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JOEL I. KLEIN, Chancellor |
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OFFICE OF SCHOOL FOOD & NUTRITION
SERVICES |
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MARTIN OESTREICHER, Chief Executive,
Office of School Support Services 44-36 VERNON BOULEVARD, LONG ISLAND CITY,
NY 11101 TELEPHONE:
(718) 729-6100 FAX: (718) 472-0615 E-mail: MOESTRE@schools.nyc.gov |
TO: LOCAL
INSTRUCTIONAL SUPERINTENDENTS
PRINCIPALS
OF ALL DAY SCHOOLS
PRINCIPALS OF NON-PUBLIC SCHOOLS
FROM: Martin Oestreicher
SUBJECT: 2003-2004 Eligibility Guidelines For Free and Reduced-Price Student Meals – Distribution, Review and Certification of SD1041 Forms
DATE: August 6, 2003
________________
/ NEW THIS YEAR/
There have been significant changes in the ways in which the meal eligibility of students is determined, recorded and used in Point of Service Accountability over the past two school years. This year, the most significant change is that only one SD1041 Application for Free or Reduced-Price School Meals needs to be filed per household for all of their children attending the same school. (If the household has children in two schools, they must file applications in both schools. If they have children in three schools, they must file applications in all three schools and so on.) Additionally, a separate Application must be filed for each foster child because they are each considered a household of one. Also new this year is the reporting on the Application of the frequency with which the income is received (e.g., weekly, monthly).
__________________________
/ NEW LAST YEAR AND KEPT/
As was done last year for the first time, we have made arrangements with the Human Resources Administration (HRA) to have students eligible for free meals based on their families’ receipt of Temporary Assistance to Needy Families (TANF), which is distributed in New York through Aid to Dependent Children (ADC), or Food Stamp benefits recorded on a computer file and sent to ATS. In mid-September, ATS will first remove all meal eligibility codes remaining from last year from ATS student records. They will then match the file from HRA with ATS records to enter codes onto student records to indicate the students eligible for free meals based on the information received from HRA. This is basically the same thing that was accomplished in earlier years through the Direct Certification process only this approach is more thorough and reduces the paperwork required of your staff and the families.
Once the computer match has been completed, the results will be available to you almost immediately through ATS. In September, you should not process a paper application for any household whose children have had an eligibility determination made through the match with the HRA file. (Applications received later in the year and intended to reflect a change in household income or number of members should be processed expeditiously.) The federal regulations that allow eligibility determinations to be made through this type of computer match also require that the household be given the opportunity to decline the benefit. To fulfill that requirement, ATS will generate and route to each school’s printer a letter to each affected household explaining the eligibility determination and the household’s right to decline the benefit. Those letters can be sent home with the children, and they can be used as a turnaround document for the households that decline.
Also as was the case last year, for public schools, the materials used to complete Point of Service Accountability procedures are to be generated from ATS (e.g., class rosters, etc.) or are to be tied directly to materials generated from ATS (e.g., stub books assigned based on an RMEL, etc.) utilizing the meal codes maintained on ATS. Last year’s meal eligibility codes are being kept on ATS until the middle of September to allow you sufficient time to generate those Point of Service materials for September. As has been true for many years, last year’s eligibility determinations are valid only until this year’s certification is completed or September 30, whichever comes first.
While this process represents a tremendous gain in speed, thoroughness and reliability over previous methods, it is neither perfect nor all inclusive. Many paper applications will continue to be necessary because households can be eligible for free or reduced-price meals but not be eligible for or not participate in TANF/ADC or Food Stamps. Additionally, not all schools are covered by ATS. There will also be students who will be made eligible based on a TANF/ADC or Food Stamp number recorded on their SD1041, because they were made eligible after the HRA file was created or because a match was not made between the two computer file for one reason or another.
PURPOSE
For students whose eligibility has not been determined through the computer match with HRA files, the SD1041 Application (Attachment No. 1) is the document by which a student’s eligibility to receive free, reduced-price or full price meals is determined. These guidelines discuss how the SD1041 Forms are to be distributed, reviewed and certified as well as several related issues.
