Policy Memo 112

DOH-CACFP: Number 112 (10/06)

To: Upstate CACFP Sponsoring Organizations of Day Care Homes

From: Jeanne Culver, State Director

Subject: Subsidy Fraud and Abuse Control by Local Social Services Districts

I. Purpose and Scope

The purpose of this memorandum is to clarify the requirement for Child and Adult Care Food Program (CACFP) Sponsoring Organizations of Day Care Homes to share specific Program records with their local social services districts (districts). CACFP supports the NYS Office for Children and Family Services efforts to control fraud and abuse in the subsidy program and agreed to the sharing of Program records by sponsors as described below.

II. Background Information

A. Local Social Services District Responsibilities:

Title 18 of the New York Codes, Rules and Regulations (18 NYCRR) Part 415.4(m), require districts to develop fraud and abuse control activities for their child care subsidy program. These activities must be included in the district's 2007-2009 consolidated services plan, and must include, among other things:

  1. A sampling methodology to determine which caregivers of subsidized child care services the district will review;
    1. The sampling methodology used may vary by district
    2. The type of method used to select the sample should not affect CACFP operations
  2. The comparison of the sample caregivers' subsidy attendance forms with any CACFP "inspection forms" to verify that child care was actually provided.
    1. CACFP inspection forms referred to in these regulations are same as the CACFP monitoring visit forms.
    2. The comparison of subsidy attendance will be a "point in time" reference to the CACFP monitoring form(s).
  3. If fraud or abuse is suspected after comparing the subsidy attendance to CACFP monitoring forms, additional Program records may be requested by the district, which may include:
    1. Monthly meal count and attendance records
    2. Enrollment records
    3. Other records, as deemed necessary for an investigation

B. CACFP Sponsoring Organizations Responsibilities:

Sponsors will annually conduct and document a minimum of three monitoring visits to all providers participating in CACFP using the state supplied visit form, Monitoring Checklist for Day Care Homes (DOH-4118), or approved equivalent.

  1. The Monitoring Checklist reviews the provider's day care operations and documents the children in attendance at the time of the visit.
    1. Sponsors must list only those children observed in attendance at the time of the visit.
    2. If the provider is not home at the time of the visit, Sponsors must document it accordingly on the Monitoring Checklist.
  2. The checklist is a 3-part form with a copy specifically designated for the informal Enrollment Agency (e.g., the Child Care Resource and Referral agency).
    1. Sponsors must send the pink copies of the checklist to the Enrollment Agency on an ongoing basis, or at least monthly.
    2. The Enrollment Agency will forward these copies to their local districts for comparison to child care subsidy attendance records on a monthly basis.
    3. Because CACFP sponsors may not know which regulated providers care for subsidized children, it is recommended that all pink copies of the Monitoring Checklist be sent to the Enrollment Agency for their perusal and disposition.
  3. When fraud or abuse is suspected by the local district or enrollment agency, Sponsors must agree to share Program records as requested.
    1. Sponsors may not charge local districts or enrollment agencies for copies of Program records used in an investigation.
    2. Sponsors should notify CACFP when an investigation is pending to determine if and when a provider should be named seriously deficient.

III. Summary of Changes

This memorandum clarifies CACFP's expectations regarding the sharing of Program records, pertaining to fraud and abuse, with the informal Enrollment Agencies and Local Social Services Districts. On a regular basis, Sponsors must send the pink copies of the Monitoring Checklist form (DOH-4118) to their local Enrollment Agency(ies). Other Program records, such as meal count and attendance records, should be shared when requested for the purposes of investigating a provider for suspected subsidy fraud or abuse.

Please contact a Homes Unit nutritionist at 1-800-942-3858, ext. 27104, if you have additional questions.