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Iowa Department of Inspections and Appeals New Interagency Agreement
City of Dubuque City Council Meeting Consent Items # 11. Copyrighted August 16, 2021 ITEM TITLE: Iowa Department of Inspections and Appeals New Interagency Agreement SUMMARY: City Manager recommending approval of the 28E agreement with the Iowa Department of Inspections and Appeals for inspection, licensing, and enforcement for the period July 1, 2021-June 30, 2024. SUGGESTED Suggested Disposition: Receive and File; Approve DISPOSITION: ATTACHMENTS: Description Type Iowa Department of Inspections and Appeals New City Manager Memo Interagency Agreement-MVM Memo Memo I D I A Interagency Agreement August 10, 2021 Staff Memo I DIA 28E Interagency Agreement with City of Dubuque Supporting Documentation Dubuque THE CITY OF DE-E All-America City U B ' 111. ' 13 Masterpiece on the Mississippi zoo�•*o YP PP Zoi720zoi9 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: August 11, 2021 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 January 1, 2021-June 30, 2021. 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, and temporary food stands throughout the City. Public Health Specialist Mary Rose Corrigan recommends City Council approval of the 28E agreement with the Iowa Department of Inspections and Appeals for inspection, licensing, and enforcement of these establishments for the period July 1, 2021-June 30, 2024. I concur with the recommendation and respectfully request Mayor and City Council approval. v Mic ael C. Van Milligen MCVM:jh Attachment cc: Crenna Brumwell, City Attorney Cori Burbach, Assistant City Manager Mary Rose Corrigan, RN, Public Health Specialist THE CITY OF DUB E Masterpiece on the Mississippi Dubuque AII•Amerim City NAB N"Nhl i 7W7 L4-1` II 11. ► 2007-2012.2013 2017*2019 TO: Michael C. Van Milligen, City Manager FROM: Mary Rose Corrigan, RN, Public Health Specialist Health Services Department City Hall Annex 1300 Main Street Dubuque, IA 52001 Office (563) 589-4181 Fax (563) 589-4299 TTY (563) 589-4193 health@cityofdubuque. org www.cityofdubuque.org SUBJECT: Iowa Department of Inspections and Appeals New Interagency Agreement DATE: August 10, 2021 INTRODUCTION This memorandum provides information regarding the Iowa Department of Inspections and Appeals (IDIA) new interagency 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 January 1, 2021-June 30, 2021. 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, and temporary food stands throughout the city. DISCUSSION The duration of the agreement was determined by progress on meeting FDA Voluntary National Retail Food Program Standards, a requirement of IDIA, along with overall program outcomes and being on the same cycle as the other DIA contracts throughout the state. The longest term -agreements are 3 years for agencies that have met the required standards by June 30, 2020. Since we now have completed the required standards, the newly proposed contract is for 3 years, with a 3- year renewal cycle. Service People Integrity Responsibility Innovation Teamwork This new agreement has the following changes: DUTIES OF DEPARTMENT (DIA): The Department agrees that the Department and its employees shall: ❖ Provide licenses and forms prescribed by the Department for the cost of producing the licenses and forms. The Department anticipates during the term of this Agreement it will adopt a new data system and assume all responsibility for processing license applications and issuing licenses, with the exception of temporary food establishment applications and licenses, farmers market applications and licenses, and other license applications that are permitted to be received by the Local Health Agency in paper form. The financial implications of such anticipated changes are addressed in section 8, "Manner of Financing." ❖ Beginning July 1, 2022 (state fiscal year 2023), the Department will retain a percentage of the license fees submitted though the USA Food Safety data system as a processing fee. The processing fee will be used to support 50% of the cost to maintain, support, and host the USA Food Safety data system provided by the Department. This is illustrated by the following example: Dubuque has 459 licensed facilities in fiscal year 2021. Accordingly, our percentage of licensed facilities as compared to the total number of the 12 local health agency licensed facilities would amount to a maximum not to exceed our percentage as compared with other contracting entities in the state. This is estimated not to exceed $5000. DIA is collecting this revenue to help fund a new USDA food safety database. ❖ In addition, DIA was asked: How do citizens/establishments that don't have technology access supposed to use the system? Does DIA have people available to assist by phone to enter the information for them? Or another option we can use to refer individuals without technology? "The point raised during the meeting between the Department and the local agencies about technology access and technology literacy was certainly well received. We currently have people available to assist user by phone and have begun posting videos on how to use the current online application system. We are excited for a new system that offers a very user- friendly experience. However, we understand there must be some exceptions to electronic application submissions. The language in section 6(f) of agreement supports the inclusion of exceptions. I look forward to discussing such acceptations as we move forward. The requirement to submit electronically will likely need to be incorporated into our administrative rules along with any exceptions". Health Services staff will assist those without internet access in license applications and renewals as much as the new system and policies allow. Service People Integrity Responsibility Innovation Teamwork BUDGETIMPACT FY'21 revenue generated by license fees collected from these various establishments was $137,445. Projected revenue for FY'22 is $143,528 based on the FY'20 actual. The costs retained by the DIA in the new agreement will be deducted from the total revenue, which is not estimated but shall not be greater than $5,000 RECOMMENDATION It is recommended that the City Council approve the 28E agreement with the IDIA for inspection, licensing, and enforcement of these establishments for the period July 1, 2021-June 30, 2024. ACTION STEP The action step is for the City Council to authorize the City Manager to sign the agreement on behalf of the City of Dubuque Health Services Department. Service People Integrity Responsibility Innovation Teamwork Full Legal Name Organization Type County Party 1 Iowa Department of Inspections and Appeals State Agency Polk Party 2 City of Dubuque City Dubuque 530 Health Service Type Authorize the performance of food and hotel licensing, inspection and enforcement activities by the City of Dubuque on behalf of the Iowa Department of Inspections and Appeals. Purpose 06/30/2024 Duration IowaDepartmentofInspectionsandAppealsNewInteragencyAgreement.pdf Upload Scanned Agreement Contact Person: (Optional) Contact First Name Contact Last Name Job Title City of Dubuque Health Department Department Iowa Secretary of State 321 East 12th Street Des Moines, IA 50319 sos.iowa.gov 28E Agreement Participants Email Address 1 563.589.4181 Phone Number Filing Number: M513986 02:27 PMFiling Date: 08/19/2021 FILED 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 bakeries) 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 bakeries) 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 July 1, 2021 shall continue in full force and effect until June 30, 2024. 1IPsge 5. TERMINATION: Either party may terminate this Agreement by providing the other party a written notice of intent to terminate at least ninety (90) 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 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. 12" 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 bakeries) 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 bakeries found in the designated geographical region specified by Section 3 of this Agreement. c. Conduct pre -opening, routine, follow-up, and complaint inspections for food establishments and institutions using the Food Code as adopted pursuant to Iowa Code section 137F.2. The routine inspection frequency shall be a risk -based system consistent with the requirements of FDA's Voluntary National Retail Food Regulatory Program Standards (2019) 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). The Local Health Agency shall complete at least 80% of follow-up inspections within time frames established in the Agency's written compliance and enforcement procedures. The Local Health Agency shall respond to at least 90% of illness complaints within the response time specified in the Agency's written procedure. The Local Health Agency shall respond to at least 85% of non -illness complaints within the response time specified in the Agency's written procedure. d. Conduct complaint and pre -opening inspections of hotels and motels per Iowa Code section 137C.I I and home bakeries pursuant to Iowa Code section 137D.2. 21Page Completion of routine inspections for hotels and motels and home bakeries will not be considered during performance reviews and as a factor in future contracting until such a time as the Department instructs otherwise. e. Forward requests for variances or HACCP (Hazard Analysis and Critical Control Points) plans and Agency recommendations to the Department for approval. Variances and IIACCP 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. f. Issue State licenses. Licenses, applications and inspection forms will be on forms 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. The Department anticipates during the term of this Agreement it will adopt a new data system and assume all responsibility for processing license applications and issuing licenses, with the exception of temporary food establishment applications and licenses, farmers market applications and licenses, and other license applications that are permitted to be received by the Local Health Agency in paper form. The financial implications of such anticipated changes are addressed in section 8, "Manner of Financing." 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 Council to Improve Foodborne Illness Outbreak Response (CIFOR) and National Environmental Assessment Reporting System (NEARS). Further, the Department may also directly participate in the investigation. Beginning July 1, 2022, the Department will conduct all foodborne illness environmental assessments. If requested by the Department, the Local Health Agency will participate in the investigation and conduct a concurrent regulatory inspection. 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. The Local Health Agency is encouraged to establish Google Accounts for staff members participating in surveys and accessing documents. 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 bakeries via the electronic inspection application using tablet computers including the electronic capture of signatures. Further, inspectors shall 3 1 P a g e update facility emergency contacts, operation type, classification, sub classification, and franchise with each inspection. The Local Health Agency shall routinely review data system files to ensure facility information is updated during inspections and take corrective actions when deficiencies are identified. 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 enter all food disasters and upload reports and other documentation to the data system. 