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28E Agreement - Iowa Department of Inspections and Appeals INTERAGENCY AGREEMENT a Between IOWA DEPARTMENT OF INSPECTIONS AND APPEALS And CITY OF DUBUQUE This Agreement is entered into between the Iowa Department of Inspections and Appeals (hereinafter "Department") and City of Dubuque(hereinafter "Local Health Agency") pursuant to the authority of Iowa Code section 28E.12. 1. PURPOSE AND SCOPE: The purpose of this Agreement is to authorize the performance of food and hotel licensing, inspection and enforcement activities by the Local Health Agency on behalf of the Iowa Department of Inspections and Appeals. The scope of the Local Health Agency's authority is limited to the performance of food and hotel licensing, inspections and enforcement with respect to retail establishments as permitted by Iowa Code Chapters 137C (Hotel Sanitation Code), 137D (Home Food Establishments) and 137F (Food Establishments and Food Processing Plants). The Department shall inspect and enforce all applicable laws as they apply to wholesale food processing plants including those whose operation is limited to the storage of food products pursuant to 137F. The Department will inspect and enforce all applicable laws as they apply to wholesale food processing plants which manufacture, package or label food products. The Department hereby retains the independent authority to license, inspect, enforce, or take any other action it deems necessary pertaining to any establishments to be inspected by the Local Health Agency. The Department will inform the Local Health Agency of any action it has completed within its jurisdiction. 2. DELEGATION: The Local Health Agency is hereby authorized to enforce Iowa Code Chapters 137C (Hotel Sanitation Code), 137D (Home Food Establishments) and 137F (Food Establishments and Food Processing Plants) with respect to retail establishments as long as this Interagency Agreement is in force. 3. GEOGRAPHICAL REGION: Food and hotel licensing, inspections and enforcement shall be conducted by the Local Health Agency in the following geographical region: City of Dubuque 4. DURATION: This Agreement shall commence on October 1, 2015 shall continue in full force and effect until June 30, 2018. 5. TERMINATION: Either party may terminate this Agreement by providing the other party a written notice of intent to terminate at least sixty (60) days prior to the intended date of termination. Notice shall specify the reasons for termination and be delivered by U.S. certified mail. Upon termination, the Local Health Agency shall transfer to the Department all inspections, licensing and enforcement records in its possession and all other documents generated as a result of this Agreement. Not later I I P a g e 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. 12a` 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, rales, regulations, executive orders, and Department guidance when performing within the scope of this Agreement. b. Apply Iowa Code Chapters 137C (Hotel Sanitation Code), 137D (Home Food Establishments) and 137F (Food Establishments and Food Processing Plants), as well as administrative rules promulgated pursuant to these chapters, to retail establishments including temporary foods establishments, or institutions, hotels and motels, and home food establishments found in the designated geographical region specified by Section 3 of this Agreement. c. Conduct pre-opening, routine, and complaint inspections for food establishments and institutions using the Food Code as adopted pursuant to Iowa Code section 137F.2. The inspection frequency shall be a risk-based system consistent with the requirements of FDA's Voluntary National Retail Food Regulatory Program Standards (2013) Standard 3 and no less frequent than the Department's frequency (see Attachment 1—Risk Assessment and Inspection Frequency Policy for current risk-based frequency). d. Conduct complaint and pre-opening inspections of hotels and motels per Iowa Code Section 137C.11 and home food establishments pursuant to Iowa Code section 137D.2. Completion of routine inspections for hotels and motels and home food establishments will not be considered during performance reviews and as a factor in future contracting until such a time as the hotel or home food establishment licensing fees are increased. e. Forward requests for variances or HACCP (Hazard Analysis and Critical Control Points) plans and Agency recommendations to the Department for approval. Variances and HACCP plan approvals may only be granted by the Department if sufficient information is provided to substantiate the need and propriety for the action. The Department shall provide the Local Health Agency with copies of approvals of all variances or HACCP plans within the Local Health Agency's geographic region. 