Vendor Monitoring Worksheet - Retail Grocery Stores
Transcription
Vendor Monitoring Worksheet - Retail Grocery Stores
DEPARTMENT OF HEALTH SERVICES Division of Public Health F-04003 (Rev. 05/2014) STATE OF WISCONSIN Title 7 CFR Part 246, DHS 149.07 Wis. Admin. Code Page 1 of 4 VENDOR MONITORING WORKSHEET RETAIL GROCERY STORES INSTRUCTIONS Review vendor monitoring procedures in the WIC Operations Manual, the supplemental Project Training: Vendor Routine Monitoring and types of violations in the Wisconsin WIC Vendor Manual before conducting a monitoring visit. Document vendor monitoring thoroughly and accurately on this worksheet. Record findings at the time of the monitoring visit on the worksheet citing all violations and contact the State WIC Office, Vendor Management at 608-267-9192 if there are any questions or concerns about the monitoring results. If the cashier entered a dollar amount that was higher than the actual retail price of items purchased, or charged for foods that were not received, leave the store after the compliance buy. Contact the State WIC Office, Vendor Management upon return to the office. Training is required for all violations and should be conducted immediately with the owner, manager, or head cashier. Training may be scheduled for another date if none of the above persons are present at the time of the monitoring visit. A Corrective Action Plan (CAP) and Training Proof of Participation form (DPH 4727) must be completed. Vendor Monitoring Worksheet, Compliance Checks, Cash Register Receipt and Training Proof of Participation must be completed and sent to the State WIC Office, Vendor Management within 10 days of the monitoring visit. Remember to obtain all required signatures from the vendor. Remember, the WIC Representative is to sign the Monitoring Worksheet at the bottom of page one. Store Name Vendor Number Street Address WIC Project Number City, State, Zip Code Date of Monitoring Visit Type of Monitoring: Check minimum stock, expiration dates, and that prices are posted Routine Monitoring CAP Monitoring High Risk Monitoring Request of State WIC Office Indicate FI number(s) on the checks used for compliance buy, and indicate the first and last dates to use on the check(s): Check Number First Date Last Date The results of the monitoring visit have been discussed with me. If violations were identified during the monitoring visit, it is our responsibility to take appropriate action to correct the problem(s). I understand that it is our responsibility to ensure that store personnel are trained and comply with WIC Program rules. Name of Person Interviewed (Print) WIC Representative: I have reviewed and completed all areas of the Vendor Monitoring Worksheet. Title of Person Interviewed Title of WIC Representative Date Date SIGNATURE – Person Interviewed SIGNATURE – WIC Representative Name of WIC Representative (Print) F-04003 (05/2014) Page 2 of 4 SECTION 1: REVIEW OF CASHIER CHECK-OUT PROCEDURES Pose as a WIC participant to determine if correct procedures are used. Attach the cash register receipt and the check(s) that were used (if the sale was voided) to the front of the report. YES = Tested/Violation occurred, NO = Tested/No violation occurred, NA = Did not test. YES 1. Did the cashier fail to obtain or verify the participant/proxy signature on the check with the WIC ID card? 2. Were you able to use a check prior to the "first day to use" or after the "last day to use" ? 3. Was the dollar amount entered on the check in pencil or erasable ink? 4. Did the cashier request the participant/proxy signature before entering the dollar amount on the check? 5. Did the cashier fail to enter either the “date of use” and/or initial the WIC check at the time of the transaction? YES = Violation/training required. Document on Proof of Training Form. 6. Was it possible for you to purchase unauthorized foods or items with WIC checks? Indicate type and brand of unauthorized item(s) purchased: 7. Was it possible for you to purchase unauthorized quantities with WIC checks? Indicate amount and type of item(s) purchased: 8. Did the cashier enter a dollar amount that was higher than the actual retail price of the items purchased, or charge for foods not received? If YES, contact State Office. NO NA Comments: SECTION 2: QUESTIONS TO ASK OF PERSON INTERVIEWED Name of Current Owner: Name of Manager (if more than one list here): If the current owner is not the same as stated on the current WIC Vendor Profile, get as much information as possible to determine if there has been a change of ownership. If ownership appears to have changed, contact the State WIC Office, Vendor Management. Name and title of person who trains cashiers on WIC check redemption process: Yes No Yes No Yes Yes No No Name and title of person who reviews WIC checks prior to deposit to ensure that everything is appropriate (e.g., dollar amounts, participant signatures, legible vendor stamp, etc.): Does the store maintain a copy of the WIC Vendor Manual, correspondence and memorandums from the State WIC Office at the store? (Ask to see these items.) If No, ask where these materials are located and inform them that these items are to be kept at the store. Are “Rain Checks” given when WIC authorized foods are not available? Briefly describe below the methods used by the store when WIC foods are not available. Has the vendor experienced any problems with the WIC Program? Briefly describe any problems the vendor is experiencing. Remind the vendor to notify you of any problems with a WIC participant, by