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 Training, as prescribed by Standard 2 of the FDA Voluntary National Retail Food Regulatory Program Standards (2019) or successors 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 inspector trainings and continuing education shall be accounted for by the Local Health Agency by uploading course completion certificates or other documentation into the ABSORB data system 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 and food microbiology and sampling course. • All inspectors shall also complete the CDC's National Voluntary Environmental Assessment Information System (NEARS) EATS 101 Foundation Skills and EATS 102 Skill Building scenarios on the private school and catering operation as a part of the initial training curriculum. https://www.edc.gov/nceh/ehs/clearn/eats/index.html 1. Send representation, absent Department -approved extenuating circumstances, to all Department -,sponsored regional meetings and FDA training in Iowa. Further, jurisdictions are encouraged to send inspectors to FDA developed training FD 215 Managing Retail Food Safety, FD 218 Risk -based Inspection Methods in Retail, and FD 312 Special Process at Retail when they are in nearby states or accessible online and required to send any inspectors that have not completed the classes when they are held in Iowa. 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. 41Page 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 every six -months thereafter. The Local Health Agency shall also provide at least one after-hours emergency contact. q. The Local Health Agency shall maintain, in good standing, enrollment in the FDA's Voluntary National Retail Food Regulatory Programs Standards including completing and submitting a self -assessment of all 9 Program Standards to the FDA at least once every 60 months. Further, the Local Health Agency shall submit all verification audits to the FDA for any Standard that are met. r. 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 (2019). 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. Standard 9 — Program Assessment vi. If a local health agency does not currently meet or 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 within 90 days of the execution of this agreement or 90 days from the date of the self -assessment s. The Local Health Agency shall provide the Department with a copy of any self - assessment completed and the Department shall audit any standards met. t. The Local Health Agency shall use the data system adopted by the Department for 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. u. The Local Health Agency shall enter all complaints received against establishments including reported food disasters covered under this agreement into 51Page the electronic data system. Further, the Local Health Agency shall follow instructions provided by the Department for entering complaints and the follow up to complaints including investigations and other types of follow up. The Local Health Agency shall have written procedures that specify specific response time for complaints. Complaint inspections shall be scheduled for all complaints where an on -site inspection is conducted. The complaint inspection must be scheduled with a due date not to exceed the response time specified in the written procedure. During this contract period, the Department will review the consumer complaint reporting process. v. Provide notice to the Department of any significant changes in staff involved in the food program including inspectors, administrative support, and management. Significant changes in staffing may result in a reassessment by the Department of the contracting agreement. w. The Local Health Agency shall have memorandum of understanding (MOU) with either another Local Health Agency currently contracting with the Department or the Department to provide the services outlined in this agreement if inspection personnel are unavailable. A copy of the MOU shall be provided to the Department. x. The Local Health Agency shall maintain a 20.88 information sharing agreement with the FDA to allow the sharing of information during recalls and other food emergencies. y. The Local Heath Agency shall notify the Department, in a manner presribed by the Department, if the Local Health Agency identifies a Consumable Hemp Establishment that is not registered with Department. 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. The Department anticipates during the term of this Agreement it will adopt a new data system and assume all responsibility for processing license applications and issuing licenses, with the exception of temporary food establishment applications and licenses, farmers market applications and licenses, and other license applications that are permitted to be received by the Local Health Agency in paper 6Page form. The financial implications of such anticipated changes are addressed in section 8, "Manner of Financing." 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. The Department may elect to participate in foodborne outbreak investigations. Beginning July 1, 2022, when the Department determines that an environmental assessment is warranted in response to a foodborne illness outbreak, the Department will conduct the environmental assessments. The Department may request that the Local Health Agency participate in the environmental assessment or to conduct concurrent a regulatory inspection. 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 periodic reviews during this agreement. 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. j. Provide food -related courses to assist the Local Health Agency in meeting continuing education requirements. k. Provide audits for the FDA Voluntary National Retail Food Regulatory Program Standards (2019). 1. Provide standardization of one inspector per Local Health Agency and re - standardization as required. The location of standardization inspections will be determined by the Department. m. Provide the ABSORB system for tracking of food training records. 71Page 8. 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(2017), 137D.2(2017) and 137F.6(2017) and their successors. a. Beginning July 1, 2022 (state fiscal year 2023), the Department will retain a percentage of the license fees submitted though the USA Food Safety data system as a processing fee. The processing fee will be used to support 50% of the cost to maintain, support, and host the USA Food Safety data system provided by the Department. The processing fee will be determined and calculated as follows: The Department will determine the reasonably anticipated cost to maintain, support, and host the USA Food Safety data system for the following fiscal year, which will be based upon the actual cost to maintain, support, and host the USA Food Safety data system during the prior fiscal year, adjusted for any reasonably certain additional costs or savings anticipated by the Department in the following fiscal year. The Department will also determine the reasonably anticipated total license fees to be received by the Department during the following fiscal year, which will be based upon the actual amount of license fees received by the Department on behalf of the local health agencies during the previous fiscal year. The Department will allocate 50% of the reasonably anticipated cost to maintain, support, and host the USA Food Safety data system to the local health agencies, in aggregate, and divide that amount by the total amount of license fees received by the Department on behalf of all local health agencies. The resulting percentage will be the fee retention withheld from each license fee received by the Department on behalf of the Local Health Agency in the current fiscal year. The total amount of fees retained by the Department from the Local Health Agency annually will be capped so as not to exceed the Local Health Agency's percentage of licensed facilities as compared to the total number of local health agency licensed facilities. The following is an illustration of the retention fee percentage calculation described above: Based upon the actual cost to maintain, support, and host the USA Food Safety data system during fiscal year 2022, including any reasonably certain adjustments, the reasonably anticipated cost to maintain, support, and host the USA Food Safety data system during fiscal year 2023 is $100,000 annually. Based upon the total license fees received by the Department on behalf of all local health agencies during fiscal year 2022, the total license fees reasonably anticipated to be received by the Department on behalf of all local health agencies during fiscal year 2023 is $350,000. 50% of the reasonably anticipated cost to maintain, support, and host the USA Food Safety data system is $50,000 ($100,000 x .50 = $50,000). The retention percentage is thus 14.3% ($50,000/$350,000—.143). Accordingly, the percentage retained by the Department from each license fee received by the Department on behalf of the Local Health Agency in fiscal year 2023 is 14.3%. 81Page The following is an illustration of the cap on the total amount of fees retained by the Department from the Local Health Agency annually: The Local Health Agency accounts for 1,000 licensed facilities in fiscal year 2022. In total, local health agencies licensed 10,000 facilities in fiscal year 2022. Accordingly, Local Health Agency's percentage of licensed facilities as compared to the total number of local health agency licensed facilities is 10% (1,000 /10,000 —. 1). Per the illustration above, 50% of the reasonably anticipated cost to maintain, support, and host the USA Food Safety data system allocated to the local health agencies was $50,000. Accordingly, the total amount of fees retained by the Department from Local Health Agency annually will be capped at 10% of $50,000, or $5,000 (10% x $50,000 = $5,000). b. The processing fee will be adjusted annually. If, at any time, the Department receives additional funding dedicated to the support of the USA Food Safety data system fxom other sources, the processing fee may be reduced, eliminated, or delayed to account for the reduced cost to maintain, support, and host the USA Food Safety data system. c. The Department anticipates during the term of this Agreement it will adopt a new data system and assume all responsibility for processing license applications and issuing licenses, with the exception of temporary food establishment applications and licenses, farmers market applications and licenses, and other license applications that are permitted to be received by the Local Health Agency in paper form. A portion of each license fee will be retained by the Department as a processing fee to support 50% of the cost of implementation, maintenance and support of the data system and the costs of processing license applications. At least 30 days prior to adopting the new data system and assuming all responsibility for processing license applications and issuing Iicenses, the Department will recalculate the processing fee to account for changes in the reasonably anticipated cost to maintain, support, and host the new data system, the reasonably anticipated cost of processing the license applications, and the reasonably anticipated total license fees to be received by the Department. 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, workers' 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, workers' 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. 9 1 P a g e 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 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 via the electronic data system. 