAIL.

2. For initial participation and listing purposes, if you have achieved a PASS rating on at least 9 of the 11 items on Table A-2, you receive an overall PASS rating for the Interventions/Risk Factors. By the second scheduled audit, you must achieve a PASS rating on 11 of the 11 items in order to receive an overall PASS rating for the Interventions/Risk Factors portion of Standard 1.

Appendix A - PART II

Table A-3 Regulatory Foundation - Good Retail Practices

Section 12. Personnel
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
2-302.11
2-303.11
2-304.11
2-402.11

 

Section 13. Food & Food Protection
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
3-202.16
3-202.17
3-202.19
3-203.11
3-302.12
3-302.13
3-305.13
3-501.11
3-601.11
3-601.12
3-602.12
6-404.11

 

Section 14. Plant Food cooking for Hot Holding
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
3-401.13

 

Section 15. Protection from Contamination
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
3-302.15
3-303.11
3-303.12
3-304.11
3-305.11
3-305.12
3-305.14
3-306.11
3-306.12
3-306.13
3-307.11

 

Section 16. Facilities / Methods To Control Product Temperature
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
3-501.11
4-301.11

 

Section 17. PHF Properly Thawed
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
3-501.12
3-501.13

 

Section 18. Dispensing of Food / Utensils Properly Stored
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
3-304.12
4-204.13
4-204.14

 

Food Equipment

Section 19. Thermometers Provided and Conspicuous
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
4-203.11
4-203.12
4-204.112
4-302.12

 

Section 20. Food and Nonfood Contact Surfaces: Designed, Constructed, Maintained, Installed, Located, Operated, Cleanable
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
3-304.16
3-304.17
4-101.11
4-101.12
4-101.13
4-101.14
4-101.15
4-101.16
4-101.17
4-101.18
4-101.19
4-101.110
4-101.111
4-102.11
4-201.11
4-202.12
4-202.13
4-202.14
4-202.15
4-202.16
4-202.17
4-204.12
4-204.15
4-204.16
4-204.17
4-204.18
4-204.19
4-204.110
4-204.111
4-204.121
4-204.122
4-204.123
4-205.10
4-302.11
4-401.11
4-402.11
4-402.12
4-501.11
4-501.12
4-501.13
4-502.11
4-601.11 (B)(C)
4-602.13
4-603.11xx
4-603.17
4-902.11
4-902.12

 

Section 21. Warewashing Facility: Designed, Constructed, Installed, Located, Operated, Cleanable, Used
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
4-203.13
4-204.113
4-204.114
4-204.115
4-204.116
4-204.117
4-204.118
4-204.119
4-204.120
4-301.12
4-301.13
4-302.13
4-302.14
4-501.14
4-501.15
4-501.16
4-501.17
4-501.18
4-501.19
4-501.110
4-501.116
4-603.12
4-603.13
4-603.14
4-603.15
4-603.16

 

Section 22. Wiping Cloths, Linens, Napkins, Gloves, Sponges: Properly Used, Stored
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
3-304.13
3-304.14
3-304.15
4-101.16
4-801.11
4-802.11
4-803.11
4-803.12
4-901.12
4-903.11
4-903.12

 

Section 23. Storage, Handling of Clean Equipment, Utensils
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
4-901.11
4-903.11
4-903.12
4-904.11
4-904.12
4-904.13

 

Section 24. Single-Service / Single-Use Articles: Storage, Dispensing, Use, No Reuse
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
4-502.12
4-502.13
4-502.14
4-903.11
4-903.12
4-904.11

 

Water

Section 25. Safe Water Source, Hot and Cold Under Pressure, Adequate Quantity
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
5-101.11
5-102.11
5-102.12
5-102.13
5-102.14
5-103.11
5-103.12
5-104.11
5-104.12

 

Section 26. Plumbing: Installed, Maintained
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
5-101.12
5-201.11
5-202.11
5-202.12
5-202.15
5-203.13
5-204.13
5-205.13
5-205.14
5-205.15
5-301.11
5-302.11
5-302.12
5-302.13
5-302.14
5-302.15
5-302.16
5-303.11
5-303.12
5-303.13
5-304.11
5-304.12
5-304.13
5-304.14

 

Section 27. Cross Connection, Back Siphonage, Backflow Prevention
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
5-202.13
5-202.14
5-203.14
5-204.12
5-205.12

 

