Certification of Compliance with New Meal Pattern Requirements

1. Certification of Compliance with New Meal Pattern Requirements Alabama Department of Education Summer 2012

2. Agenda • Background • Certification – School Food Authority (SFA) Responsibilities • Certification - State Agency (SA) Responsibilities • SY 2012-13 Validation Reviews • Administrative Reviews and Ongoing Compliance • Reporting Requirements • Implementation Funding • Questions

3. Acronyms for this presentation • US Department of Agriculture= USDA • Food and Nutrition Services = USDA FNS • School Year = SY

4. Background Certification of Compliance with New Meal Pattern Requirements 2012

5. Background - HHFKA • Requires SFAs follow the updated meal patterns (rule published January 26, 2012) • Provides performance-based reimbursement for SFAs that demonstrate compliance with updated meal pattern – this includes both lunch ( SY 13) and breakfast (SY14) • Additional reimbursement is available October 1, 2012 • 6 cents reimbursement will be adjusted beginning July 2013

6. Background - Interim Rule • The interim rule lays out the requirements and framework for certification for the performance-based reimbursement • The certification process works as follows: • SFA submits certification documentation to State agency • State agency makes a certification determination within 60 days • State agencies conduct validation review of at least 25 percent of certified SFAs in SY 2012-13 • Ongoing compliance with the meal pattern requirements is monitored during administrative reviews (CRE) • State agencies will not be required to conduct administrative reviews (old CRE) in SY 2012-13

7. Background - Interim Rule • Some aspects of the meal pattern are phased in over several years • SFAs must demonstrate compliance with those requirements in effect at time of certification • SFAs must demonstrate compliance with both breakfast and lunch if SFA offers breakfast

8. Certification - Definition • Legible paper or electronic documentation submitted to the State agency by the SFA to demonstrate compliance with new meal pattern requirements • Documentation must include both breakfast and lunch if SFA offers breakfast • Representative of meal service for all schools within the SFA • State agency reviews and approves or denies documentation for certification

9. USDA Technical Assistance • Q & A’s • Prototype contract • Tools to support certification have been issued in late May

10. So what is the purpose of this rule? • First, the additional 6 cents per lunch provided to certified SFAs is intended to assist SFAs in meeting the new lunch meal pattern and breakfast when applicable. • Second, it is expected to encourage SFAs to implement the updated requirements as quickly as possible. • Adjust annually with the first adjustment occurring July 2013

11. Certification – SFA Responsibilities For Alabama

12. Question- May a SFA opt out of 6 cent reimbursement?

13. How often are you certified? • Only one time is required- • Exception to the one time certification – if the State Agency is unable to confirm compliance during an on-site validation review. If validation cannot be made, the SFA must reapply for certification. • On going certification will be monitored through administrative reviews • SFA signature attesting that implementation is occurring

14. What happens if you do not apply? • SFA • will not be eligible for 6 cents per lunch • Must be evaluated early in the review year of the new 3 year administrative review process • Non-complaint, with updated meal patterns for breakfast and lunch, will be subject to all standard corrective action, follow-up review and fiscal action

15. Certification Options • Option 1: SFA submits one week menus, menu workbook and nutrient analysis • Option 2: SFA submits one week menus, menu workbook and simplified nutrient assessment • Option 3: State agency on-site review

16. Option 1 Door #1

17. Certification – Option 1 • SFAs must submit: • One week of menus for each menu type offered • Detailed meal pattern workbook • Nutrient analysis of calories and saturated fat for each menu type using FNS nutrient approved software • Meal pattern workbook includes food items and quantities used to assess compliance

18. Option 2 Door #2

19. Certification – Option 2 • SFAs must submit: • One week of menus for each menu type offered • Detailed meal pattern workbook • Simplified Nutrient Assessment of calories and saturated fat for each menu type • Simplified nutrient assessment will serve as a proxy for a nutrient analysis

20. Option 3 Door #3

21. Certification – Option 3 • State agencies may document SFA compliance during an on-site review. This is the SA discretion to use this option • SFA will furnish menus, menu workbooks with food items and quantities, nutrient analyses are required as part of the materials used to demonstrate compliance • SA must complete menu workbook for one week of menus and nutrient analysis to determine calories and saturated fat • Simplified nutrient analysis may not be used by SA • Meal observation is required • Must visit one school representing each menu type • SA may use Option 3 to certify the SFA even after documents are submitted to the SA ( 60 day completion requirement stands)

22. What do you submit?

23. Application Submission • Application Form • Meal types • Menus • Workbook • Nutritional analysis or simplified nutrient assessment • breakfast nutrient analysis is not required for SFA using food based menu planning when making application in SY 13 • Attestation document must be signed by the authorized signatory for SFA and will become addendum to application agreement • Checklist certifying that all documents furnished • Pre K documentation is not required but SFA must attest that the meal pattern is compliant with current CACFP guidance

24. What if you are a new SFA? • A new SFA must meet all of the current requirements of the meal patterns that are in effect at the time the SFA enters the program • Certification documents are to be submitted for certification approval prior to starting their participation for meal counting and claiming

25. Residential Child Care Institutions(RCCI) • Currently there are no exceptions or waivers for RCCIs • State Agency staff will be available to provide guidance to help meet the new meal pattern requirements

26. Certification Documentation • Menu Type: For each certification option SFAs must submit one week of each menu offered (for both breakfast and lunch) within the SFA, by age grade group • Example: If a SFA serves an elementary, middle and high school menu for lunch and one menu for breakfast, the SFA must submit four menus and four meal pattern workbook

27. Nutrient Standard Menus for Breakfast • For SFAs seeking certification in SY 13 only. Nutrient standard breakfast menu planning SFAs must submit each distinct breakfast menu along with nutrient analysis of saturated fat and calories After SY13 Nutrient Standard Menu Planning will no longer be allowed by FNS for any meal type. Nutrient Standard Menu Planning for lunch will end as of July 1, 2012.

