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.