Evaluation Tool: Food Program
STANDARD 1:
Regulatory
Foundation
Ordinances
Source
Materials
March 2, 2012 Version
Evaluation Criteria
Comments
Rating
(0-2)
a. Has the Board passed ordinances
referring to: (1) statutes and rules, as listed
in the SCOPE of the Delegation Agreement,
(2) the Minnesota Food Code, and (3) Food
Manager Certification requirements?
b. Have ordinances been revised as needed
to be consistent with current statutes and
rules?
c. If applicable ordinances were changed
since the previous program evaluation, were
they sent to MDH for review prior to their
passage
d. Do ordinances describe enforcement
tools and procedures, and grant authority
for enforcement?
e. Do ordinances reference plan review
requirements?
O
f. (MDH only) Has MDH reviewed and
responded in writing to its delegated
partners regarding proposed ordinances or
language changes to existing ordinances,
within 30 days of receipt of those changes?
g. (MDH only) Has MDH coordinated a
review of the Minnesota Food Code
following the release of each new FDA
Model Food Code or Supplement?
Y
Y
Y
Y
Y
Y
a. Current, signed and dated ordinances
b. Delegation Agreement application
ORANGE: Essential Program Elements defined in statute and/or rule and in the Delegation
Agreement
YELLOW: Required Program Elements required by the Delegation Agreement
WHITE: Value-Added Program Elements - not required
by law or the Delegation Agreement, but can help support core
functions
1
Evaluation Tool: Food Program
STANDARD 2:
Trained
Regulatory Staff
March 2, 2012 Version
Evaluation Criteria
Comments
Rating
(0-2)
O
a. Does the Board employ qualified
inspection staff as defined in the Delegation
Agreement?
1. Inspection
b. Are any less qualified staff (as described
Staff
in the Delegation Agreement) limited to
performing inspections that are not
mandated by the Delegation Agreement?
If the Board has entered into agreements
2. Agreements with other qualified persons to carry out its
regular, delegated duties, did the Board
with Other
Qualified Parties obtain MDH’s written approval before
entering into such an agreement?
a. Describe the percentage of the Board’s
staff that have been standardized.
b. Has the Board enrolled in FDA Program
Standards?
3. Additional
c. Describe the percentage of staff that have
Training
taken ICS classes (minimum of ICS 100 &
200.)
d. Describe other training that staff have
received (e.g., MNTrac courses completed).
4. Staffing
Transition Plan
Y
Y
W
W
W
W
Y
a. Does the Board have a written plan that is
submitted annually to MDH, to assure
adequate program coverage and to address
staffing transition in the event of
unexpected staffing changes?
ORANGE: Essential Program Elements defined in statute and/or rule and in the Delegation
Agreement
YELLOW: Required Program Elements required by the Delegation Agreement
WHITE: Value-Added Program Elements - not required
by law or the Delegation Agreement, but can help support core
functions
2
Evaluation Tool: Food Program
March 2, 2012 Version
W
b. Has that written plan worked effectively
during staffing transitions within the
evaluation period?
c. Has the Board notified MDH within 10
business days of staff departures, when
staffing is insufficient to perform the
obligations of the Delegation Agreement?
Source
Materials
STANDARD 3:
Risk-Based
Inspection
Program
1. Inspection
Forms
2. Risk
Assessment
a.
b.
c.
d.
e.
f.
Y
Position descriptions for all program staff.
Organizational charts with RS numbers, if applicable
Staff standardization documentation
Written staffing transition plan
Staff credentials and certifications (e.g. RS/REHS, CPO, CP-FS, CEHT)
Training records (e.g. MN Train records, if used)
Evaluation Criteria
Comments
Rating
(0-2)
Y
a. Do the Board’s inspection documents
identify risk factors, health and safety
hazards, and interventions?
b. Does the Board’s inspection form
describe In/Out/NO/NA status for all risk
factors, health and safety hazards, and
interventions?
Are establishments categorized as high,
medium or low risk in accordance with MN
statutes?
