1. CACFP Recordkeeping Essentials HOW READY ARE YOU FOR A CACFP REVIEW? 1

2. 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

3. Before the Review: Staffing Responsibilities 3

4. Before the Review: Suggested Training Plan Webcasts http://fns.dpi.wi.gov/fns_cntwebcasts http://fns.dpi.wi.gov/fns_cntwebcasts Guidance Memorandums http://fns.dpi.wi.gov/fns_centermemos http://fns.dpi.wi.gov/fns_centermemos Internal Agency Procedures 4

5. Before the Review: Organizing your CACFP Paperwork 5

6. 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 6

7. CACFP Onsite Review CACFP onsite reviews are scheduled every three years but could occur more frequently 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 Agency will be contacted by assigned DPI consultant to schedule the review Unannounced reviews are possible Unannounced reviews are possible Review announcement letter and checklist of documents required are emailed to Authorized Representative prior to the review Review announcement letter and checklist of documents required are emailed to Authorized Representative prior to the review

8. Getting Ready for a Review Review previous CACFP onsite review findings and make sure non- compliant issues have been corrected Review previous CACFP onsite review findings and make sure non- compliant issues have been corrected Call your CACFP consultant if you have any questions Call your CACFP consultant if you have any questions

9. Review Announcement Enclosure 9

10. 10

11. 11

12. Items you will need: 12

13. Household Size-Income Record (HSIR) Keep copy of monthly HSIR Recommend using the Excel version - http://fns.dpi.wi.gov/fns_centermemos http://fns.dpi.wi.gov/fns_centermemos Sponsoring Organizations – keep copies of HSIR for each site on the CACFP Household Size-Income Record or HSIR 13

14. Household Size- Income Record 14

15. 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 HSIS Reduced HSIS Non-Needy HSIS 15

16. Household Size-Income Statements Can use 1 tab for all HSIS’s Alphabetize HSIS’s Household Size-Income Statements or HSIS 16

17. 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 CACFP Application/Agreement 17

18. CACFP Expenses & Receipts Journal Ledger (monthly) http://fns.dpi.wi.gov/fns_centermemos http://fns.dpi.wi.gov/fns_centermemos 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 18

19. CACFP Financial Report Copies of completed, submitted reports One per year for Independent agencies- due November 1 st 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 19

20. Civil Rights Documentation Civil Rights Data Collection Form Complete annually SO will complete 1 for each site on the CACFP Civil Rights Training Training date Topics covered (resource used) Attendance Civil Rights 20

21. 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 21

22. CACFP Enrollment Forms Remember to have parent/guardian update annually Keep in alphabetical order CACFP Enrollment Forms 22

23. 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 November December 23

24. Sponsoring Records (for sponsoring organizations only) Site Monitoring documentation Dated training agendas and sign-in sheets Documentation of 2 required edit checks Sponsoring Records 24

25. Tips for Larger Agencies Instead of using a binder, use a portable file storage system Create and label a file folder for each section 25

26. 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) 26

27. 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 27

28. 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 28

29. During the Review: Areas of CACFP operation that will be evaluated Recordkeeping Food storage Food preparation Sanitation procedures Menu planning Meal service 29

30. After the Review: Exit Conference Recommendations Findings/Corrective Action Plan Fiscal Action 30

31. 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 31

32. Corrective Action Summary Form 32

33. Responding to Findings on Corrective Action Summary Form Corrective action must permanently and completely correct the problem(s) 33

34. After the Review 34 Corrective Action Plan Corrective Action Plan Written responses to address finding(s) 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 Step by step policies and/or procedures that will be implemented to address finding so agency is in compliance Include edit checks Include edit checks Who completes each step Who completes each step When each step will be completed When each step will be completed Date of implementation Date of implementation Where documentation will be kept Where documentation will be kept How staff will be trained or informed of new policies / procedures 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.) 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.)

35. Sample Corrective Action Responses Handout Meal/Snack Count Records- Missing HSIR – Not on file HSIS – Incorrectly determined Production Records - CN labeled products not purchased 35

36. Sample Corrective Action Plan (CAP) 36 Finding: Meals served do not meet CACFP meal pattern requirements Finding: Meals served do not meet CACFP meal pattern requirements 1 st submitted CAP: “The old cook left. We now have a new cook and will serve good meals.” 1 st submitted CAP: “The old cook left. We now have a new cook and will serve good meals.” NOT ACCEPTABLE

37. Sample Corrective Action Plan (CAP) 37 2 nd 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 15 th of every month and the director reviews by the 20 th. 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. 2 nd 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 15 th of every month and the director reviews by the 20 th. 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 Included with the written plan is a copy of June’s menus to demonstrate our agency is now in compliance with the meal pattern

38. After the Review 38 Corrective Action Due Dates Corrective Action Due Dates Be 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 Be 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

39. 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? 39

40. 40 http://fns.dpi.wi.gov/fns_centermemos

41. CACFP records do NOT go on field trips! Records must be available at your center during normal business hours. 41