2 1 P a g e 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. g. Notify the Department within one business day of the existence of any potential foodborne or food-related injury caused by, or suspected of having been caused by, unsanitary conditions existing in any establishment licensed or inspected under this Agreement. The Local Health Agency shall complete the investigations of potential illness using forms, methods, and techniques prescribed by the Department following illness investigation best practices such as CIFOR and NVEAIS. h. Cooperate in any federal or state food program survey to be conducted within the jurisdiction of the Local Health Agency during the terms of this Agreement. i. To the greatest extent possible, all inspectors shall complete inspection reports for food service establishments, retail food establishments, mobile food establishments, hotels/motels, and home food establishments via the electronic inspection application using tablet computers including the electronic capture of signatures. j. Take corrective action on all food disasters that occur in areas covered by this Agreement. Such disasters include, but are not limited to, handling or disposing of food in cases of fire, windstorms and floods. The Local Health Agency shall furnish the Department with a written report of the occurrence upon request. The Local Health Agency shall immediately notify the Department of any suspected intentional contamination of food in a regulated establishment. k. Hire inspection personnel who possess experience and educational qualifications equivalent to the Environmental Specialist classification, as defined by the Iowa Department of Administrative Services, Human Resources Enterprise. All Local Health Agency food inspection personnel shall complete Level One Training, as prescribed by Standard 2 of the FDA Voluntary National Retail Food Regulatory Program Standards (2013) and complete standardization to the FDA Food Code within eighteen (18)months of beginning food inspection work and every thirty-six (36)months thereafter. • All training for each inspector shall be logged in the inspection database and certificates of completion shall be maintained by the Local Health Agency in the ABSORB data system as of June 30, 2016. • Each inspector shall also attend the Department's new inspector training within eighteen(18) months of beginning food inspection work, if available. This curriculum shall include the following: new inspector's course, HACCP course, and food microbiology and sampling course. 3 1 P a g e • All inspectors shall also complete the CDC's National Voluntary Environmental Assessment Information System(NVEAIS) Online Training Program by June 30, 2016 and enter the training records into the ABSORB system. http://www.edc.gov/nech/chs/NVEAIS/index.htm. 1. Send representation, absent Department-approved extenuating circumstances, to all Department-sponsored regional meetings and FDA training in Iowa. In addition, applicable Department-sponsored training shall be attended by all new employees and those employees who have not previously attended. m. Refer to the Department all processing plants, including those that are manufacturing thermally processed low acid foods packaged in hermetically sealed. containers under 21 CFR Part 113 or acidified foods under 21 CFR Part 114. n. Send all plans for Reduced Oxygen Packaging under 3-502.12 of the Food Code to the Department for approval. o. The Local Health Agency shall use and include all supervisory, inspection, and administrative staff on the Foodshield system. This system contains current policy interpretations and resources related to the performance of this agreement. p. The Local Health Agency shall provide an up-to-date contact sheet within 30 days of signing this Agreement, within 30 days of changes, and reviewing and updating annually . The Local Health Agency shall also provide at least one after-hours emergency contact. q. The Local Health Agency shall meet and continue to meet the following program standards from the FDA's Voluntary National Retail Food Regulatory Program Standards (2013) including completing and submitting self-assessments at minimum three years after completing its most recent self-assessments or three years after October 1, 2015, whichever is earlier: i. Standard 2—Trained Regulatory Staff ii. Standard 3—Inspection Program Based on HACCP Principles iii. Standard 4—Uniform Inspection Program iv. Standard 6—Compliance and Enforcement v. If a local health agency completes a self-assessment and finds that the agency does not meet one of the above Standards, the agency shall complete an improvement plan documenting the timeframes, tasks and activities, and responsible parties for task and activity completion, and submit the improvement plan to the Department for review. r. The Local Health Agency shall provide the Department with a copy of any self- assessment completed and the Department shall audit any standards met. s. The Local Health Agency shall use the data system adopted by the Department for 4jPage i inspections and licensing of establishments pursuant to this Agreement. All inspections and licenses shall be entered into the data system in a timely manner. With the exception of temporary events and farmer's market inspections, inspections shall be conducted using the electronic inspection data system. Absent extraordinary circumstances, inspections shall not be completed on paper and later entered into the system. t. The Local Health Agency shall enter all complaints received against establishments covered under this agreement into the electronic data system. u. Provide notice to the Department of any significant changes in staff involved in the food program including inspectors, administrative support, and management. 