Iowa Department of Inspections and Appeals New Interagency AgreementCopyrighted
June 15, 2020
City of Dubuque Consent Items # 16.
ITEM TITLE: Iowa Department of Inspections and Appeals New
I nteragency Agreement
SUMMARY: City Manager recommending approval of a renewal
agreement with the Iowa Department of Inspections and
Appeals for performance of food and hotel licensing,
inspections and enforcement with respect to retail food
establishments.
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Approve
ATTACHMENTS:
Description Type
Iowa Department of Inspections and Appeals New City Manager Memo
Interagency Agreement-MVM Memo
Staff Memo Staff Memo
Interagency Agreement between I DIA and City of Supporting Documentation
Dubuque
Masterpiece on the Mississippi
Dubuque
bitil
All-A.aia City
111111
2007.2012.2013
2017*2019
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 11, 2020
Public Health Specialist Mary Rose Corrigan recommends City Council approval of a
renewal agreement with the Iowa Department of Inspections and Appeals for
performance of food and hotel licensing, inspections and enforcement with respect to
retail food establishments.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Teri Goodmann, Assistant City Manager
Cori Burbach, Assistant City Manager
Mary Rose Corrigan, RN, Public Health Specialist
Masterpiece on the Mississippi
Dubuque
All -America City
Nd110eJN.a'IC LEvD,e
2007.2012.2013
2017*2019
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
TO: Michael C. Van Milligen, City Manager
FROM: Mary Rose Corrigan, RN, Public Health Specialist
SUBJECT: Iowa Department of Inspections and Appeals New Interagency Agreement
DATE: June 11, 2020
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 2018 through June 30, 2020.
The City carries out the terms of this agreement through the two Environmental
Sanitarians in the Health Services Department. Regular inspections are made of
restaurants, schools, grocery and convenience stores, mobile food units, hotels,
taverns, and temporary food stands throughout the city.
DISCUSSION
The duration of the agreement was determined by progress on meeting FDA Voluntary
National Retail Food Program Standards, a requirement of IDIA, along with overall
program outcomes and being on the same cycle as the other DIA contracts throughout
the state. The longest term -agreements are 2 years for agencies that have met the
required standards by June 30, 2020. Our previous contract was for a 3-year period.
The newly proposed contract is for a six-month period to allow us to complete Standard
6. This standard has been revised since we last completed it in 2018. Due to staffing
turnover, and periods where we had an unfilled position, in addition to the criteria and
requirements for Standard 6 being changed, Standard 6 is not yet completed.
Service People Integrity Responsibility Innovation Teamwork
The six month time frame allotted by IDIA to complete Standard 6 will provide staff the
necessary time to complete the steps, which include written procedures on enforcement
and documentation of enforcement on an audited random sample meeting specific
enforcement standards.
In addition to Standard 6 being updated by Dec. 31, 2020, the other 9 standards will
have to be reviewed and updated by 2023.
Since this is a contract extension, the only change in the new agreement is adding that
Standard 6 shall be completed by Dec. 31, 2020. Upon meeting Standard 6, we will
receive another contract extension through June 30, 2020. This will put us on the
subsequent three-year contract cycle with DIA that they will apply to all local contracting
agencies.
BUDGET IMPACT
FY'19 revenue generated by license fees collected from these various establishments
was $130,201. FY'20 revenues are currently at 91 % of budget. Projected revenue for
FY'21 is $150,000 based on a full fiscal year of realizing license fee increases effective
January 2020.
RECOMMENDATION
It is recommended that the City Council approve the 28E agreement with the IDIA for
inspection, licensing, and enforcement of these establishments.
ACTION STEP
The action step is for the City Council to authorize the City Manager to sign the
agreement on behalf of the City.
Service People Integrity Responsibility Innovation Teamwork
Iowa Secretary of State
321 East 12thOtree
Des Moines, V\5031S
onaJwwm.gov
28E Agreement
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Filing Date: 0V12n12V2V1V:12AM
Filing Number: M512918
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INTERAGENCY AGREEMENT
Between
IOWA DEPARTMENT OF INSPECTIONS AND APPEALS
And
CITY OF DUBUQUE
This Agreement is entered into between the Iowa Department of Inspections and
Appeals (hereinafter "Department") and City of Dubuque (hereinafter "Local Health
Agency") pursuant to the authority of Iowa Code section 28E.12.
