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Approval of Iowa Department of Inspections, Appeals, and Licensing New Interagency Agreement Copyrighted June 15, 2026 City of Dubuque CONSENT ITEMS # 9. City Council ITEM TITLE: Approval of lowa Department of Inspections, Appeals, and Licensing New Interagency Agreement SUMMARY: City Manager recommending approval of the 28E agreement with lowa Department of Inspections, Appeals, and Licensing for performance of food and hotel licensing, inspections, and enforcement with respect to retail food establishments. SUGGUESTED Receive and File; Approve DISPOSITION: ATTACHMENTS: 1. MVM Memo lowa Department of Inspections, Appeals, and Licensing New Interagency Agreement 2. Staff Memo 3. AGREEMENT NEED SIGNATURE INTERAGENCY AGREEMENT - City of Dubuque 052726 4. LEGAL REVIEW COMPLETED 5-26-26 Page 153 of 1594 Dubuque THE CITY OF � uhA�eMa cin DuB E ; . � , I � � I. Maste iece on the Mississi t 2oo�•zoiz•zois �P Pp zoi�*zoi9 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: lowa Department of Inspections, Appeals, and Licensing New Interagency Agreement DATE: June 10, 2026 Public Health Director Mary Rose Corrigan is recommending City Council approval of the 28E agreement with lowa Department of Inspections, Appeals, and Licensing (IDIAL) and the City of Dubuque for performance of food and hotel licensing, inspections, and enforcement with respect to retail food establishments. This three- year agreement, for the period August 1, 2026-June 30, 2029, is being updated to incorporate requirements for the State of lowa's new food inspection software, SAFHER (System for Agriculture, Food, Health, E-Inspections, and Registration), which will be implemented in fall 2026. The lowa Department of Inspections, Appeals, and Licensing mandates that participating agencies utilize this software as a condition of the agency agreement. The SAFHER software will cost $10,284.32, which is slightly higher than the budget estimate of$9,956.88 budgeted in the FY27 budget. FY25 revenue generated by license fees collected from these various establishments was $149,946. FY26 revenues are currently at 95% of the budget. Projected revenue for FY27 is $144,000. 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 Tim Link, Lead Environmental Sanitarian Page 154 of 1594 Dubuque Health Services Department THE CITY OF � City xall Annex 1300 Main Street All•AmeriaCity Dubuque, IA 52001 UB E ��x�,�� ::�� Office(563)589-4181 Fax(563)589-4299 TTY(563)589-4193 health@cityofdubuque.org 2007+2012�2013 �,�,�,,cityofdubuque.org Masterpiece on the Mississippi 2oi�*Zoi9 TO: Michael C. Van Milligen, City Manager FROM: Mary Rose Corrigan, Public Health Director SUBJECT: lowa Department of Inspections, Appeals, and Licensing New Interagency Agreement DATE: May 27, 2026 INTRODUCTION This memorandum provides information regarding the lowa Department of Inspections, Appeals, and Licensing (IDIAL) 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 lowa Food Service Sanitation Code, lowa Hotel Sanitation Code, the lowa Food and Home Food Establishment Codes, and the lowa Food & Beverage Vending Machine laws. The most recent agreement was from July 2024 through June 30, 2027. The City carries out the terms of this agreement through the 2.5 FTE 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 This three- year agreement, for the period August 1, 2026-June 30, 2029, is being updated to incorporate requirements for the State of lowa's new food inspection software, SAFHER (System for Agriculture, Food, Health, E-Inspections, and Registration), which will be implemented in fall 2026. The lowa Department of Inspections, Appeals, and Licensing mandates that participating agencies utilize this software as a condition of the agency agreement. Scrvicc Pcoplc Intcgrity Rcsponsibility Innovation Tcamwork Page 155 of 1594 BUDGET IMPACT The SAFHER software will cost $10,284.32, which is slightly higher than the budget estimate of$9,956.88 budgeted in the FY27 budget. FY25 revenue generated by license fees collected from these various establishments was $149,946. FY26 revenues are currently at 95% of the budget. Projected revenue for FY27 is $144,000. RECOMMENDATION It is recommended that the City Council approve the 28E agreement with the IDIAL for inspection, licensing, and enforcement of these establishments. Prepared by Tim Link Scrvicc Pcoplc Intcgrity Rcsponsibility Innovation Tcamwork Page 156 of 1594 INTERAGENCY AGREEMENT Between IOWA DEPARTMENT OF INSPECTIONS, APPEALS, & LICENSING And CITY OF DUBUQUE This Interagency Agreement (hereinafter "Agreement") is entered into between the lowa Department of Inspections, Appeals, and Licensing (hereinafter "Department") and City of Dubuque (hereinafter "Local Health Agency") pursuant to the authority of lowa 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 lowa 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 lowa 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). 