1. CACFP Recordkeeping Essentials
HOW READY ARE YOU FOR A CACFP REVIEW?
Most of you have probably been part of a review. If you have not, this presentation will give you an idea of what to expect and how to get ready for a CACFP Review. Although they usually only occur once every 3 years, or even if you have been part of a review in the past, this will be a good refresher.
As a state agency, the DPI is required to conduct reviews to all program participants. Let’s talk about things to consider before/during/after a CACFP review..
Summer CACFP RK Essentials

2. Things to consider: Before the review During the review
Staffing Responsibilities
Suggested Training Plan
Organizing your CACFP Paperwork
During the review
Is someone available for the duration of the review?
Areas of CACFP operation that will be evaluated
Will typically take 1 day
After the review
Exit Conference
Corrective Action Plan
Imagine, it is the week before your CACFP review. As you get ready for work on Monday morning, you plan in your mind what files are needed for the review.
You cleared your schedule, you know that a week will be more than enough time to organize the files for the review on the following Monday.
Then, just before you walk out the door to work, the phone rings – the unexpected illness of a family member requires that you leave town right away. You will be gone. Your co-workers know where some of the CACFP materials are – but not all of them.
If this happens to you - How prepared would you and your staff be for the review? In this presentation, we will discuss things to consider before, during and after a CACFP review. It is important to always be ready for a review.
What systems do you have in place for staff in order to handle any unexpected events, such as an illness of a family? What about staff turnover? Do you have some kind of training plan in place?; Are your CACFP records organized, so you are ready at anytime for a review?
What if the review is unannounced? Is there always someone at your center that will know where all the CACFP paperwork is? Are you familiar with the records DPI will review?
After the review, you are not finished yet. Your DPI consultant will have an exit conference with you and will discuss recommendations, findings, corrective actions and possibly fiscal action.
Summer CACFP RK Essentials

3. Before the Review: Staffing Responsibilities
Let’s start with what things to think about before a review:
Who is responsible for what portion of the CACFP Requirements?
This is the page in the on-line contract. Each year agencies list the staff members that are responsible for each of the CACFP program duties in their on-line contract. It is a good idea to make this list available to all staff, so everyone is aware of who is responsible for what area of the CACFP, in case your CACFP review is unannounced.
Summer CACFP RK Essentials

4. Before the Review: Suggested Training Plan
Webcasts
Guidance Memorandums
Internal Agency Procedures
Do you have some kind of training plan in place? Do you experience any staff turnover? What systems does your agency have in place to ensure that new staff members are trained on the CACFP requirements? Do you cross-train staff so they can provide back-up for each other? Unfortunately, the DPI staff is not available to re-train new staff, it is the responsibility of the agency to complete this training. Let’s discuss what we suggest a training plan may look like.
Each agency can create their own center-specific Training Plan.
A Training Plan can help guide your agency when there is a change in staff or can be used to cross-train staff.
Here are some suggestions on what you can include in yours:
WEBCASTS: Currently the DPI has 12 webcasts posted on-line that can be used to train new staff or used as a refresher for staff.
Some of the topics include: CACFP Civil Rights Requirements, Completing the CACFP Claim for reimbursement, Determining HSIS’s, Maintaining the HSIR, CACFP Internet Claim Procedures, CACFP Meal Pattern Requirements for Children 1-12 Years Old, CACFP Infant Meal Pattern Requirements
Each of the webcasts allows you to view a taped presentations that include PowerPoint slides on the web. You can print off the presentations for reference and you are able to pause the presentations and watch at your own pace.
The Guidance Memorandums provide all the CACFP requirements in much more detail and can be used as a reference. Remember to always print and keep the most current versions of these on file at your center.
3) Internal Agency Procedures – These procedures would be specific to how your agency completes the CACFP requirements, for example: A meal count procedure would include…What form do you use? Who is responsible for taking the meal counts? When do you take meal counts? Who tally’s the meal counts? Who double-checks the totals when compiling monthly claim?, etc. Can give other examples for Menus, Production Records, etc.
Summer CACFP RK Essentials