1. PURPOSE AND SCOPE: The purpose of this Agreement is to authorize the
performance of food and hotel licensing, inspection and enforcement activities by the
Local Health Agency on behalf of the Iowa Department of Inspections and Appeals.
The scope of the Local Health Agency's authority is limited to the performance of
food and hotel licensing, inspections and enforcement with respect to retail
establishments as permitted by Iowa Code Chapters 137C (Hotel Sanitation Code),
137D (Home bakeries) and 137F (Food Establishments and Food Processing Plants).
The Department shall inspect and enforce all applicable laws as they apply to
wholesale food processing plants including those whose operation is limited to the
storage of food products pursuant to 137F. The Department will inspect and enforce
all applicable laws as they apply to wholesale food processing plants which
manufacture, package or label food products. The Department hereby retains the
independent authority to license, inspect, enforce, or take any other action it deems
necessary pertaining to any establishments to be inspected by the Local Health
Agency. The Department will inform the Local Health Agency of any action it has
completed within its jurisdiction.
2. DELEGATION: The Local Health Agency is hereby authorized to enforce
Iowa Code Chapters 137C (Hotel Sanitation Code), 137D (Home bakeries) and 137F
(Food Establishments and Food Processing Plants) with respect to retail
establishments as long as this Interagency Agreement is in force.
3. GEOGRAPHICAL REGION: Food and hotel licensing, inspections and
enforcement shall be conducted by the Local Health Agency in the following
geographical region: City of Dubuque
4. DURATION: This Agreement shall commence on July 1, 2020 shall continue in
full force and effect until December 31, 2020.
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5. TERMINATION: Either party may terminate this Agreement by providing the
other party a written notice of intent to terminate at least ninety (90) days prior to the
intended date of termination. Notice shall specify the reasons for termination and be
delivered by U.S. certified mail. Upon termination, the Local Health Agency shall
transfer to the Department all inspections, licensing and enforcement records in its
possession and all other documents generated as a result of this Agreement. Not later
than thirty (30) days following the termination date, the Local Health Agency shall
transfer all materials to the Department at the following address:
Iowa Department of Inspections and Appeals
Food and Consumer Safety Bureau
Lucas State Office Building
321 E. 12th St
Des Moines, Iowa 50319-0083
6. DUTIES OF LOCAL HEALTH AGENCY: The Local Health Agency agrees
that the Agency and its employees shall:
a. Comply with all applicable federal, state, and local laws, rules, regulations,
executive orders, and Department guidance when performing within the scope of this
Agreement.
b. Apply Iowa Code Chapters 137C (Hotel Sanitation Code), 137D (Home bakeries)
and 137F (Food Establishments and Food Processing Plants), as well as
administrative rules promulgated pursuant to these chapters, to retail establishments
including temporary foods establishments, or institutions, hotels and motels, and
home bakeries found in the designated geographical region specified by Section 3 of
this Agreement.
c. Conduct pre -opening, routine, follow-up, and complaint inspections for food
establishments and institutions using the Food Code as adopted pursuant to Iowa
Code section 137F,2, The inspection frequency shall be a risk -based system
consistent with the requirements of FDA's Voluntary National Retail Food
Regulatory Program Standards (2017) Standard 3 and no less frequent than the
Department's frequency (see Attachment 1 Risk Assessment and inspection
Frequency Policy for current risk -based frequency).
d. Conduct complaint and pre -opening inspections of hotels and motels per Iowa
Code Section 137C.11 and home bakeries pursuant to Iowa Code section 137D.2.
Completion of routine inspections for hotels and motels and home bakeries will not
be considered during performance reviews and as a factor in future contracting until
such a time as the Department instructs otherwise.
e. Forward requests for variances or HACCP (Hazard Analysis and Critical Control
Points) plans and Agency recommendations to the Department for approval.
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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.
g. Notify the Department within one business day of the existence of any potential
foodborne or food -related injury caused by, or suspected of having been caused by,
unsanitary conditions existing in any establishment licensed or inspected under this
Agreement. The Local Health Agency shall complete the investigations of potential
illness using forms, methods, and techniques prescribed by the Department following
illness investigation best practices such as CIFOR and NEARS. Further, the
Department may also directly participate in the investigation.
h. Cooperate in any federal or state food program survey to be conducted within the
jurisdiction of the Local Health Agency during the terms of this Agreement,
i. To the greatest extent possible, all inspectors shall complete inspection reports for
food service establishments, retail food establishments, mobile food establishments,
hotels/motels, and home bakeries via the electronic inspection application using tablet
computers including the electronic capture of signatures. Further, inspector shall
update facility emergency contacts, operation type, classification, sub classification,
and franchise with each inspection. Further, the entire inventory shall be reviewed by
December 31, 2018 to ensure all permanent facilities have initial information entered.