2. The Local Health Agency shall conduct complaint intake, investigation, documentation, and follow-up in a manner that is consistent with the Department's Complaint Response SOP. Specifically, sections 6.1, 6.4, 6.5, 6.6, 6.7, 6.8, and 6.9 including all required timelines. Upon implementation of a new data system, the Department anticipates it will update the Complaint Response SOP to align with the new system. 3. The Department retains exclusive authority to enforce all applicable laws as they apply to food processing plants pursuant to lowa 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 lowa Code Chapters 137C (Hotel Sanitation Code), 137D (Home Food Processing Establishments) Page 157 of 1594 and 137F (Food Establishments and Food Processing Plants) including complaint response activities, inspection activities, and enforcement actions 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 August 1, 2026, and shall continue in full force and effect until June 30, 2029. 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 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: lowa Department of Inspections, Appeals and Licensing, Food Safety Bureau, 6200 Park Avenue Suite 100, Des Moines, lowa 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 lowa Code Chapters 137C, 137D, and 137F, 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. c. Conduct pre-opening, routine, follow-up, and complaint inspections. The routine inspection frequency shall be a risk-based system and no less frequent than the Department's frequency. Upon implementation of the new data system, routine inspection frequency shall follow the Department's SAFHER Risk Assessment and Inspection Frequency model, including risk-based intervals for Risk Levels 1-5, HFPE categories, and hotel inspection requirements. The Local Health Agency shall complete Page 158 of 1594 at least 80% of follow-up inspections within time frames established in the Agency's written compliance and enforcement procedures. d. Conduct complaint, pre-opening, and follow-up inspections of hotels and motels using 481 lowa Admin. Code chapter 37. e. Complete initial review of Administrative Rule Waiver and HACCP Plan Review applications. Local Health Agency recommendations for Administrative Rule Waiver applications are provided to the Department within 10 business days from the date the application was submitted. HACCP Plan Review Applications are reviewed within 10 business days from when the application was submitted. HACCP Plan Review applications that do not include the information specified by Food Code section 8.201.14 are not submitted for the Department's review. f. Issue State licenses on forms prescribed by the Department. 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. h. Cooperate in any federal or state food program survey conducted within the jurisdiction. i. To the greatest extent possible, all inspectors shall complete inspection reports for all food establishments except temporary food establishments and farmers market food establishments via the electronic inspection application. j. Take corrective action on all food disasters (fire, windstorms, floods) and notify the Department of suspected intentional contamination. k. Hire inspection personnel who possess experience and educational qualifications equivalent to the Environmental Specialist classification. I. Send representation to all Department-sponsored regional meetings and FDA training in lowa. m. Refer to the Department all processing plants, including those manufacturing thermally processed low acid foods or acidified foods. n. Use and include all supervisory, inspection, and administrative staff on the Foodshield system. Page 159 of 1594 o. Provide an up-to-date contact sheet within 30 days of signing and review every six months. p. Provide at least one after-hours emergency contact. q. Maintain enrollment in the FDA's Voluntary National Retail Food Regulatory Programs Standards. r. Meet Program Standards 2, 3, 4, 6, and 9 from the