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. 12. 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. 13. 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. 14. 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. 101Page 15. 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 .- Lb & 0 Date977 ga4rry J4. n, Jr. DirAAr Iowa Department of Tnspections and Appeals By (/ Date (Si ature) Michael Van Milligen (Print or Type Name) City Manager (Title) City of Dubuque Attachments: Attachment 1: Risk Assessment and Inspection Frequency Policy Attachment 2: Conflict of Interest Statement Attachment 3: DIA Time Frame for Complaint Response Policy 8/17/2021 IIIPage Iowa Department of Inspections and Appeals Food and Consumer safety bureau Document # DIA VNRFRPS,3 Voluntary Natlonal Retoll Food Regulatory Program Standard 3 Version #J Effective Date: July 1, 2014 Title: DIA RlskAssessment and Ins ection Frequency Policy (DIA VNRFRPS,3) Table of Contents 1. Purpose 2. Scope 3. Circulation 4. Responsibility S. Related Documents G. References 7. ❑efinitions 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 `Graining Specialist/Retail Food Program Lead shall oversee all field assignments and provide leadership to all field staff personnel for compliance with this policy. Fie/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. S, RELATED DOCUMENTS • Voluntary National Retail Food Regulatory Program Standards Page 1 of 6 Iowa Departnient of Inspections and Appeals Food and Consumer Safety Bureau Document It DIA VNRFRPS.3 Voluntary National Retail Food Regulatory Program Standard 3 Version #A Effective Date; July 1, Z014 Title. DIA 131skAssessment and Inspection Frequency Policy (DIA VNRFRPS,3) 6, REFERENCES 2009 FDA Morsel Food Code and Supplement a 2009 FDA Model Food Code Annex 7. DEFINITIONS DIA — Department of Inspections and Appeals a 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 Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document# D)A VNRFRPS.3 ValuntaryNatlonal Retall Food Regulatory Program Standard 3 Version 41:7. - Effective Date: July 1, 2014 ` _ -- ,ritie: DIA Risk Assessment and Inspection Frequency Policy (DIA VNRFRPS.3) DIA Risk Assessment and Inspection Frequency Policy *Rlsk levels may only be adjusted based on the Risk Assessment Criteria, Routine Inspection frequency may be adjusted up or down wlthln 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); q Establishments that have any violations under sections 2--101.11, 2-102.11, 2-103A1., 2-201.11, 2-201.12 or 2-201.13 of the 2009 FDA Food Code and Supplement; • Establishments that have shown consistent non-compllance with multiple violations of "Good Retail Practices"(4 or more repeat "Good Retail Practice" violations on consecutive Inspections without showing improvement; 6 Establishments with complaints concerning risk factors that have been found verified; o 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: o stable management structure; e 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 criterla are not definitive a The number of customers a facility regularly serves Hotel inspections will be conducted prior to operating and upon a received cornplaint, 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 rood Establishment will not be conducted unless specified by the Bureau Chief or dosignee 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: o An Inspection history that demonstrates poorly maintained physical facilities and equipment; • An Inspection history that demonstrates lack of adequate refrigeration; or a 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 #:1 Effective Date: July 1, 2014 Title: DiA Risk Assessment and Inspection Frequency Policy (DIA VNRFRPS.3) Risk Level Ver Low Normal frequency every 36 months may be ad usted 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 trtostly prepackaged items or unpackaged non PHF/TCS foods. (Dollar General, sulk 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 truths) Risk Level-2 Lo --y&(Norma.lftequency every 24 months may be adjusted 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 coon and pizza places without buffets and salad bars • Retail stores with multiple unpackaged items with limited food preparation • School service sltes only (these cannot be adjusted less frequent) Risk Level 3_(Medlum) (Normal frequency every 18 months may be adkisted to every 24, 12, or 6 based on inspection history) • Process 2 Foods — "Same Day service" a Limited Process 3 Foods "Complex Food Preparation" (A small amount of Process 3 foods would be allowed in a Level 3 establishment 1,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 e Highly Susceptible Population (service site only) e Seasonal Concession Stands (no less frequent than every 12 months) Risk Level Q (High) Normal freguency ever 12 months may be ad listed to every 6 or 18 based on historyl • 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 (live oysters, clams, or muscles) at retail • Process 1 Foods with a Consumer Advisory i.e. sushi, oysters a Mobile food units (other than prepackaged) Risk Level 5 (Very High) (Normal frequency every 6 months may.be adius.ted to every 4 or 12 based on insrection 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 VNRFRP5.3 Voluntary National Retail Food Regulatory Program Standard 3 Version #:I I Effective Date; Jufy 1, 2014 Title: DIA Risk Assessment and Inspection Frequency PollDIA VNRFPS. R) Risk Assessment by Chain Very Low-1 Law-2 Medium-3 High-4 Very-High-5 Dollar General Subway Mcponald's 1 Legends American Grill Olive Garden Family Video - No pizza Qtllzna's KFC okoboJi Grill I-ly-Vee Sushi Glt-n-Go Kum & Go Taco Bail Hy-Vee Store DSM School Central Kitchen Shopko Kwik Star Taco Johns Perkins Texas Roadhouse (flop) K-Mart Karabu coffee Hardee's Family Table SushfAvenue Dollar Tree Starbucks Fazoll's Dahl's ArcSushl Menards Pappa Murphy's 13uffalo Wild Wings Castro ACE Sushi Walgreens Case 's Wend 's Machine Shed Schwan's Jimmy Johns Burger King IHOP Aldi Domino's Arby's Ground Round Pazza Hut- Delivery/Take-Out Pizza Hut Cheesecake Factory PappaJohns- Deflve /Take Out Long John Silvers Famous Dave's Blimpie Culvers Johnny's Italian Steakhouse Hy-Vee Gas Sonic Bandana's Smashburger Waterfront Panera Bread A plebee's MaldRite A&W B-Bops Target (with Food Service) Happy Joes Panchero's _ Chipotle Fareway _ Red Robin Sam's club (no shellstock Wal-Mart Supercenter Page 5 of 6 Iowa Department of Inspections and Appeals food and Consumer Safety Bureau Document # DIA VNRFRPS.3 Valuntary Natfonal Retail Food Regulatory Program Standard 3 Version #:1. Effective Date; July 1, 2014 Title: DIA Rlsk Assessrnent and Inspection Frequency.Policy (DIA VNRFRPS3) 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/Portloning 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 titan milk VN —Volume and distribution is a factor 10. Bureau chi 77 date: ' Zo 7 Page 6 of 6 Conflict of Interest Statement Food and Consumer Safety Bureau Department of Inspections and Appeals In order to prevent conflicts of interest or the appearance of conflicts of interest, environmental specialists within D1A shall be prohibited fi-om inspecting food establishments, food processors, hotel/motes or cosmetology or barber or cosmetology operations where the specialist has been employed in the past two years, has a financial interest (other than mutual fund) or has immediate family members employed or inn-nediate family members with an ownership interest. Any changes between the annual statements must be immediately reported to your supervisor. Annually each inspector will be asked to complete this statement. Please list any food establishments, food processors, hotel/motels or cosmetology or barber or cosmetology operations where you have worked as an employee, consultant, officer, or any other manner in the last two years. Please list the name of the establishment/processor and the city. Please list any food establishments, food processors, hotel/motels or cosmetology or barber or cosmetology operations where you have a financial or ownership interest. Please list the name of the establishment/processor and the city. Please list any immediate family member(s), who may fit any of the following criteria. Immediate fondly rnernbers includes a husband or wife; natural or adoptive parent, child or sibling; stepparent, stepchild or stepsibling; father-in-law, mother -In-law, son-in-lmv, datrghter-in-law, brathei• in-law, or sister• in-law; or grandparent or grandchild 1, Do you have immediate family members(s) who are currently or within the last two years have been employed by a food establishments, food processors, hotel/motels or cosmetology or barber or cosmetology operations? Yes No If yes, who and where 2. Do you have any immediate family member(s) who have financial interest or ownership interest ill a food establishments, food processors, hotel/motels or cosmetology or barber or cosmetology operation? Yes No If yes, who and where Staff Member: Signature: Dater Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document # DIA-MFRPS.3, VNRFPS.3 Pages: 11 Version##: 6.1 Fffective Date: 7/02/2020 Title: Complaint Response SUP Table of Contents 1. Purpose 2. Scope 3. Background 4, Responsibility S. Definitions 6. Procedures 7. Related Documents S. Equipment/Materials Needed 9. Safety 10, Circulation 11. Approval 1. PURPOSE The purpose of this policy Is to describe the different types of consumer complaints received by the Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau, complaint assignments, the time frame for response to each type of complaint, documentation, and closing out a complaint. 2. SCOPE This policy shall apply to all retail food establishments, home bakeries, manufactured food firms, and hotels, 3. BACKGROUND IA RRT Coordinator will apply the DIA Time Frame for Complaint Response to all complaints received by the department. DIA Food and Consumer Safety Bureau field staff will respond to complaints as assigned. 