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Iowa Department of Inspections and Appeals New Interagency AgreementsCity of Dubuque City Council Meeting Consent Items # 024. Copyrighted June 17, 2024 ITEM TITLE: Iowa Department of Inspections and Appeals New Interagency Agreement SUMMARY: City Manager recommending City Council approve the 28E agreement with the Iowa Department Inspections and Appeals for inspections, performance of food and hotel licensing, and enforcement with respect to retail food establishments. SUGGESTED Suggested Disposition: Receive and File; Approve DISPOSITION: ATTACHMENTS: Description MVM Memo Staff Memo I D I A Interagency Agreement I D I A Agreement Attachements Type City Manager Memo Staff Memo Supporting Documentation Supporting Documentation THE C Dubuque DUjIBQTE WAWca 914 Masterpiece on the Mississippi YP pp aoo�•o 13 z0i7*20*�oi9 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: June 12, 2024 Public Health Director Mary Rose is recommending City Council approve the 28E agreement with the Iowa Department Inspections and Appeals for inspections, performance of food and hotel licensing, and enforcement with respect to retail food establishments. I concur with the recommendation and respectfully request Mayor and City Council approval. v Mic ael C. Van Milligen MCVM:sv Attachment CC' Crenna Brumwell, City Attorney Cori Burbach, Assistant City Manager Mary Rose Corrigan, Public Health Director THE CITY OF DUB E Masterpiece on the Mississippi Dubuque AII•America City 2007-2012.2013 2017*2019 TO: Michael C. Van Milligen, City Manager FROM: Mary Rose Corrigan, Public Health Director 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: June 10, 2024 INTRODUCTION This memorandum provides information regarding the Iowa Department of Inspections and Appeals (IDIA) renewal agreement with the City of Dubuque for performance of food and hotel licensing, inspections, and enforcement with respect to retail food establishments. BACKGROUND Since 1978, the City Council has continued a Memorandum of Understanding with the State in order to allow the City to license, inspect and enforce the Iowa Food Service Sanitation Code, Iowa Hotel Sanitation Code, the Iowa Food and Home Food Establishment Codes, and the Iowa Food & Beverage Vending Machine laws. The most recent agreement was from July 2021 through June 30, 2024. The City carries out the terms of this agreement through the 2.5 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, 2024, which we have complied with. Service People Integrity Responsibility Innovation Teamwork BUDGET IMPACT FY'23 revenue generated by license fees collected from these various establishments was $147,605. FY'24 revenues are currently at 92% of the budget. Projected revenue for FY'25 is $150,000. RECOMMENDATION It is recommended that the City Council approve the 28E agreement with the IDIA for inspection, licensing, and enforcement of these establishments. Service People Integrity Responsibility Innovation Teamwork Participants Full Legal Name Organization Type County Party 1 City of Dubuque City Dubuque Party 2 Iowa Department of Inspections, Appeals, and Licensing State Agency Polk 530 - Health Service Type 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, Appeals, and Licensing. Purpose 06/30/2027 Duration Contact Person: (Optional) Contact First Name Contact Last Name Job Title Department Iowa Secretary of State 321 East 12th Street Des Moines, IA 50319 sos.iowa.gov FILED Filing Date: 07/18/2024 04:08 PM Filing Number: M517177 28E Agreement Participants Phone Number Copyrighted J une 17, 2024 City of Dubuque Consent Items # 024. City Council Meeting ITEM TITLE: lowa Department of Inspections and Appeals New Interagency Agreement SUM MARY: City Manager recommending City Council approve the 28E agreement with the lowa Department I nspections and Appeals for inspections, performance of food and hotel licensing, and enforcement with respect to retail food establishments. SUGGESTED Suggested Disposition: Receive and File;Approve DISPOSITION: ATTACHMENTS: Description Type MVM Memo City Manager Memo Staff Memo Staff Memo IDIA InteragencyAgreement Supporting Documentation I DIA Agreement Attachements Supporting Documentation INTERAGENCY AGREEMENT Between IOWA DEPARTMENT OF INSPECTIONS, APPEALS, & LICENSING And CITY OF DUBUQUE This Interagency Agreement (hereinafter "Agreement")is entered into between the Iowa Department of Inspections, Appeals, and Licensing (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, Appeals, and Licensing. The scope of the Local Health Agency's authority is limited to the performance of licensing, inspections, and enforcement with respect to hotels pursuant to Iowa Code chapters 137C (Hotel Sanitation Code), home food processing establishments pursuant to 137D (Home Food Processing Establishments) and food establishments pursuant to 137F (Food Establishments and Food Processing Plants). The Department shall inspect in accordance with and enforce all applicable laws as they apply to food processing plants pursuant to Iowa Code chapter 137F, including those whose operation is limited to the storage of food products and those that manufacture,package or label food products. The Department hereby retains its 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 the Local Health Agency's jurisdiction. 2. DELEGATION: The Local Health Agency is hereby authorized to enforce Iowa Code Chapters 137C (Hotel Sanitation Code), 137D (Home Food Processing Establishments) and 137F (Food Establishments and Food Processing Plants) with respect to food establishments as long as this 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, 2024 shall continue in full force and effect until June 30, 2027. 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 inspection, licensing, and enforcement records in its 1 Page 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, Appeals and Licensing Food Safety Bureau 6200 Park Avenue Suite 100. Des Moines, Iowa 50321-1270 6. DUTIES OF LOCAL HEALTH AGENCY: The Local Health Agency agrees that the Agency and its employees shall: a. Comply with all applicable federal, state, and local laws, rules, regulations, executive orders, and Department guidance when performing within the scope of this Agreement. b. Apply Iowa Code Chapters 137C (Hotel Sanitation Code), 137D (Home Food Processing Establishments) and 137F (Food Establishments and Food Processing Plants), as well as administrative rules promulgated pursuant to these chapters, to food establishments, hotels and motels, and home food processing establishments 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 using the Food Code as adopted pursuant to Iowa Code section 137F.2. Conduct pre-opening, routine, follow-up and complaint inspections for home food processing establishments using 481 Iowa Admin. Code chapter 34, as adopted pursuant to Iowa Code section 137D.2. The routine inspection frequency shall be a risk-based system 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, pre-opening, and follow-up inspections of hotels and motels using 481 Iowa Admin. Code chapter 37, as adopted pursuant to Iowa Code chapter 137C.7 . 