FDA's 2024 Voluntary Retail Food Regulatory Program Standards and its successors. s. Provide the Department with a copy of any self-assessment completed. Each local agency is strongly encouraged to complete a full self-assessment of all 9 standards during the 12-month period prior to the expiration of their current self-assessment. Audits of individual standards self-assessments not completed during this timeframe may not be audited by the Department within 6 months of submission to the Department. t. Use the data system adopted by the Department for licensing, inspections, compliance, and enforcement. u. Enter all complaints received into the electronic data system. All complaints shall be entered within one business day from the date received, consistent with the Complaint Response SOP Section 6.1. v. Provide notice to the Department of any significant changes in staff involved in the food program. w. Have a Memorandum of Understanding (MOU) with another Local Health Agency or the Department to provide services if inspection personnel are unavailable. Backup coverage shall also comply with Complaint Response SOP Section 6.7, ensuring availability for emergency, imminent health hazard, and illness complaints. x. Maintain a 20.88 information sharing agreement with the FDA. y. Designate at least one employee to serve as a local data system administrator. The local data system administrator will serve as the local data system subject matter expert, provide training and guidance to Local Health Agency users, submit support requests, develop local agency reports, manage user accounts, and update local agency data system configurations. Page 160 of 1594 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 and Department guidance. b. Provide technical guidance to the Local Health Agency related to HACCP Plan Reviews and complete the final review of HACCP Plan Review and Administrative Rule Waiver applications. c. Provide forms prescribed by the Department. d. Provide the Local Health Agency with complaints or foodborne illness requests received by the Department. e. Provide guidance when investigating foodborne illness complaints. f. Provide ongoing performance reviews and feedback. g. Provide an electronic data system that includes mobile inspection capabilities. h. Provide guidance during food disasters and intentional contamination events. i. Provide new inspector training as needed, but no less than annually, if at least 3 individuals have registered for the course. j. Provide or recommend food-related courses for continuing education. k. Provide audits for the FDA Voluntary National Retail Food Regulatory Program Standards. I. Provide standardization and re-standardization of one inspector per Local Health Agency. The Department will determine the location of the standardization inspections considering travel for both the Local Health Agency and the Department. m. Provide the ABSORB system for tracking food training records. n. Provide guidance to Local Health Agencies regarding complaint classification, response timelines, and documentation requirements as outlined in the Complaint Response SOP. 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. Page 161 of 1594 a. Beginning August 1, 2026, the Local Health Agency will be charged annually for each internal user of the new data system. The annual charge for each internal user is $2,571.08, consistent with the SAFHER Local Agency Cost attachment. b. On or before August 31 of each year, each local agency is required to submit a purchase order and payment for user licenses. c. Seat Reassignment Clause: User licenses are assigned to "seats" rather than specific individuals. In the event of a mid-year vacancy, the Local Health Agency may reassign the existing license to a new employee for the remainder of the fiscal year at no additional cost. 9. EMPLOYEES: Department employees are not employees of the Local Health Agency, and Local Health Agency employees are not employees of the Department. a. Salaries and Liability: Each party remains liable for its employees' salaries, unemployment, workers' compensation, and civil liabilities. b. Conflict of Interest: Each Local Health Agency employee shall complete a Conflict of Interest Statement (Attachment 2) annually or upon change. c. Secondary Employment: Disclosure is required for any secondary employment providing goods or services to establishments licensed by the Agency. 