4. RESPONSIBILITY Bureau Chief The Bureau Chief or designee will review all policies and procedures that apply to DIA administrative and general bureau functions and issue final approval of those policies and procedures, Assistant Bureau Chief - The Assistant Bureau Chief is responsible for the overall administration of the Manufactured Food Regulatory Program Standards, the Voluntary National Retail Food Regulatory Program Standards, and the Iowa Food Emergency Rapid Response Team programs, Disclaimer: A printed hardeopy or download of this document is uncontrolled. Please refer back to the FoodS1-IIEI..D MFRPS/VNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document # DIA-MFRPS.3, VNRFPS_3 Pages: 11 Version #: 6.1 Effective L3ate: 7J0W= Title: Complaint Response SOP including writing and revising policies and procedures, He/She will serve as the designee forthe Bureau Chief. Rapid Response Team Coordinator —The Rapid Response Team (RRT) Coordinator ar designee shall oversee field assignments in regards to complaints and provide leadership to all field staff personnel for compliance with this policy. The RRT Coordinator or designee will also serve as the assessor or reviewer for this policy for the Manufactured Food Regulatory Program Standards and the Voluntary National Retail Food Regulatory Program Standards. Regional Inspection Supervisors --The Regional Inspection Supervisors or designee shall supervise retail and manufactured food Field Inspectors and provide leadership to all field staff personnel for compliance with this policy, Manufactured Food Program )read --The Manufactured Food Program Lead will be the technical expert on manufactured food inspections, He/She shall ensure that all manufactured foods Field Inspectors are trained to follow and comply with this policy, HejShe shall assist in the review of this policy for the Manufactured Food Regulatory Program Standards, Retail Food Program Lean —The Retail Food Program Lead will be the technical expert on retail food inspections. He/She shall ensure that all retail Field Inspectors are trained to follow and comply with this policy, He/She shall assist in the review of this policy for the Voluntary National Retail Food Regulatory Program standards - Grant Coordinator The Grant Coordinator shall develop and update the procedure under the advisement of the Bureau Chief, Assistant Bureau Chief, Regional Inspection Supervisors, Manufactured Food Program Lead, Retail Food Program lead, and RRT Coordinator. He/She will assist with training Inspectors to follow and comply with this policy, Field Inspectors -The Field Inspectors will follow the procedures described as applicable to their position and notify their supervisor when the procedures cannot be followed. S. DEFINITIONS Business Day --an official day of the week between and including Monday through Friday during which business is conducted, not including public holidays and weekends. Consumer Complaints -- complaints made by the public regarding food products, facility, practices, labeling, and any other related activities, The name or any identifying information of a person who files a complaint with the department is considered a confidential record. Response —a reaction or reply conducted by the RRT Coordinator, Regional Inspection Supervisors, Manufactured Food Program Lead, Retail Food Program lead, Field Inspectors, or deslgnee(s) as the 2 1 P a g e Disclaimer: A printed hardcopy or download of this document Is uncontrolled. Please refer back to the FaodSHIFLD MFRPS/VNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document It DIA-MFRPS,3, VNRFPS.3 Pages: 1.1 Version #: 6.1 _ Effective Date: 7/02/2020 Title: Complaint Response SOP�� result of a complaint. The response depends on the nature and severity of the complaint and includes, but Is not limited to: replies by telephone or email, on -site Inspections, virtual inspections, or environmental assessments, Virtual Inspection — an Inspection performed remotely, using a pre -approved video conferencing platform, in response to a non -Illness complaint. A Field Inspector(s) does not perform an on -site visit to complete a virtual inspection. Work Day —an official business day as defined, excluding an inspector's regular day off, flex time, or vacation time. 6. PROCEDURES 6.1. Types of Complaints Listed below are the different categories of complaints that may be received by phone, email, walk-in, or letter. As a part of the initial response, the RRT Coordinator or designee will evaluate complaints on the day they are received to determine the appropriate response and enter the complaint into the USA FoodSafety (USAFS) database for tracking. Further response is detailed in the following sections, 6.1.1. food-reiated Illness outbreaks 6.1..2. Food -related Illness/Injury Complaints 6.1.3, Emergency/Imminent Health Hazards 6.1..3.1. Power outage 6.1.3.2. Loss of water supply 6,13.3. Sewage backup 6.1.3.4. Fire 6.1..3.5. Flood 6.1.3.6. Boll advisory/order 6.1.3.7. Chemical/Hazardous Waste Incidents 6.13.8, Other circumstances that may endanger public health 6.1.4. Intentional Contamination and/or Terrorism 6,1.4.1 Food Tampering 6.1.4.2. Intentional Adulteration 6.1.4.3. other Hazard Claims 6.15. Non -Illness Complaints 6,1.5.1. Contaminated Equipment/Cross Contamination 6.1.5.2. Food from Unsafe Sources/Adulterated Food 6,1.5.3, Inadequate Cooking 6.1.5.4. Improper Holding Temperatures 6.1.5.5. Poor Personal Hygiene 6.1.5.6. Post Control 3�Page Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD MFRPS/VNRFPS SOP workgroup for cut -rent and fit -for -use version. Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document# DIA-MFRPS,3, VNRFPS.3 Pages: It Version #: 6.1 Effective Date:7/02/2020 �— Title: Complaint Response SOP 6,1.5.7. Bed Bugs 6A.5X Misbranding/Mislabeling 6.1.5.9. General Facility Sanitation 6.1.5.10. Unlicensed Facility 6.1.5.11. Hotels (excluding bedbug complaints) 6.1.5.12. Smoking 6,1.5,11 Unspecified 6.1,5.14, Other State Agency Complaints 6.1.5.15. FDA Complaints 6.2. Response Assignments and Time Frame for Response. 6.2.1. Response and completion times are based on the type of complaint received. -Complaints with similar response and completion times have been grouped together. A complaint follow up inspection may be scheduled to the facility's assigned Field Inspector, Regional Supervisor, or RRT Coordinator or designee based on the type of complaint and determined time frame, the severity of the complaint, inspector's Work nays, the establishment's Inspection history, and the establishment's complaint history. 6.2.1.1. If the Field Inspector assigned to the geographical area Is unable to respond onsite to the complaint within the assigned time frame, the Field Inspector will immediately contact the RRT Coordinator, their Regional Inspection Supervisor, or authorized designee. The RRT Coordinator or designee will reassign the response to other available inspection staff and will notify the appropriate Regional Inspection Supervisor or designee. 6.2.1.2. on -site complaint inspection completion dates may be extended with approval of the Bureau Chief, Assistant Bureau Chief, or designee In Instances when the completion of the inspection by the scheduled due date may negatively Impact public health. 6.2.1.3. In all cases, Field Inspectors are advised to complete complaint Inspections In advance of the assigned due date In order to maximize opportunities to complete inspections and make timely observations. 6.2.1.4. The Bureau Chief, Assistant Bureau Chief, RRT Coordinator or designee is the only person who may adjust thetimeframe for response. 6.2.2. Food-rolated Illness outbreaks: I Business Day. The RRT Coordinator or designee will respond to all food -related illness outbreaks within 1 Business Day of receipt via a phone call to the assigned Field Inspector, to alert them of the situation. 6.2.2.1. The Field Inspector or designee responding to the complaint will be completing the investigation in conjunction with the Environmental Assessment team. 4jPage Disclaimer; A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD MrRPSJVNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of inspections and Appeals Food and Consumer Safety Bureau Document # DiA-M FRPS.3, VNRFPS,3 rages: 11 Version #: 6.1 Effective Date: 7/02/2020 Title; Complaint Response SOP 6.2,2.2. Food -related illness outbreak complaints received after hours or on weekends will be responded to by the RRT Coordinator or designee via phone call to the establishment or operator within 24 hours. 6,23. Food -related lifness, Food -related injury Complaints: Ito 7 Business Days, 6,13.1. Initial Response. the RRT Coordinator or designee will review all food -related Illness complaints and food -related injury complaints within 1 Business Day of receiving each complaint. After initial evaluation of the complaint, the RRT Coordinator or designee will assign the following response times based on the likelihood of the complaint; 6.2.3.1.1. The RRT Coordinator or designee will determine the assignment of "Possible" or "Less Likely" based upon review of information obtained from the complainant, IDPH, or any other local, state or federal agency or department. 612,311.2. The RRT Coordinator or designee will document the determination of the assignment of "Possible" or "Less Likely" in the complaint description on the Complaint Maintenance page in USA FoodSafety. 6.2.3.2. "Possible": Complaints classified as "possible" will be responded to with an onsite inspection within 5 Business Days. 6.2.33. "Lass Likely" With No Onsite Response: Complaints classified as "less likely" and not requiring an onsite response will be followed up via a phone call by the RRT Coordinator or designee within 1 Business Day of receipt of the complaint, The RRT Coordinator will make a note regarding the response in the internal notes on the Complaint Maintenance page in USA FoodSafety and also inform the Field Inspector assigned to the facility and the Regional Inspection Supervisor. 6.2.3.4. "Less likely" Requiring Onsite Response: Complaints classified as "less likely" and due for a Routine inspection will be responded to with an onsite inspection within 7 Business Days. Onsite response will also be assigned if the facility has had one or more complaints in the past 12 months and/or based upon the establishment's inspection history. The RRT Coordinator or designee will make a note regarding the response In the internal notes on the Complaint Maintenance page in USA FoodSafety and also inform the Field Inspector assigned to the facility and the Regional Inspection Supervisor or designee, 6.2.4, Emergency/Imminent Health Hazard Complaints: 1 Business Day. All emergency/imminent health hazard complaints (listed In 6.13) will be responded to within 1 Business Day of receipt, The assigned Field Inspector will be contacted via phone, text, and/or email to alert them of the situation. 6.2.4.1. Response requires an onsite inspection unless otherwise indicated by the RRT Coordinator or designee, The RRT Coordinator or designee may instead require the S(Page Disclaimer: A printed hardcopy or download of this document is uncontrolled, Please refer back to the FoodSHiELD MFRPS/VNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of Inspections and Appeals _ Food and Consumer Safety Bureau Docurnerit It DIA-MFRPS.3, VNRFPS.3 Pages: Version #: 6.1 Effective Date: 7/02/2020 Title: Complaint Response SOP assigned Field Inspector or designee to make a phone call to the owner or operator of the establishment to determine the status of the emergency. The RRT Coordinator or designee will enter a note in the Complaint Maintenance page of the response taken. 6.2.4.2., Virtual Inspection response of non -illness complaints in relation to lack ofwater service, sewer back-up and/or fires is addressed in the DIA Virtual Food Establishment Non -Illness Complaint Inspection Work instructions. 6.2.5. Intentional Contamination and/or Terrorism: I Business day. All Intentional contamination, including terrorism, complaints will be responded to within 1 Business Day of receipt. The assigned Field Inspector will be contacted via phone, text, and/or email to alert them of the situation. 6.2,5.1. If there is supporting evidence of intentional contamination and/or terrorism, the appropriate agencies shall be contacted such as: 6.2.5.1.1. Iowa Department of Homeland Security and Emergency Management 6.2.s.1.2. Food and Drug Administration (FDA) Division of Human & Animal Food Operations West 2 (HAFW2), to include FDA Office of Criminal Investigations 6.2.5.1.3. Iowa Division of Criminal Investigations 6.2.5.1.9. Local law enforcement including sheriff offices and police departments as appropriate. 6.2.6. Non -illness Complaints: Including Contaminated Equipment/Cross Contamination (Including undeclared allergens at manufacturing facilities), Food from Unsafe Sources/Aduiterated Food (including foreign materials), inadequate Cooking, Improper Bolding Temperatures, Poor Personal Hygiene; 5 to 10 Work flays. Complaints that fall into one of the above categories will be assigned a response within 10 Work Days at the discretion of the RRT Coordinator or designee. Response requires an onsite Inspection unless otherwise Indicated by the RRT Coordinator or designee, if otherwise Indicated, a note will be entered with the scheduled Inspection for the assigned Field Inspector or designee, Virtual inspection response of all non -Illness complaints in relation to retail food establishments is addressed in the DIA Virtual Food Establishment Non -Illness Complaint Inspection Work Instructions. 