2 Page e. Forward requests for variances or HACCP (Hazard Analysis and Critical Control Points) plans and Agency recommendations to the Department for approvaL It is the responsibility of the Local Health Agency to work directly with the regulated establishment to ensure HACCP plans contain all of the information specified in section 8-201.14 of the Food Code adopted pursuant to 481 Iowa Admin. Code r. 31.1. It is also the responsibility of the Local Health Agency to submit the completed HACCP plans along with their 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. 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, except when paper applications are necessary due to extenuating circumstances that exist that prevent an applicant from completing an online application. 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 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 inembers 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 food processing establishments via the electronic inspection application including electronic signatures. Further, inspectors shall, in accordance with Departmental guidance, update the facility account contact information, 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. 3 Page 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 (2022) or successors and complete standardization to the FDA Food Code within twenty-four (24) 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 twenty-four (24) months of beginning food inspection work, if available. All inspectors shall also complete the CDC's National Voluntary Environmental Assessment Information System (NEARS) EATS 101 Foundation Skills. 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. o. 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. 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. 4 Page The Local Health Agency shall also provide at least one after-hours emergency contact. q. 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 Standards that are met. r. Meet the following program standards from the FDA's Voluntary National Retail Food Regulatory Program Standards (2022). 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. Provide the Department with a copy of any self-assessment completed and the Department shall audit any standards met. t. 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. Enter all complaints received against establishments including reported food disasters covered under this agreement into 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. S Page 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. 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. 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. Provide technical guidance to the Local Health Agency related to HACCP plans submissions. The Department will review and approve or deny variance requests and HACCP plans 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, except when paper applications are necessary due to extenuating circumstances that exist that prevent an applicant from completing an online application.. 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. 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. 6 Page 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 (2022). l. 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. 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. 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 7 Page 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 licenses issued as compared to the total number of local health agency licenses issued. The manner of financing is expected to change from the manner described in Section 8(a) to the manner described in Section 8(c) on July 1, 2025. 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%. 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 licenses in fiscal year 2022. In total, local health agencies issued 10,0001icenses in fiscal year 2022. Accordingly, Local Health Agency's percentage of licenses issued as compared to the total number of local health agency licenses issued 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 from 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. 8 Page 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, except when paper applications are necessary due to extenuating circumstances that exist that prevent an applicant from completing an online application. The Department anticipates fully funding the implementation cost of the new data system and the continued cost of maintenance, support and hosting of the USA Food Safety System for a period of time following the transition to the new data system. Following implementation of the new data system, the Local Health Agency will be charged annually for each internal user license acquired by the Local Health Agency. Each internal user license is anticipated to cost be between $350 and $500 annually. In addition to the user license cost, the Department anticipates retaining a 1% a portion of each license fee as a processing fee to support application processing and data system enhancements. The change in the manner of financing described in Section 8(a) to the manner described in Section 8(c) is expected to occur on July 1, 2025. At least 30 days prior to adopting the new data system and assuming all responsibility for processing license applications and issuing licenses, the Department will determine the actual internal user license cost for the new data system and calculate the processing fee based on the reasonably anticipated annual cost of application processing and data system enhancements. The processing fee will be reviewed annually and may be adjusted annually based on the reasonably anticipated annual cost of application processing and data system enhancements 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 this Agreement. Local Health Agency employees are not employees of the Department. The Local Health Agency shall remain liable for its employees' 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 Agreement. 