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. Findings must be entered into the data system within five (5) working days of completion. The Local Health Agency shall investigate referred complaints within the timelines established in the Complaint Response SOP. 11. 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. 13. FILING AND RECORDING: Pursuant to lowa Code section 28E.8, a copy of this Agreement shall be filed by the Department with the Secretary of State. Page 162 of 1594 14. COUNTERPARTS: This Agreement may be executed in several counterparts, each of which shall be deemed an original. 15. SEVERABILITY: If any provision is determined to be invalid or unenforceable, such determination shall not affect the validity of any other part of this Agreement. 16. PRIOR AGREEMENTS: This agreement supersedes all prior agreements, understandings, negotiations, and discussions, whether oral or written, of the parties. IN WITNESS WHEREOF, the parties have executed this Agreement on the dates set forth below. IOWA DEPARTMENT OF INSPECTIONS, APPEALS, & LICENSING By: Date: Aaron Baack, Interim Director CITY OF DUBUQUE By: Date: API 6p Name: ic-c N\ enNarNcs Title:r-A..�Lj< ADDENDUM A: DATA SYSTEM USER LICENSE & BILLING STRUCTURE 1. DEFINITION OF "INTERNAL USER": Includes Field Inspectors, Administrative Support, Management/Supervisors and any other staff member granted access to the SAFHER system to perform duties under this Agreement. 2. LICENSE FEE & NON-PRORATION: The annual fee is $2,571.08 per user. Fees are not prorated for mid-year activations; however, as noted in Section 8(c) of the primary Agreement, licenses are transferable to new personnel at no additional cost if a seat becomes vacant. 3. HARDWARE: The Local Health Agency remains responsible for all hardware (tablets/laptops) and internet connectivity required for system access. Page 164 of 1594 ATTACHMENT 1: SAFHER RISKASSESSMENTAND INSPECTION FREQUENCY Retail Program risk level calculation based on foods, processes, and operation types: Each food, process, and operation type is assigned a risk value. The user selects all foods, processes, and operation types that apply to a facility that has a retail food program. The calculation works by taking the highest value in each area and adding these three numbers together to get a total. This total fits into the retail risk level score chart to assign the facility's risk level. This also sets the base routine inspection frequency. Foods Risk Value Processes Risk Value Operation Type Risk Value TCS Food(Commercially Pre- Process 1: No Cook/Kill Steps Processes. No packaged) 2 ConsumerAdvisory 1 Retail Food Store 1 Process 1: No Cook/Kill Steps Processes.With a TCS Food(Unpackaged) 4 ConsumerAdvisory 5 Health Care 3 Non-TCS Food(Commercially Pre- Process 2:"Same Day Service"High(more than 5 packaged) 0 menu items)-Includes items like baked goods 4 Restaurant 2 Non-TCS Food(Unpackaged) 1 Process 2: Medium(3-5 menu items) 3 School(K-12) 4 Molluscan Shellfish 9 Process 2: Low(1-2 menu items) 2 Institutional Food Service 2 Process 3:"Complex"High(more than 5 menu Non-alcoholic beverages 0 items) 8 Serves a Highly Susceptible Population 9 Donated/Salvaged Foods 4 Process 3: Medium(3-5 menu items) 7 Catering(as a regular part of the operation) 4 Alcoholic Beverages 0 Process 3: Low(1-2 menu items) 3 Buffet/Salad Bar 4 Food Code Specialized Processes(Variance required) 20 SeasonalOperation 3 Food Code Required HACCP Plan(No variance required) 20 Concession Stand 3 Central Kitchen/Commissary(servicing Packaging juice(untreated) 9 multiple outlets) 5 Non-continuous cooking process(raw animal food) 9 Serving Site(no food preparation) 1 Freezing for parasite destruction(fish/seafood) 9 Unattended Food Establishment 0 No Food Processing 0 Mobile Food Unit(Class I or II) 1 Mobile Food Unit(Class III or IV) 3 Temporary Food Establishment 5 Vending Machine 0 Hotel continental breakfast 0 Lodging 0 Bar/Tavern/Taproom without a kitchen 0 Wholesale(any products) 0 Risk Level Score Chart Base Ins ection Fre uenc Ver Low 0-5 U on Com laint Low 6-8 60 months Medium 9-12 36 months Hi h 13-19 12 months Ver Hi h 20 or hi her 6 months Page 165 of 1594 ATTACHMENT 1: SAFHER RICK ASSESSMENT AND INSPECTION FREQUENCY (CONTINUED) Home Food Processing risk level calculation based on foods, processes, and operation types: Each food, process, and operation type is assigned a risk value.The user selects all foods, processes, and operation types that apply to a facility that has an HFPE program.The calculation works by taking the