Iowa Department of Inspections and Appeals Contract Copyright 2014
City of Dubuque Consent Items # 9.
ITEM TITLE: Iowa Department of Inspections and Appeals Contract
SUMMARY: City Manager recommending approval of the Iowa Department of
Inspections and Appeals renewal agreement with the City of Dubuque for
performance of food and hotel licensing, inspections and enforcement with
respect to retail food establishments.
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Approve
ATTACHMENTS:
Description Type
❑ Iowa Department of Inspections and Appeals Agreement-MVM Memo City Manager Memo
❑ Memo Staff Memo
❑ Contract Supporting Documentation
❑ Risk Assessment Attachment Supporting Documentation
THE CITY OF Dubuque
UBE I
erica .i
Masterpiece on the Mississippi 2007-2012-2013
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Iowa Department of Inspections and Appeals New Interagency Agreement
DATE: September 16, 2015
Public Health Specialist Mary Rose Corrigan recommends City Council approval of the
Iowa Department of Inspections and Appeals renewal agreement with the City of
Dubuque for performance of food and hotel licensing, inspections and enforcement with
respect to retail food establishments.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Mary Rose Corrigan, RN, Public Health Specialist
THE CITY OF Dubuque
DUB E
All-America City
Masterpiece on the Mississippi
2007
TO: Michael C. Van Milligen, City Manager
FROM: Mary Rose Corrigan, RN, Public Health Specialist
SUBJECT: Iowa Department of Inspections and Appeals New Interagency Agreement
DATE: September 14, 2015
INTRODUCTION
This memorandum provides information regarding the Iowa Department of Inspections
and Appeals (IDIA) renewal agreement with the City of Dubuque for performance of
food and hotel licensing, inspections and enforcement with respect to retail food
establishments.
BACKGROUND
Since 1978, the City Council has continued a Memorandum of Understanding with the
State in order to allow the City to license, inspect and enforce the Iowa Food Service
Sanitation Code, Iowa Hotel Sanitation Code, the Iowa Food and Home Food
Establishment Codes, and the Iowa Food & Beverage Vending Machine laws. The
most recent agreement was from 2012 through September 30, 2015.
The City carries out the terms of this agreement through the two Environmental
Sanitarians in the Health Services Department. Regular inspections are made of
restaurants, schools, grocery and convenience stores, mobile food units, hotels,
taverns, temporary food stands, and food and beverage machines throughout the city.
DISCUSSION
This new agreement requires a risk-based inspection system where establishments are
assigned a risk level of 1-5 and have a minimum inspection frequency assigned (see
attached DIA Risk Assessment and Inspection Policy).
The agreement also requires the City to submit a plan to meet and maintain FDA
Voluntary National Retail Food Regulatory Program Standards (2013), Standards 2, 3, 4
and 6 by October 31 , 2018. Health Services Department staff has completed Standards
2, 3, 6, and 7, and continues to work on the remaining.
The following changes have been made to this new contract:
• The Absorb system is a learning management system the Department has
subscribed to that will allow for a centralized repository for all training records
and assist all jurisdictions in tracking and meeting Retail Program Standard 2.
Additionally, it allows for both local and state administrative functions and viewing
of records. IDIA will be providing training and rolling this out to local jurisdictions
during the first quarter of 2016.
• Updated 6(d) to clarify that routine hotel inspections will not be considered a
performance factor or in future contracting decisions.
• Moved 7(0) to 6(u) to this location from the duties of the department. This should
have been included here initially.
• Deleted section 10 on reporting as it is no longer needed with the centralized
data system.
BUDGETIMPACT
Revenue generated by license fees collected from these various establishments is
projected in the newly adopted Health Services Department budget. The fee structure
for licenses has not changed.
RECOMMENDATION
It is recommended that the City Council approve the interagency agreement with the
IDIA for inspection and licensing of these establishments.
ACTION STEP
The action step is for the City Council to authorize the City Manager to sign the
agreement on behalf of the City.
2
INTERAGENCY AGREEMENT
Between
IOWA DEPARTMENT OF INSPECTIONS AND APPEALS
And
CITY OF DUBUQUE
This Agreement is entered into between the Iowa Department of Inspections and
Appeals (hereinafter "Department") and City of Dubuque (hereinafter "Local Health
Agency") pursuant to the authority of Iowa Code section 28E.12.