9 Page 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. 1L LEGAL OR ADMINISTRATIVE ENTITY: No new legal or administrative entity is created by this Agreement. 12. PROPERTY: Nothing in this 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. lO Page 11 | Page 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 Agreement. Each signatory represents that he or she has been authorized in accordance with state law to sign and bind the agency represented. By _____________________________________ Date _____________ Larry Johnson, Jr. D irector Iowa Department of Inspections, Appeals and Licensing By _____________________________________ Date _____________ Signature) Print or Type Name) Title) City of Dubuque Attachments: Attachment 1: Risk Assessment and Inspection Frequency_SOP_RETAIL_V (5) Attachment 2: Potential Conflict of Interest Statement 2024 Attachment 3: Complaint Response SOP_HFPE_MFRPS_Retail_RRT_V6 06/18/2024 Michael C. Van Milligen City Manager 07/01/2024 Attachment 1 Risk Assessment lowa Department of Inspections and Appeals Food and Consumer Safety Bureau Title: Risk Assessment and Inspection Frequency Procedure Effective Date: 10/OS/2022 Pages:7 Table of Contents 1. Purpose 2. Scope 3. Background 4. Responsibility 5. Definitions 6. Procedures 7. Related Documents 8. Safety 9. Circulation 10. Approval 1. PURPOSE The purpose of this policy is to define and describe the elements of the lowa Department of Inspections and Appeals (DIA) Food Bureau Risk Assessment and Inspection Frequency Policy for retail food establishments, home food processing establishments, and hotels. 2. SCOPE This policy will apply to all food establishments, home food processing establishments, and hotels directly regulated by the DIA Food and Consumer Safety Bureau. 3. BACKGROUND The inspection program adopted by DIA will provide the foundation for determining the compliance of food service and retail establishments with local, state and federal laws. DIA Retail Inspection Program will focus on high risk establishments by focusing on determining and documenting compliance, and targeting immediate and long-term correction of out-of-control risk factors through demonstration of active managerial control. 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 will review all policies and procedures which apply to DIA administrative and bureau functions and will serve as a designee for the Bureau Chief. 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. Page 1 of 7 Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators workgroup for current and fit-for-use version. Attachment 1 Risk Assessment lowa Department of Inspections and Appeals Food and Consumer Safety Bureau Title: Risk Assessment and Inspection Frequency Procedure Effective Date: 10/OS/2022 Pages:7 Regional Inspection Supervisor—The Regional Inspection Supervisors oversee all field assignments and provide leadership to all field staff personnel for compliance with this policy. Supervisors will ensure that Field Inspectors are trained to follow and comply with this policy. Retail Food Program Lead—The Retail Food Program Lead will be the technical expert on retail food Inspections and will ensure that all retail Field Inspectors and Supervisors are trained to follow and comply with this policy.The Retail Lead develops and updates the policy under the advisement of the Bureau Chief and will assist in the review of this policy for the Voluntary National Retail Food Regulatory Program Standards.The Retail Program lead will serve as a designee for compliance with this procedure. 5. DEFINITIONS Demonstration of Control Item (DCI)Violation-a violation of a provision of law or regulations in a home food processing establishment that is unable to provide clear and convincing evidence of implementing written standard processes and practices that are intended to control food safety hazards. Specifically,that the person in charge is present, understands food safety principles and demonstrates control of food safety and the person in charge has completed an approved food safety training course. Foodborne Illness Risk Factor and Public Health Intervention Violation-a violation of a provision of law or regulations whose applications contribute directly to the elimination, prevention, or reduction to an acceptable level, hazards associated with foodborne illness or injury and there is no other provision that more directly controls the hazard. Good Manufacturing Practice(GMP)Violation-a violation of a provision of law or regulations in a home food processing establishment that is not a demonstration of control violation. Non-Foodborne Illness Risk Factor and Public Health Intervention Violation — a violation of a provision of law or regulations that is not a Foodborne Illness Risk Factor and Public Health Intervention violation. Referred to as Good Retail Practices (GRPs). 6. PROCEDURES Risk Levels may only be adjusted based on the Risk Assessment Criteria. Routine inspection frequency may be adjusted to a more frequent timeframe without changing the established risk level. 6.1. Routine inspection frequency may be adjusted to be more frequent than the established time frame based on the following criteria: 6.1.1. Establishments that have shown consistent non-compliance with risk factor or demonstration of control violations (2 or more consecutive routine orcomplaint inspections with repeat risk factor violations). 6.1.2. Establishments that have violations of demonstration of knowledge, duties of the person in charge, or demonstration of control. Page 2 of 7 Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators workgroup for current and fit-for-use version. Attachment 1 Risk Assessment lowa Department of Inspections and Appeals Food and Consumer Safety Bureau Title: Risk Assessment and Inspection Frequency Procedure Effective Date: 10/OS/2022 Pages:7 6.1.3. Establishments that have shown consistent non-compliance with multiple violations of Good Retail Practices(GRP)" or"Good Manufacturing Practices (GMP)" such as 4 ormore repeat GRP or GMP violations on consecutive inspections without showingimprovement. 6.1.4. Establishments with verified complaints concerning risk factor or demonstration of control violations. 