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, windstoiins and floods. The Local Health Agency shall furnish
the Department with a written report of the occurrence upon request. The Local
Health Agency shall immediately notify the Department of any suspected intentional
contamination of food in a regulated establishment.
k. Hire inspection personnel who possess experience and educational qualifications
equivalent to the Environmental Specialist classification, as defined by the Iowa
Department of Administrative Services, Human Resources Enterprise.
All Local Health Agency food inspection personnel shall complete Training, as
prescribed by Standard 2 of the FDA Voluntary National Retail Food Regulatory
Program Standards (2017) or successors and complete standardization to the FDA
Food Code within eighteen (18) months of beginning food inspection work and every
thirty-six (36) months thereafter.
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• All training for each inspector shall be logged and certificates of completion shall
be maintained by the Local Health Agency in the ABSORB data system.
• Each inspector shall also attend the Department's new inspector training within
eighteen (18) months of beginning food inspection work, if available. This
curriculum shall include the following: new inspector's course and food
microbiology and sampling course.
• All inspectors shall also complete the CDC's National Voluntary Environmental
Assessment Information System (NEARS) EATS 101 Foundation Skills as part of the
initial training curriculum and by March 31, 2019 all inspectors shall complete EATS
102 Skill Building scenarios on the private school and catering operation.
https://www.cdc.govincehlehs/elearn/eatsiindex.html
1. Send representation, absent Department -approved extenuating circumstances, to all
Department sponsored regional meetings and FDA training in Iowa. Further,
jurisdictions are encouraged to send inspectors to FDA developed in -person 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 and
required to send any inspectors that have not completed the classes when they are
held in Iowa.
m, Refer to the Department all processing plants, including those that are
manufacturing thermally processed low acid foods packaged in hermetically sealed
containers under 21 CFR Part 113 or acidified foods under 21 CFR Part 114.
n. Send all plans for Reduced Oxygen Packaging under 3-502.12 of the Food Code to
the Department for approval.
o. The Local Health Agency shall use and include all supervisory, inspection, and
administrative staff on the Foodshield system. This system contains current policy
interpretations and resources related to the performance of this agreement.
p. The Local Health Agency shall provide an up-to-date contact sheet within 30 days
of signing this Agreement, within 30 days of changes, and reviewing and updating
every six -months thereafter. The Local Health Agency shall also provide at least one
after-hours emergency contact.
q. The Local Health Agency shall meet and continue to meet the following program
standards from the FDA's Voluntary National Retail Food Regulatory Program
Standards (2017) including completing and submitting self -assessments at minimum
no later than December 31, 2020:
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
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v. If a local health agency completes a self -assessment and finds that the
agency does not meet one of the above Standards, the agency shall
complete an improvement plan documenting the timeframes, tasks and
activities, and responsible parties for task and activity completion, and
submit the improvement plan to the Department for review.
vi. Further, all local agencies shall meet and submit a self -assessment for
Standard 9--Program Assessment by June 30, 2019 and meet the standard
not later than December 31, 2020.
r. The Local Health Agency shall provide the Department with a copy of any self -
assessment completed and the Department shall audit any standards met.
s. The Local Health Agency shall use the data system adopted by the Department for
inspections and licensing of establishments pursuant to this Agreement. All
inspections and licenses shall be entered into the data system in a timely manner.
With the exception of temporary events and farmer's market inspections, inspections
shall be conducted using the electronic inspection data system. Absent extraordinary
circumstances, inspections shall not be completed on paper and later entered into the
system.
t. The Local Health Agency shall enter all complaints received against
establishments covered under this agreement into the electronic data system. 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.
u. 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.
v. The Local Health Agency shall have memorandum of understanding (MOU) with
either another Local Health Agency currently contracting with the Department or the
Department to provide the services outlined in this agreement if inspection personnel
are unavailable. A copy of the MOU shall be provided to the Department.
w. The Local Health Agency shall in place by December 31, 2018 have a 20.88
information sharing agreement completed 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:
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a. Answer local health agency questions on federal and state rules, regulations,
executive orders and Department guidance under the scope of this Agreement.