7. DUTIES OF DEPARTMENT: The Department agrees that the Department and its employees shall: a. Answer local health agency questions on federal and state rules, regulations, executive orders and Department guidance under the scope of this Agreement. b. Review variance and HACCP plan requests taking into account the recommendation of the Local Health Agency and notify the Local Health Agency of the disposition of each request under the jurisdiction of the Local Health Agency. c. Provide licenses and forms prescribed by the Department for the cost of producing the licenses and forms. d. Provide the Local Health Agency with any complaints or foodborne illness requests received by the Department for entities under the jurisdiction of the Local Health Agency. e. Provide guidance to the Local Health Agency when investigating a foodborne illness or foodborne illness complaint. f. Provide ongoing performance reviews and feedback,including an annual electronic file review and an in-person program review every three years. g. Provide an electronic data system that includes mobile inspection capabilities. h. Provide guidance to the Local Health Agency during food disasters and potential intentional contamination events. i. Provide new inspectors training as needed, but no less than annually, if at least 3 individuals have registered for the course.. 5 Page j. Provide other training courses such as HACCP and food microbiology as needed, but no less than every 18 months, if at least 6 individuals have registered for the course. k. Provide food-related courses to assist the Local Health Agency in meeting continuing education requirements. 1. Provide audits for the FDA Voluntary National Retail Food Regulatory Program Standards (2013). in. Provide standardization of one inspector per Local Health Agency and restandardization as required. n. Provide the ABSORB system for tracking of food training records. 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 1370.9(2015), 137D.2(2015) and 137F.6(2015) and their successors. 9. EMPLOYEES: Department employees are not employees of the Local Health Agency. a. Salaries,unemployment, and liability. The Department shall remain liable for its employees' salaries, unemployment compensation, worker's compensation protection and civil liabilities pursuant to Iowa Code Chapter 669. Each Department employee shall be deemed to be performing regular duties for the Department while performing services pursuant to the Interagency Agreement. Local Health Agency employees are not employees of the Department. The Local Health Agency shall remain liable for its employee's salaries, unemployment compensation, worker's compensation protection and civil liabilities pursuant to Iowa Code Chapter 670. Each Local Health Agency employee shall be deemed to be performing regular duties for the Local Health Agency while performing services pursuant to the Interagency Agreement. b. Conflict of interest. Each Local Health Agency employee responsible for performing inspection, supervisory, or administrative functions under this agreement shall complete a Conflict of Interest Statement (see Attachment 2) which shall be updated at least annually or upon change. If there is a conflict of interest, the Local Health Agency shall submit the conflict of interest statement and proposed plan to remediate the conflict. This shall be completed within thirty(30) days of signing of the agreement and within thirty (30) days of report of a conflict. The Department 6 1 P a g e shall accept, reject, or propose modifications to the remediation of conflicts by local health agency employees within thirty(30) days of receipt. c. Secondary employment. Each Local Health Agency shall also complete a Conflict of Interest Statement and proposed remediation for any employees with secondary employment that involves providing goods, products, services, or labor of any kind to establishments licensed and inspected by the Local Health Agency pursuant to this agreement. 10.REFERRALS: Any complaints made to the Department, regarding an establishment regulated by the Local Health Agency, shall be referred to the Local Health Agency for investigation and enforcement. Complaint referrals shall be investigated with utmost expediency, but in no case shall this exceed seven (7) calendar days. The Local Health Agency will provide a written copy of its findings regarding the referred complaint to the Department within five(5) working days of the completion of the investigation. The Local Health Agency may adopt the Department's Complaint Policies and Procedures. If the Department's Complaint Policies and Procedures are adopted, the timeframes for investigation of complaints within that document shall apply. All complaints shall be entered into the electronic data system. 11. LEGAL OR ADMINISTRATIVE ENTITY: No new legal or administrative entity is created by this Interagency Agreement. 13. PROPERTY: Nothing in this Interagency Agreement shall be deemed to affect any change with respect to the ownership of the real or personal property of either party to this Agreement. 14. FILING AND RECORDING: Pursuant to Iowa Code section 28E.8, a copy of this Agreement shall be filed by the Department with the Secretary of State. 