N.Y. Comp. Codes R. & Regs. Tit. 9 § 125.13 - General Record Keeping Requirements

(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.

Notes

N.Y. Comp. Codes R. & Regs. Tit. 9 § 125.13

Adopted New York State Register September 27, 2023/Volume XLV, Issue 39, eff. 9/27/2023