The SD1041 is most usually completed by a member of the child’s household. However, the director of a homeless shelter at which a child resides can complete and submit an application for the child. Additionally, Direct Certification (Attachment No. 4) is an alternative method that can be used to determine eligibility. Direct Certification letters distributed by the New York State Department of Social Services allow children in households receiving food stamps or TANF/ADC (but not matched with the HRA file) to receive free meals without having to complete an SD1041 application. These alternative methods are explained in more detail later in these instructions.
The distribution and review of the SD1041 Applications at the beginning of each school year is required by the United States Department of Agriculture (USDA) in order for the Department of Education to receive federal and state reimbursement and is essential for the smooth operation of the School Meals Program. Therefore, we are providing you with these guidelines governing the School Food Program for the 2003-2004 school year. We appreciate your help in assuring that the Department remains eligible for the reimbursement funding that pays for the vast majority of the Program in New York City.
OVERVIEW
The student application to participate in the National School Breakfast/Lunch Program (i.e., the SD1041) should be distributed to all students on your school’s register on the first day of school to be taken home to their parents or guardians.
· Only SD1041 Applications dated for the 2003-2004 school year are to be distributed.
· As noted earlier in these guidelines and for the first time this year, only one student per household must return a completed SD1041 or a Direct Certification letter the for all children in the household attending that school to receive free meals.
· The principal or his or her designee must determine and post on ATS the eligibility for each student. Eligibility determinations must be completed by September 30.
· The 2003-2004 Income Scale for Eligibility for Free and Reduced-Price Meals is included in these guidelines (see Attachment No. 2).
· Also for the first time this year and as noted earlier, ATS will conduct a computer match with files obtained from the Human Resources Administration of students whose families are receiving TANF/ADC or Food Stamp benefits and enter a code onto the students’ ATS records to indicate their eligibility for free meals. The results of those matches will be available almost immediately through ATS, and letters notifying the households of eligibility will be routed to each school’s ATS printer.
· Children from households receiving TANF/ADC or Food Stamp benefits but who were not identified through the match with the HRA file are still categorically eligible to receive free meals. The parent or guardian must complete Parts 1, 3 and 5 of the SD1041 or return a Direct Certification letter.
· Approved applications on file from the previous school year are valid only until September 30.
· As of October 1, the 2003-2004 applications or Direct Certification letters are in effect as the sole determinant of a child’s eligibility status superseding the 2002-2003 determination.
· As soon as the child’s 2003-2004 SD1041 form or Direct Certification letter has been completed and processed, the determination from the previous year will no longer be in force.
CONFIDENTIALITY
The USDA has approved the release of students’ names, addresses and eligibility statuses to school officials collecting data to be used for the Title 1 and the National Assessment of Educational Progress (NAEP) programs. Title 1 and NAEP are United States Department of Education programs used to allocate funds to schools, to evaluate the socioeconomic status of the school’s attendance area, and to assess educational progress. Schools may not release the names and the eligibility status of students for any purpose other than Title 1 and NAEP without the consent of the child’s parents or guardian.
SPECIAL CONCERNS/PROVISIONS
Direct Certification
Direct certification is the process that enables children in households receiving Food Stamps or TANF to receive free meals at school without having to complete an application. In New York State, ADC is the program used to disseminate TANF funds. In conjunction with the State Education Department, the Department of Social Services (DSS) will send a letter to all families with school-aged children (ages four through eighteen) who currently receive Food Stamps or TANF/ADC benefits. Although most students eligible for free meals as a result of their households receiving TANF/ADC or Food Stamp benefits will be identified through the computer match with the HRA file, in instances where a match has not been made, the letter (see Attachment No. 4) can be submitted to the child’s school as certification of eligibility for free meals for all of the children in that household attending that school in lieu of the household completing an application. Under federal regulations, every household with school-age children must be provided with the Free and Reduced-Price Application.
Record keeping and reporting requirements for determinations made based on Direct Certification letters are the same as for those based on a completed SD1041. They must be: retrievable by building where the child is fed; and maintained for three years plus the current year, regardless of the child’s actual
attendance during this period.