highest value in each area and adding these three numbers together to get a total.This total fits into the manufactured food risk level score chart to assign the facility's risk level.This also sets the base routine inspection frequency. Foods Risk Value Processes Risk Value Operation Type Risk Value Non-TCS foods 0 High Acid-pH control 6 Direct to Consumer 0 TCS baked goods and frostings 0 Fermentation(HACCP) 6 Wholesale 2 aW control(Drying,dehydrating,freeze TCS foods(Other than baked goods and frosting) 5 drying TCS Foods) 6 Catering(other than baked goods) 3 aW control(drying,dehydrating,freeze Special dietary use food 6 drying Non-TCS foods) 2 Meal delivery or take-out 3 Jams,jellies,preserves and fruit butters 6 Pasteurization/thermal processing/UV 6 Frozen meat or poultry storage 0 Commissary for Temporary Food Establishment or Mobile Unit(other than Nonstandardized fruit jellies 6 Refrigerated storage 2 packaged frozen meat and poultry) 3 Nonstandardized nonfruitjellies 6 Cutting,grinding,milling,blending,etc. 0 Cooking,cooling,reheating,hot holding Standardized sweeteners and table syrups 6 (other than baked goods) 1 High-acid foods 6 Dry Storage 0 Plant-Based Juice(pasteurized,shelf stable) 6 Repackaging/relabeling 0 Plant-Based Juice(pasteurized,temperature controlled for safety) 6 Frozen storage 0 Risk Level Score Chart Base Ins ection Fre uenc Low 0-4 U on Com laint Medium 5 84 months Hi h 6-12 36 months Page 166 of 1594 ATTACHMENT 2: CONFLICT OF INTEREST STATEMENT Employee Name: Mary Rose Corrigan Title: Public Health Director Local Health Agency: City of Dubuque Health Services Department 1. SECONDARY EMPLOYMENT: Do you provide goods, products, services, or labor to any establishment licensed and inspected by this Agency? NO YES (Describe: NO 2. FINANCIAL INTEREST: Do you or an immediate family member have a financial interest in any establishment regulated by this Agency? NO YES (Describe: NO 3. REMEDIATION PLAN: If "YES" was checked, describe how the conflict will be managed (e.g., reassignment of inspections): Employee Signature -n c&w _ Date: May 27, 2026 ATTACHMENT 2: CONFLICT OF INTEREST STATEMENT Employee Name: Tim Link Title: Lead Environmental Sanitarian Local Health Agency: Citv of Dubuque Health Services Department 1. SECONDARY EMPLOYMENT: Do you provide goods, products, services, or labor to any establishment licensed and inspected by this Agency? NO YES (Describe: NO � 2. FINANCIAL INTEREST: Do you or an immediate family member have a financial interest in any establishment regulated by this Agency? NO YES (Describe: NO � 3. REMEDIATION PLAN: If "YES" was checked, describe how the conflict will be managed (e.g., reassignment of inspections): Employee Signature: Date: May 27, 2026 ATTACHMENT 2: CONFLICT OF INTEREST STATEMENT Employee Name: Sydney Althoff Title: Environmental Sanitarian Local Health Agency: City of Dubuque Health Services Department 1. SECONDARY EMPLOYMENT: Do you provide goods, products, services, or labor to any establishment licensed and inspected by this Agency? NO YES (Describe: NO ) 2. FINANCIAL INTEREST: Do you or an immediate family member have a financial interest in any establishment regulated by this Agency? NO YES (Describe: NO ) 3. REMEDIATION PLAN: If "YES" was checked, describe how the conflict will be managed (e.g., reassignment of inspections): Employee Signature ` _�,�� rs.} �� .;;��;.�� _ Date: May 27, 2026 Page 169 of 1594 ATTACHMENT 2: CONFLICT OF INTEREST STATEMENT Employee Name: Mark Murphy Title: Emergency Preparedness Planner/ Local Health Agency: City of Dubuque Health Services Environmental Sanitarian 1. SECONDARY EMPLOYMENT: Do you provide goods, products, services, or labor to any establishment licensed and inspected by this Agency? NO YES (Describe: NO � 2. FINANCIAL INTEREST: Do you or an immediate family member have a financial interest in any establishment regulated by this Agency? NO YES (Describe: NO ) 3. REMEDIATION PLAN: If "YES" was checked, describe how the conflict will be managed (e.g., reassignment of inspections): Employee Signature: _ �°'� �'wY � _ Date: May 27, 2026 Page 170 of 1594 ATTACHMENT 2: CONFLICT OF INTEREST STATEMENT Employee Name:Connie Mueller Title: Administrative Support Local Health Agency: City of Dubuque Health Services Department 1. SECONDARY EMPLOYMENT: Do you provide goods, products, services, or labor to any establishment licensed and inspected by this Agency? NO YES (Describe: NO ) 2. FINANCIAL INTEREST: Do you or an immediate family