6.1.5. Establishments that have been linked to an FBI outbreak by epidemiological evidence. 6.1.6. Home food processing establishments that have distributed adulterated homemade food items. 6.1.7. Home food processing establishments that have distributed prohibited foods. 6.1.8. Establishments that frequently change their scope of business. 6.2.Additional factors to consider when establishing a risk level if the criteria is not definitive: 6.2.1.The number of customers a facility regularly serves. 6.3. Home Food Processing Establishments(HFPE) 6.3.1. Each HFPE will be inspected prior to operation and upon a received complaint. 6.3.2. Menu changes will be reviewed upon submission and Risk Level will be assessed basedon the menu and food preparation process. 6.3.3. Low Risk HFPE: Inspections will be conducted prior to operation and upon a received complaint only, unless directed by the Bureau Chief or Designee. Risk Level Determination: TCS Baked Goods including soft and cream pies, cheesecakes,filled pastries, and TCS frostings, for sale directly to the consumer or for resale. Non-TCS Foods, except for those subject to regulation under IAC-481.34.6(6) Preparation Methods" and intended for resale. 6.3.4. Medium Risk: Routine inspections every 84 months. Risk Level Determination: Food storage only of the permit holder's frozen inspected meat or poultry that is sold at farmer's markets, mail order, or through their licensed mobile food unit. 6.3.5. High Risk: Routine inspections every 36 months, may be adjusted to every 24 or 12 months based on the criteria set forth in 6.1. Risk Level Determination:TCS homemade food items, other than TCS baked goods and packaged meat or poultry,for sale directly to the consumer or for resale. Non-TCS homemade food items included in IAC 481-34.6(6) "Preparation Methods" and intended for resale. 6.4. Hotels 6.4.1. Hotels are not assigned a Risk Level. Hotel inspections will be conducted prior to operating and upon a received complaint. 6.4.2. Routine Hotel inspections will not be conducted unless directed by the Bureau Chiefor Designee. Page 3 of 7 Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators workgroup for current and fit-for-use version. Attachment 1 Risk Assessment lowa Department of Inspections and Appeals Food and Consumer Safety Bureau Title: Risk Assessment and Inspection Frequency Procedure Effective Date: 10/OS/2022 Pages:7 6.5. Food Establishments 6.5.1. Food Establishments will be inspected prior to operation, upon a received complaintand at the established inspection frequency based on risk. Annual Temporary and Annual Farmers Market Food Establishments will be inspected annually. 6.5.2. Preoperational inspections will not be conducted for food establishments thatchange ownership unless the inspector determines there are extenuating circumstances that require a pre-operational inspection such as: Facilities that are past due for a routine inspection. An Inspection history that demonstrates a lack of adequate refrigerationor equipment, or indicates poorly maintained physical facilities orequipment. 6.5.3. Risk Level 1 (Very Low) Inspections will be conducted prior to operation and upona received complaint only, unless directed by the Bureau Chief or Designee. Risk Level Determination: Process 1 Foods- No Cook/Kill Step. No Consumer Advisory. Limited menu and limited preparation or handling of foods- No CFPM Required. 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 with minimal food preparation). Class 2 Mobile Food Units (prepackaged foods hot or cold food only) Unattended Food Establishments Vending Machines 6.5.4. Risk Level 2(Low) Routine inspections every 60 months, may be adjusted to every 48 or 36 based on inspection history. Risk Level Determination: Process 1 Foods-No Cook/Kill Step. No Consumer Advisory. Snack bars, sandwich shops that do not cook, convenience stores with limited food prep that do not cook raw animal foods and pizza shops (with pre-cooked ingredients)without buffets and salad bars. Retail stores with multiple unpackaged items with limited food preparation. 6.5.5. Risk Level 3 (Medium) Routine inspections every 36 months, may be adjusted to every 24 or 18 months based on inspection history). Risk Level Determination: Process 2 Foods- "Same Day Service" (cook and serve) Limited Process 3 Foods "Complex Food Preparation" (A small amount of Process 3 foods, limited to sauces and daily specials, would be allowed in a Risk Level 3 establishment.) Types of establishments this may include, depending on the menu, are fast food, quick service operations, and pizza shops with salad bars and buffets Retail stores with multiple unpackaged items and food preparation Highly Susceptible Population Service Site (no less frequent than every 24 months) Seasonal Concession Stands (no less frequent than every 24 months) School Service Sites only(no less frequent than every 24 months) Page 4 of 7 Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators workgroup for current and fit-for-use version. Attachment 1 Risk Assessment lowa Department of Inspections and Appeals Food and Consumer Safety Bureau Title: Risk Assessment and Inspection Frequency Procedure Effective Date: 10/OS/2022 Pages:7 6.5.6. Risk Level 4(High) Routine inspections every 12 months, may be adjusted to every6 months based on history. Risk level Determination: Multiple Process 3 Foods "Complex Food Preparation" Types of facilities: buffet restaurants, production cafeterias,food establishments that cook, cool, and reheat Operations that regularly provide catering services School Production Kitchens Highly Susceptible Populations production kitchens Facilities selling Shell stock(live oysters, clams, or muscles) at retail Process 1 Foods with a Consumer Advisory i.e. sushi,oysters Mobile food units(Class 3 or Class 4 Units) 6.5.7. Risk Level 5 (Very High) Routine inspections every 6 months, may be adjusted to every 4 months based on inspection history. Risk Level Determination: Facilities with an issued special process variance per Code 3- 502.11, and facilities with a Food Code required HACCP Plan per 8-201.13 7. RELATED DOCUMENTS 7.1. Attachment: Risk Assessment by Retail Chain 7.2. Attachment: Service Site vs Production Site 8. SAFETY The DIA Food and Consumer Safety Bureau will apply their qualification and training to be alert and safe while conducting field assignments. If anytime during an inspection the field inspector determines they are in a dangerous or unsafe situation the inspection shall cease and the inspector will immediately remove themselves from the facility. Once the inspector is off the premises of the facility they will immediately contact their Regional Inspection Supervisor or Designee. 