NOTE: Schools participating under Provision 2 (Universal School Meals) must retain their records from their base year for three years plus the current year beyond the end of the USM cycle initiated by that base year.
Please ensure that the official reviewing free and reduced-price applications in your school is made aware of this direct certification process for free meals. Parents or guardians have the right to decline the meal benefits and must be informed of this right and the process to do so.
Modifications to Completed 1041 Applications by School
Staff
Modifications to completed 1041 Applications should be made by school staff only in the most exceptional circumstances (e.g., on account of illiteracy) and only when based on information supplied by an authorized household member. The principal or his or her designee must initial each change and include a written explanation (on the Application or an attached memorandum) of the reason and basis for the change. The original information must remain clearly visible – “white out” must not be used and figures may not be altered. Please see Chancellor’s Regulation: A-810 for more detailed instructions.
Free Meal Eligibility For Homeless Children
Recognizing that the number of homeless children has risen considerably in the last few years, that parents or guardians who are homeless often fail to return a free meal application and that homeless children are often not included in the Direct Certification process, the USDA has established the following procedures for all Child Nutrition Programs (including the School Meals Program) when an application is not submitted by the household or it is not anticipated that an application will be submitted.
· The director of the homeless shelter at which the child resides can complete and submit an application for the child.
· Local school administrators may complete an application for a child and approve the child for free meals based solely on their knowledge that the child’s address is a homeless shelter or that the child has no known address and is indeed homeless.
· If large numbers of homeless children make it impractical for homeless shelters or school officials to complete individual applications, the school administrator may establish a list of eligible students based on his/her knowledge of the family’s residence (shelter, car, etc.). The documentation necessary to substantiate free meal eligibility for a list of children must contain at a minimum the following information:
Child’s name;
Effective date of eligibility determination;
Name of the shelter, etc. where the child resides;
Signature of the determining official; and
Date of withdrawal from the shelter, school, or program.
The homeless population can be very transient and their circumstances may change. Therefore, it is imperative that when using a list to document eligibility the administration reviews the list periodically and updates it as changes occur. These lists must be kept current by adding new names and removing the names of children who may have left the school or whose circumstances have changed.
Meal Service To Children With Disabilities
Federal Regulations require schools and institutions to serve meals at no extra charge to those children whose disability restricts their diet in such a way that they cannot fully participate in the food service program without some modification to the foods offered on the scheduled menu (e.g., chopping or pureeing for some special education students). The parent or guardian may request special preparation from the school, if the need is documented by medical certification from a physician.
Delivery Of 2003-2004 SD1041 Applications To The Schools
When feasible, the Office of School Food and Nutrition Services will deliver the 2003-2004 SD1041 forms to the cafeteria of schools participating in the 2003 Summer Meals Program before the summer program ends.
The SD1041 forms have been printed in eleven languages, with each language printed on a different colored bond paper. The languages are English, Chinese, Spanish, Russian, French, Hebrew, Italian, Greek, Korean, Arabic and Haitian Creole.
The language, in which the SD1041 form is printed, is identified (in English) on the first page of the form in the top right hand corner.
SPECIFIC APPLICATION INSTRUCTIONS
SD1041 Definition Of Terms
“Current Income” is all money received before taxes or other deductions. If the amount received most recently is higher or lower than usual, write instead that person’s usual weekly, bi-weekly, twice monthly or monthly income.
“Household” means a group of related or non-related individuals who are not residents of an institution or boarding school but who are living as one economic unit. This includes spouse, all children, grandparents, etc.
“Adult” means all related and non-related individuals 21 years of age and over who live in the home and contribute to the income of the household by sharing living and food expenses.
When A Parent Or Guardian Provides Income Information
All persons, related and non-related, who live in the household and share living expenses must be listed on the SD1041 form in Part 4 along with their usual income and the frequency with which it is received (e.g., weekly, monthly). If frequency is not indicated the income is to be evaluated as a weekly figure.