1. PURPOSE AND SCOPE: The purpose of this Agreement is to authorize the
performance of food and hotel licensing, inspection and enforcement activities by the
Local Health Agency on behalf of the Iowa Department of Inspections and Appeals.
The scope of the Local Health Agency's authority is limited to the performance of
food and hotel licensing, inspections and enforcement with respect to retail
establishments as permitted by Iowa Code Chapters 137C (Hotel Sanitation Code),
137D (Home Food Establishments) and 137F (Food Establishments and Food
Processing Plants). The Department shall inspect and enforce all applicable laws as
they apply to wholesale food processing plants including those whose operation is
limited to the storage of food products pursuant to 137F. The Department will inspect
and enforce all applicable laws as they apply to wholesale food processing plants
which manufacture, package or label food products. The Department hereby retains
the independent authority to license, inspect, enforce, or take any other action it
deems necessary pertaining to any establishments to be inspected by the Local Health
Agency. The Department will inform the Local Health Agency of any action it has
completed within its jurisdiction.
2. DELEGATION: The Local Health Agency is hereby authorized to enforce
Iowa Code Chapters 137C (Hotel Sanitation Code), 137D (Home Food
Establishments) and 137F (Food Establishments and Food Processing Plants) with
respect to retail establishments as long as this Interagency Agreement is in force.
3. GEOGRAPHICAL REGION: Food and hotel licensing, inspections and
enforcement shall be conducted by the Local Health Agency in the following
geographical region: City of Dubuque
4. DURATION: This Agreement shall commence on October 1, 2015 shall continue
in full force and effect until June 30, 2018.
5. TERMINATION: Either party may terminate this Agreement by providing the
other party a written notice of intent to terminate at least sixty (60) days prior to the
intended date of termination. Notice shall specify the reasons for termination and be
delivered by U.S. certified mail. Upon termination, the Local Health Agency shall
transfer to the Department all inspections, licensing and enforcement records in its
possession and all other documents generated as a result of this Agreement. Not later
1 (Page
than thirty (30) days following the termination date, the Local Health Agency shall
transfer all materials to the Department at the following address:
Iowa Department of Inspections and Appeals
Food and Consumer Safety Bureau
Lucas State Office Building
321 E. 12th St.
Des Moines, Iowa 50319-0083
6. DUTIES OF LOCAL HEALTH AGENCY: The Local Health Agency agrees
that the Agency and its employees shall:
a. Comply with all applicable federal, state, and local laws, rules, regulations,
executive orders, and Department guidance when performing within the scope of this
Agreement.
b. Apply Iowa Code Chapters 137C (Hotel Sanitation Code), 137D (Home Food
Establishments) and 137F (Food Establishments and Food Processing Plants), as well
as administrative rules promulgated pursuant to these chapters, to retail
establishments including temporary foods establishments, or institutions, hotels and
motels, and home food establishments found in the designated geographical region
specified by Section 3 of this Agreement.
c. Conduct pre -opening, routine, and complaint inspections for food establishments
and institutions using the Food Code as adopted pursuant to Iowa Code section
137F.2. The inspection frequency shall be a risk-based system consistent with the
requirements of FDA's Voluntary National Retail Food Regulatory Program
Standards (2013) Standard 3 and no less frequent than the Department's frequency
(see Attachment 1—Risk Assessment and Inspection Frequency Policy for current
risk-based frequency).
d. Conduct complaint and pre -opening inspections of hotels and motels per Iowa
Code Section 137C.11 and home food establishments pursuant to Iowa Code section
137D.2. Completion of routine inspections for hotels and motels and home food
establishments will not be considered during performance reviews and as a factor in
future contracting until such a time as the hotel or home food establishment licensing
fees are increased.
e. Forward requests for variances or HACCP (Hazard Analysis and Critical Control
Points) plans and Agency recommendations to the Department for approval.
Variances and HACCP plan approvals may only be granted by the Department if
sufficient information is provided to substantiate the need and propriety for the action.
The Department shall provide the Local Health Agency with copies of approvals of
all variances or HACCP plans within the Local Health Agency's geographic region.