15. COUNTERPARTS: The parties agree that this Agreement has been or may be executed in several counterparts, each of which shall be deemed an original and all such counterparts shall together constitute one and the same instrument. 7JPage. 16. SEVERABILITY: If any provision of this Agreement is determined by the court of competent jurisdiction to be invalid or unenforceable, such determination shall not affect the validity or enforceability of any other part or provision of this Agreement. The undersigned hereby execute and enter into this Interagency Agreement. Each signatory represents that he or she has been authorized in accordance with state law to sign andbind th�epagency represented. By " "."" Date Rod Roberts, Director Iowa Department of Inspections and Appeals By " _._—� Date / (( (Signatur ' J —Michael Van Milligen (Print or Type Name) City Manager (Title) City of Dubuque Health Services Dept . (Local HealthAuthority Name) Attachments: Attachment 1: Risk Assessment and Inspection Frequency Policy Attachment 2: Conflict of Interest Statement 81Page 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) Table of Contents 1. Purpose 2. Scope 3. Circulation 4. Responsibility S. Related Documents 6. References 7. Definitions 8. Process Description 8. Appendix/Worksheets 10. Approval/Document History 1. PURPOSE The purpose of this policy is to define and describe the elements of the DIA Food Bureau Risk Assessment and Inspection Frequency Policy for retail food establishments, home food establishments, and hotels (DIA VNRFRPS.3). 2. SCOPE This policy shall apply to all food establishments directly regulated by DIA Food and Consumer Safety Bureau. 3. CIRCULATION This policy shall be distributed to the following individuals: Bureau Chief,Training Specialist/Retail Food Program Lead,Senior Environmental Specialists,Compliance Officer, Field Inspectors,and Office Staff.A standing copy of this policy shall be placed in the Voluntary National Retail Food Regulatory Program Standards Policy Manual and posted on FoodSHIELD. 4. RESPONSIBILITY Bureau Chief—The Bureau Chief shall review this policy and issue its final approval. Training Specialist/Retail Food Program Lead—The Training Specialist/Retail Food Program Lead shall I 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. S. RELATED DOCUMENTS o Voluntary National Retail Food Regulatory Program Standards Page 1 of 6 Iowa Department of Inspectlons and Appeals Food and consumer Safety Bureau Document#DIA VNRFRPS.3 Voluntary National Retail Food Regulatory Program Standard 3 Version#A Effective Date:July 1,2014 Title:DIA Risk Assessment and Inspection ncy Policy(DIA VNRFRPS.3) 6. REFERENCES • 2009 FDA Model Food Code and Supplement 2009 FDA Model Food Code Annex 7. DEFINITIONS ® DIA—Department of Inspections and Appeals c VNRFRPS—Voluntary National Retail Food Regulatory Program Standards 8. PROCESS DESCRIPTION DIA Food and Consumer Safety Bureau field staff will apply the DIA Risk Assessment and Inspection Frequency Policy to assign a risk level and inspection frequency to each food establishment regulated by the DIA Food and Consumer Safety Bureau, 9. Appendlx/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#DIA VNRFRPS.3 Voluntary National Retail Food Regulatory Program Standard 3 Version 4:1 Effective Date:July 1,2014 Title:DIA Risk Assessment and Inspection Frequency Policy(DIA VNRFRPS.3) DIA Risk Assessment and Inspection Frequency Policy *Risk levels may only be adjusted based on the Risk Assessment Criteria, Routine inspection frequency may be adjusted up or down within the designated allowed range without changing the established risk level. Considerations when adjusting routine inspection frequency to be more frequent than the normal frequency based on the established risk level: • Establishments that have shown consistent non-compliance with risks factor violations(2 or more consecutive Inspections with repeat risk factor violations); • Establishments that have anyviolations under sections 2-101.11,2-102.11,2-103.11,2-201.11, 2-201.12 or 2-201.13 of the 2009 FDA Food Code and Supplement; • Establishments that have shown consistent non-compliance with multiple violations of"Good Retail Practices"(4 or more repeat"Good Retail Practice"violations on consecutive Inspections without showing Improvement, • Establishments with complaints concerning risk factors that have been found verified; • Establishments that have been linked to a FBI outbreak by epidemiological evidence,and • Establishments that frequently change their scope of business. Consideration when adjusting routine Inspection frequency to be less frequent than the normal frequency based on established the risk level: • Stable management structure; • Active Managerial Control is present;and • Inspection history demonstrates a history of compliance. Although inspection staff will have the ability to set the Inspection frequency to any frequency,this Risk Assessment and Inspection Frequency Policy provides the allowable frequency adjustments for each risk level. Additional factors to consider when establishing a risk level when the criteria are not definitive • The number of customers a facility regularly serves Hotel Inspections will be conducted prior to operating and upon a received complaint, routine Hotel inspections will not be conducted unless specified by the Bureau Chief or designee