5. Before the Review: Organizing your CACFP Paperwork
Is this how you feel when you think about all the CACFP Paperwork you need to keep?
If DPI should come to your office unannounced would you know what records to begin pulling before the reviewer asked for them? In this section we will discuss what paperwork the DPI will look at and how you can Organize your CACFP Paperwork.
Summer CACFP RK Essentials

6. Before the Review: Organizing your CACFP Paperwork
Organize CACFP paperwork by Federal fiscal year (Oct. 1 – Sept. 30)
Keep all CACFP records for 3 years plus the current fiscal year
Reviews may be unannounced
Announced reviews will receive an announcement letter
Note: Paperwork should be organized by Federal Fiscal Year, which is October 1st through September 30th. Remember you are required to keep all CACFP paperwork for 3 years plus the current fiscal year.
Because reviews can be unannounced, you may or may not receive an announcement letter regarding the date and time of your CACFP review. But if you do receive prior notice from your assigned DPI consultant, you will receive a letter via , confirming review dates/times.
Summer CACFP RK Essentials

7. Review Announcement Enclosure
In addition to the announcement letter, DPI would include a “review announcement enclosure” shown here and on the next slide that details the records you will need to have available for the review.
Summer CACFP RK Essentials

8. Review Announcement Enclosure
This is the second half of the Review Announcement Enclosure.
On this slide you will see there are “Additional Sponsor Records” that are only applicable to Sponsoring Organizations (agencies with more than 1 site participating on the CACFP) :
-Site monitoring documentation
-Dated training agendas and sign-in sheets
-Documentation that 3 required edit checks are completed of daily/monthly meal counts from each site
During this next section of the presentation we will be discussing how to organize all of these items.
Summer CACFP RK Essentials

9. There is more than one way to organize your CACFP paperwork and it will differ if you are a sponsoring organization, a smaller agency, or a larger agency.
In this section we will discuss how you can use a 3-ring binder, which may be the best option for small to mid-size agencies. You may also want to use several binders to organize all of your CACFP records.
This slide here shows what the cover page of your binder may look like. It will list the major sections of what should be included in your binder. You will label each of your divider pages tabs to match the sections listed here.
Next we are going to review what should be included in each of the sections. You may have already received a similar binder when you first joined the CACFP as part of your pre-visit with a DPI consultant.
Summer CACFP RK Essentials

10. Items you will need: CACFP Binder
You will need: a 3-ring binder, divider pages with tabs, a 3-hole puncher and your CACFP records.
Summer CACFP RK Essentials

11. Household Size-Income Record (HSIR)
Keep copy of monthly HSIR
Recommend using the Excel version -
Sponsoring Organizations – keep copies of HSIR for each site on the CACFP
Household Size-Income Record or HSIR
Your first tab would be “Household Size-Income Record” or “HSIR”
In this section you would keep a monthly copy of your HSIR
It is recommended that you download and use the excel version of the HSIR
Sponsoring Organizations will have a separate HSIR for each site you have on the program
Summer CACFP RK Essentials

12. Household Size- Income Record
Here is a sample HSIR
Enter all the names (last name first) of the children enrolled at your center and to sort the HSIR by last names in alphabetical order.
Summer CACFP RK Essentials

13. HSIR Reminders
Every enrolled child must be listed on the HSIR according to your center’s enrollment policy even if they do not eat a meal
This includes infants and school-age children attending before and after-school programs
It is recommended that children be listed in alphabetical order on the HSIR, last name first OR
File the income statements in the same order as they appear on the HSIR

14. HSIR Reminders
Be sure to use the children’s FULL names, not initials or nicknames.
Names on the HSIR must match the names on the enrollment forms, income statement and attendance records.
The HSIR must be updated and kept current.
The HSIR lists eligibility categories of children; therefore, it must be kept confidential.
Never remove or discard an income statement if a child leaves your center.
Summer CACFP RK Essentials

15. HSIR Reminders Never erase a name from the HSIR.
When a child is no longer considered enrolled in the center, there should not be activity indicated for that child in the first month after the child has terminated from the center.
Drawing a line through the categories for the month(s) will indicate this.
Summer CACFP RK Essentials