9. CIRCULATION This policy will be distributed to the following individuals: Bureau Chief, Assistant Bureau Chief, Regional Inspection Supervisors, Retail Foods Program Lead, and Field Inspectors.A standing copy of this policy will be placed in Food SHIELD and email read receipt of this document by all users will be confirmed by records maintained in the DIA Food and Consumer Safety Bureau Office. 10. Document Histary Version# Pre ious Version #/ate Change History V.2.1 V_2 8_26.2 22 Update to section 63. Update to se tion 6.5.3 added No CFf M required Approved By: Date Q Page 5 of 7 Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators workgroup for current and fit-for-use version. Attachment 1 Risk Assessment lowa Department of Inspections and Appeals Food and Consumer Safety Bureau Title: Risk Assessment and Inspection Frequency Procedure Effective Date: 10/OS/2022 Pages:7 Attachment: Risk Assessment by Retail Chain Risk Assessment by Retail Chain Risk 1 (Very Low)Risk 2 (Low)Risk 3 (Medium)Risk 4(High) Risk 5 (Very High) Grocery or other Grocery or other Grocery store that Grocery Store that Any facility with a store with store with a meat cooks and holds for batch cooks for HACCP Plan or a commercially counter(cutting same day service in grocery display Variance for a prepackaged food meat)or deli their deli or cases or Special Process only slicing meat or foodservice area. foodservice cheese) through the week Aldi Caribou Coffee A&W Cracker Barrel ACE Sushi Dollar General Casey's General Arby's Hy-Vee(FS) Fujisan Sushi Store(FE and FS) Dollar Tree Cinnabon Buffalo Wild Wings Jethro's BBQ Hy-Vee Sushi(FS) Family Dollar Cold Stone Burger King Kwik Star/Kwik Trip Creamery FS with chicken) Menards Costco(FE) Chick Fil-A Machine Shed Walgreens Dairy Queen(no Chipotle Outback cooking) Steakhouse Domino's Culver's Panchero's Mexican Grill Dunkin Donuts Dairy Queen(with Perkins cooking) Fareway(FE) Fareway(FS) Red Lobster Firehouse Subs Fazoli's Texas Road House Hy-Vee(FE) KFC Village Inn Jimmy Johns McDonalds Kum&Go(FE and Noodles and FS) Company Kwik Star/Kwik Trip Panda Express FE)(FS without chicken) Papa Murphy's Panera Quick Trip(FE and Papa Johns FS) Scooters Coffee Pizza Hut Smoothie King Pizza Ranch Starbucks Coffee Sonic Subway Taco Johns Tropical Sno Taco Bell Which Which Target(FS) Wendy's Page 6 of 7 Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators workgroup for current and fit-for-use version. Attachment 1 Risk Assessment lowa Department of Inspections and Appeals Food and Consumer Safety Bureau Title: Risk Assessment and Inspection Frequency Procedure Effective Date: 10/OS/2022 Pages:7 Attachment: Service Site vs Production Site Service Site or Production Site Schools and Nutrition Programs) Cooking food Production Site Only Hot Holding food prior to and during service Service Site or Production Site Reheating food, except for the occasional reheating of foods delivered from the main kitchen as a method of Production Site Only temperature correction or maintenance Washing whole fruit Service Site or Production Site Cutting/Portioning fresh fruit Service Site or Production Site Preparing Baked Goods Production Site Only Slicing rolls or buns for sandwiches Service Site or Production Site Slicing meats or cheeses Production Site Only Preparing sandwiches Production Site Only Opening/Portioning canned fruit Service Site or Production Site Mechanical or manual warewashing/sanitizing eating Production Site Only utensils, serving trays, and pots and pans Mechanical or manual warewashing of serving utensils, knives, condiment dispensers, and other limited items Service Site or Production Site provided adequate warewashing facilities are available Scraping dishes-No warewashing Service Site or Production Site Storing bulk dry food More information required:Volume and distribution is a factor More information required:Volume and Storing refrigerated or frozen food other than milk distribution is a factor Page 7 of 7 Disclaimer: A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators workgroup for current and fit-for-use version. Attachment 2 Conflict of Interest Conflict of Interest Statement Food Safety Bureau Department of Inspections, Appeals, and Licensing In order to prevent conflicts of interest or the appearance of conflicts of interest, employees of the Bureau and local health agencies providing food inspection and licensing services under contract with the Department must disclose potential conflicts of interests and secondary employment. If an employee has a potential conflict, the employee and either the Bureau supervisor or local health agency should propose to the Department of Inspections, Appeals, and Licensing a Conflict Remediation Plan. Furthermore, the Bureau and local health agencies shall require all employees to disclose secondary employment. If the secondary employment involves providing goods,products, services, or labor of any kind to establishments licensed and inspected by the Bureau or Local Health Agency, the Conflict of Interest Statement and a Conflict Remediation Plan shall be submitted to the Department. The Department may approve, reject, or propose amendments to a Conflict Remediation Plan. Please list any food establishments, food processing plants, home food processing establishments or hotels/motels 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 and the city. Please list any food establishments, food processing plants, home food processing establishments or hotels/motels operations where you have a financial or ownership interest. Please list the name of the establishment/processor and the city. Attachment 2 Conflict of Interest Do you currently have any secondary employment? If so, please list and describe the secondary employment? If so, does the secondary employment involve providing good, products, services, or labor of any kind to food establishment, food processing plant, home food processing establishment or hotels/motels, please describe. 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-law, daughter- in-law, brother-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 establishment, food processing plant,home food processing establishment or hotel/motel? 