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f. Issue State licenses. Licenses, applications and inspection forms will be on fauns
prescribed by the Department. The actual cost of the forms or materials shall be paid
by the Local Health Agency. The Local Health Agency shall also distribute any
materials during inspections that are provided by the Department without cost to the
Local Health Agency.
g. Notify the Department within one business day of the existence of any potential
foodborne or food -related injury caused by, or suspected of having been caused by,
unsanitary conditions existing in any establishment licensed or inspected under this
Agreement. The Local Health Agency shall complete the investigations of potential
illness using forms, methods, and techniques prescribed by the Department following
illness investigation best practices such as CIFOR and NVEAIS.
h. Cooperate in any federal or state food program survey to be conducted within the
jurisdiction of the Local Health Agency during the terms of this Agreement.
i. To the greatest extent possible, all inspectors shall complete inspection reports for
food service establishments, retail food establishments, mobile food establishments,
hotels/motels, and home food establishments via the electronic inspection application
using tablet computers including the electronic capture of signatures.
j. Take corrective action on all food disasters that occur in areas covered by this
Agreement. Such disasters include, but are not limited to, handling or disposing of
food in cases of fire, windstorms and floods. The Local Health Agency shall furnish
the Department with a written report of the occurrence upon request. The Local
Health Agency shall immediately notify the Department of any suspected intentional
contamination of food in a regulated establishment.
k. Hire inspection personnel who possess experience and educational qualifications
equivalent to the Environmental Specialist classification, as defined by the Iowa
Department of Administrative Services, Human Resources Enterprise.
All Local Health Agency food inspection personnel shall complete Level One
Training, as prescribed by Standard 2 of the FDA Voluntary National Retail Food
Regulatory Program Standards (2013) and complete standardization to the FDA Food
Code within eighteen (18) months of beginning food inspection work and every
thirty-six (36) months thereafter.
• All training for each inspector shall be logged in the inspection database and
certificates of completion shall be maintained by the Local Health Agency in the
ABSORB data system as of June 30, 2016.
• Each inspector shall also attend the Department's new inspector training within
eighteen (18) months of beginning food inspection work, if available. This
curriculum shall include the following: new inspector's course, HACCP course,
and food microbiology and sampling course.
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• All inspectors shall also complete the CDC's National Voluntary Environmental
Assessment Information System (NVEAIS) Online Training Program by June 30,
2016 and enter the training records into the ABSORB system.
http://www.cdc.gov/ncebiehs/NVEAIS/index.htm.
1. Send representation, absent Department -approved extenuating circumstances, to all
Department -sponsored regional meetings and FDA training in Iowa. In addition,
applicable Department -sponsored training shall be attended by all new employees and
those employees who have not previously attended.
m. Refer to the Department all processing plants, including those that are
manufacturing thermally processed low acid foods packaged in hermetically sealed
containers under 21 CFR Part 113 or acidified foods under 21 CFR Part 114.
n. Send all plans for Reduced Oxygen Packaging under 3-502.12 of the Food Code to
the Department for approval.
o. The Local Health Agency shall use and include all supervisory, inspection, and
administrative staff on the Foodshield system. This system contains current policy
interpretations and resources related to the performance of this agreement.
p. The Local Health Agency shall provide an up-to-date contact sheet within 30 days
of signing this Agreement, within 30 days of changes, and reviewing and updating
annually . The Local Health Agency shall also provide at least one after-hours
emergency contact.
q. The Local Health Agency shall meet and continue to meet the following program
standards from the FDA's Voluntary National Retail Food Regulatory Program
Standards (2013) including completing and submitting self -assessments at minimum
three years after completing its most recent self -assessments or three years after
October 1, 2015, whichever is earlier:
i. Standard 2—Trained Regulatory Staff
ii. Standard 3—Inspection Program Based on HACCP Principles
iii. Standard 4—Uniform Inspection Program
iv. Standard 6—Compliance and Enforcement
v. If a local health agency completes a self-assessment and finds that the
agency does not meet one of the above Standards, the agency shall
complete an improvement plan documenting the timeframes, tasks and
activities, and responsible parties for task and activity completion, and
submit the improvement plan to the Department for review.
r. The Local Health Agency shall provide the Department with a copy of any self-
assessment completed and the Department shall audit any standards met.
s. The Local Health Agency shall use the data system adopted by the Department for
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inspections and licensing of establishments pursuant to this Agreement. All
inspections and licenses shall be entered into the data system in a timely manner.