6.2.6.1. Pest Control: 1 to 7 Work Days. Pest: control complaints, excluding bedbug complaints, will be assigned a response within 7 Work Days at the discretion of the RRT Coordinator or designee. Response requires an onsite inspection unless otherwise indicated by the RRT Coordinator or designee, If otherwise indicated, a note will be entered with the scheduled inspection for the assigned Field Inspector or designee 61 Page Disclaimer. A printed hardcopy or download of this document is uncontrolled_ Please refer back to the F❑odSHIELD MFRPS/VNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of Inspectians and Appeals Food and Consumer safety Bureau _ Document # DIA-MFRP5.3, VNRFP5.3 Pages; 11 Version #1:: 6.1 Effective Date: 7/02/2020 Title: Complaint Response SOP 6.2.6.2. Bedbugs: 5 Work Days, Bedbug complaints will be assigned a response within 5 Work Days at the discretion of the RRT Coordinator or designee. Response requires an onsite inspection unless otherwise indicated bythe RRT Coordinator or designee. If otherwise indicated, a note will be entered with the scheduled inspection forthe assigned Field inspector or designee. 6.2.6.3. Misbranding/Mislabeling (that does not include an allergen): 5 to 10 Work Days. Misbranding/Mislabeling complaints will be assigned a response within 10 Work Days at the discretion of the RRT Coordinator or designee. Response, whether onsite or virtual, will be assigned at the discretion of the RRT Coordinator or designee, The RRT Coordinator or designee will enter a note with the scheduled response for the assigned Field Inspector or designee. 6.2.6.4. General Facility Sanitation, General facilitysanitatlon complaints will be investigated no later than the next scheduled routine inspection for that facility, unless interview questions with the complainant determine that the complaint needs to be moved to a different category and timeframe for response. 6.2.6.4.1. If additional complaints or information are received, the'response timeframe may be moved up as deemed necessary. 6,2.6.4.2. If the facility is past due for a routine inspection, the complaint will be responded to within 30 calendar days. 6.2.6.4.3. The assigned inspector will conduct an onsite routine Inspection unless there are extenuating circumstances and the RRT Coordinator, Regional Inspection Supervisor, or authorized designee approves a complaint -only Inspection. The RRT Coordinator, Regional inspection Supervisor, or authorized designee will enter a note in the Complaint Maintenance page of the establishment describing the response and circumstances. 6.2.6.5. Unlicensed Facility: 5 Work Days, Unlicensed facility complaints will be assigned a response within 5 Work Days, when possible. 6.2.6.5.1. if the facility cannot be located within 5 Work Days, additional time for contact will be determined on a case by case basis. The reasoning forthe allowance of additional time will be added as an internal note on the Complaint Maintenance page, including the original deadline date and the new deadline date. 6.2.6.5.2. The Field Inspector will notify the RRT Coordinator or designee of their discovery of an unlicensed facility In the field. 'f he RRT Coordinator or designee will enter that facility as a complaint in USA Food Safety for tracking purposes. 6.2.6,5.2.1. For further Instructions, refer to the pre Opening Work Instructions for the specific facility type, 7 1 P a g e Disclaimer; A printed hardcopy or download of this document is uncontrolled, Please refer back to the FoodSHIELD MFRPS/VNRFPS SOP workgroup for current and fit -far -use version. Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document # DIA-MFRPS3, VNRFPS.3 Pages: 11 Version €l: 6.1 t ffective Date: 7/02/2620 Title: Com laint Response SOP 6.2.6.6. Hotels (other than bedbug complaints): within 90 calendar days or at the discretion of the RR'I' Coordinator or designee, 6.2.G.6.1. Virtual inspection response of hotel complaints is addressed In the DIA Virtual Food Establishment Non -illness Complaint Inspection Work Instructions. 6.2.6.7. Unspecified: Response time for complaints that do not fit into one of the above categories, but warrant further investigation, will be determined based on the nature of the complaint. 6.2.6.7.1. Virtual Inspection response of unspecified complaints is addressed in the DIA Virtual Food Establishment Non -Illness Complaint Inspection Work Instructions. Response time for complaints that do not fit into one of the above categories, but warrant further investigation, will be determined based on the nature of the complaint. 6.2.6.8. Smoking: Complaints received in regards to smoking on the premises by customers will be referred to the Iowa Department of Public Health smoke tree Air Act Division. 6.2.6.8.1.. Complaints can be registered by calling 1 588-944-2247 or visiting vvww.Iowasmoleefreea ir.gov, 6.2.6.8.2. if the complaint refers to employees or owners/operators smoking an the premises (see 6.2.6.J or consists of another category of complaint that has been described above, follow-up will be conducted according to the timeframe for that complaint issue. 6.2.6.9. Other State Agency Complaints,:I, Business Day 6.2.6.9.1. Complaints received by this Department for products or establishments that are regulated by other state agencies are referred to the appropriate agency, 6.2,6.1.0. FDA Complaints: I Business Day 6.2.6.10.1.1. Complaints received by this Department for products regulated by the Food and Drug Administration (FDA) are referred to the FDA Division of Human & Animal Food Operations West 2 (HAFW2) Complaint Coordinator. If the complainant does not wish to be referred, the complaint is recorded on the FDA Complaint/Injury Form and provided to the FDA HAFW2 Complaint Coordinator. 6.3, investigation Documentation 6.3.1. Field Inspectors or designee shall implement appropriate documentation procedures in accordance with the Retail Field Inspection SOP and Inspection Report Writing Training and Work Instructions and the Inspection Report Writing SOP - MFRPS. 8Page Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIEi_D MFRPS/VNRFP5 SOP workgroup for current and fit -for -use version. Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Documentfi DIA-MFRPS.3, VNRFPS.3 Pages: n Version #: 6.1 Effective Date: 7/02/2020 Title: Complaint Response SOP 6.5.2. The inspection report is reviewed with the person in charge, or Most Responsible Individual, at the conclusion of the investigation, 6.3.3. A copy of the completed and signed inspection report and related documents are provided via email or printed hardcopy at the conclusion of the review or soon afterwards. 6.3.4. The Field Inspector will Inform the facility that a Verified Complaint inspection report is required to be posted in the facility. 6.3.4.1. An unverified or Unfounded Complaint inspection report is not required to be posted in the facility. 6.4. Monitoring/Ciosing Complaints. 6.4.1. The RRT Coordinator or designee will review the complaint file to ensure complaint inspections are completed as assigned and the complaint statuses have been updated. The RRT Coordinator or designee will notify the Field Inspector and Regional Inspection Supervisor when complaint inspections are past due or when the complaint status is not updated, 6.4.2. It is the responsibility of the Field Inspector or designee to change the status of the complaint from "pending" to the appropriate status upon completion offollow-up, Changing the status from "pending" to the appropriate status closes the consumer complaint, 6.4.2.1. Completed Complaint Status 6.4,2AJ, Verified; A complaint Is "verified" when the Field Inspector observes the complaint actively occurring, when the person -in -charge states the complaint happened, or when there is physical or scientific documentation that the complaint happened. 6.4.2.1.2. Unvr:rlfled: A complaint is "unverified" when the complaint situation Is not present at the time of inspection, but based on observations or discussions with the person -in -charge there Is a possibility that it may have happened. 6.4.2.1.3, Unfounded: A designation of "unfounded" should only be used when the complaint could not have happened or conditions are not possible as described or the Field inspector is provided information that the complaint is false. 6.5. Complaint Backup Coverage 6.5.1. A backup coordinatorwlll be available at all times for emergency, Imminent health hazards, food -related illness outbreaks, food -related Illness and/or food -related injury complaints. 6.5.2. if the RRT Coordinator is unavailable for more than 1 Business Day, aft complaints will be monitored by a backup coordinator. 9)Page Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD MFRPS/VNRFPS SOP workgroup for current and fit -for -use version, Iowa Department of Inspections and Appeals food and Consumer Safety Bureau Document -9 DIA-MFRPS3, VNRFPS.3 Pages: 11 Version M. 6.1 Effertive Date: 7/02/2020 Title: Complaint Response SOP 6.6. Response Requested. Complainants who request follow-up about their complaint will receive one of the following responses: 6.6.1. For all verified non -illness complaints, the complainant will be referred to the department's website: https:/Iiowa.safefoodinspection.com or receive a phone call from the RRT Coordinator or a copy of the inspection report by email or mall. 6.6.2. For all illness/injury complaints or other complaints, the RRT Coordinator will either call the complainant back after the inspection has been completed or email or mail a copy of the completed inspection report. 63, Anonymity of Complainant 6.7.1. See 98.E Iowa Administrative code chapter30 for information on the request by a complainant to remain anonymous. 6.7.2. The name or any identifying information of a person who files a complaint with the department is not shared with the establishment ender investigation. The Feld Inspector or designee shall only share information regarding the complaint in a genera[ manner, and shall consult the RRT Coordinator or designee for assistance, if needed. 7. RELATED DOCUMENTS 7.1., 481 Iowa Administrative Code Chapter 30 7.2. Pre Opening Work instructions 7.3. DIA Virtual Food Establishment Non -Illness Complaint Inspection Work Instructions 7.4. Inspection Report Writing SOP - MFRPS 7.5. Inspection Report Writing Training and Work Instructions 7.6. Retail Field Inspection SOP fi. EQUIPMENT/MATERIALS NEEDED 5.1, Access to the online complaint database 9. SAFETY The DIA Food and Consumer Safety Bureau shall apply their qualifications and training to be alert and safe while conducting field assignments. f 10. CIRCULATION This policy shall be distributed to the following individuals: Bureau Chief, Assistant Bureau Chief, RRT Coordinator, Regional Inspection Supervisors, Manufactured Foods Program Lead, Retail Foods Program Lead, Grant Coordinator, and Field Inspectors. A standing copy of this policy shall be placed in FoodSHIELD and email read receipt of this document by all users shall be confirmed by records 10Page Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHII LD MFRPS/VNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document# DIA-MFRP5.3, VNRFP5.3 Pages:11 Version #: 6.1 Effective Date: 7/02/2020 Title: Complaint Response SOP maintalned In the Department of Inspections and Appeals, Food and Consumer Safety Bureau office. M APPROVAL 1ocument History Verslori€ Stts'(1, R) Change HistoryM. 