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 establishment, food processing plant, home food processing establishment, or hotel/motel? Yes No If yes, who and where Employee: Signature: Date: Attachment 3 Complaint Response lowa Department of Inspections,Appeals and Licensing Food Safety Bureau Title: Complaint Response SOP Effective Date: 4/17/2024 Pages: 9 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 procedure is to describe the different types of consumer complaints received by the lowa Department of Inspections,Appeals and Licensing (DIAL) Food Safety Bureau, and the assignment, response, documentation, and closure of complaints. 2. SCOPE This procedure will apply to all retail food establishments, mobile food units, home food processing establishments, manufactured food firms,food storage warehouses, unattended food establishments,temporary events,farmers markets,vending machines, hotels, and unlicensed or licensed non-profit and for-profit organizations. 3. BACKGROUND The lowa Rapid Response Team (RRT) Coordinator or designee will apply the requirements of this procedure to all complaints received by the department. DIAL Food Safety Bureau 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 DIAL 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 Page 1 of 9 Disclaimer:A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators and DIAL MFRPS Official SOPs workgroups for current and fit-for-use version. Attachment 3 Complaint Response lowa Department of Inspections,Appeals and Licensing Food Safety Bureau Title: Complaint Response SOP Effective Date: 4/17/2024 Pages: 9 Regulatory Program Standards, and the lowa Food Emergency Rapid Response Team programs, and will review and revise policies and procedures.They will serve as the designee for the Bureau Chief. Rapid Response Team Coordinator—The Rapid Response Team (RRT) Coordinator or designee will oversee field assignments in regards to complaints and provide training and leadership to all Field Inspectors or other personnel for compliance with this procedure.The RRT Coordinator or designee will also serve as the assessor or reviewer for this procedure for the Manufactured Food Regulatory Program Standards (MFRPS) and the Voluntary National Retail Food Regulatory Program Standards VNRFRPS). Regional Inspection Supervisors—The Regional Inspection Supervisors or designee will supervise retail and manufactured food Field Inspectors and provide training and leadership to all field inspection staff for compliance with this procedure. Manufactured Food Program Lead—The Manufactured Food Program Lead will serve as the technical expert for manufactured food inspections and will ensure all manufactured food Field Inspectors comply with this procedure.They will assist in the review of this procedure for the Manufactured Food Regulatory Program Standards (MFRPS). Retail Food Program Lead—The Retail Food Program Lead will serve as the technical expert for retail food inspections and will ensure all retail Field Inspectors comply with this procedure.They will assist in the review of this procedure for the Voluntary National Retail Food Regulatory Program Standards (VNRFRPS). Home Food Processing Establishment Lead -The Home Food Processing Establishment (HFPE) Lead will serve as the technical expert for home food processing establishment licensing and inspections and will ensure all Field Inspectors comply with this procedure.They will assist in the review of this procedure for both MFRPS and VNRFRPS. Grant Coordinator-The Grant Coordinator will 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/or RRT Coordinator.They will assist with training inspectors to follow and comply with this procedure. Field Inspectors- Field Inspectors will demonstrate knowledge,good conduct and professionalism at work.They will comply with this procedure when performing Department and/or regulatory duties, follow the procedures described as applicable to their position and notify their supervisor when the procedures cannot be followed. Page 2 of 9 Disclaimer:A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators and DIAL MFRPS Official SOPs workgroups for current and fit-for-use version. Attachment 3 Complaint Response lowa Department of Inspections,Appeals and Licensing Food Safety Bureau Title: Complaint Response SOP Effective Date: 4/17/2024 Pages: 9 5. DEFINITIONS Business Day—an official day of the week between and including Monday through Friday during which business is conducted, not including state holidays and weekends. Consumer Complaints—complaints made by the public regarding human food products or ingredients, facility, practices, labeling, hotel sanitation and other related activities. Cottage Food—means the same as defined in lowa Code chapter 137F.1 Cottage food is exempt from all licensing, permitting, inspection, packaging, and labeling laws of the state if the food complies with cottage food requirements provided in lowa Code Chapter 137F. Non-illness Complaints received will not be investigated, however, Illness Complaints may be investigated. Response—a reaction or reply conducted by the RRT Coordinator, Regional Inspection Supervisors, Manufactured Food Program Lead, Retail Food Program Lead, Field Inspectors, or designee(s) as the result of a complaint or reported food-related incident.The response depends on the nature and severity of the complaint and includes, but is not limited to: an evaluation of the complaint, replies by telephone or email, on-site inspections, or environmental assessments. 6. PROCEDURES 6.1. Classification of Complaints:The following are the different categories of complaints that may be received by phone,fax, 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 current inspection 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 6.1.2.1. Illness Cottage Food 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. Fire 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 or which render a food establishment,food processing plant, or food storage warehouse inoperable 6.1.4. Intentional Contamination and/or Terrorism 6.1.4.1. Food Tampering Page 3 of 9 Disclaimer:A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators and DIAL MFRPS Official SOPs workgroups for current and fit-for-use version. Attachment 3 Complaint Response lowa Department of Inspections,Appeals and Licensing Food Safety Bureau Title: Complaint Response SOP Effective Date: 4/17/2024 Pages: 9 6.1.4.2. Intentional Adulteration 6.1.4.3. Other Hazard Claims 6.1.5. 