16. Household Size-Income Statements
Free HSIS
Can use 3 separate tabs
Free Income Statements
Reduced Income Statements
Non-Needy Income Statements
Alphabetize HSIS’s within in each tab
Reduced HSIS
Your next tab would be “Household Size-Income Statements” or “HSIS”
There are couple of options: You can create 3 separate tabs, one for Free, one for Reduced and one for Non-Needy HSIS’s and then alphabetize (by last name) the HSIS’s within in each of the 3 tabs or…
Non-Needy HSIS
Summer CACFP RK Essentials

17. Household Size-Income Statements
Can use 1 tab for all HSIS’s
Alphabetize HSIS’s
Household Size-Income Statements or HSIS
you can create 1 tab for all “Household Size-Income Statements” or “HSIS” and simply alphabetize all the HSIS to match the same order as the children are listed on your Household Size-Income Record.
Summer CACFP RK Essentials

18. HSIS Reminders
Every HSIS MUST be signed and dated by an adult household member if it is to be determined in the free or reduced category.
Income statements that are not signed or dated by an adult household member are INCOMPLETE applications and must be listed in the Non-needy category.
Until the HSIS is complete, the child must be considered Non-needy.

19. HSIS Reminders A child must be claimed as Non-needy if:
No Household Size-Income Statement (HSIS) is on file,
The HSIS is incomplete,
The HSIS has expired, or
The family is over-income.

20. CACFP Application/Agreement
Permanent Agreement/Policy Statement (PI-1486-AP)
Copy of on-line contract
Copy of on-line Site Application(s)
CACFP Application/Agreement
Next tab: “CACFP Application/Agreement”
You receive your signed paper copy of the permanent agreement/policy statement when you are first approved for the CACFP. Be sure to keep this original signed copy on file.
If you have a computer and can easily access your contract and site application(s) online, during a DPI review, you are not required to print off each page. Otherwise, you should print off each page of the contract and site application(s) and keep in your binder for easy access and reference.
Summer CACFP RK Essentials

21. CACFP Expenses & Receipts
Journal Ledger (monthly)
Receipts/Invoices
Separate food, non-food/kitchen supplies and non-CACFP expenses on receipts/invoices
Highlight or mark on receipts
Write totals for each category on receipts/invoices
CACFP Expenses & Receipts
Tab: “CACFP Expenses & Receipts”
An agency is required to have a strong accounting process in place. Expenditures directly funded w/CACFP reimbursement should be easily identifiable. This topic will be covered again during the Financial Management class this afternoon. But a couple of points to remember …
If you do not have financial software, such as Quick books to keep track of all your food expenses and you are keeping a manual Journal Ledger, then you will need to keep monthly copies of your ledger under this tab. This Journal Ledger should clearly show how you are effectively tracking your actual food program costs specific to the CACFP (food, non-food, etc). On the DPI website under Guidance Memorandum #11 you will find sample General Ledger Templates for both Independent Centers and Sponsoring Organizations.
Under this tab you should file receipts and invoices that are used to document the expenses you have entered in your monthly Journal Ledger or Quick Books. When food, non-food and other items are purchased on the same receipt or invoice, they are required to be tracked separately. It is recommended to highlight or mark the different expenses on the receipts in order to easily identify which costs are counted toward food and non-food program costs. Make sure you also write totals for each category on the receipts or invoices. You may need to use divider pages that have folders to hold the receipts or you can file receipts separate from the binder.
Summer CACFP RK Essentials

22. Non-Profit Food Service Financial (NPFS) Report
Copies of completed, submitted reports
One per year for Independent agencies- due November 1st
Four per year for Sponsoring agencies-due Dec 1, Mar 1, June 1, Sept 1
Financial records and work papers that support reports
NPFS Report
The next tab will hold your Non-Profit Food Service Financial Reports you have completed and submitted to the DPI.
For independent centers, there will be one report completed each year that is due November 1st.
For sponsoring agencies, there will four reports completed each year, due Dec 11, March 1, June 1 and Sept 1.
Keep a copy of all documents used to calculate total amount of income and expenses.
This topic will also be covered in more detail during the Financial Management training taking place this afternoon.
Summer CACFP RK Essentials