member have a financial interest in any establishment regulated by this Agency? NO YES (Describe: NO � 3. REMEDIATION PLAN: If "YES" was checked, describe how the conflict will be managed (e.g., reassignment of inspections): Employee Signature: �2��J �u�� Date: May 27, 2026 Page 171 of 1594 ATTACHMENT 3: COMPLAINT RESPONSE SOP 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. Page 172 of 1594 ATTACHMENT 3: COMPLAINT RESPONSE SOP 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. Page 173 of 1594 ATTACHMENT 3: COMPLAINT RESPONSE SOP 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. Page 174 of 1594 ATTACHMENT 3: COMPLAINT RESPONSE SOP 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 fra me. 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. Page 175 of 1594 ATTACHMENT 3: COMPLAINT RESPONSE SOP 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. Page 176 of 1594 ATTACHMENT 3: COMPLAINT RESPONSE SOP 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. Page 177 of 1594 ATTACHMENT 3: COMPLAINT RESPONSE SOP 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 (MFRPS), 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. Page 178 of 1594 ATTACHMENT 3: COMPLAINT RESPONSE SOP 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. Page 179 of 1594 ATTACHMENT 3: COMPLAINT RESPONSE SOP 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 t! Previaus Version#J/Date Change History 6.4 6.3/January 20,2023 Update agency narnes,remove Consumable Hemp, add HFP[changes Approved By: Date � -- --- -- I (f�7��`l7.__.._: i 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. Page 180 of 1594 ATTACHMENT 4: SAFHER AGENCY COST SAFHER Vearl�luly1,2025-1une30,2026) Vear2(July1,2026-June30,2027) Vear3�luly1,2027-1une30,2028) TotalThreeVearCost/lnnual(luly1,2025-June30,2028) AnnualCostPerUser WhichAgencypaysthecost? DIAL is paying for all licensing and infractructure msts for SAFHER Licensing Cosl based on 1001nlernal users(based on contrected price) $188,922.48 $188,922.48 $188,922.48 $566,767.44 $1,889.22 Year 1.�IAL and Each Agency is responsiblefor payingfor their share of licensing and Infrastructure msts for Vear 2 and Vear 3. �IAL is paying for all Advanced licensing cos[s for year 1. IncreaseforAdvancedLicense(100)(basedoncontrectedprice) 58,185.76 $8,185.76 58,185.77 524,557.29 581.86 DIALandEachAgencyisresponsi6leforpayingfortheir share of the advanced Ilcensing cost for Vear 2 and Vear 3. DIAL and each Local Agency Is responsi6le for paying their SAFHER Operations&Maintenance Cosl(based on ini�ial quote) $0.00 $60,000.00 $60,000.00 $120,000.00 $600.00 share of year 2 and 30&M costs based on the numberof their intemal users. USA Food Safety Cost(estimated mst each year) (current) $50,0�0.00 $10,000.0� $fi0,000.0� DIAL Total Cost less Implementation Costs $197,108.24 $307,108.24 $267,108.25 $771,324.73 Total Annual User Based Cost $2,571.08 Page 181 of 1594 ATTACHMENT 4: SAFHER AGENCY COST (CONTINUED) Scope Project Date Cost Agency Paying Cost SAFHER Phase 1(contracted cost) Discovery,Project Plan,and Delivery of Food Processing Program August 1,2025-November 15,2025 $344,000.00 DIAL SAFHER Phase 2(contracted cost) Delivery of Retail,Home Food,and SCG Programs and Integrations(Go Live) November 16,2025-October 15,2026 $1,910,000.00 DIAL Data Migration August 1,2025-October 15,2026 $300,000.00 DIAL Total Contracted Implementation Cost August 1,2025-October 15,2026 $2,554,000.00 DIAL Page 182 of 1594 LIST OF ATTACHMENTS • Attachment 1: SAFHER Risk Assessment and Inspection Frequency • Attachment 2: Potential Conflict of Interest Template (Included above) • Attachment 3: Complaint Response SOP • Attachment 4: SAFHER Local Agency Cost Page 183 of 1594 LEGAL REVIEW COMPLETED 5-26-26 FW: Legal has review your request and is approved � � Mdry Rose Corrigan Q � Reply <� ReplyAll�Forward � ••• • TC ��Cf1f11E�vIUEIIEf Tue: ' �"�P��;� For council packet Mary Rose Corrigan THE CI7Y OF Public Health Director I City of Dubuque DT T� � City Hall Annex�1300 Main St u Dubuque,bwa 52001 0:563-589-41811 Mnsterpiece on the Mississippi O Q O�O Q From:Dbq Forms<dbqforms@cityofdubuque.orQ> Sent:Tuesday,May 26,2026 1035 AM To:Mary Rose Corrigan<McorriQa@cftyofdubuque.orQ> Subject:Legal has review your request and is approved Your request for legal review of Review IDIAL agreement has been approved by Legal. Please attach this email as proof of Legal's review and approval to the entry of any agreement or contract into the Tyler system. Page 184 of 1594