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. Pest Control 6.1.5.7. Bed Bugs 6.1.5.8. 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. Unspecified 6.1.5.13. Smoking 6.1.5.14. Other State and Federal Agency Complaints 6.2. Response Assignments 6.2.1. Response and completion times are based on the type and classification of complaints 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 and credibility of the complaint,the establishment's inspection and enforcement 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 contact their Regional Inspection Supervisor or designee prior to the due date.The Regional Inspection Supervisor or designee will reassign the response to be completed by other available inspection staff within the original assigned time frame. 6.2.1.2. The timeframe for response may only be extended with approval of the RRT Coordinator, Bureau Chief, Assistant Bureau Chief, or designee. 6.2.1.2.1. If approval is granted,the person granting approval will enter a note on the complaint maintenance page prior to the response due date. 6.3. Completing Routine Inspections During a Complaint Response 6.3.1. When an illness or a non-illness complaint inspection is assigned, a routine inspection may be scheduled to be completed in conjunction with the complaint investigation by the RRT Page 4 of 9 Disclaimer:A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators and DIAL MFRPS Official SOPs workgroups for current and fit-for-use version. Attachment 3 Complaint Response lowa Department of Inspections,Appeals and Licensing Food Safety Bureau Title: Complaint Response SOP Effective Date: 4/17/2024 Pages: 9 Coordinator, Regional Supervisor, or designee based on the criteria listed in the Complaint Intake Work Instructions. 6.3.1.1. If a Routine Inspection is assigned for an illness or non-illness complaint, but the routine inspection is unable to be completed,the RRT Coordinator or designee will enter an internal note explaining the circumstances regarding the change in inspection reason. 6.4. Time Frame for Response 6.4.1.The RRT Coordinator or designee will assign complaint response due dates based on the complaint category and timeframes established in this procedure. 6.4.1.1. Complaint responses must be completed by the established due date. 6.4.1.2. Complaint responses require an onsite inspection unless otherwise indicated by the RRT Coordinator or designee. 6.4.1.3. Response times may be altered upon approval of the Bureau Chief or designee with consideration of the severity of the complaint, contents of the complaint, status of an outbreak investigation, available bureau resources and competing bureau priorities. 6.4.2. Food-related Illness Outbreaks: One Business Day. The RRT Coordinator or designee will review all food-related illness outbreaks within one Business Day of receiving each complaint. 6.4.2.1. After initial evaluation of the complaint, the RRT Coordinator or designee will assign the complaint to the appropriate Field Inspector for response to be completed within one business day. 6.4.2.2. The Field Inspector or designee responding to the food-related illness outbreak will be completing the outbreak investigation in cooperation with the Environmental Assessment team. 6.4.2.3. Food-related illness outbreak complaints received outside normal business hours will be reviewed and evaluated by the RRT Coordinator or designee before the end of the next business day. 6.4.3. Food-related illness, Food-related injury complaints: One to Seven Business Days 6.4.3.1. Initial Response:the RRT Coordinator or designee will review all food-related illness complaints and food-related injury complaints within one Business Day of receiving each complaint. After initial evaluation of the complaint, the RRT Coordinator or designee will assign the response time based on the Complaint Response Work Instructions. 6.4.3.2. Cottage Food Illness Complaints: Within One Business Day. Illness complaints will be sent by the RRT Coordinator or designee to lowa Department of Health and Human Services (IHHS), within one Business Day. Page 5 of 9 Disclaimer:A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators and DIAL MFRPS Official SOPs workgroups for current and fit-for-use version. Attachment 3 Complaint Response lowa Department of Inspections,Appeals and Licensing Food Safety Bureau Title: Complaint Response SOP Effective Date: 4/17/2024 Pages: 9 6.4.4. Emergency/Imminent Health Hazard Complaints: One Business Day. All emergency/imminent health hazard complaints, including those resulting from natural disasters, (listed in 6.1.3) will require a response within one Business Day of receipt. 6.4.4.1. A Non-Illness complaint inspection is scheduled when it is determined that one licensed facility is impacted. 6.4.4.2. An Emergency Response inspection is scheduled when it is determined that more than one licensed facility is impacted. 6.4.4.2.1.An Emergency Response-Phone response may be scheduled when the scope of the health hazard is unknown, when the scope of the health hazard is widespread, when an on-site response is unlikely to provide additional value, or when personal safety concerns are heightened. 6.4.5. Intentional Contamination and/or Terrorism: One Business Day. The assigned Field Inspector will be contacted via phone,text, and/or email to alert them of the situation. 6.4.5.1. The RRT Coordinator or designee will immediately notify the appropriate law enforcement agency if intentional contamination and/or terrorism is suspected. 6.4.6. Non-Illness 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: Within 30 Calendar Days 6.4.7. Bed bugs and Pest Control: Within 15 Calendar Days 6.4.8. Misbranding/Mislabeling(that does not include an allergen):Within 30 Calendar Days 6.4.9. General Facility Sanitation: General facility sanitation complaints will be investigated no later than the next scheduled routine inspection for that facility. One or more of the following conditions may accelerate the complaint response timeframe: 6.4.9.1. Information received from the complainant 6.4.9.2. Establishment's risk level 6.4.9.3. Establishment's inspection and compliance history 6.4.9.4. Establishment's complaint history 6.4.9.5. The date of the last routine inspection 6.4.10. Unlicensed Facility: Within 30 Calendar Days. If the facility cannot be located within 30 Calendar Days, additional response time may be approved in advance by the RRT Coordinator, Bureau Chief, Assistant Bureau Chief, or designee.Any changes will be documented as an internal note on the complaint maintenance page. 6.4.11. Hotels(other than bedbug complaints):within 90 calendar days Page 6 of 9 Disclaimer:A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators and DIAL MFRPS Official SOPs workgroups for current and fit-for-use version. Attachment 3 Complaint Response lowa Department of Inspections,Appeals and Licensing Food Safety Bureau Title: Complaint Response SOP Effective Date: 4/17/2024 Pages: 9 6.4.12. 