23. Civil Rights Documentation
News Media Release
Distribute annually
Keep a copy that states
where and when it was sent
Civil Rights Data Collection Form
Complete annually
SO will complete 1 for each site on the CACFP
Civil Rights
For this tab you will file copies of the News Media Release and the Civil Rights Data Collection Form. Copies of both can be found in GM #8C
The News Media Release must be distributed annually. Make sure the copy that you keep states where and when the News Media Release was sent out.
The Civil Rights Data Collection form must also be completed annually by agencies. Sponsoring agencies will complete a separate one for each site on the CACFP.
As a reminder to complete both the News Media Release and the Civil Rights Data Collection form annually, the links to these forms will be included in the sent to all agencies regarding on-line contract renewals.
Summer CACFP RK Essentials

24. Infant Meal Notification Letters
Will have 1 for each infant you have enrolled
Informs parents that an IFIF and other foods for infants are provided by your center
File in alphabetical order
Infant Meal Notification Letters
If infants are enrolled at your agency then you will file all the completed Infant Meal Notification Letters under this tab in alphabetical order. Remember you should have one on file for each enrolled infant at your center.
This is the form centers use to inform parents that an IFIF and other foods developmentally appropriate for infants are provided at your center
Summer CACFP RK Essentials

25. CACFP Enrollment Forms
Remember to have parent/guardian update annually
Keep in alphabetical order
CACFP Enrollment Forms
The next tab is “CACFP Enrollment Forms” – File in alphabetical order and remember to have parents/guardians update annually, usually at the same time you are requesting new HSIS’s, in September or October
Discuss sign in/out sheets (signed/initialed by parents) and annual DCF enrollment form vs. collecting CACFP enrollment forms.
Summer CACFP RK Essentials

26. Supporting Documentation for Monthly Reimbursement
October
November
December
Receipt of confirmation
Copy of claim
Meal count sheets
Sign in/out records (attendance)
Infant meal records (if applicable)
Menus (including substitutions)
1-12 year old production records
Behind this tab “Monthly Claims for Reimbursement Documentation” you will file all the supporting documentation used to compile your monthly claims:
The receipt of confirmation is the screen that appears after you have submitted your claim on-line. It is a statement that includes the date the claim was successfully submitted
A copy of the claim that you print off after you submit your on-line claim will be filed here (Page has summary of claim information - # of meals, enrollment data, ADA, etc.)
Next your monthly meal count sheets, i.e. Daily Participation Record and Monthly Meal Count Summary. Reminder: POS must be recorded on the meal count record/daily participation record during or immediately following the meal/snack. If they are not recorded at the “time of service” the meal/snack cannot be claimed for reimbursement. You should also make it a habit to review that meal counts are being properly recorded on a daily/weekly basis.
Your attendance or sign in/out records do not need to be filed in the CACFP binder, but they are required to keep on file to compile your monthly claims.
If you are claiming infants, file your infant meal records here
Copies of your daily, dated menus for each approved meal service, with any substitutions noted
Daily, dated production records for each approved meal service reflecting the total quantity of each food item used in the preparation of the meal. Remember production records must show that each meal service provides, at a minimum, the serving sizes required by the CACFP Meal Pattern for each child and adult to be served.
NOTE: Menus and production records also applies to centers that purchase meals from a school, health care facility, or food service vendor.
Summer CACFP RK Essentials

27. Sponsoring Records (for sponsoring organizations only)
Site Monitoring documentation
Dated training agendas and sign-in sheets
Documentation of 3 required edit checks
Sponsoring Records
This tab “Sponsoring Records” will be specific to Sponsoring Organizations. This is where you would file:
-any pre-operational visits, site reviews that you have completed,
-dated training agendas and sign-in sheets and
-documentation of the 3 required edit checks when completing your monthly claims, or you can keep this with under the Monthly Claims for Reimbursement Documentation tab
We are also going to talk more about these later in the presentation
Summer CACFP RK Essentials