Home Food Establishments will be inspected prior to operating and upon a received complaint,routine Home Food Establishment will not be conducted unless specified by the Bureau Chief or designee Pre operational Inspections will not be conducted for food establishments that change ownership unless the inspector determines there are extenuating circumstances that require a pre-operational inspection such as: • An Inspection history that demonstrates poorly maintained physical facilities and equipment; • An Inspection history that demonstrates lack of adequate refrigeration;or • An inspection history that demonstrates a lack of adequate equipment. Page 3 of 6 Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document#DIA VNRFRPS.3 Voluntary National Retail Food Regulatory Program Standard 3 Version#:1 Effective Date:July 1,2014 Title:DIA Risk Assessment and Inspection Frequency Policy(DIA VNRFRPS.3) Risk Level 1(Very Low)(Normal frequency every 36 months may be adjusted to every 24 or 18 based on inspection history) • Process 1 Foods—"No Cook Step" "Without a Consumer Advisory" • Limited menu and limited preparation or handling of foods • Types of facilities may include bars or taverns without food preparation;retail stores with mostly prepackaged items or unpackaged non PHF/TCS foods. (Dollar General,Bulk Food Stores,Health Food Stores, convenience stores without food preparation and hotel continental breakfast) • Mobile Food Units(prepackaged foods only Le.Schwan's,packaged ice cream trucks) Risk Level 2(Low)(Normal frequency every 24 months may be adjusted to every 18 or 12 based on inspection history) a ProcessIFoods—"No Cook Step"Without a Consumer Advisory • Types of establishments covered may include;snack bars,sandwich shops that do not cook,convenience stores with limited food prep that do not cook and pizza places without buffets and salad bars • Retail stores with multiple unpackaged Items with limited food preparation • School service sites only(these cannot be adjusted less frequent) Risk Level 3(Medium)(Normal frequency every 18 months may be adjusted to every 24.12 or 6 based on inspection history) • Process 2 Foods—"Same Day Service" • Limited Process 3 Foods"Complex Food Preparation"(A small amount of Process 3 foods would be allowed in a Level 3 establishment i.e,sauces,dally specials) • Types of establishments this may include depending on the menu are steakhouses and bar-grills,pizza places with salad bars and buffets • Retail stores with multiple unpackaged Items and are engage in food preparation • Highly Susceptible Population(service site only) • Seasonal Concession Stands(no less frequent than every 12 months) Risk Level 4(High)(Normal frequency every 12 months may be adjusted to every 6 or 18 based on history) • Multiple Process 3 Foods"Complex Food Preparation" • Types of facilities buffet restaurants,production cafeterias,full service diners • Catering operations • School production kitchens(these cannot adjusted to less frequent than every 12 months) • Highly susceptible populations(production kitchens) • Facilities selling Shellstock(live oysters,clams,or muscles)at retail • Process 1 Foods with a Consumer Advisory Le.sushi,oysters • Mobile food units(other than prepackaged) Risk Level 5(Very High) (Normal frequency every 6 months may be adfusted to every 4 or 12 based on inspection history) • Facilities with an issued special process variance per 3-502.11 • Facilities with a Food Code required HACCP Plan per 8.201.13 '. Page 4 of 6 Iowa Department of Inspections and Appeals Food and Consumer Safety Bureau Document#DIA VNRFRPS,3 Voluntary National Retail Food Regulatory Program Standard 3 Version#:1 I Effective Date:July 1,2014 Title:DIA Risk Assessment and Inspection Frequency Policy(DIA VNRFRPS.3) Risk Assessment by Chain Very Low-1 Low-2 Medlum-3 High-4 Very-High-5 Dollar General Subway McDonald's Legends American Grill Olive Garden Family Video- No plzza Qulzno's KFC Okoboll Grill Hy-Vee Sushi DSM School Central Glt-n-Go Kum&Go Taco Bell Hy-Vee Store Kitchen Shopko Kwik Star Tacolohns Perkins Texas Roadhouse(ROP) K-Mart Karabu Coffee Hardee's Family Table Sushi Avenue Dollar Tree Starbucks Fazoli's Dahl's AFC Sushi Menards Pappa Murphy's Buffalo Wild Wings Costco ACE Sushi Walgreens Casey's Wendy's Machine Shed Schwan's JimmyJohns Burger King IHOP Aldi Domino's Arby's Ground Round Puzza Hut- Delivery/Take-Out Pizza Hut Cheesecake Factory PappaJohns- Delivery/Take Out Long Jahn Silvers Famous Dave's Johnny's Italian Blimpie Culvers Steakhouse Hy-Vee Gas Sonic Bandana's Smashburger Waterfront Panera Bread Applebee's MaidRlte A&W B-Bops Target(with Food Service) HappyJoes Panchero's Chlpotle Fareway Red Robin Sam's Club(no shellstock) Wal-Mart Supercenter Page 5 of 6 i fovea Department of Inspections and Appeals Foad 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 Risl<Assessmentsnd Inspection Fre uency Policy(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, ffReheating N xcept for the occasional reheating of om the main kitchen as a method of ection 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 i Storing bulk dry food VN—Volume and distribution is a factor Storing refrigerated or frozen food other than milk VN—Volume and distribution is a factor i 10, i Bureau Chi ` pate: 2 7Cf 57 Page 6 of 6 i