With the exception of temporary events and farmer's market inspections, inspections
shall be conducted using the electronic inspection data system. Absent extraordinary
circumstances, inspections shall not be completed on paper and later entered into the
system.
t. The Local Health Agency shall enter all complaints received against
establishments covered under this agreement into the electronic data system.
u. Provide notice to the Department of any significant changes in staff involved in
the food program including inspectors, administrative support, and management.
7. DUTIES OF DEPARTMENT: The Department agrees that the Department and
its employees shall:
a. Answer local health agency questions on federal and state rules, regulations,
executive orders and Department guidance under the scope of this Agreement.
b. Review variance and HACCP plan requests taking into account the
recommendation of the Local Health Agency and notify the Local Health Agency
of the disposition of each request under the jurisdiction of the Local Health
Agency.
c. Provide licenses and forms prescribed by the Department for the cost of producing
the licenses and forms.
d. Provide the Local Health Agency with any complaints or foodborne illness
requests received by the Department for entities under the jurisdiction of the Local
Health Agency.
e. Provide guidance to the Local Health Agency when investigating a foodborne
illness or foodborne illness complaint.
f. Provide ongoing performance reviews and feedback, including an annual
electronic file review and an in-person program review every three years.
g. Provide an electronic data system that includes mobile inspection capabilities.
h. Provide guidance to the Local Health Agency during food disasters and potential
intentional contamination events.
i. Provide new inspectors training as needed, but no less than annually, if at least 3
individuals have registered for the course..
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j. Provide other training courses such as HACCP and food microbiology as needed,
but no less than every 18 months, if at least 6 individuals have registered for the
course.
k. Provide food -related courses to assist the Local Health Agency in meeting
continuing education requirements.
1. Provide audits for the FDA Voluntary National Retail Food Regulatory Program
Standards (2013).
m. Provide standardization of one inspector per Local Health Agency and
restandardization as required.
n. Provide the ABSORB system for tracking of food training records.
S. MANNER OF FINANCING: The functions to be performed by the Local
Health Agency are to be financed by the Local Health Agency at no obligation to the
Department. Licensing fees shall be assessed as prescribed by applicable Iowa law.
The Local Health Agency shall retain the licensing fee set in Iowa Code sections
137C.9(2015), 137D.2(2015) and 137F.6(2015) and their successors.
9. EMPLOYEES: Department employees are not employees of the Local Health
Agency.
a. Salaries, unemployment, and liability. The Department shall remain liable for its
employees' salaries, unemployment compensation, worker's compensation protection
and civil liabilities pursuant to Iowa Code Chapter 669. Each Department employee
shall be deemed to be performing regular duties for the Department while performing
services pursuant to the Interagency Agreement. Local Health Agency employees are
not employees of the Department. The Local Health Agency shall remain liable for its
employee's salaries, unemployment compensation, worker's compensation protection
and civil liabilities pursuant to Iowa Code Chapter 670. Each Local Health Agency
employee shall be deemed to be performing regular duties for the Local Health
Agency while performing services pursuant to the Interagency Agreement.
b. Conflict of interest. Each Local Health Agency employee responsible for
performing inspection, supervisory, or administrative functions under this agreement
shall complete a Conflict of Interest Statement (see Attachment 2) which shall be
updated at least annually or upon change. If there is a conflict of interest, the Local
Health Agency shall submit the conflict of interest statement and proposed plan to
remediate the conflict. This shall be completed within thirty (30) days of signing of
the agreement and within thirty (30) days of report of a conflict. The Department
6jPage
shall accept, reject, or propose modifications to the remediation of conflicts by local
health agency employees within thirty (30) days of receipt.
c. Secondary employment. Each Local Health Agency shall also complete a Conflict
of Interest Statement and proposed remediation for any employees with secondary
employment that involves providing goods, products, services, or labor of any kind to
establishments licensed and inspected by the Local Health Agency pursuant to this
agreement.
