1 CCR 212-3-3-905 - Business Records Required
Basis and Purpose - 3-905
The statutory authority for this rule includes but is not limited to sections 44-10-202(1)(c), 44-10-203(1)(c), 44-10-203(1)(k), 44-10-301, and 44-10-1001(1) and (3), C.R.S. This rule explains what business records a Licensee must maintain and clarifies that such records must be made available to the Division on demand. This Rule 3-905 was previously Rules M and R 901, 1 CCR 212-1 and 1 CCR 212-2.
A.
General Requirements.
1. A Regulated Marijuana Business must
maintain the information required in this Rule in a format that is readily
understood by a reasonably prudent business person and may be stored
electronically.
2.
Location of Required Records
a.
On premises
records: The Regulated Marijuana Business's books and records for
the preceding six months (or complete copies of such records) must be
maintained on the Licensed Premises at all times. Electronic records that are
accessible from, but not physically located at, a Licensee's Licensed Premises
may also satisfy the requirements of this Rule 3-905.
b.
On- or off-premises
records: Books and records associated with older periods may be
archived on or off the Licensed Premises.
3. Books and records necessary to fully
account for the business transactions conducted under its License shall be made
available to the State Licensing Authority or Division upon request.
B. The books and records that are
required to be maintained for the current calendar year and the preceding
calendar year are:
1. Secure Facility
Information - For its Licensed Premises and any associated permitted
off-premises storage facility, a Regulated Marijuana Business must maintain the
business contact information for vendors that maintain video surveillance
systems and Security Alarm Systems.
2. Security Alarm Systems documents required
by Rule 3-220(A)(3).
3. Advertising
Records - All records related to Advertising and marketing, including, but not
limited to, audience composition data.
4. Child Resistance Certificates - A copy of
the certificate that each Container into which a Licensee places Regulated
Marijuana is Child Resistant.
5.
Diagram for the Licensed Premises - Diagram of all approved Limited Access
Areas, Restricted Access Areas, and any permitted off-premises storage
facilities.
6. Visitor Log - List
of all visitors entering Limited Access Areas or Restricted Access
Areas.
7. Repealed.
8. Waste Log and Fibrous Waste Records -
Comprehensive records regarding all waste and Fibrous Waste material that
accounts for, reconciles, and evidences all waste and Fibrous Waste activity
related to the disposal of marijuana.
9. Consumer Waste Records - All contracts,
Standard Operating Procedures, and receipts relating to collection and Transfer
of Marijuana Consumer Waste as required by Rule 3-240.
10. Surveillance Logs - Surveillance logs
identify all authorized employees and service personnel who have access to the
surveillance system and maintenance and activity log as required by Rule
3-225.
11. Every Licensee shall
maintain a record of its identity statement and Standardized Graphic Symbol. A
Licensee may elect to have its Identity Statement also serve as its
Standardized Graphic Symbol for purposes of complying with this rule.
12. Testing Records Required to be Maintained
by Regulated Marijuana Testing Facilities:
a.
All testing records required by Rule 5-450 and Rule 6-450.
b. Digital photographs of each Test
Batch.
c. Any delegation of
responsibilities from the laboratory director to qualified personnel as
permitted by Rule 5-420(B) or 6-420(B).
13. Testing Records Required to be Maintained
by Regulated Marijuana Businesses and Accelerator Licensees:
a. Documentation of Designated Test Batch
Collector Training required by Rule 4-225(D)(3).
b. Records regarding wet whole plant that was
not tested for microbials pursuant to Rule 4-230(N)(1)(b).
c. Evidence of any achieved Reduced Testing
Allowance - If a Licensee utilizes any Reduced Testing Allowances, then they
must maintain documentation demonstrating how it was obtained and maintained
throughout the allowance with all applicable rules.
14. Sampling Unit Records - All records
related to designated Sampling Managers, identified Sampling Units, and
Transfers of Sampling Units. See Rules 3-810, 5-230, 5-320, 6-225, 6-320. This
includes, but is not limited to, Standard Operating Procedures that explain the
requirements of sections
44-10-502(5),
44-10-503(10),
44-10-602(6) and
44-10-603(10),
C.R.S., the personal possession limits pursuant to section
18-18-406, C.R.S., and the
requirements imposed by Rules 5-230, 5-320, 6-225, 6-320. 6-725, and
6-280.
15. License Application
Records - All records provided by the Licensee to both the state and local
licensing authorities in connection with an application for licensure pursuant
to the Marijuana Code and these Rules.
16. Repealed.
17. Audited Product and/or Alternative Use
Product Records - All records required to demonstrate compliance with Rule
5-325 and 6-325.
18.
Repealed.
19. Certificates of
analysis or other records demonstrating the full composition of each Ingredient
used in the manufacture of Vaporizer Delivery Devices or Pressurized Metered
Dose Inhalers as required by Rule 5-310(F).
20. Records required to be maintained by
Delivery Permit holders including delivery order requirements and contracts for
delivery pursuant to Rule 3-615.
21. Recall records required by Rule 3-336
including the recall plan, recall notice, and results of any action taken
pursuant to the recall plan.
22.
All records related to Material Changes as required by Rules 3-330(D) and
3-335(L).
23. Records related to
Adverse Health Events as required by Rule 3-920.