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. 6.4.13. Other State and Federal Agency Complaints: One Business Day 6.4.13.1. Complaints received by this Department for products or establishments that are regulated by other state or federal agencies are referred to the appropriate agency. 6.5. Investigation Documentation 6.5.1. Field Inspectors or designee will implement appropriate documentation procedures in accordance with the applicable Retail or Manufactured Foods Standards SOPs. Examples include the Retail Field Inspection SOP, Field Inspection SOP and Work Instructions MFRPSJ, Inspection Report Writing Training and Work Instructions and the Inspection Report Writing SOP and Work Instructions—MFRPS. 6.6. Monitoring/Closing Complaints 6.6.1. Except for foodborne illness outbreak complaints, 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 of follow-up. 6.6.1.1. For foodborne illness outbreak complaints,the complaint status will be updated by the RRT Coordinator or designee upon completion of the investigation. 6.6.2. Changing the status from "pending" to the appropriate status closes the consumer complaint. 6.6.2.1. Completed Complaint Statuses 6.6.2.1.1.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 and/or evidence that the complaint happened. 6.6.2.1.2. 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 the objectionable conditions or practices may have happened. 6.6.2.1.3. 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. 6.6.2.1.4. Investigation ongoing:The complaint status will remain pending during a foodborne illness outbreak until the investigation is completed. Page 7 of 9 Disclaimer:A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators and DIAL MFRPS Official SOPs workgroups for current and fit-for-use version. Attachment 3 Complaint Response lowa Department of Inspections,Appeals and Licensing Food Safety Bureau Title: Complaint Response SOP Effective Date: 4/17/2024 Pages: 9 6.7. Complaint Backup Coverage 6.7.1. 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. 6.7.2. If the RRT Coordinator is unavailable for more than one Business Day, all complaints will be monitored by a backup coordinator. 6.8. Response Requested. Complainants who request follow-up about their complaint will receive one of the following responses: 6.8.1. For all verified non-illness complaints, the complainant will be referred to the department's current public search inspection website or receive a phone call from the RRT Coordinator or designee, or a copy of the inspection report by email or mail. 6.8.2. For all illness/injury complaints or other complaints,the RRT Coordinator or designee will either call the complainant back after the inspection has been completed or email or mail a copy of the completed inspection report. 6.9. Anonymity of Complaint 6.9.1. See 481 lowa Administrative Code Chapter 30 for information on the request by a complainant to remain anonymous. 6.9.2.The name or any identifying information of a person who files a complaint with the department is not shared with the establishment under investigation.The Field Inspector or designee will only share information regarding the complaint in a general manner, and will consult the RRT Coordinator or designee for assistance, if needed. 7. RELATED DOCUMENTS 7.1. 481 lowa Administrative Code Chapter 30 7.2. DIAL Pre-Opening Inspection Work Instructions 7.3. Inspection Report Writing SOP and Work Instructions (MFRPS) 7.4. Inspection Report Writing Work Instructions-Retail 7.5. lowa DIA Retail Field Inspection SOP 7.6. Field Inspection SOP and Work Instructions (MFRPS) 7.7. HFPE Inspection Checklist 7.8. HFPE Pre-Open and Routine Inspection Work Instructions 7.9. Complaint Intake Work Instructions 7.10. Non-Illness Complaint.Commercial Location 7.11. Non-Illness Complaint.Residential Location 7.12. Unlicensed Facility Complaint.Residential Location 7.13. Illness Complaint.Commercial Location 7.14. Illness Complaint.Residential Location 7.15. Outbreak Investigations: Identifying Team Members and Roles 7.16. Environmental Assessment Process Overview Page 8 of 9 Disclaimer:A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators and DIAL MFRPS Official SOPs workgroups for current and fit-for-use version. Attachment 3 Complaint Response lowa Department of Inspections,Appeals and Licensing Food Safety Bureau Title: Complaint Response SOP Effective Date: 4/17/2024 Pages: 9 8. EQUIPMENT/MATERIALS NEEDED 8.1. Access to the online complaint database 9. SAFETY The DIAL Food Safety Bureau shall apply their qualifications and training to be alert and safe while conducting field assignments. If anytime during an inspection the Field Inspector determines they are in a dangerous or unsafe situation the inspection shall cease and the Field Inspector shall immediately remove themselves from the facility. Once the Field Inspector is off the premises of the facility they shall immediately contact their Regional Inspection Supervisor or Designee. 10. CIRCULATION This procedure will be distributed to the following individuals: Bureau Chief, Assistant Bureau Chief, RRT Coordinator, Regional Inspection Supervisors, Manufactured Food Program Lead, Retail Food Program Lead, Home Food Processing Establishment Lead, Grant Coordinator, and Field Inspectors. A standing copy of this policy will be placed in FoodSHIELD and email read receipt of this document by all users will be confirmed by records maintained in the Department of Inspections,Appeals and Licensing, Food Safety Bureau Office. 11. APPROVAL Document History Version#f Previous Version N/ale Ghange Histary . 5.4 6.3 lanuary 2,2023 Update agency names,rernave Consumable hiemp, add HFPE changes Approved 8y: Qate Page 9 of 9 Disclaimer:A printed hardcopy or download of this document is uncontrolled. Please refer back to the FoodSHIELD lowa Food and Consumer Safety Regulators and DIAL MFRPS Official SOPs workgroups for current and fit-for-use version.