5 R Approved Changes 6 R Addition of 6.2.2.3, minor wording changes 6.1 R Added 6.3 and 6:7, other updates throughout A}�prpved By: at, 111 Page Dlsciaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIFLD MFRPS/VNRrPS SOP workgroup for current and tit -for -use version. Iowa Departrnsnt of lnmections and Appeals Food and Consumer Safety Bureau Document H DIA VNRFRPS.3 Voluntary National Retail Food Regulatory Program Standard 3 Version #J Effective Date: luiy 1, 2014 Title; DIA RiskAssessment and Ins ectlon Frequency policy (DIA VNRFRPS.3) Table of Contents 1. Purpose 2. Scope 3, Circulation 4. Responsibility 5. Related Documents Fs. References 7. Deflnitions 8. Process Description 9. Appendix/Worksheets 10. Approval/Document history 1. PURPOSE The purpose of this policy is to deflne 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 ail 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/Recall 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. RESPONS1131LITY Bureau Chief —The Bureau Chief shall review this policy and issue Its final approval. Training Specialist/Retail food Program Lead —The Training Spe cla list] 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 • Voluntary National Retail Food Regulatory Program Standards Page 1 of 6 Iowa Departnient of Inspections and Appeals Food and Consumer Safety Bureau DOCurnent # DIA VNRFRPS.3 Voluntary National Retail Food Regulatary Program Standard 3 Version It.1 I Effective Date; July1, 2014 Title: DIA Risk Assessment and inspection Frequency Policy (DIA VNRFRPS,3) 6. REFERENCES 2009 FDA Model Food Cade and Supplement 0 2009 FDA Model Food Code Annex 2= DEFINITIONS o DIA — Department of Inspections and Appeals a VNRrPPS—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 Freq uency Policy to assign a risk level and inspection frequencyto each food establishment regulated by the DIA Fond and Consumer Safety Bureau, 9. Appendix/Worksheets/ Document History o DIA Risk Assessment and Inspection Frequency July, 12014 a Risk Assessment by Chain 2014 o Service Site Production Site -Schools and Nutrition Programs Page 2 of 6 Iowa Department of inspections and Appeals Food and Consumer Safety Bureau _ Document # DIA VNRFRPS.B Voluntary National Retail Food Regulatory Program Standard 3 Version MI Effective Date: duly 1, 2814 _ 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 maybe 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: C Establishments that have shown consistent non-compilancewith risks factor violations (2 or more consecutive Inspections with repeat risk factor violations); 9 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; Fstablishments 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; a Establishments with complaints concerning risk factors that have been found verified; e 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: o stable management structure; 6 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 considerwhen establishing a risk level when the criteria are not definitive c 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: o An Inspection history that demonstrates poorly maintained physical facilities and equipment,- * An Inspection history that demonstrates lack of adequate refrigeration; or a An inspection history that demonstrates a lack of adequate equipment. Page 8 of 6 Iowa Department of inspections and Appeals Food and Consumer Safety Bureau Document #k D1A VNRFRP5.8 Voluntary National Retail Food Rogulato Program Standard 3 Version ##J Effective Date: Ju IV 1, 2014 Title; DiA Risk Assessment and Inspection Frequency Policy (DIA VNRFRPS.3) !risk level I (Very Low) (Normal frequeng 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, Hulk Food Stores, Health Food Stores, convenience stores withoutfood preparation and hotel continental breakfast) Mobile Food Units (prepackaged foods only I.e. Schwa Ws, packaged Ice cream trucks) Risk Level 2 (l.ow). €Normal frequency evey 24 months, may be adjusted to every 18 or 12 based on infection 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 ma beadjusued to ever 24 72 or 6 based on inspection history} • Process 2 Foods -- "Same Day Service" • € im ted 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 s 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 A (fljehl (Normal frequency every 12 months may be adf ustet)_to_every 5 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 (live oysters, clams, or muscles) at retail Process I Foods with a Consumer Advisory i.e. sushi, oysters a Mobile food units (other than prepackaged) Risk level S(Very High) Normal fre uenc eve y 6_months maybe adlusted to every 4 or 12 based on inspection history) + Facilities with an Issued special process variante 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 h D1A VNRFRPS.3 Voluntary National Retail Food Regulatory Program Standard 3 Version_#:1 Effective Date: July 1, 2014 Title: D1A Risk Assessment and Inspection Frequency Policy (NA VNRFRPS.3) Rislc Assessment by Chain Very Low-S Low-2 Medlum•3 High A Very-High-5 Dollar General Subway McDonald's legends American Grill Olive Garden Family Vfcleo- No pizza QLllzno's KFC Okobojl Grill Hy-Vee Sushi Git-n-Go Kum & G❑ Taco bell Hy-Vee Store DSM School Central Kitchen Shopko Kwik Star Taco Johns Perkins Texas Roadhouse (ROP) K-Mart KarabuCo€fee Hardee's FarnllyTable SushlAvenue DollarTree 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 Jimm johns Burger King IHOP _ Aldi Domino's Arby's Ground Round Puzza Hut- Deffvery/Take-Out Plzza Hut Cheesecake Factory Pappa Johns- Dellve /Take Out Long John Slivers Famous Dave's Blimple Cuivers Johnny's ftallan Steakhouse Hy-Vee Gas Sonic Bandana's Smashburger Waterfront Panora Bread A plebee's MaldRite B-Bops _. Target (with Food service) Happy foes Panchero's Chipotle Farewa Red Robin 5ads. Club (no shellstock Wal-Mart Supercenter Page 5 of 6 Iowa Food and Consumer Safety Bureau Document It DIA VNRFRPS.B Voluntary National Retoll Food Regulatory Program Standard B Version tI;A Effective pate; July 1., 2014 Title: RIA RlskAssessnlent and Inspection Fre uency Poi€cy (DIA VNRFRP5,3) 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 Page 6 of 6 Conflict of Interest Statement Food and Consumer Safety Bureau Department of Inspections and Appeals In order to prevent conflicts of interest or the appearance of conflicts of interest, environmental specialists within DIA shall be prohibited from inspecting food establisbments, food processors, hotel/motes or cosmetology or barber or cosmetology operations where the specialist has been employed in the past two years, has a financial interest (other than mutual fund) or has immediate family members employed or immediate family members with an ownership interest. Any changes between the annual statements must be immediately reported to your supervisor. Annually each inspector will be asked to complete this statement. Please list any food establishments, food processors, hotel/motels or cosmetology or barber or cosmetology operations where you have worked as an employee, consultant, officer, or any other manner in the last two years. Please list the name of the establishment/processor and the city. Please list any food establishments, food processors, hotellmotels or cosmetology or barber or cosmetology operations where you have a financial or ownership interest. Please list the name of the establishment/processor and the city. Please list any immediate family member(s), who may fit any of the following criteria. Immediate family members includes a husband or wife; natural or adoptive parent, child, or sibling; stepparent, stepchild or stepsibling; father-in-law, mother-in-law, son-in-lmit daughter-in-law, brother-in-law, or sister-in-law; or grandparent or grandchild 1. Do you have immediate family members(s) who are cutTently or within the last two years have been employed by a food establishments, food processors, hotel/motels or cosmetology or barber or cosmetology operations? Yes No If yes, who and where 2. Do you have any immediate family member(s) who have financial interest or ownership interest in a food establishments, food processors, hotel/motels or cosmetology or barber or cosmetology operation? Yes No If yes, who and where Staff Member: Signature: Date: Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document tt DIA-MFRPS.3, V€VRFPS.3 Pages: 11. Version #: 6.1 Effective Date; 7/02/2020 Title. Complaint Response SOP Table of Contents 1. Purpose 2. Scope 3. Background 4. Responsibility 5, Definitions 6. Procedures 7. Related Documents 8. Equipment/Materials Needed 9. Safety 10, Circulation 11. Approval 1, PURPOSE The purpose of this policy is to describe the different types of consumer complaints received by the Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau, complaint assignments, the time frame for response to each type of complaint, documentation, and closing out a complaint. 2. SCOPE This policy shall apply to all retail food establishments, home bakeries, manufactured food firms, and hotels, 3. BACKGROUND lA RRT Coordinator will apply the DIA Time Frame for Complaint Response to all complaints received by the department. DIA Food and Consumer Safety Bureau field staff will respond to complaints as assigned. 4. RESPONSIBILITY Bureau Chief --The Bureau chief or designee will review all policies and procedures that apply to DIA administrative and general bureau functions and Issue final approval of those policies and procedures. Assistant Bureau Chief - The Assistant Bureau Chief Is responsible for the overall ,administration of the Manufactured Food Regulatory Program Standards, the Voluntary National Retail Food Regulatory Program Standards, and the Iowa Food Emergency Rapid Response Team programs, 1IPage Disclaimer: A printed hardcopy or download of this document is uncontrolled, Please refer back to the FoodSF IELD MFRPS/VNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document # DIA MFRPS.3, VNRFPS.3 Pages: 11 Version #: GJ 1 Effective Date: 7/02/2020 Title: Complaint Response SDP including writing and revising policies and procedures. He/she will serve as the designee for the Bureau Chief, Rapid Response Team Coordinator —The Rapid Response Team (RRT) Coordinator or designee shall oversee field assignments in regards to complaints and provide leadership to all field staff personnel for compliance with this policy. The RRT Coordinator or designee will also serve as the assessor or reviewer forthis policy for the Manufactured Food Regulatory Program Standards and the Voluntary National Retail Food Regulatory Program Standards. Regional Inspection Supervisors —The Regional Inspection supervisors or designee shall supervise retail and manufactured food Field Inspectors and provide leadership to all Field staff personnel for compliance with this policy. Manufactured Food Program Lead --The Manufactured Food Program Lead will be the technical expert on manufactured food Inspections. He/She shall ensure that all manufactured foods Field inspectors are trained to follow and comply with this policy. He/She shall assist in the review of this policy for the Manufactured Food Regulatory Program Standards. Retail Food Program Lead --The Retail Food Program lead will be the technical expert on retail food inspections. He/She shall ensure that all retail Field Inspectors are trained to follow and comply with this policy. He/She shall assist in the review of this policy for the Voluntary National Retail Food Regulatory Program Standards. Grant Coordinator- The Grant Coordinator shall develop and update the procedure under the advisement of the Bureau Chief, Assistant Bureau Chief, Regional Inspection Supervisors, Manufactured Food Program Lead, Retail Food Program Lead, and RRT Coordinator. He/She will assist with training inspectors to follow and comply with this policy. Field Inspectors -The Field Inspectors will follow the procedures described as applicable to their position and notify their supervisor when the procedures cannot be followed. 