ORANGE: Essential Program Elements defined in statute and/or rule and in the Delegation
Agreement
YELLOW: Required Program Elements required by the Delegation Agreement
W
Y
WHITE: Value-Added Program Elements - not required
by law or the Delegation Agreement, but can help support core
functions
3
Evaluation Tool: Food Program
3. Inspection
Frequency
4. Written &
Implemented
Policies
Source
Materials
STANDARD 4:
Uniform
Inspection
Program
March 2, 2012 Version
O
Is the inspection frequency based on MN
Statutes 157.20 being met?
a. Has the Board developed a documented
procedure to address corrective action?
b. Has the Board developed a documented
procedure that requires discussion of
options for long-term control of risk factors,
and health and safety hazards?
c. Has the Board developed a documented
procedure that requires follow-up activities
on risk factors, and health and safety
violations?
d. Has the Board developed a documented,
implemented procedure on variance
requests related to risk factors, health and
safety hazards, and interventions?
e. Has the Board submitted to MDH any
copies of variances granted, within 30 days
of issuance?
f. Does the Board have a documented
procedure for verification and validation of
HACCP plans?
Y
W
Y
Y
Y
W
a. Copies of inspection reports/forms
b. List of licensed facilities, with risk categories
c. Inspection frequency data for the past three years
d. Documented procedures referenced in 4.a-f above
e. Other compliance forms or documents
f. Copies of variances, as requested
Evaluation Criteria
ORANGE: Essential Program Elements defined in statute and/or rule and in the Delegation
Agreement
YELLOW: Required Program Elements required by the Delegation Agreement
Comments
Rating
(0-2)
WHITE: Value-Added Program Elements - not required
by law or the Delegation Agreement, but can help support core
functions
4
Evaluation Tool: Food Program
1. Plan Review
2. Licensing &
Data
Management
3. Inspections &
Written Reports
March 2, 2012 Version
Y
a. Does the Board conduct and adequately
document plan review for each new
construction, renovation, or conversion of
licensed establishments, as required in the
Food Code?
b. Does the Board license only those food
establishments for which plan review is
complete and approved?
c. Does the Board maintain adequate
documentation throughout the plan review
process?
d. Is documentation maintained for water
and sewer system approval as reviewed by
the appropriate authority?
a. Is the Board required by policy to license
establishments on an annual basis?
Y
W
W
Y
Y
b. Does the Board maintain a current list of
establishments (including establishment
name, address and risk category)?
c. Does the Board provide Statewide
Hospitality Fee data on all licensed
establishments to MDH by the annual
deadline?
a. Are inspections conducted by qualified
inspection staff, as described in the
Delegation Agreement?
b. Does the Board encourage active
managerial control concepts in all food
establishments?
c. Does the Board incorporate education
into the inspection process?
ORANGE: Essential Program Elements defined in statute and/or rule and in the Delegation
Agreement
YELLOW: Required Program Elements required by the Delegation Agreement
Y
O
Y
Y
WHITE: Value-Added Program Elements - not required
by law or the Delegation Agreement, but can help support core
functions
5
Evaluation Tool: Food Program
March 2, 2012 Version
Y
d. Are written reports complete and
accurate, and do they describe compliance
activities?
e. Are statutes, rules and ordinances
interpreted accurately and consistently?
f. Has the Board submitted a proposal of
alternative inspection methods and practices
for use in the jurisdiction as required by
statute?
Source
Materials
STANDARD 5:
Illness & Injury
Investigation &
Response
1. Protocol for
Investigating
Complaints
2. Complaints
Y
Y
a. Files for randomly selected facilities
b. List of licensed establishments with assigned risk category
c. Description of licensing category definitions and descriptions, including for all permanent and temporary establishments
d. Relevant ordinances, policies and guidance documents
e. Copy of plan review report(s), application(s)/packet(s), as requested
f. Educational or training materials relevant to uniform inspection that the board wishes reviewed
Evaluation Criteria
Comments
Rating
(0-2)
Y
Does the Board utilize the Foodborne
Outbreak Protocol developed by MDH or
another similar, written protocol, approved
by MDH (e.g., IAFPs “Procedures to
Investigate Foodborne Illness”)?
a. Does the Board maintain a log or
database for all complaints alleging injury,
health and safety hazards, or foodborne or
waterborne illness?
b. Does the Board follow-up on all injury,
health and safety hazard, and
foodborne/waterborne illness complaints
ORANGE: Essential Program Elements defined in statute and/or rule and in the Delegation
Agreement
YELLOW: Required Program Elements required by the Delegation Agreement
W
W
WHITE: Value-Added Program Elements - not required
by law or the Delegation Agreement, but can help support core
functions
6
Evaluation Tool: Food Program
March 2, 2012 Version
within one business day?
