Current through Register Vol. 46, No. 39, September 25, 2024
(a) A licensee shall keep and maintain
records required by this Title, or any other applicable federal or state rule
or regulation, for at least five (5) years from the date of creation, unless a
shorter time is specified by the Office.
(b) Records shall be made readily retrievable
and available to the Office upon request.
(c) Records shall account for all activities
of the licensee, including, but not limited to:
(1) architectural diagrams and floorplans of
the licensed premises, including designation of functional areas and square
footage available;
(2) financial
records, including, but not limited to, true parties of interest, bank
statements, sales invoices, receipts, and any other records maintained for tax
purposes;
(3) personnel records,
including each employee's full name, date of employment, date of termination of
employment, if applicable, background check, if one was completed, and
disciplinary actions;
(4) training
records, including, but not limited to, the content of the training provided
and the names of the employees who received the training;
(5) any contracts regarding cannabis
activity;
(6) all records related
to advertising and marketing;
(7)
standard operating procedures, including, but not limited to, the licensee's
operating plan;
(8) laboratory
testing results for each lot or batch of cannabis or cannabis product
tested;
(9) records of equipment
used in cultivation and processing of cannabis, as well as equipment
maintenance and upkeep records that include at a minimum:
(i) the type of maintenance
performed;
(ii) the name of the
mechanic who performed the maintenance; and
(iii) the date the maintenance was completed;
and
(10) policies and
procedures that notify persons with disabilities of their rights under
applicable federal and state laws and regulations and includes provisions
prohibiting discrimination and providing reasonable accommodations;
(11) policies and procedures demonstrating
promotion of diversity in the workplace;
(12) all other documents prepared or executed
by or for the licensee in connection with the license; and
(13) any other records required by the
Cannabis Law, this Title, or as determined by the Office.
(d) Records shall be legible and accurate. No
person shall intentionally misrepresent or falsify records.
(e) Records shall be stored in a secured area
to ensure that the records are protected from debris, moisture, contamination,
hazardous waste, and theft.
(f) A
licensee shall make its premises, and all books, systems, and records available
to the Office upon request.
(g) The
failure of the licensee to comply with the requirements set forth in this
section may result in enforcement action, including, but not limited to, civil
penalties and revocation of licensure.