using the Vendor/Participant Complaint Form (DPH 4322). Does the vendor purchase infant formula from an authorized supplier? Verify the supplier is listed on the Authorized Infant Formula Supplier List. If not an authorized supplier, provide the vendor with the Supplier List and indicate that the State WIC Office, Vendor Management will be in contact with them. F-04003 (05/2014) Page 3 of 4 SECTION 3: GENERAL OBSERVATIONS Does the store appear to be in violation of any health protection laws or ordinances of which you are aware? For example: is refrigeration inadequate is the store unclean, are there screens on open windows and doors, etc. If YES, describe briefly: Yes No Yes No Does the store display “WIC Accepted Here” door signs or stickers (large or small, required to be displayed in an area visible to participants)? If NO, provide them to the vendor. Yes No Were WIC authorized food lists and cashier instructions available to cashiers at each register? If NO, provide copies to the vendor. Yes No Is the store using WIC shelf talkers to identify WIC approved foods? If NO, provide samples for the vendor and discuss how the use of the stickers assists participants in locating approved food and eliminating problems at the check-out. SECTION 4: REVIEW OF WIC CHECKS Does the store have any WIC checks on hand? If NO, go to Section 5. If YES, ask to see them and Yes No complete the following five questions. Yes No 1. Are there any checks that do not have the participant’s signature written on the face of the check? If YES, confiscate the checks(s). Give the vendor the receipt form. 2. Are any checks missing a date in the “Date of Use” field? If YES, explain to store manager that if they fail to comply with proper WIC check redemption procedures, further actions will be taken. Document on Proof of Training. Yes No Yes No 3. Have any checks been accepted prior to the "first day to use" or after the "last day to use"? (Back of the check may have the cash register endorsement or other store endorsement.) Yes No 4. Are there any checks that do not have dollar amounts recorded in permanent ink on the face of the check? Yes No 5. Are there any checks that do not have dollar amounts written in permanent ink on the face of the check? SECTION 5: STOCK INFORMATION 5A. PRICES. Complete this section only if prices were not displayed or marked. List all WIC foods that were not marked or did not have prices posted. 1. 3. 2. 4. 5B. OUTDATED WIC FOODS. Complete this section only if expired foods were found. List each food item, number of containers, expiration date of the expired food, or provide a description of the problem. NUMBER OF EXPIRATION DATE FOOD ITEM CONTAINERS OR DESCRIPTION 1. 2. 3. 4. 5. F-04003 (05/2014) Page 4 of 4 SECTION 6: MINIMUM STOCK INFORMATION FOOD ITEM YES = No offenses. MINIMUM STOCK REQUIREMENT If the store does not meet the minimum requirements for any of the mandatory food items, record the exact quantities available at the time of the site visit. For example: two 12 oz. boxes of Kellogg's Rice Krispies and three 14 oz. boxes Cream of Wheat. Milk NO = Possible 6 month disqualification. MINIMUM ON QUANTITY SHELF OR AVAILABLE IN COOLER (In customer area) 8 gallons unflavored 1% or skim (low fat or fat free); AND Yes No 3 gallons unflavored whole (Vitamin D); AND Yes No 3 half-gallons unflavored 1% or skim. Yes No Eggs 4 one-dozen cartons, white only, any size, any grade. Yes No Whole Grains 6 packages, 16 oz. each, any combination of: 100% whole wheat bread, buns or rolls, OR soft corn or whole wheat tortillas, OR brown rice (may come in a box/bag or frozen prepared). Yes No Cereal 6 different types (hot or cold), 12 oz. boxes or larger and minimum of 4 of each. 2 types must be whole grain (marked “WG” on WIC Approved Food List). Gluten Free Rice Krispies may be 9 oz. and up. Yes No Juice 9 containers 64 oz., 3 different flavors; AND Yes No 12 containers 48 oz., 3 different flavors; AND Yes No 4 containers 11.5 - 12 oz. frozen concentrate. Yes No $28 total retail value ($10 of the total retail value must be from fresh fruit and vegetables); AND Yes No Fruit – 5 types fresh, frozen or canned; 2 types must be fresh (not including lemons and limes); AND Yes No Vegetables – 5 types fresh, frozen or canned; 2 types must be fresh (not including onions, garlic, and ginger). Yes No Peas/Beans Lentils (dry) 4 pounds total; two 16 oz. bags of two different types. Yes No Canned Beans 16 cans, 15 – 16 oz.; three different types. Yes No 4 containers, 16 -18 oz.; any brand, creamy, crunchy, extra-crunchy or natural, low sodium/salt, reduced/no sugar. Yes No Stores with 4 or less registers (count all registers): 3 different varieties of fruits – 12 containers each; AND Yes No 3 different varieties of vegetables – 12 containers each Yes No Stores with 5 or more cash registers (count all registers): 6 different varieties of fruits: 12 containers each, AND Yes No Yes No Any brand; 2.5 oz. containers only; 2 varieties, total of 48 containers. Yes No Any brand; six 8 oz. containers; 2 different types. Yes No Good Start Gentle only: Yes No Fruit and Vegetable Peanut Butter Infant Fruit and Vegetable Infant Meats Infant Cereal Infant Formula Any brand; 4 oz. containers; plain or mixtures. 6 different varieties of vegetables: 12 containers each. Only stores with 11 or more cash registers must carry: 1) 20 cans 12.7 oz. powder, OR 2) 62 cans 13 oz. concentrated liquid, OR 3) 10 cans 12.7 oz. powder AND 31 cans 13 oz. concentrated liquid. (Only enter items if less than minimum.)