10. REFERRALS: Any complaints made to the Department, regarding an
establishment regulated by the Local Health Agency, shall be referred to the Local
Health Agency for investigation and enforcement. Complaint referrals shall be
investigated with utmost expediency, but in no case shall this exceed seven (7)
calendar days. The Local Health Agency will provide a written copy of its findings
regarding the referred complaint to the Department within five (5) working days of
the completion of the investigation. The Local Health Agency may adopt the
Department's Complaint Policies and Procedures. If the Department's Complaint
Policies and Procedures are adopted, the timeframes for investigation of complaints
within that document shall apply. All complaints shall be entered into the electronic
data system.
11. LEGAL OR ADMINISTRATIVE ENTITY: No new legal or administrative
entity is created by this Interagency Agreement.
13. PROPERTY: Nothing in this Interagency Agreement shall be deemed to affect
any change with respect to the ownership of the real or personal property of either
party to this Agreement.
14. FILING AND RECORDING: Pursuant to Iowa Code section 28E.8, a copy of
this Agreement shall be filed by the Department with the Secretary of State.
15. COUNTERPARTS: The parties agree that this Agreement has been or may be
executed in several counterparts, each of which shall be deemed an original and all
such counterparts shall together constitute one and the same instrument.
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16. SEVERABILITY: If any provision of this Agreement is determined by the court
of competent jurisdiction to be invalid or unenforceable, such determination shall not
affect the validity or enforceability of any other part or provision of this Agreement.
The undersigned hereby execute and enter into this Interagency Agreement. Each
signatory represents that he or she has been authorized in accordance with state law to
sign and bind the agency represented.
By
By
Rod Roberts, Director
Iowa Department of Inspections and Appeals
(Signatur
Michael Van Milligen
(Print or Type Name)
City Manager
(Title)
City of Dubuque Health Services Dept.
(Local HealthAuthority Name)
Attachments:
Attachment 1: Risk Assessment and Inspection Frequency Policy
Attachment 2: Conflict of Interest Statement
Date
Date
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Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau
Document#DIA VNRFRPS.3 Voluntary National Retail Food Regulatory Program Standard 3
Version#:1 Effective Date:July 1,2014
Title: DIA Risk Assessment and Inspection Frequency Policy(DIA VNRFRPS.3)
I
Table of Contents
1
1. Purpose
2. Scope
3. Circulation
4. Responsibility
S. Related Documents
6. References
7. Definitions
8. Process Description
9. Appendix/Worksheets
10. Approval/Document History
1. PURPOSE
The purpose of this policy is to define and describe the elements of the DIA Food Bureau Risk
Assessment and Inspection Frequency Policy for retail food establishments, home food establishments,
and hotels (DIA VNRFRPS.3).
2. SCOPE
This policy shall apply to all food establishments directly regulated by DIA Food and Consumer Safety
Bureau.
3. CIRCULATION
This policy shall be distributed to the following individuals: Bureau Chief,Training Specialist/Retail Food
Program Lead,Senior Environmental Specialists,Compliance Officer, Field Inspectors, and Office Staff.A
standing copy of this policy shall be placed in the Voluntary National Retail Food Regulatory Program
Standards Policy Manual and posted on FoodSHIELD.
4. RESPONSIBILITY
Bureau Chief—The Bureau Chief shall review this policy and issue its final approval.
Training Specialist/Retail Food Program Lead—The Training Specialist/Retail Food Program Lead shall
oversee all field assignments and provide leadership to all field staff personnel for compliance with this
policy. He/she shall also see that all inspectors are trained to follow and comply with this policy.
Field Inspectors—The Inspector shall demonstrate knowledge,good conduct and professionalism at
work. He/She shall comply with this policy when performing regulatory duties.
5. RELATED DOCUMENTS
e Voluntary National Retail Food Regulatory Program Standards
Page 1 of 6
Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau
Document#DIA VNRFRPS.3 Voluntary National Retail Food Regulatory Program Standard 3
Version#A Effective Date:July 1,2014
Title: DIA Risk Assessment and Inspection Frequency Policy(DIA VNRFRPS.3)
6. REFERENCES
Y 2009 FDA Model Food Code and Supplement
2009 FDA Model Food Code Annex
7. DEFINITIONS
i
a DIA—Department of Inspections and Appeals
C VNRFRPS—Voluntary National Retail Food Regulatory Program Standards
8. PROCESS DESCRIPTION
DIA Food and Consumer Safety Bureau field staff will apply the DIA Risk Assessment and Inspection
Frequency Policy to assign a risk level and inspection frequency to each food establishment regulated by
the DIA Food and Consumer Safety Bureau.