5. DEFINITIONS Business Day —an official day of the week between and including Monday through Friday during which business is conducted, not including public holidays and weekends. Consumer Complaints — complaints made by the public regarding food products, facility, practices, labeling, and any other related activities. The name or any identifying information of a person who files a complaint with the department is considered a confidential record, Response —a reaction or reply conducted by the RRTCoordlnator, Regional Inspection Supervisors, Manufactured Food Program lead, Retail Food Program Lead, Field Inspectors, or deslgnee(s) as the 2 1 P a g e Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD MFRPS/VNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of Inspections and Appeals. Food and Consumer Safety Bureau Document # DIA-MFRPS.3, VNRFPS.3 Pages: 11 Version #: 6.1 Effective Date: 7/02/2020 -- - _-- Title: Complaint Response SOP~ - result of a complaint. The response depends on the nature and severity of the complaint and Includes, but Is not limited to: replies by telephone or email, on -site Inspections, virtual inspections, or environmental assessments, Virtual Inspection -- an Inspection performed remotely, using a pre -approved video conferencing platform, in response to a non -Illness complaint. A Field Inspector(s) does not perform an on -site visit to complete a virtual inspection. Work Day —an official business day as defined, excluding an Inspector's regular day off, flex time, or vacation time. 6. PROCEDURES G.I. Types of Complaints Listed below are the different categories of complaints that maybe received by phone, email, walk-in, or letter, As a part of the initial response, the RRT Coordinator or designee will evaluate complaints on the day they are received to determine the appropriate response and enter the complaint into the USA FoodSafety (USAFS) database for tracking. Further response is detailed in the following sections. 6.1.1. Food -related Illness outbreaks 6.1.2, Food -related Illness/injury Complaints 6.1.3. Emergency/Imminent Health Hazards 6.1.3.1. Power outage 6.1..3.2. Loss of water supply 6.1.3.3. Sewage backup 6.1.3.4. lire 6.1.3.5. Flood 6.1.3.6. Boil advisory/order 6.1.3.7. Chemical/Hazardous Waste Incidents 6.1,3.8. Other circumstances that may endanger public health 6.1.4. Intentional Contamination and/or Terrorism 6.1.4,1, Food Tampering 6.1.9.2. Intentional Adulteration 6.1.43. other Hazard Claims 6.1.5. Non -Illness Complaints 6.15.1.. Contaminated Equipment/Cross Contamination 6.1.5.2. Food from Unsafe Sources/Adulterated Food 6.1.5.3, Inadequate Cooking 6.1..5.4. Improper Holding Temperatures Poor Personal Hygiene 6.1,5.6. Pest Control 3Page Disclaimer. A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIEI_D MFRPS/VNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of Inspections and Appeals _ Food and Consumer Safety Bureau Document# DIA-MFRPS,3, VNRFPS,3 Pages.- 11 Version #, 6.1 Effective Date: 7/02/2020 Title: Complaint Response SOP 6.1.5.7. Bed Hugs 6.1.5.8. Misbranding/Mislabeling 6.1.5.9. General Facility Sanitation 6.1,5.M Unlicensed Facility 6.1.5.11. Hotels (excluding bedbug complaints) 6.1S.3z. Smoking 6.15J3, Unspecified 6.15.14. Other State Agency Complaints 6.1.5.15. FDA Complaints 6,2. Response Assignments and Time Frame for Response: 6.2.1. Response and completion times are based on the type of complaint received. ,Complaints with similar response and completion times have been grouped together. A complaint follow up Inspection may be scheduled to the facility's assigned Field Inspector, Regional Supervisor, or RRT Coordinator or designee based on the type of complaint and determined time frame, the severity of the complaint, inspector's Work Days, the establishment's inspection history, and the establishment's complaint history. 6.2.1.1. if the field Inspector assigned to the geographical area Is unable to respond onsite to the complaint within the assigned time frame, the Field Inspector will immediately contact the RRT Coordinator, their Regional Inspection Supervisor, or authorized designee. The RRT Coordinator or designee will reassign the response to other available inspection staff and will notify the appropriate Regional Inspection Supervisor or designee. ti.2.1.2. On -site complaint inspection completion dates may be extended with approval of the Bureau Chief, Assistant Bureau Chief, or designee in instances when the completion of the inspection by the scheduled due date may negatively impact public health. 6.2.1.3, In all cases, Field Inspectors are advised to complete complaint inspections in advance of the assigned due date In order to maximize opportunities to complete inspections and make timely observations. 6.2.1.4. The Bureau Chief, Assistant Bureau Chief, RRT Coordinator or designee is the only person who may adjust the timeframe for response. 6.2.2. Food -related illness outbreaks, 1 Business bay. The RRT Coordinator or designee will respond to all food -related illness outbreaks within 1 Business Day of receipt via a phone call to the assigned Field Inspector, to alert them of the situation. 6.2.2.1. The Field Inspector or designee responding to the complaint will be completing the investigation in conjunction with the Environmental Assessment team, 4 Page Disclaimer; A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD MFRPS/VNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of inspections and Appeals Food and Consumer Safety Bureau _Document if DIA-MFRPS.3, VNRFPS.3 Pages: 11. Version #- 6.1 Effective Date: 7/02/2020 Title: Complaint Response SOP 6.2.2.2. Food -related illness outbreak complaints received after hours or on weekends will be responded to by the RRT Coordinator or designee via phone call to the establishment or operator within 24 hours. 6.2.3. Food -related Illness, Food -related injury Complaints: I to 7 Business Days. 6.23.1. initial Response; the RRT Coordinator or designee will review all food -related illness complaints and food -related injury complaints within 1 Business Day of receiving each complaint, After initial evaluation of the complaint, the RRT Coordinator or designee will assign the following response times based on the likelihood of the complaint: 6.2.3.1.1. The RRT Coordinator or designee will determine the assignment of "Possible" or "Less Likely" based upon review of information obtained from the complainant, IDPH, or any other local, state or federal agency or department. 6.2.3A.2, The RRT Coordinator or designee will document the determination of the assignment of "possible" or "Less Likely" in the complaint description on the Complaint Maintenance page In USA FoodSafety. 6.2.3.2. "possible": Complaints classified as "possible" will be responded to with an onsite inspection within 5 Business Days. 6.2.3.3. "Less Likely" With No Onsite Response: Complaints classified as "less likely" and not requiring an onsite response will be followed up via a phone call by the RRT Coordinator or designee within 1 Business Day of receipt of the complaint. The RRT Coordinator will make a note regarding the response in the Internal notes on the Complaint Maintenance page In USA FoodSafety and also inform the Field Inspector assigned to the facility and the Regional Inspection Supervisor, 6.2.3.4. "Less Likely" Requiring Onsite Response. Complaints classified as "less likely" and due for a Routine Inspection will be responded to with an onsite inspection within 7 Business Days. Onsite response will also be assigned If the facility has had one or more complaints In the past 12 months and/or based upon the establishment's inspection history. The RRT Coordinator or designee will make a note regarding the response in the internal notes on the Complaint Maintenance page in USA FoodSafety and also inform the Field Inspector assigned to the facility and the Regional Inspection Supervisor or designee. 6.2.4, Emergency/Imminent Health Hazard Complaints: I Business Day. All emergency/imminent health hazard complaints (listed in 6.:L3) will be responded to within 1 Business Day of receipt, The assigned Field Inspector will be contacted via phone, text, and/or email to alert them of the situation. 6.2.4.1.. Response requires an onsite inspection unless otherwise indicated by the RRT Coordinator or designee. The RRT Coordinator or designee may instead require the 5 Page Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FOodSHIELD MFRPS/VNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of inspections and Appeals _ Food and Consumer Safety Bureau Document It DIA-MFRP5.3, VNRFi'5.3 rages: 11 Version #: 6.1 Effective Date: 7/02/2020 Title: Complaint Response SOP _ �— assigned Field Inspector or designee to make a phone call to the owner or operator of the establishmentto determine the status of the emergency. The RRT Coordinator or designee will enter a note in the Complaint Maintenance page of the response taken, 6.2.4.2. Virtual inspection response of non -illness complaints In relation to lack of water service, sewer backup and/or fires is addressed in the DIA Virtual Food Establishment Non -illness Complaint Inspection Work instructions. 6.2.5. intentional Contamination and/or Terrorism: Z Business Clay. All intentional contamination, including terrorism, complaints will be responded to within 1 Business Day of receipt. The assigned Field Inspector will be contacted via phone, text, and/or email to alert them of the situation. 6.2,5.I. if there is supporting evidence of intentional contamination and/or terrorism, the appropriate agencies shall be contacted such as: Iowa Department of Homeland Security and Emergency Management 6.23A.2. Food and drug Administration (FDA) Division of Human & Animal Food Operations West 2 (HAFW2), to include FDA Office of Criminal Investigations Iowa Division of Criminal Investigations 6.2.5.1.4. Local law enforcement including sheriff offices and police departments as appropriate, 6.2.6. Non-Iliness Complaints: Including Contaminated Equipment/cross Contamination (including undeclared allergens at manufacturing facilities), Food from Unsafe Sources/Adulterated Food (including foreign materials), Inadequate Cooking, Improper Holding Temperatures, Poor personal Hygiene: 5 to 10'Work pays. Complaints that fall into one of the above categories will be assigned a response within 10 Work Days at the discretion of the it1tT Coordinator or designee. Response requires an onsite inspection unless otherwise indicated by the RRT Coordinator or designee. If otherwise indicated, a note will be entered with the scheduled inspection for the assigned Field Inspector or designee. Virtual inspection response of all non -illness complaints in relation to retail food establishments is addressed in the DIA virtual Food Establishment Non -illness Complaint Inspection Work instructions. 