b. Review variance and HACCP plan requests taking into account the
recommendation of the Local Health Agency and notify the Local Health Agency of
the disposition of each request under the jurisdiction of the Local Health Agency.
c. Provide licenses and forms prescribed by the Department for the cost of producing
the licenses and forms.
d. Provide the Local Health Agency with any complaints or foodborne illness
requests received by the Department for entities under the jurisdiction of the Local
Health Agency. The Department may elect to participate in foodborne outbreak
investigations.
e. Provide guidance to the Local Health Agency when investigating a foodborne
illness or foodborne illness complaint.
f. Provide ongoing performance reviews and feedback, including periodic reviews
during this agreement.
g. Provide an electronic data system that includes mobile inspection capabilities.
h. Provide guidance to the Local Health Agency during food disasters and potential
intentional contamination events.
i. Provide new inspectors training as needed, but no less than annually, if at least 3
individuals have registered for the course..
j. Provide other training courses such as food microbiology as needed, but no less
than every 36 months, if at least 20 individuals have registered for the course.
k. Provide food -related courses to assist the Local Health Agency in meeting
continuing education requirements.
1. Provide audits for the FDA Voluntary National Retail Food Regulatory Program
Standards (2017).
m. Provide standardization of one inspector per Local Health Agency and re -
standardization as required.
n. Provide the ABSORB system for tracking of food training records.
o. Coordinate a webinar on 20.88 agreement with local contracting agencies and the
FDA to assist in executing the agreements by December 31, 2018.
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p. Conduct a thorough review of the licensing process and make recommendations
for improving efficiency. During this process, the Department will also examine how
other states approach licensing.
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.
9. EMPLOYEES: Department employees are not employees of the Local Health
Agency.
a. Salaries, unemployment, and liability. The Department shall remain liable for its
employees' salaries, unemployment compensation, worker's compensation protection
and civil liabilities pursuant to Iowa Code Chapter 669. Each Department employee
shall be deemed to be performing regular duties for the Department while performing
services pursuant to the Interagency Agreement. Local Health Agency employees are
not employees of the Department. The Local Health Agency shall remain liable for its
employee's salaries, unemployment compensation, worker's compensation protection
and civil liabilities pursuant to Iowa Code Chapter 670. Each Local Health Agency
employee shall be deemed to be performing regular duties for the Local Health
Agency while performing services pursuant to the Interagency Agreement.
b. Conflict of interest. Each Local Health Agency employee responsible for
performing inspection, supervisory, or administrative functions under this agreement
shall complete a Conflict of Interest Statement (see Attachment 2) which shall be
updated at least annually or upon change. If there is a conflict of interest, the Local
Health Agency shall submit the conflict of interest statement. and proposed plan to
remediate the conflict. This shall be completed within thirty (30) days of signing of
the agreement and within thirty (30) days of report of a conflict, The Department
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
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investigated with utmost expediency, but in no case shall this exceed seven (7)
calendar days. The Local Health Agency will provide a written copy of its findings
regarding the referred complaint to the Department within five (5) working days of
the completion of the investigation via the electronic data system. The Local Health
Agency may adopt the Department's Complaint Policies and Procedures. If the
Department's Complaint Policies and Procedures are adopted, the timeframes for
investigation of complaints within that document• shall apply. All complaints shall be
entered into the electronic data system.
11. LEGAL OR ADMINISTRATIVE ENTITY: No new legal or administrative
entity is created by this Interagency Agreement.
12. PROPERTY: Nothing in this Interagency Agreement shall be deemed to affect
any change with respect to the ownership of the real or personal property of either
party to this Agreement,
13. FILING AND RECORDING: Pursuant to Iowa Code section 28E.8, a copy of
this Agreement shall be filed by the Department with the Secretary of State.
14. COUNTERPARTS: The parties agree that this Agreement has been or may be
executed in several counterparts, each of which shall be deemed an original and all
such counterparts shall together constitute one and the same instrument.
15. SEVERABILITY: If any provision of this Agreement is determined by the court
of competent jurisdiction to be invalid or unenforceable, such determination shall not
affect the validity or enforceability of any other part or provision of this Agreement.
The undersigned hereby execute and enter into this Interagency Agreement. Each
signatory represents that he or she has been authorized in accordance with state law to
sign and bind the agency represented.
By
By
Larry Johns rector
Iowa Depatient e. Inspections and Appeals
(Signatur
Roy D. Buol
(Print or Type Name)
Mayor
(Title)
City of Dubuque
Da
Date 6/15/2020
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