24. Internal Security Controls - Licensees
must establish and maintain a security plan for each Licensed Premises,
including at a minimum:
a. Protocols for the
end-of-day handling of Regulated Marijuana and cash;
b. Protocols for reporting theft or
burglaries when they are discovered to Local Law Enforcement, the Division, and
Local Licensing Authority or Local Jurisdiction;
c. Protocols for reconciling inventory after
a theft or burglary has been discovered;
d. Identification of exterior lighting of the
Licensed Premises and any exterior camera angles, and protocols for maintenance
of the lighting and cameras; and
e.
Identification of ingress and egress routes for the property and identification
of any access control measures taken outside of the Licensed
Premises.
25. Patient
Documents - Documents required for a patient to register a primary Medical
Marijuana Store as required by Rule 5-125(A)(2.5).
26. Regulated Marijuana Concentrate
Production Records - All records required by Rules 5-315, 6-315, and 6-815
regarding production of Regulated Marijuana Concentrate.
27. Marijuana Research and Development
Facility Records - Documents and correspondence sent to or received from an
independent reviewer or the Scientific Advisory Council and any testing records
if required by Rule 5-725.
28.
Documents Related to Pesticide Manufacturers - Affidavit from a Pesticide
Manufacturer that it meets the requirements of the Rule and the written
agreement between the Licensee and the Pesticide Manufacturer as required by
Rule 7-115.
29. Expiration date and
use-by date documents required by Rule 3-335(M), 3-1005, and 3-1015.
30. Repealed.
31. Current Owner and Employee List - This
list must provide the full name and License number of all Owner Licensees and
every employee who works for a Regulated Marijuana Business. The list shall
include all employees who work for the Regulated Marijuana Business, whether or
not they report to the Licensed Premises as part of their employment. A
Regulated Marijuana Business can fulfill the requirements of this Rule by
listing all employees in the Inventory Tracking System for each Licensed
Premises. If a Regulated Marijuana Business does not use the Inventory Tracking
System to list all employees, it must maintain a separate record for employees
who do not report to the Licensed Premises.
32. Repealed.
33. Genetic Material Records - Licensees
selling, transferring, or shipping Genetic Material in accordance with Rules
5-205, 6-205, and 6-705 must establish and maintain Standard Operating
Procedures to confirm that the purchasing or receiving individual is twenty-one
years of age or older, pursuant to 44-10-502(7) (b)(III) and
44-10-602(12)(b)(III), C.R.S.
34.
Procedures for compliance with online sales.
35. All other records required by these
Rules.
B.5 Each Regulated
Marijuana Business shall retain the following records for the current year and
three immediate prior tax years:
1. Tax
documents in accordance with section
44-10-1001(3),
C.R.S.;
2. All books and records
necessary to fully account for the business transactions conducted under its
license;
3. Standard Operating
Procedures and Training Documentation - All Standard Operating Procedures,
including revision date, as required by these Rules must be maintained for the
current year and three previous calendar years. In addition to maintaining
Standard Operating Procedures, Regulated Marijuana Businesses must maintain
up-to-date records of employee training as follows:
a. Identification of required training of
employees;
b. Documentation of
training topic, training method, date of initial training, date of any
necessary re-training, name and signature of trainer, and name and signature of
employee;
c. Competency and
effectiveness of employee training shall be adequately assessed in an
appropriate manner determined by the Licensee that is described in the Standard
Operating Procedures.
4.
Corrective Action and Preventive Action records required by Rules 5-115, 5-210,
5-310, 6-110, 6-210, 6-310, 6-710, 6-810, and 6-1110.
5. Documentation required to demonstrate
valid responsible vendor designation(s).
6. Cleaning records and Maintenance records
required under Rule 3-330(D)(1)(e).
C.
Records Required to be
Maintained in the Inventory Tracking System. The following records
must be maintained by Licensees in the Inventory Tracking System:
1.
Records Related to Inventory
Tracking. A Regulated Marijuana Business must maintain accurate
and comprehensive inventory tracking records that account for, reconcile, and
evidence all inventory activity for Regulated Marijuana from Genetic Material
until the Regulated Marijuana is destroyed or Transferred to another Regulated
Marijuana Business, a consumer, a patient, or a Pesticide
Manufacturer.
2.
Records Related to Transport. A Regulated Marijuana
Business must maintain adequate records for the transport of all Regulated
Marijuana. See Rule 3-605 - Transport: All Regulated Marijuana
Businesses.
3.
Employees Required to be Listed in the Inventory Tracking
System. A Regulated Marijuana Business must use the Inventory
Tracking System to list all employees who report to the Licensed Premises. The
employee list in the Inventory Tracking System must include the full name and
Employee License number of every employee who works on the premises. The
Regulated Marijuana Business is responsible for updating its list of employees
who work at the Licensed Premises in the Inventory Tracking System within 10
days of an employee commencing or ceasing employment.
4. Testing results.
D.
Loss of Records and
Data. Any loss of electronically-maintained records shall not be
considered a mitigating factor for violations of this Rule. Licensees are
required to exercise due diligence in preserving and maintaining all required
records.
E. Repealed.
F.
Provision of Any Requested
Record to the Division. A Licensee must provide on-demand access
to on-premises records following a request from the Division during normal
business hours or hours of apparent operation, and must provide access to
off-premises records within three business days following a request from the
Division.
Notes
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