Only one Social Security Number (Part 4) needs to be reported regardless of the number of adult household members. The Social Security Number must belong to the adult household member who signs the application. If the adult household member who signs the application does not have a Social Security Number, he or she must write the word “NONE”. Failure to include the Social Security Number or the word “none” is cause for non-approval of the application. The Social Security Number may be used to verify information stated on the application.
Households are not required to calculate the total household income (Part 4) on the SD1041. The principal or his or her designee is required by federal regulations to calculate the total household income based upon the current income information submitted by the household.
The certification (Part 5) must be signed and dated by the parent or guardian.
Free or reduced-price meals will be provided for those eligible students if the total current household income falls within the income limits stated in the Income Scale For Eligibility For Free Or Reduced-Price Meals (Chancellor’s Regulation: A-811 or Attachment No. 2 to these guidelines).
When A Parent Or Guardian Provides A Food Stamp Or
TANF/ADC Case Number In Part 3
A child is automatically eligible for free meals. Part 4 does not need to be completed. No Social Security Number is needed. The certification (Part 5) must be signed and dated by the parent or guardian.
Information from the parent or guardian relative to Food Stamp or TANF/ADC case number or Direct Certification is optional and voluntary.
Should the parent or guardian record an income (Part 4) as well as a Food Stamp or TANF/ADC case number (Part 3) the income is to be disregarded; because the child is eligible for free meals based upon the household receiving Food Stamp or TANF/ADC benefits.
Foster Children
A foster child is a child who is living with a household but who is under the legal care of a welfare agency or court. For the purpose of determining eligibility, only the child’s “personal use income” need be listed. This includes only those funds provided by the agency that are identified for personal use by the child such as personal spending allowances, money received from his or her family or from a job. Funds provided for housing, food, care, and medical and therapeutic needs are not considered income for the foster child. Write “0” if the child has no personal use income. A separate application must be filed for each foster child. The guardian does not need to list any other children, household members, income or a social security number. The application, however, must be signed by an adult household member.
Children In Residential Institutions
The administrator of the institution must complete and sign SD1041 forms in order for the children to be eligible for free or reduced-price meals at the school. Children in residential institutions are considered families of one, and only the income that is actually available to that child is considered income. Money paid by state, county or other governmental organizations to the residential institution for the care of the child is not considered part of the child’s income.
Completion Of A SD1041 Application By The Principal Or His/Her Designee
Applications are processed based on the information provided by the parent or guardian (Food Stamp or TANF/ADC case number, Direct Certification letter, or completion of the applicable parts of the SD1041 form). The principal or his or her designee may verify the source and amount of income as well as the household composition only after the eligibility status has been determined and the application processed.
The Principal Or His/Her Designee’s Role In Determining
Student Free Or Reduced-Price Meal Eligibility
For 2003-2004 school year and in accordance with federal law, parents or guardians will be given only the Income Eligibility Guidelines for Reduced-Price Meals to be used to determine eligibility. The Income Eligibility Guidelines for Free Meals are not included in the SD1041 Application. The Guidelines for Free Meals are included in Chancellor’s Regulation: A-811 and as Attachment No. 2 to these guidelines. Only the principal or his/her designee will have a copy of the income scales for both free and reduced-price meals. The Income Eligibility Guidelines for Free Meals may be made available for inspection by the parent upon request at the school site. The school authority may not in any way distribute the free meal eligibility scales to students, parents or guardians.
If the parent or guardian has provided income information, compare the total members of the household and the total current household income with the “Income Eligibility Guidelines for Free and Reduced-Price Meals” for 2003-2004.
If it is necessary to convert the incomes of the household members so that they are all in the same frequency, the following standards should be used to convert to a monthly salary: multiply the weekly income by 4.33; bi-weekly by 2.15; and twice monthly by 2.
The principal or his or her designee must review each child’s SD1041 Application for completeness and mathematical accuracy. That person will check off the child’s eligibility status (free, temporary free, reduced-price or denied) on the bottom front page of the application, sign and date application.