28. Tips for Larger Agencies
Instead of using a binder, use a portable file storage system
Create and label a file folder for each section
For larger and sponsoring agencies that will have a difficult time keeping all of their CACFP paperwork for one Fiscal Year in one binder, a recommendation would be to use a portable file storage system with file folders instead. You would label your file folders using the same sections used for the 3-ring binder.
You may still want to use a 3-ring binder to file your HSIR and HSIS’s, since this will probably be your largest section. This system will make it easier to access and refer to your HSIR & statements.
Summer CACFP RK Essentials

29. Additional Items Needed for a CACFP Review
CACFP Guidance Memorandum Binder
Sample enrollment packet given to parent/guardian of newly enrolled child/infant
Parental Notification Flier
(Building for the Future)
WIC Fact Sheet
Parent Handbook/Policy Book
“…And Justice for All” poster
Child Nutrition (CN) Labels (if applicable)
In addition to all of the items we just reviewed, there are some other items you will need to have prepared for the CACFP Review:
-A copy of the most current CACFP Guidance Memorandums
-A sample enrollment packet that you give to parents/guardians of newly enrolled infants and children. This packet should include the “Building for the Future” flier that includes your agency information at the bottom of the flier.
-The WIC Fact Sheet can either be included in your enrollment packet or you can choose to post in a location visible to parents/guardians. Be sure to update your WIC Fact Sheet each year because the Income Eligibility Table on the back page changes each year. You will receive a reminder from DPI with the contract renewal .
-A copy of your agency’s parent handbook and/or policy book that you provide parents/guardians when they enroll children at your center
-Make sure the “---And Justice for All” poster is posted in a visible location to the public
-Any Child Nutrition (CN) labels for combination foods you are serving at meals
Summer CACFP RK Essentials

30. Additional Items needed for a CACFP Review
Current Vendor Agreement and delivery/transportation records (if applicable)
Medical Statements (if applicable)
A work space for the consultant who will conduct the review
A list of questions/concerns you may have about the CACFP
Here are some additional items that are needed for a review…..
Let’s review Medical Statements
Summer CACFP RK Essentials

31. Medical Statements
A center is required to provide food substitutions or make modifications in meals for children whose disabilities restrict their diets.
A medical statement signed by a licensed physician must be on file.
A center is required to provide food substitutions or make modifications in meals for children whose disabilities restrict their diets. A center must provide substitutions or make modifications for a child with a disability when that need is supported by a statement signed by a licensed physician.
Summer CACFP RK Essentials

32. Medical Statements The physician's statement must identify:
the child's disability;
an explanation of why the disability restricts the child's diet;
the major life activity affected by the disability;
the food or foods to be omitted from the child's diet, and the food or choice of foods that must be substituted.
The physician's statement must identify:
the child's disability;
an explanation of why the disability restricts the child's diet;
the major life activity affected by the disability;
the food or foods to be omitted from the child's diet, and the food or choice of foods that must be substituted.
Summer CACFP RK Essentials

33. Medical Statements
Here is the DPI prototype form entitled, Eating and Feeding Evaluation: Children with Special Needs, that may be used to obtain the required information from the physician. It also describes “disability” and “major life activity” in more detail. This form may be found in GM #12C.
Summer CACFP RK Essentials

34. Medical Statements
A center may provide food substitutions, at their discretion, for individual children who do not have a disability, but who have a special medical or dietary need.
Food intolerances or allergies:
Lactose intolerance
Celiac Disease
A center may provide food substitutions, at their discretion, for individual children who do not have a disability, but who are medically certified as having a special medical or dietary need. Such determinations are only made on a case-by-case basis. This provision covers those children who have food intolerances or allergies but do not have life-threatening , or anaphylactic reactions, when exposed to the food(s) to which they have problems.
Summer CACFP RK Essentials

35. Medical Statements
Information from a physician or recognized medical authority must be on file for any child with a restrictive diet that excludes a required component.
This statement must indicate the food(s) to be omitted and foods that may be substituted in order to claim reimbursement for these meals.
To claim a meal for reimbursement, your center must supply at least one of the meal components.
Summer CACFP RK Essentials

