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Surviving an Administrative Review
April 2016
“Let our advance worrying become advance thinking and planning.”
Winston Churchill
Who Are You?
Sponsors of Centers
Sponsors of Homes
Sponsors of both Centers and Homes
Other (Facilities, State Agencies, Advocates)
Skills for Training Adults
Lecture alone is not effective for Adults
Learning Needs• Why they are learning• How they can use what they are learning• Understand what is being taught• Be actively involved in what is being taught• Be entertained or amused by presentation
Tip# 1
eLearning for Training Adults
Address learning styles and needs• Auditory• Visual• Tactile
Successful for Adult Learning• Engages participants• Allows time for “daily interruptions” • Doesn’t require travel • Mobile capabilities• Accommodates family time
Appointment Letter
Do you ???
Mumble Panic Relax
Records should always be “review ready”
• CACFP Records do not go on field trips!
• Several people know where and how files are kept
• CACFP files should be easily retrieved
• Monthly accuracy review
Tip# 2
Organize Records and Verify their Accuracy
How do you keep your files?
• By Document?• By Claim Month for Meals
OR• By Institution, Site and Participant?• By Claim Month for Meals
OR• In a BIG BOX
Tip# 3
Document Grouped Recordkeeping
• Must have Master/File Key
• Less copying of family with multiple children
BUT
• Hard find/pull for reviewer
• Difficult to purge/maintain
• Checklists less efficient
Breaking it Down
Institution Level Records
• Performance Standards Documentation
Site Level Records
Participant Records
Meals and Menus
Financial Records
Civil Rights
Institution Records
Permanent Records
Original or Permanent Agreement to Participate between
Institution and State Agency
Policy Statement (Pricing or Non-Pricing)
Non-Profit Institutions• IRS Letter of Determination 501(c)(3) or 509(a)
Pre-Award Civil Rights Review
Serious Deficiency Log
Annual Institution Records
Current Year Application
• Board of Directors, Minutes• Management Plan• Outside Employment Policy• Board of Directors
• Budget• Prior Written Approvals• Specific Prior Written Approvals• Contracts with supporting documentation
• Food Service Contract, if applicable
Site Level Records
• Sponsor/Site Agreements
• Current License or Health/Safety Approval
• Updated Area Eligibility, if applicable
• Master Enrollment List
• Training Records
• Monitoring Forms
• Head Start Master List, if applicable
• Serious Deficiency, if applicable
Which comes first???
OR
Standardized Alphabetizing
McCoyMaster
OR
MasterMcCoy
Sue’s Fun and LearnThe Caring PlaceTrixie’s Pixies
OR
(The) Caring PlaceSue’s Fun and LearnTrixie’s Pixies
Welcome to Giggles & Wiggles
Site File OrderPermanent records• Permanent Agreements• If unaffiliated, copy of non-profit documentation• Serious Deficiency Documentation, if applicable
Transitional records• License or approval documentation• Health Certificate/ServSafe Certification or other
food prep documents• Training and Monitoring documentation• Master List and/or Head Start Documentation• Title XX or Title XIX documentation if for-profit
When do you…Honor Presidents and a Groundhog
MarchFebruary
Celebrate ThanksgivingNovemberOctober
Collect Income Eligibility ApplicationsJulyOctoberChild’s Enrollment Month every yeark
Participant Records
• Income Eligibility Application
• Enrollment Form
• Infant Enrollment/Parent Preference, if applicable
• Special Dietary Requirements Form, if applicable
• Head Start Documentation, if applicable
Missing Participant RecordsOne “Free” Child’s records are incomplete
5.57
0.65
0
116.97
13.65
0
0 10 20 30 40 50 60 70 80 90 100 110 120
f to p month
f to p -‐ day
Missing IEA & Enrollment
What if ALL children’s forms are Out of Date?
Monthly Claim Records
Attendance• By site for claim month
Meal Counts• By site for claim month
Meal Count Consolidation Form• For claim month
Edit Checks• Conduct edit checks (max three
meals/child ) claimed• Attendance v. Meals Claimed• Facility approved for claimed meal types
Monthly Meal Service Records
Menus for claim month (with substitutions noted)• CN Labels for combination foods• Recipes (homes only)• Recipe Analysis • Milk Substitution Worksheet
Cycle Menus Recommended
Medical Substitution Forms
Production Records (if required)
Or if there is a menu problem1 Missing component for 1 day
Breakfast for 30 children = $29.86
Lunch for 30 children = $60.30
Snack for 30 children = $13.87
Financial Records
Monthly Receipts – Administrative
Labor with time sheets if split position
Office/Administrative Purchases• Orders, delivery slips and receipts• Petty Cash Receipts
Travel, itinerary and receipts
Facility Costs
Monthly Receipts - Operating
Food Labor with time sheets if split position
Nonfood Purchases• Orders, delivery slips and receipts• Petty Cash Receipts
Food Purchases• Vendor orders, delivery slips and receipts• Food receipts, if purchased directly
Facility Costs
Financial Records
Non-Profit Food Program
Identifiable CACFP expenses & reimbursements
Funds used only for operating or improving the food service
Excess of revenue over expenses is retained for use only in the food service operation
Civil Rights • Training Documentation for Staff and Sites• Racial/Ethnic Collection Procedure and Data• Civil Rights Statement on Communications• And Justice for All Posters• Complaint Procedures• Complaint Log
Prepare Staff Tip# 4
Prepare the Sites
Review Recent Monitoring Forms
Ensure all staff are trained
Verify Monitoring Timeline
• Talk to Providers/Center Directors and staff• Review Attendance and Point of Service Procedures
• Ensure all recent enrollments are up to date
• Ensure all Income Eligibility Apps are up to date
Tip# 5
Respond Promptly
Corrective Action - change implemented to address weakness identified in a management system
Corrective Action Response • Identify internal controls added to prevent recurrence• Identify person(s) charged with implementing change• State timeline for correction
Tip# 6
Knowledge is the Key toSuccessful Administrative Reviews
• Identify any risk factors• Know what will be reviewed• Organize all records before they arrive• Prepare staff and sites• Respond promptly and completely to
required corrective action• Learn from mistakes
The best or nothing.
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