6.2.6.1. pest Control: 1 to 7 Work Days. Pest control complaints, excluding bedbug complaints, will be assigned a response within 7 Work Days at the discretion of the RRT Coordinator or designee. Response requires an onsite inspection unless otherwise indicated by the RRT Coordinator or designee, if otherwise indicated, a note will be entered with the scheduled inspection for the assigned Field Inspector or designee 6fpage Disclaimer: A printed hardcopy or download of this document is uncontrolled, Pleas: refer back to the FoodSHIEL© MFRPS/VNRFP5 SOP workgroup for current and fit -for -use version. Iowa Department of inspections and Appeals Food and Consumer Safety Bureau Document # DIA-MFRPS.3, VNRFPS.3 ---Pages: 11 Version #: 6.1 Effective Date: 7/02/2020 Title: Complaint Response SDP -- _ 6.2.6.2. Bedbugs: 5 Work pays, Bedbug complaints will be assigned a response within 5 Work Days at the discretion of the RRT Coordinator or designee. Response requires an onsite inspection unless otherwise indicated by the RRT Coordinator or designee. If otherwise indicated, a note will be entered with the scheduled inspection forthe assigned Field Inspector or designee. 6.2.6.3. Misbranding/Mislabeling (that does not include an allergen). 5 to 10 Work Days. Misbrand ing/Mlslabe ling complaints will be assigned a response within 10 Work Days at the discretion of the RRT Coordinator or designee. Response, whether onsite or virtual, will be assigned at the discretion of the RRT Coordinator or designee. The. RRT Coordinator or designee will enter a note with the scheduled response forthe assigned Field Inspector or designee. 6.2.6.4. General Facility Sanitation: General facility sanitation complaints will be investigated no later than the next scheduled routine inspection for that facility, unless interview questions with the complainant determine that the complaint needs to be moved to a different category and timeframe for response. 6.2.6.4.1. If additional complaints or information are received, the `response timeframe maybe moved up as deemed necessary. 6,Z.6.4.2. If the facility is past due for a routine inspection, the complaint will be responded to within 30 calendar days. 6.2.6.4.3. The assigned inspector will conduct an onsite routine inspection unless there are extenuating circumstances and the RRT Coordinator, Regional Inspection Supervisor, or authorized designee approves a complaint -only Inspection. The RRT Coordinator, Regional Inspection Supervisor, or authorized designee will enter a note in the Complaint Maintenance page of the establishment describing the response and circumstances. 6.2.6.5, Unlicensed Facility: 5 Work Days, Unlicensed facility complaints will be assigned a response within 5 Work Days, when possible. 6,2.6.5.1. If the facility cannot be located within 5 Work Days, additional time for contact will be determined on a case by case basis. The reasoning forthe allowance of additional time will be added as an internal note on the Complaint Maintenance page, including the original deadline date and the new deadline date, 6.2.6.5.2, The Field Inspector will notify the RRT Coordinator or designee of their discovery of an unlicensed facility In the field, The RRT Coordinator or designee will enter that facility as a complaint in USA Food Safety for tracking purposes. 6.2.6.5.2.1. For further Instructions, refer to the Pre Opening Work instructions for the specific facility type, .......... ....... 7jPage Disclaimer: A printed hardcopy or download of this document is uncontrolled, Please refer back to the FoodSHIELD MFRPS/VNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of inspections and Appeals Food and Consumer Safety Bureau Document ## DIA-MFRPS.3, VNRFPS.3 Pages: 11 _ Version #: 6.1 Effective Date: 7/02/2 Title: Complaint Response SOP 6.2.6.6. Hotels (other than bedbug complaints): within 90 calendar days or at the discretion of the RRT Coordinator or designee. 6.2.6.6.1. Virtual inspection response of hotel complaints is addressed in the DIA Virtual Food Establishment Non -Illness complaint Inspection Work Instructions. 6.2.6.7. Unspecified, Response time for complaints that do not fit Into one of the above categories, but warrant further investigation, will be determined based on the nature of the complaint. 6.2.6.7.1. Virtual Inspection response of unspecified complaints Is addressed in the DIA Virtual Food Establishment Non -Illness Complaint Inspection Work Instructions. Response time for complaints that do not fit into one of the above categories, but warrant further investigation, will be determined based on the nature of the complaint. 6.2.6.8. Smoking: Complaints received in regards to smoking on the premises by customers will be referred to the Iowa Department of Public Health Smoke Free Alr Act Division, 6.2.6.8.1. Complaints can be registered by calling 1-888-944-2247 or visiting www. €owasmokefreeair,ggv. 6.2,6,8.2. If the complaint refers to employees or owners/operators smoking on the premises (see 6.2,6.) or consists of another category of complaint that has been described above, follow-up will be conducted according to the timeframe for that complaint issue. 6.2.6.9. Other State Agency Complaints. I Business Day 6.2.6.9.1. Complaints received by this Department for products or establishments that are regulated by other state agencies a re referred to the appropriate agency. 6.2.6.10. FDA Complaints: 1 Business Day 6.2.6.1b.1.1. Complaints received by this Department for products regulated by the Food and Drug Administration (FDA) are referred to the FDA Division of Human & Animal Food operations West (HAM) Complaint Coordinator. If the complainant does not wish to be referred, the complaint €s recorded on the FDA Complaint/injury Form and provided to the FDA HAFW2 Complaint Coordinator, 6.3. Investigation Documentation 6.3.1. Field Inspectors or designee shall implement appropriate documentation procedures In accordance with the Retail Field Inspection SOP and Inspection Report Writing Training and Work instructions and the Inspection Report Writing SOP MF'RPS. 8 1 P a g e Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIFI.D MFRPS/VNRFPS SOP workgroup for current and flit -for -use version. Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document # D1A-MFRPS.3, VNRFPS,3 Pages: 11 Version #: 6.1 Effective Date: 7/02/2020 Title: Complaint Response SOP 6.3.2. The inspection report is reviewed with the person In charge, or Most Responsible Individual, at the conclusion of the investigation, 6,33. A copy of the completed and signed Inspection report and related documents are provided via email or printed hardcopy at the conclusion of the review or soon afterwards. 6.3.4. The Field Inspector will inform the facility that a Verified Complaint €nspection report is required to be posted in the facility. 6.3.4.1. An unverified or unfounded Complaint inspection report is not required to be posted in the facility. 6.4. Monitoring/Closing Complalnts. 6.4.1. The RRT Coordinator or designee will review the complaint file to ensure complaint inspections are completed as assigned and the complaint statuses have been updated. The RRT Coordinator or designee will notify the Field Inspector and Regional Inspection Supervisor when complaint inspections are past due or when the complaint status is not updated, 6.4.2. It is the responsibility of the yield Inspector or designee to change the status of the complaint from "pending" to the appropriate status upon completion of follow-up. Changing the status from "pending" to the appropriate status closes the consumer complaint. 6.4.2,1. Completed Complaint Status 6.4,2.1,1. Verified: A complaint is "verified" when the Field Inspector observes the complaint actively occurring, when the person -in -charge states the complaint happened, or when there is physical or scientific documentation that the complaint happened. 6.4.2.1.2. Unverified, A complaint is "unverified" when the complaint situation is not present at the time of Inspection, but based on observations or discussions with the person -in -charge there is a possibility that it may have happened. 6,4.2,1.3. Unfounded: A designation of "unfounded" should only be used when the complaint could not have happened or conditions are not possible as described or the Field Inspector is provided information that the complaint is false, 6.5. Complaint Backup Coverage G.S.I. A backup coordinator will be available at all times for emergency, imminent health hazards, food -related illness outbreaks, food -related illness and/or food -related injury complaints. 6.5.2, If the RRT Coordinator is unavailable for more than 1 Business Day, all complaints will be monitored by a backup coordinator. 9Page Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD MFRPS/VNRFPSSOP workgroup for current and fit -for -use version, Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document #t DIA-MFRPS.3, VNRFPS.3 Pages; 11 Version #; 6.1 Effective Date: 7/02/2020 Title; Complaint Response SOP 6.6. Response Requested. Complainants who request follow-up about their complaint will receive one of the following responses: 6.6.1. For all verified non -Illness complaints, the complainant will be referred to the department's website, https:Mowa.safefoodinspection.com or receive a phone call from the RRT Coordinator or a copy of the inspection report by email or mail. 6.6.2, For all illness/injury complaints or other complaints, the RRT Coordinator will either call the complainant back after the inspection has been completed or email or mall a copy of the completed Inspection report. 6.7. Anonymity of Complainant 6.7.1, See 481 Iowa Administrative Code Chapfer30 for information an the request by a complainant to remain anonymous. 6.7.2. The name or any identifying information of a person who flies a complaint with the department is not shared with the establishment tinder investlgatlon. The Field Inspector or designee shall only share information regarding the complaint in a general manner, and shall consult the RRT Coordinator or designee for assistance, if needed. 7. RELATED DOCUMENTS 7.1. 481 Iowa Administrative Code Chapter 30 7.2. Pre Opening Work Instructions 7.3. DIA Virtual Food Establishment Non -Illness Complaint Inspection Work Instructions 7.4. Inspection Report Writing SOP - MFRPS 7.5. Inspection Report Writing Training and Work Instructions 7.6, Retail Field Inspection SOP 8. EQUIPMENT/MATERIALS NEEDED 8.2. Access to the online complaint database 9. SAFETY The DIA Food and Consumer Safety Bureau shall apply their qualifications and training to be alert and safe while conducting field assignments. f 10. CIRCULATION This policy shall be distributed to the following individuals: Bureau Chief, Assistant Bureau Chief, RRT Coordinator, Regional Inspection Supervisors, Manufactured Foods Program lead, Retail Foods Program Lead, Grant Coordinator, and Field Inspectors, A standing copy of this policy shall be placed in FoodSHIELD and email read receipt of this document by all users shall be confirmed by records 10Page Disclaimer; A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD MFRPS/VNRFPS SOP workgroup for current and fit -for -use version. Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document # DIA-MFRPS.3, VNRFPS.3 Pages; 11 Version It: 6.1 Effective Date: 7/02/2020 Title: Complaint Response SOP -- maintained In the Department of Inspections and Appeals, Food and Consumer Safety Bureau Office. ILAPPROVAL Version # :' Status (l,) " Change History 5 R Approved Changes 6 R Additlon of 6.2.2.3, minor wording changes 6.1 R Added 6.3 and 6:7, other updates throughout Approved Dy', ©ate 0 111Page Disclalmer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD MFRPS/VNRFPS SOP worlcgroup for current and fit -for -use version.