36. During the Review:
Is someone available for the duration of the review :
should be the authorized representative/director or main person in charge of the CACFP at your center
must be available for questions the day of the review
DURING THE REVIEW:
The authorized representative/director/the main person in charge of the CACFP at your center must be available on the day of the CACFP review. But for example, as mentioned before, what if something unexpectedly comes up and this person is not available the day of the review? What if it review is unannounced? Will staff be able to locate files?
Summer CACFP RK Essentials

37. During the Review: Areas of CACFP operation that will be evaluated
Recordkeeping
Food storage
Food preparation
Sanitation procedures
Menu planning
Meal service
The CACFP review will evaluate many aspects of your CACFP operation including:
Recordkeeping, food storage, food preparation, sanitation procedures, menu planning, and will include the observation of a meal service.
Summer CACFP RK Essentials

38. After the Review: Exit Conference Recommendations
Findings/Corrective Action Plan
Fiscal Action
After the review, you will have an exit conference with your DPI consultant.
Briefly discuss each one and the following slides will review more about the findings and correction action
Summer CACFP RK Essentials

39. After the Review: Finding/Corrective Action
A Finding is an issue of non-compliance identified during the CACFP review
A Corrective Action Plan is a written response stating how a finding will be corrected
Now we are going to be discussing what happens after your DPI consultant has finished reviewing your agency. You are not quite done yet.
If the DPI consultant identifies any issues that are not in compliance with the CACFP requirements, it will be cited as a finding on the Corrective Action Summary form and you will be required to submit a corrective action plan.
A Corrective Action Plan is a response to a finding. We are going to review some examples of what a finding might be and what a corrective action plan may look like, but first let’s review the Corrective Action Summary form.
Summer CACFP RK Essentials

40. Corrective Action Summary Form
Here you will see the “Corrective Action Summary” form that DPI consultants use to document any findings that were found during the review
Any items that have an “x” or a “” will require you to respond with a corrective action plan.
Summer CACFP RK Essentials

41. Responding to Findings on Corrective Action Summary Form
Corrective action must permanently and completely correct the problem(s)
Responses should include a procedure that provides:
How to do something
Who will be doing the procedure
When the procedure will be done
Edit-checks
Some things to consider when you are responding to findings noted on the Corrective Action Summary Form are:
Corrective action must permanently and completely correct the problem(s)
The CA responses should include some kind of a procedure that provides:
How to do something
Who will be doing the procedure
When the procedure will be done
What kind of Edit-check system(s) will you implement
Next we are going to review some sample corrective action responses.
Suggestion: Can lead in with asking everyone to think about how they would describe giving someone directions from point A to point B. They would need to give step by step instructions, this is similar to writing corrective action.
Summer CACFP RK Essentials

42. Sample Corrective Action Responses
Handout
Meal/Snack Count Records-Missing
HSIR – Not on file
HSIS – Incorrectly determined
Production Records - CN labeled products not purchased
For example, let’s say that your agency had a review and one of the items marked on your “Corrective Action Summary” form was “Meal/Snack Count Records - Missing”
Here is an example of what your response may be. It includes:
Who will be doing the procedure
When the procedure will be done
How to do something
And Edit-checks
Go through handout
Summer CACFP RK Essentials

43. Are you ready for a review?
If the DPI arrives unannounced will staff be ready?
Is your staff trained?
Are your CACFP records organized?
If there are review findings, are you comfortable providing a corrective action plan?
So do you now feel ready for a DPI review? Review slide…
In addition to everything we covered today, we have a handout that lists all of the CACFP Required Documentation
Summer CACFP RK Essentials

44. Distribute Handout---
This following is a list of forms that each agency is required to complete and keep on file. All CACFP documentation must be retained on site for three years plus the current year of operation. Note this list may not be all inclusive.
Summer CACFP RK Essentials

45. CACFP records do NOT go on field trips!
Records must be available at your center during normal business hours.
Summer CACFP RK Essentials

46. Any Questions?
Summer CACFP RK Essentials