9. Appendix/Worksheets/ Document History
o DIA Risk Assessment and Inspection Frequency July, 12014
o Risk Assessment by Chain 2014
o Service Site Production Site-Schools and Nutrition Programs
Page 2 of 6
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Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau
Document#DIA VNRFRPS.3 Voluntary National Retail Food Regulatory Program Standard 3
Version#:1 Effective Date:July 1,2014
Title:DIA Risk Assessment and Inspection Frequency Policy(DIA VNRFRPS.3)
DIA Risk Assessment and Inspection Frequency Policy
*Risk levels may only be adjusted based on the Risk Assessment Criteria, Routine inspection frequency may be
adjusted up or down within the designated allowed range without changing the established risk level.
Considerations when adjusting routine inspection frequency to be more frequent than the normal frequency based
on the established risk level:
• Establishments that have shown consistent non-compliance with risks factor violations(2 or more
consecutive inspections with repeat risk factor violations);
• Establishments that have any violations under sections 2-101.11,2-102.11,2-103.11, 2-201.11, 2-201.12
or 2-201.13 of the 2009 FDA Food Code and Supplement;
• Establishments that have shown consistent non-compliance with multiple violations of"Good Retail
Practices"(4 or more repeat"Good Retail Practice"violations on consecutive inspections without showing
improvement;
• Establishments with complaints concerning risk factors that have been found verified;
• Establishments that have been linked to a FBI outbreak by epidemiological evidence;and
• Establishments that frequently change their scope of business.
Consideration when adjusting routine inspection frequency to be less frequent than the normal frequency based
on established the risk level:
• Stable management structure;
• Active Managerial Control is present;and
• Inspection history demonstrates a history of compliance.
Although inspection staff will have the ability to set the inspection frequency to any frequency,this Risk
Assessment and Inspection Frequency Policy provides the allowable frequency adjustments for each risk level.
Additional factors to consider when establishing a risk level when the criteria are not definitive
• The number of customers a facility regularly serves
Hotel inspections will be conducted prior to operating and upon a received complaint, routine Hotel inspections
will not be conducted unless specified by the Bureau Chief or designee
Home Food Establishments will be inspected prior to operating and upon a received complaint,routine Home Food
Establishment will not be conducted unless specified by the Bureau Chief or designee
Pre operational inspections will not be conducted for food establishments that change ownership unless the
inspector determines there are extenuating circumstances that require a pre-operational inspection such as:
• An Inspection history that demonstrates poorly maintained physical facilities and equipment;
• An inspection history that demonstrates lack of adequate refrigeration;or
• An inspection history that demonstrates a lack of adequate equipment.
Page 3 of 6
Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau
Document#DIA VNRFRPS.3 Voluntary National Retail Food Regulatory Program Standard 3
Version#A Effective Date:July 1,2014
Title: DIA Risk Assessment and Inspection Frequency Policy(DIA VNRFRPS.3)
Risk Level 1(Very Low) (Normal frequency every 36 months, may be adjusted to every 24 or 18 based on
inspection history)
• Process 1 Foods—"No Cook Step" "Without a Consumer Advisory'
• Limited menu and limited preparation or handling of foods
• Types of facilities may include bars or taverns without food preparation;retail stores with mostly
prepackaged items or unpackaged non PHF/TCS foods. (Dollar General, Bulk Food Stores, Health Food
Stores, convenience stores without food preparation and hotel continental breakfast)
• Mobile Food Units(prepackaged foods only i.e.Schwan's,packaged ice cream trucks)
Risk Level 2(Low)(Normal frequency every 24 months,may be adiusted to every 18 or 12 based on inspection
history)
• Process 1 Foods—"No Cook Step"Without a Consumer Advisory
• Types of establishments covered may include;snack bars,sandwich shops that do not cook,convenience