Parents or guardians are to be informed of their child’s eligibility status. The principal or his or her designee must provide this information by giving the student a letter which advises the parent or guardian of his or her child’s’ free or reduced-price eligibility status (see Attachment No. 3) or use any other method of notification which has proven satisfactory in the past. The student, upon establishment of his/her eligibility, should be informed of the procedures to be followed in order to participate in the School Meals Program and the payment plan used by the school for reduced and full price meals.
Make certain that the data on which the parent or guardian was notified by letter is recorded on the SD1041. The federal government has mandated that parents or guardians must be notified individually in writing within ten school days if the Application for Free or Reduced-Price Meals has not been approved. Reasons for non-approval must be given.
Administrative Prerogative
In certain circumstances, when all other options have been exhausted and households fail to apply for free or reduced-price meals, school district officials may address the nutritional needs of students who are at an obvious economic disadvantage. The USDA Child Nutrition Regulations, Part 245.6, provide districts an option to the application process. Using the administrative prerogative option specified in that Regulation, school district officials may complete an application for a student known to be eligible if the household has not applied. This judgmental option acknowledges the various reasons that a household may fail to apply for free or reduced-price meals, such as lack of understanding, fear of authority, alien status, substance abuse, etc.
To exercise this option properly, an application must be completed on behalf of the student based on the best household size and income information available. The source of this information must be noted on the application. Prior efforts made to obtain a completed application from the parent or guardian must be documented. The names of all household members, a Social Security Number, or an adult signature need not be secured. Instead, the name of the student, household size, estimated household income, and the administrator’s signature must be provided. The household must be notified of the student’s approval status for free or reduced-price meals. These applications must be excluded from the Verification Process.
This option must be used judiciously and only after repeated efforts to obtain applications from households have been unsuccessful. It is to be used on an individual basis and not to provide eligibility determinations for large numbers of students. It also may not be used when Household income is above the eligibility guidelines even if the children are not coming to school with a meal or money. Household economic status must remain the criterion for administratively making the decision to certify the student as eligible for free or reduced-price meals.
· A valid food stamp, TANF/ADC case number, may be used in lieu of household income. The principal must notify the household that the child has been certified for a free or reduced-price meal.
· All documentation relating to the school’s efforts to obtain parental compliance and relating to the certification of eligibility must be attached to the application and kept on file at the school for three years plus the current year.
NOTE: Schools participating under Provision 2 (Universal School Meals) must retain their records from their base year for three years plus the current year beyond the end of the USM cycle initiated by that base year.
This alternative is provided to ensure that no child goes hungry because of a parent’s or guardian’s inaction or failure to follow requirements mandated by the federal government.
Right To A Fair Hearing Conference
The Notification for Non-Approval of Free or Reduced-Price Meals (see Attachment No. 3) advises the parent or guardian that if he or she does not agree with the determination a request may be made for a conference with the principal to discuss the matter. A request for this meeting shall in no way prejudice the parent’s or guardian’s right to appeal.
The child should be provided a meal in accordance with his or her previous eligibility status until a final decision is made.
The Appeal Procedure For The Non-Approval Of Eligibility
If after the hearing conference with the principal the parent or guardian does not agree with the determination, the Non-Approval of Eligibility Appeal Procedures are to commence. An appeal of an eligibility determination is commenced by writing to:
The New York City Department of Education
Office of School Food and Nutrition Services
Room 403
44-36 Vernon Boulevard
Long Island City, New York 11101.
· Upon request, the parent or guardian may be assisted or represented by an attorney or other person of his or her choice in presenting the appeal.
· The parent or guardian shall have an opportunity to examine, prior to and during the hearing, the documents and records presented to support the decision under appeal.
· The hearing shall be held with reasonable promptness and convenience to the parent or guardian, and adequate notice shall be given to the parent or guardian as to the time and place of the hearing.
· The parent or guardian shall have an opportunity to present oral or documentary evidence and arguments supporting his or her position without undue interference.
· The parent or guardian shall have an opportunity to question or refute any testimony or other evidence and to confront and cross-examine any adverse witness(es).
· The hearing shall be conducted and the decision made by a hearing official who did not participate in making the decision under appeal.