Toilet Facilities

Section 28. Number, Convenient, Accessible, Designed, Installed
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
5-203.12
6-302.10
6-402.11

 

Section 29. Toilet Rooms Enclosed, Self-closing Doors; Fixtures, Good Repair, Clean, Proper Waste Receptacles
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
5-501.17
6-202.14
6-301.20
6-302.11
6-501.19

 

Sewage

Section 30. Sewage and Waste Water Disposal
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
5-401.11
5-402.10
5-402.11
5-402.12
5-402.13
5-402.14
5-402.15
5-403.11
5-403.12

 

Garbage & Refuse Disposal

Section 31. Containers or Receptacles: Covered, Adequate Number, Insect / Rodent Proof, Frequency of Removal, Clean. Area Properly Constructed, Necessary Implements, Supplies
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
5-501.10
5-501.11
5-501.12
5-501.13
5-501.14
5-501.15
5-501.16
5-501.18
5-501.19
5-501.110
5-501.111
5-501.112
5-501.113
5-501.114
5-501.115
5-501.116
5-502.11
5-502.12
5-503.11
6-202.110
6-405.10

 

Physical Facility

Section 32. Floors, Walls, Ceilings: Designed, Constructed, Maintained, Clean
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
6-101.11
6-102.11
6-201.11
6-201.12
6-201.13
6-201.14
6-201.15
6-201.16
6-201.17
6-201.18
6-202.17
6-202.18
6-501.11
6-501.12
6-501.13
6-501.17

 

Section 33. Lighting, Ventilation, Dressing Rooms / Designated Areas Maintained
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
4-202.18
4-204.11
4-301.14
6-202.11
6-202.12
6-303.11
6-304.11
6-305.11
6-403.11
6-501.14
6-501.110

 

Section 34. Premises Maintained Free of Litter, Unnecessary Articles, Cleaning and Maintenance Equipment Properly Stored
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
6-202.11
6-202.19
6-306.10
6-501.15
6-501.16
6-501.113
6-501.114

 

Section 35. Complete Separation from Living / Sleeping Quarters; Laundry
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
4-301.15
4-401.11 (C)
4-803.13
6-202.111
6-202.112

 

Section 36. Presence of Insects / Rodents Minimized, Outer Openings Protected, Animals As Allowed
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
2-403.11
6-202.13
6-202.15
6-202.16
6-501.111
6-501.112
6-501.115

 

Section 37. Variance for Smoking for Preservation, Curing, Brewing Alcoholic Beverages, Using Additives as Preservatives, or Using Reduced Oxygen to Package Food
FOOD CODE CHAPTER	CORRESPONDING CODE SECTION, RULE, ETC.	YES, FULL INTENT IS MET.	PARTIAL COMPLIANCE. LIST WHAT IS NOT COVERED. USE ADDITIONAL SHEETS FOR EXPLANATIONS/COMMENTS.	NO, COMPLIANCE IS NOT MET WITH THIS ITEM. INDICATE THE SITUATION.
3-502.11

Instructions for Table A-3

To complete Table A-3, do the following: Evaluate your jurisdiction's code or ordinance against each Food Code section grouped by topics under the major section headings numbered 12 through 37 above. If your code/regulation has language meeting the full intent of the corresponding model Food Code section, place a check mark in column 3. Columns 4 and 5 are intended to serve as an analytical tool to help you identify gaps in your current code/regulation and to plan for future revisions.

Starting with Section Heading 12 entitled Personnel, count the total number of check marks in column 3 under this heading and transfer this number to column 2 of Table A-4. Do this for each of the numbered section headings until all the information is transferred to Table A-4.

 