3. Program
Coverage
Source
Materials
W
c. Are investigation reports filed or linked to
the records of the establishment?
d. Does the Board transmit all foodborne or
waterborne illness complaints to MDH
within one business day?
e. (MDH only) Does MDH refer to its
N/A
delegated partners any complaints that
MDH receives concerning matters under
their jurisdiction?
Does the Board have qualified staff
available for emergency coverage on a 24hour a day basis and have they provided an
after-hours contact number to MDH?
Y
Y
Null
Y
a. Procedures for responding to injury, or food and waterborne illness
b. Complaint log and relevant materials
c. After hours staffing policy and after-hours contact number
STANDARD 6:
Compliance &
Enforcement
Evaluation Criteria
Compliance &
Enforcement
a. Does the Board identify and document
violations according to statute, rule and
ordinance?
b. Does the Board address the identified risk
factors and health and safety hazards by: (1)
following up or using appropriate
enforcement tools, including revocation or
suspension, and (2) by maintaining adequate
documentation throughout the enforcement
process?
ORANGE: Essential Program Elements defined in statute and/or rule and in the Delegation
Agreement
YELLOW: Required Program Elements required by the Delegation Agreement
Comments
Rating
(0-2)
O
O
WHITE: Value-Added Program Elements - not required
by law or the Delegation Agreement, but can help support core
functions
7
Evaluation Tool: Food Program
March 2, 2012 Version
Y
c. Does the Board resolve identified
violations within a reasonable time?
d. Does the Board maintain records
according to its records retention policy?
Source
Materials
STANDARD 7:
Industry &
Community
Relations
1. Work Groups
2. Educational
Outreach
Source
Materials
STANDARD 8:
Program
Resources
Y
a. Records for randomly selected licensed establishments
b. Enforcement policies, procedures and tools
Evaluation Criteria
Does the Board participate in workgroups,
advisory boards, task forces or committees
that work to identify, correct, and prevent
risk factors and health and safety hazards in
licensed establishments?
a. Does the Board lead or participate in
activities that increase awareness of risk
factors, health and safety hazards, and
control methods to prevent illness or injury?
b. (MDH only) Has MDH been available to
advise its delegated partners regarding
issues covered under the Delegation
Agreement.
Comments
Rating
(0-2)
Y
W
Y
N/A
Null
Any relevant materials the Board wishes to be reviewed.
Evaluation Criteria
ORANGE: Essential Program Elements defined in statute and/or rule and in the Delegation
Agreement
YELLOW: Required Program Elements required by the Delegation Agreement
Comments
Rating
(0-2)
WHITE: Value-Added Program Elements - not required
by law or the Delegation Agreement, but can help support core
functions
8
Evaluation Tool: Food Program
1. Inspection
Ratio (sufficient
staffing)
2. Inspection
Equipment
3. Funding
4. Data Sharing
5. Professional
Development
6. Staff Safety
Source
Materials
March 2, 2012 Version
a. Describe the current ratio of qualified
inspection staff to the number of licensed
establishments.
b. (MDH only) Does MDH evaluate its
delegated partners’ compliance with the
Delegation Agreement to ensure that their
programs are adequate to assure compliance
by regulated parties to requirements in
statutes and rules?
Does the Board provide the appropriate
inspection equipment to its qualified
inspection staff?
Describe the source(s) of funding for this
program. (Fees, General Fund, etc.)
Does the Board maintain all licensing and
inspection information in an electronic
format and make it available to MDH upon
request?
Is funding provided for staff training,
conference attendance, and other
professional development activities?
Does the Board provide staff with
appropriate safety training and equipment?
W
Y
N/A
Null
W
Y
W
W
a. Electronic licensing and inspection data
b. Organizational charts, with RS numbers, if applicable
c. Staff credentials and certifications (e.g., RS/REHS, CPO, CP-FS, CEHT)
ORANGE: Essential Program Elements defined in statute and/or rule and in the Delegation
Agreement
YELLOW: Required Program Elements required by the Delegation Agreement
WHITE: Value-Added Program Elements - not required
by law or the Delegation Agreement, but can help support core
functions
9