April Surviving an Administrative Review

Transcription

1 April 2016 Surviving an Administrative Review

2 Let our advance worrying become advance thinking and planning. Winston Churchill

3 Who Are You? Sponsors of Centers Sponsors of Homes Sponsors of both Centers and Homes Other (Facilities, State Agencies, Advocates)

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5 Tip# 1 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

6 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

7 Appointment Letter

8 Do you??? Mumble Panic Relax

9 Tip# 2 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

10 Tip# 3 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

11 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

12 Breaking it Down Institution Level Records Performance Standards Documentation Site Level Records Participant Records Meals and Menus Financial Records Civil Rights

13 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

14 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

15 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

16 Which comes first??? OR

17 Standardized Alphabetizing McCoy Master OR Master McCoy Sue s Fun and Learn The Caring Place Trixie s Pixies OR (The) Caring Place Sue s Fun and Learn Trixie s Pixies

18 Welcome to Giggles & Wiggles

19 Site File Order Permanent 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

20 When do you Honor Presidents and a Groundhog March February Celebrate Thanksgiving November October Collect Income Eligibility Applications July October Child s Enrollment Month every yeark

21 Participant Records Income Eligibility Application Enrollment Form Infant Enrollment/Parent Preference, if applicable Special Dietary Requirements Form, if applicable Head Start Documentation, if applicable

22 Missing Participant Records One Free Child s records are incomplete Missing IEA & Enrollment 0 0 f to p - day f to p month

23 What if ALL children s forms are Out of Date?

24 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

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26 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)

27 Or if there is a menu problem 1 Missing component for 1 day Breakfast for 30 children = $29.86 Lunch for 30 children = $60.30 Snack for 30 children = $13.87

28 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

29 Financial Records 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

30 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

31 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

32 Tip# 4 Prepare Staff

33 Tip# 5 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

34 Tip# 6 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

35 Knowledge is the Key to Successful 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

36 The best or nothing.