Table A-4 Regulatory Foundation Summary - Good Retail Practices
Section Number	Good Retail Practices
	Number Identified as "Yes" (column 3 - Appendix A (Table A-3 worksheet)	Maximum No. of "Yes" possible	Description
12		4	Personnel
13		12	Food & Food Protection
14		1	Plant Food Cooking for Hot Holding
15		11	Protection from Contamination
16		2	Facilities/Methods to Control Product Temperature
17		2	PHF Properly Thawed
18		3	Dispensing Food/Utensils Properly Stored
19		4	Food Equipment
20		47	Food and Non-food Contact Surfaces
21		26	Warewashing Facilities: Designed, etc.
22		11	Wiping cloths, Linens, Napkins, Gloves/Used
23		6	Storage, Handling of Clean Equip / Utensils
24		6	Single-Service/Single-Use Articles
25		9	Safe Water Source, Hot / Cold Under Pressure
26		24	Plumbing: Installed, Maintained
27		5	Cross Connection, Back Siphonage, Backflow Pre
28		3	Toilet Facilities: Number, convenient, Accessible
29		5	Enclosed, Self-closing Doors; Fixtures, Good repair
30		9	Sewage and Waste Water Disposal
31		21	Garbage and Refuse Disposal: covered, number
32		16	Floors, Walls, Ceilings; Designed, Constructed
33		11	Lighting, Ventilation, Dressing Rooms
34		7	Premises Maintained, Free of Litter, etc.
35		5	Complete Separation from Living/Sleeping Quarters
36		7	Presence of Insects / Rodents Minimized
37		1	Variances
Total of col. 2 _______		258
		( ____ / 258 ) * 100%    ___________%

Instructions for Table A-4

1. Starting with Section Heading 12 entitled Personnel, count the total number of check marks in column 3 under this heading and transfer this number to column 2 of Table A-4.  Do this for each of the numbered section headings until all the information is transferred to Table A-4.
2. Total the numbers in column 2 of Table A-4 and record this number in the blank provided for the total in the bottom section of Table A-4.
3. Divide this number by 258 and multiply by 100 to determine the percentage of the Good Retail Practices provisions contained in your code/regulation. (________%)

 

A percentage equal to or greater than 95% is considered acceptable for meeting the Regulatory Foundation requirements for Sections 12 through 37.

Appendix A - PART III

Table A-5 REGULATORY FOUNDATION SUMMARY - COMPLIANCE AND ENFORCEMENT
Compliance and Enforcement Chapter 8 - the Food Code
Description of Compliance or Enforcement Action	Food Code Section	Your Corresponding Statute, Code, Regulation or Ordinance section	Full intent of the main provisions of the Food Code sections are met ("Yes" / "No")
1. Hold orders, embargo, and Destruction of food	8-801.10
	8-803.10
	8-803.30
2. Permit / License required; Right to deny	8-301.11
	8-304.20
3. Plan Review / Pre-operational inspection	8-201.11
4. Inspection authority / right to access	8-402.20
5. Restriction / Exclusion of Employees; Information Authority	8-501.20
	8-501.30
	8-501.10
6. Authority to Require HACCP plans	8-201.13
7. Granting of Variances -- or --	8-103.11
	8-103.12
	8-103.10
Variances prohibited	-----------
8. Timely Correction of Critical Violations	8-405.11
	8-405.20
	8-406.11
9. Imminent Health Hazard (Summary Suspension)	8-804.10
	8-404.12
	8-404.12
10. License suspension / revocation	8-805.10
	8-805.20
12. Institution of Proceedings	8-810.10
a. Criminal Proceedings	8-811.10
b. Petitions for Injunction	8-812.10
c. Civil Penalties provided	8-813.10
13. Additional Requirements	8-102.10

Instructions for Table A-5

1. For each Food Code section listed in column 2, review your code, regulation, rule, or statute for corresponding language.
2. List your corresponding code/regulation section in column 3.
3. Evaluate your code/regulation to determine whether it meets the full intent of the main requirements of the FDA Food Code section. If it does, mark "yes" in the last column. If it does not meet the full intent, mark "no" in the last column.
4. To obtain credit for the numbered Compliance and Enforcement item, each of the supporting code sections must be marked "yes" in the last column. For example, to get credit for 2. Permit/License required, both code sections must be marked "yes."

 

Passing for the "Compliance and Enforcement" component requires a "Yes" for each of the 15 Compliance and Enforcement requirements.

Appendix A - PART IV

Criteria	YES	NO
1. Your jurisdiction's code, ordinance, rule, or regulation meets the requirement of Standard 1, Regulatory Foundation, for the Major Interventions / Risk Factors.
2. Your jurisdiction's code, ordinance, rule, or regulation meets the Good Retail Practices requirements of Standard No. 1, Regulatory Foundation.
3. Your jurisdiction's code, ordinance, rule, regulation or statute, meets the Compliance and Enforcement requirements of Standard No. 1, Regulatory Foundation.

Use the information in Tables A-1 through A-5 to determine the correct answer each of the above questions. A "yes" affirmation to each statement is required to meet Standard No. 1.