stores with limited food prep that do not cook and pizza places without buffets and salad bars
• Retail stores with multiple unpackaged items with limited food preparation
• School service sites only(these cannot be adjusted less frequent)
Risk Level 3 (Medium)(Normal frequency every 18 months may be adiusted to every 24, 12,or 6 based on
inspection history)
• Process 2 Foods—"Same Day Service"
• Limited Process 3 Foods"Complex Food Preparation" (A small amount of Process 3 foods would be
allowed in a Level 3 establishment i.e.sauces,daily specials)
• Types of establishments this may include depending on the menu are steakhouses and bar-grills,pizza
places with salad bars and buffets
• Retail stores with multiple unpackaged items and are engage in food preparation
• Highly Susceptible Population(service site only)
• Seasonal Concession Stands(no less frequent than every 12 months)
Risk Level 4(High)(Normal frequency every 12 months may be adiusted to every 6 or 18 based on history)
• Multiple Process 3 Foods"Complex Food Preparation"
• Types of facilities buffet restaurants,production cafeterias,full service diners
• Catering operations
• School production kitchens(these cannot adjusted to less frequent than every 12 months)
• Highly susceptible populations(production kitchens)
• Facilities selling Shellstock(five oysters,clams,or muscles)at retail
• Process 1 Foods with a Consumer Advisory i.e.sushi,oysters
• Mobile food units(other than prepackaged)
Risk Level 5(Very High) (Normal frequency every 6 months may be adjusted to every 4 or 12 based on inspection
history)
• Facilities with an issued special process variance per 3-502.11
• Facilities with a Food Code required HACCP Plan per 8-201.13
Page 4 of 6
Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau
Document#DIA VNRFRPS.3 Voluntary National Retail Food Regulatory Program Standard 3
Version#A Effective Date:July 1,2014
Title: DIA Risk Assessment and Inspection Frequency Policy(DIA VNRFRPS.3)
Risk Assessment by Chain
Very Low-1 Low-2 Medium-3 High-4 Very-High-S
Dollar General Subway McDonald's Legends American Grill Olive Garden
Family Video-
No pizza Quizno's KFC Okoboji Grill Hy-Vee Sushi
DSM School Central
Git-n-Go Kum&Go Taco Bell Hy-Vee Store Kitchen
Shopko Kwik Star Tacolohns Perkins Texas Roadhouse(ROP)
K-Mart Karabu Coffee Hardee's Family Table Sushi Avenue
Dollar Tree Starbucks Fazoli's Dahl's AFC Sushi
Menards Pappa Murphy's Buffalo Wild Wings Costco ACE Sushi
Walgreens Casey's Wendy's Machine Shed
Schwan's JimmyJohns Burger King IHOP
Aldi Domino's Arby's Ground Round
Puzza Hut-
Delivery/Take-Out Pizza Hut Cheesecake Factory
PappaJohns-
Delivery/Take Out Long John Silvers Famous Dave's
Johnny's Italian
Blimpie Culvers Steakhouse
Hy-Vee Gas Sonic Bandana's
Smashburger Waterfront
Panera Bread
Applebee's
MaidRite
A&W
B-Bops
Target(with Food
Service)
Happy.loes
Panchero's
Chipotle
Fareway
Red Robin
Sam's Club(no
shellstock)
Wal-Mart
Supercenter
Page 5 of 6
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Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau
Document#DIA VNRFRPS.3 Voluntary National Retail Food Regulatory Program Standard 3
Version#:1 Effective Date:July 1,2014
Title: DIA Risk Assessment and Inspection Frequency Policy(DIA VNRFRPS.3)
Service Site or Production Site
Schools and Nutrition Programs
Yes means OK for Satellite. N means not OK for Satellite.Y/N means more info needed.
Cooking foods N
Reheating food,except for the occasional reheating of
foods delivered from the main kitchen as a method of
temperature correction or maintenance N
Washing whole fruit Y
Cutting/Portioning fresh fruit Y
Preparing baked goods N
Slicing rolls and buns for sandwiches Y
Slicing meats or cheeses N
Assembling sandwiches Y
Opening/Portioning canned fruit Y
Mechanical or manual warewashing/sanitizing eating
utensils,serving trays,and pots and pans N
Mechanical or manual warewashing of serving utensils,
knives,condiment dispensers,and other limited items
provided adequate warewashing facilities are available Y
Scraping dishes-No warewashing Y
Storing bulk dry food Y/N—Volume and distribution is a factor
Storing refrigerated or frozen food other than milk Y/N—Volume and distribution is a factor
10.
Bureau Chi Date: Zo /
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