· The decision of the hearing official shall be based only on the oral and documentary evidence presented at the hearing and made a part of the hearing records.
· The parent or guardian and designated representative, if any, are to be notified in writing of the decision of the hearing official.
· A written record is to be prepared with respect to each hearing that will include: the decision under appeal; any documentary evidence; a summary of any oral testimony presented at the hearing; the decision of the hearing official (including the reasons therefore); and a copy of the notification to the parent or guardian of the decision of the hearing official.
· The written record of each hearing is to be preserved for a period of three years plus the current year and is to be available for examination by the parent or guardian or a representative at any reasonable time and place during such period.
NOTE: Schools participating under Provision 2 (Universal School Meals) must retain their records from their base year for three years plus the current year beyond the end of the USM cycle initiated by that base year.
Changes That May Affect A Student’s Eligibility Status During The School Year
During the course of the school year, a student’s eligibility status may change as a result of:
Change in the household’s size;
Change in the household’s total income (e.g., salary increases, unemployment); or
Federally mandated Verification of Income Process (See Chancellor’s Regulation: A-810).
The parent or guardian should be advised to notify the principal immediately if during the school year the household size decreases or income increases by more than $50.00 per month (or $600.00 annually), because their child’s eligibility may also change. Also, if the parent or guardian has listed a Food Stamp or TANF/ADC case number they must advise the school when the Food Stamp or TANF/ADC benefits are no longer received. In the event of any of those changes, the principal should request that the parent or guardian complete a new SD1041. Upon receipt of the new application, the principal should make the new eligibility determination based on the procedures previously outlined. Particular attention should be given to those parents or guardians who have become unemployed even if only temporarily.
Changes in eligibility which result in increased benefit levels are to be made as soon as possible but no later than three operating days after the date the final decision is made on a child’s eligibility status. A change in eligibility that results in decreased benefit levels is to be made within ten operating days of the date the final decision is made on a child’s eligibility status.
Transfer Of Eligibility
If a student transfers from one school participating in the meals program sponsored by the Department of Education to another participating school within a school year, eligibility for free or reduced-price meals is to be honored by the receiving school. A copy of the SD1041 or Direct Certification letter must accompany all transfers, and the receiving school needs to confirm that the correct meal code is on the student’s ATS record.
Students who are promoted or transferred from one school level to another during the middle of the school year or at the end of a school year (e.g., from elementary to intermediate school or from junior high school to high school) should have their eligibility status honored. A copy of their SD1041 Form or Direct Certification letter must accompany all such promotions and transfers.
Retention Of Records
All free and reduced-price meals SD1041 Applications and Direct Certification letters must be retained by the principal and must be available for inspection for a period of three years plus the current year. In addition, the principal of the school must keep on file for this same period all records, including:
Records of appeals and hearing transcripts;
Data supporting monthly claim forms for reimbursement; and
Applications for students who are discharged from the school. (These applications should be pulled from the active records and placed in a separate file.)
Schools participating in Provision 2 (Universal School Meals) must keep all base year documents (e.g., SD1041 Applications, rosters, stubs, MIE 1 and MIE 2 Forms, master listings, etc.) on file for three years plus the current year beyond the end of the USM cycle initiated by that base year.
ASSISTANCE TO
THE SCHOOLS
Need for Additional 2003-2004 SD1041 Applications
All requests for additional 2003-2004 SD1041 Applications should be directed to the SchoolFood District Field Supervisor’s Office.
Technical Assistance With The Completion of the 2003-2004
SD1041 Applications
The Office of School Food and Nutrition Services is pleased to provide technical guidance in completing new applications. Please call (718) 729-6100, Ext. 1526, to request assistance.
The funding of the school meals program is under intense scrutiny in Congress and the USDA. The changes we have put in place over the last two years are designed to make better use of the available technology and the time of school staff. They are also aimed at trying to make the funding for the program more secure over the long term. Your cooperation and support are critical in realizing those goals. We very much appreciate your efforts and look forward to working with you to assure the future success of the School Meals Program and the educational enterprises that it helps to support.