New York Codes, Rules and Regulations
Title 9 - EXECUTIVE DEPARTMENT
Subtitle B - Division of Alcoholic Beverage Control
Chapter II - Rules of the Office of Cannabis Management
Part 125 - General Operating Requirements and Prohibitions
Section 125.12 - Inspections and Audits

Universal Citation: 9 NY Comp Codes Rules and Regs ยง 125.12

Current through Register Vol. 46, No. 39, September 25, 2024

(a) Licensed or permitted premises, regardless of the type of premises, and all records, including, but not limited to, financial statements and corporate documents, shall be subject to inspection or audit by the Office, by the duly authorized representatives of the Office, by any peace officer acting pursuant to their special duties, or by any police officer acting with cause or in accordance with an active investigation of a crime.

(b) A licensee shall make themselves, or an agent thereof, available and present for any inspection or audit required by the Office. Such inspection or audit may include, but is not limited to, inspecting and ensuring that a licensee complies with all requirements of the Cannabis Law and all corresponding regulations.

(c) Any deficiencies identified by an inspection that is required by the Office shall be documented in a statement of findings by the Office and require that the licensee submit a written plan of correction in a format acceptable to the Office within thirty (30) calendar days of the issue date of the statement of findings. A plan of correction shall address all deficiencies or areas of noncompliance cited in the statement of findings and shall:

(1) contain an assessment and analysis of the events and/or circumstances that led to the noncompliance;

(2) contain a procedure addressing how the licensee intends to correct each area of noncompliance;

(3) contain an explanation of how proposed corrective actions will be implemented and maintained to ensure noncompliance does not recur; and

(4) contain the proposed date by which each area of noncompliance shall be corrected.

(d) Any inspection finding which the Office determines jeopardizes the immediate health, safety, or well-being of the public or the licensee's workforce shall be deemed a critical deficiency and shall require immediate corrective action to remove the immediate risk. The licensee shall submit a preliminary corrective action plan to the Office within twenty-four (24) hours of notification by the Office of the critical deficiency.

(e) If the Office determines that the corrective action plan needs modification, the licensee shall modify the plan until it is in its final form, as accepted by the Office;

(f) Upon written approval of the Office, the licensee shall implement the plan of correction.

(g) Failure by the licensee to comply with these requirements may result in suspension, revocation, and/or a civil penalty pursuant to Part 133 of this Title.

(h) Nothing herein shall limit the application of any other remedies or sanctions that are available through local, state, and federal laws, and these rules.

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