28. Certification Documentation • FNS has provided State agencies and SFAs a prototype meal pattern workbook and simplified nutrient assessment tool • FNS will provide guidance and training for these materials

29. Certification Documentation • Documentation must reflect current meal service and timeframe: • Meals served in the calendar month the certification materials are submitted OR • Meals served in the month preceding the calendar month of submission

30. Certification Documentation • SFAs may: • submit documentation for compliance reflecting planned meal service for October or November 2012 • send prior to October 1, 2012 but menus must be planned for October or November, 2012 • send certification documents as early as July 1, 2012

31. Certification Documentation • Example: If a SFA submits certification documentation in August 2012, the documentation for compliance must reflect meals planned for October or November 2012 for breakfast and lunch if both meal types are served in the SFA.

32. Certification Documentation- Attestation • As part of certification, SFAs must attest that: • They are in compliance with all current meal pattern requirements- i.e.. Current for SY13 lunch pattern will be required. Breakfast meal pattern will not change until SY14. Early Breakfast Meal Pattern (implementation in SY13) requires state agency approval • Documentation is representative of the ongoing meal service within the SFA – ( All schools in the SFA are following the meal pattern workbooks and nutritional analysis submitted) • The minimum required food quantities for all meal components are available to students on every serving line

33. Annual Attestation • Through SY 2014-15, certified SFAs must also annually attest to compliance of the meal pattern requirements and that compliance will occur as new requirements are phased-in • The attestation form must be provided to the state agency as an addendum to the permanent agreement between States and SFA • Signed attestation document serves as the SFA’s validation that ALL schools/facilities of the SFA are in compliance with the new meal pattern for all meal types

34. Deadline for documents • State Agency cannot create deadlines for certification • State Agency staff will work with struggling SFAs to assist with meeting compliance of performance based meal pattern requirements

35. Certification – State Agency Responsibilities Alabama Department of Education

36. Certification – State Agency Responsibilities • Establish process for certification in the State based on interim rule and FNS guidance • Train and disseminate information to SFAs • Receive, review and approve/deny SFA certification documentation within 60 days of receipt if submitted after October 1, 2012 • Disburse 6 cents reimbursement to certified SFA effective on or after October 1, 2012

37. Certification – State Agency Responsibilities • State agencies may not approve/deny certification until July 1, 2012 • SFAs can start earning 6 cents reimbursement after October 1, 2012

38. Certification – State Agency Responsibilities • For applications submitted on or before September 30, 2012, the State agency has 60 days from October 1, 2012 to review certification materials and make a determination

39. Certification – State Agency Responsibilities • Example: If a SFA submits certification materials on August 15, 2012 with planned menus for October 1, 2012, the State agency has 60 days from October 1, 2012 to make a certification determination with payment of 6 cents retroactive to October 1, 2012.

40. Certification – State Agency Responsibilities • Promptly disburse 6 cents reimbursement to the certified SFA for each lunch served beginning at the start of the month in which the certified menus are served • State staff is in the process of working with IS to add 6 cents per lunch to the monthly claim for reimbursement

41. Certification – State Agency Responsibilities • Example: If menus for the week of March 15-19, 2013 are certified in May 2013, the State agency must retroactively reimburse the additional 6 cents for all lunches served on or after March 1, 2013

42. SY 2012-13 Validation Reviews For selected SFAs

43. SY 2012-13 Validation Reviews • SY 2012-13 Validation Review: • Validation reviews are only required in SY 2012-13 • Can be conducted when completing an additional administrative review (ARR) for SY 13 • An on-site visit conducted by the State agency to affirm that a certified SFA has been and continues to meet the updated meal patterns • SA are not required to announce the validation review schedule

44. SY 2012-13 Validation Reviews • State agencies must conduct random on-site validation reviews of at least 25 percent of SFAs certified via documentation (Options 1 and 2) • 25 percent must include all large SFAs • SFAs that receive certification through an onsite review (Option 3) are not required to receive a validation review • Review one school representing each type of menu certified • Schools are randomly selected by the state agency to visit during the review

45. SY 2012-13 Validation Reviews • Draw “sample” during three time periods • October – December • January – March • April – June • The total number of validation reviews at the end of SY 2012-13 must be at least 25 percent of certified SFAs in the State • Must be completed by June 30, 2013

46. SY 2012-13 Validation Reviews • During a validation review, State agencies must: • Observe a meal service for each type of menu certified • Review the school production records for observed meals • Review the documentation submitted for certification

47. SY 2012-13 Validation Reviews • All large certified SFAs in State must have a validation review • A large SFA (§210.18) includes: • All SFAs with 40,000 or more children • If there are less than 2 SFAs with 40,000 or more children, the 2 largest SFAs with at least 2,000 children

48. SY 2012-13 Validation Reviews • Two types of fiscal action: • Fiscal action associated with 6 cents • Fiscal action associated with free/reduced/paid reimbursement • For validation reviews, just fiscal action associated with 6 cents

49. SY 2012-13 Validation Reviews • If the State agency is unable to validate the certification documentation, the State agency must assess: • Whether corrective action can occur immediately; and • The longevity and severity of the problems • These assessments determine whether the SFA can earn the 6 cents in the future and what fiscal action occurs in the current month and prior periods

50. SY 2012-13 Validation Reviews • If corrective action does occur immediately • 6 cents is not turned off for future months • If corrective action does not occur immediately • 6 cents must be turned off for future months