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CACFP Recordkeeping Essentials
HOW READY ARE YOU FOR A CACFP REVIEW?
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Things to consider: Before 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 2
Before the Review: Staffing Responsibilities
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Before the Review:Suggested Training Plan
Webcasts http://fns.dpi.wi.gov/fns_cntwebcasts
Guidance Memorandums http://fns.dpi.wi.gov/fns_centermemos
Internal Agency Procedures
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Before the Review:Organizing your CACFP Paperwork
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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
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CACFP Onsite Review
CACFP onsite reviews are scheduled every three years but could occur more frequently
Agency will be contacted by assigned DPI consultant to schedule the review Unannounced reviews are possible
Review announcement letter and checklist of documents required are emailed to Authorized Representative prior to the review
Getting Ready for a Review
Review previous CACFP onsite review findings and make sure non-compliant issues have been corrected
Call your CACFP consultant if you have any questions
Review Announcement Enclosure
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Review Announcement Enclosure
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Items you will need:
CACFP
Binder
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Household Size-Income Record (HSIR)
Keep copy of monthly HSIR
Recommend using the Excel version - http://fns.dpi.wi.gov/fns_centermemos
Sponsoring Organizations – keep copies of HSIR for each site on the CACFP
Household S
ize-Income
Record or H
SIR
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Household Size- Income Record
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Household Size-Income Statements
Can use 3 separate tabs Free Income Statements Reduced Income Statements Non-Needy Income
Statements
Alphabetize HSIS’s within in each tab
Free H
SIS
Reduced H
SIS
Non-N
eedy H
SIS
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Household Size-Income Statements
Can use 1 tab for all HSIS’s
Alphabetize HSIS’s
Household S
ize-Income
Statem
ents or HS
IS
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CACFP Application/Agreement
Permanent Agreement/Policy Statement (PI-1486-AP)
Copy of on-line contract
Copy of on-line Site Application(s)
Governing Board Meeting Minutes
CA
CF
P
Application/A
greement
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CACFP Expenses & Receipts
Journal Ledger (monthly) http://fns.dpi.wi.gov/fns_centermemos
Receipts/InvoicesSeparate food,
non-food/kitchen supplies and non-CACFP expenses on receipts/invoices
Highlight or mark on receiptsWrite totals for each category
on receipts/invoices
CA
CF
P E
xpenses &
Receipts
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CACFP Financial 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
NP
FS
Report
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Civil Rights Documentation
Civil Rights Data Collection FormComplete annually SO will complete 1 for each site
on the CACFP Civil Rights Training
Training dateTopics covered (resource used)Attendance
Civil R
ights
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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 N
otification Letters
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CACFP Enrollment Forms
Remember to have parent/guardian update annually
Keep in alphabetical order
CA
CF
P E
nrollment F
orms
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Supporting Documentation for Monthly Reimbursement
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
October
Novem
berD
ecember 23
Sponsoring Records(for sponsoring organizations only)
Site Monitoring documentation
Dated training agendas and sign-in sheets
Documentation of 2 required edit checks
Sponsoring R
ecords
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Tips for Larger Agencies
Instead of using a binder, use a portable file storage system
Create and label a file folder for each section
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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)
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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
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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
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During the Review:
Areas of CACFP operation that will be evaluatedRecordkeepingFood storageFood preparationSanitation proceduresMenu planningMeal service
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After the Review:
Exit ConferenceRecommendationsFindings/Corrective Action PlanFiscal Action
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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
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Corrective Action Summary Form
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Responding to Findings on Corrective Action Summary
Form
Corrective action must permanently and completely correct the problem(s)
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After the Review Corrective Action Plan
Written responses to address finding(s) Step by step policies and/or procedures that will
be implemented to address finding so agency is in compliance
Include edit checks Who completes each step When each step will be completed Date of implementation Where documentation will be kept How staff will be trained or informed of new
policies / procedures Additional supporting documentation
showing your agency has completed a requirement or is now in compliance (i.e. menus, CN Labels, meal count forms, itemized food receipts, etc.)
Sample Corrective Action Responses
Handout Meal/Snack Count Records-
Missing HSIR – Not on file HSIS – Incorrectly determined Production Records - CN
labeled products not purchased
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Sample Corrective Action Plan (CAP) Finding: Meals served do not
meet CACFP meal pattern requirements1st submitted CAP: “The old cook
left. We now have a new cook and will serve good meals.”
NOT ACCEPTABLE
Sample Corrective Action Plan (CAP)
2nd submitted CAP: We hired a new cook, Angie, on June 3. The director trained her on the CACFP meal pattern, creating menus and completing production records on June 3. Angie was also given GM 9C and 12C and watched the DPI webcast on the CACFP meal pattern for 1-12 year olds on June 4. After Angie creates menus and completes production records, the director reviews for compliance. Angie creates the next month’s menus by the 15th of every month and the director reviews by the 20th. Menus are posted at the entrance and in the kitchen and kept on file as claim support documentation in the CACFP binder which is kept in the director’s office. This CAP was implemented June 3. Included with the written plan is a copy of June’s menus to
demonstrate our agency is now in compliance with the meal pattern
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After the Review
Corrective Action Due DatesBe mindful of corrective action
due dates. They are discussed with you and are noted on your corrective action summary form left at the time of the review
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?
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CACFP records do NOT go on field trips!
Records must be available at your center during normal
business hours.41
