18-691-1 Me. Code R. § 4

Current through 2023-3, January 18, 2023
Section 691-1-4 - Tracking, Transportation and Authorized Transfers
4.1 - General Tracking Requirements

In addition to any requirements specific to tracking within each license type, all licensees of cannabis establishments must meet minimum requirements.

A. Cannabis establishment licensees must track, using the inventory tracking system specified by the Department, cannabis, cannabis concentrates and cannabis products from immature plant to point of sale.
B. In addition to any tracking requirements specific to license type, a licensee must record the following data in the tracking system as applicable:
(1) A complete inventory of all seeds, seedlings, immature cannabis plants, mother plants and mature cannabis plants, cannabis, cannabis concentrate and cannabis products in the possession, control or ownership of the licensee;
(2) Any changes to the cannabis establishment's inventory of any cannabis;
(3) When plants are partially or fully harvested or destroyed;
(4) When harvest batches of cannabis trim or kief are combined into a single production batch;
(5) When cannabis waste is destroyed;
(6) When an authorized transfer occurs;
(7) Any theft of cannabis;
(8) All sales records;
(9) All mandatory testing results; and
(10) Other information required by the tracking system or specified by the Department.
4.1.1Implementation and Administration of Tracking System.
A. Unless excused by the Department, in writing, a cannabis establishment must have an inventory tracking system account activated and functional prior to operating or exercising any privileges of a license. The licensee shall keep and maintain comprehensive records to ensure adequate inventory tracking of any cannabis, cannabis concentrates and cannabis products during the period the licensee is not otherwise using the inventory tracking system.
B. Licensees may not enter any inventory into the inventory tracking system until the licensee receives from the Department an active license to conduct authorized activities.
C. Each licensee must designate one individual identification cardholder as an inventory tracking system administrator.
D. In order to obtain an inventory tracking system administrator account, a licensee or its designee must attend and successfully complete all required inventory tracking system training. A licensee may apply for an account and training once they receive a conditional license from the Department.
E. The Department may also require additional ongoing, continuing education for the inventory tracking system administrator to retain his or her inventory tracking system administrator account.
F. Each licensee is responsible for all costs associated with its use of the tracking system and any associated vendor fees.
G. A cannabis establishment may designate additional employees or staff who are individual identification cardholders as inventory tracking system users. The establishment shall ensure that all individuals who are granted inventory tracking system user account access for the purposes of conducting inventory tracking functions in the system are trained by inventory tracking system administrators in the proper and lawful use of the inventory tracking system.
4.1.2General Inventory Tracking System Use.
A. All inventory tracking activities at a cannabis establishment licensee must be tracked through use of the inventory tracking system. A licensee must reconcile all on-premises and in-transit cannabis, cannabis concentrates and cannabis product inventories, and sales records, including sales conducted by delivery, each day in the inventory tracking system by 11:59 p.m. that same day.
B. A cannabis establishment must utilize a standard of weights and measures that is supported by the inventory tracking system to track all cannabis, concentrate and cannabis product. A scale used to weigh product prior to entry into the inventory tracking system shall be certified in accordance with 10 MRS, chapter 501.
C. A licensee shall maintain the security of the inventory tracking system, as follows:
(1) A cannabis establishment licensee must train and authorize any new inventory tracking system users before they may access inventory tracking system or input, modify or delete any information in the inventory tracking system.
(2) A cannabis establishment licensee must cancel any inventory tracking system administrators and inventory tracking system users from their associated inventory tracking system accounts once any such individuals are no longer employed by the licensee or at the licensed premises.
(3) A cannabis establishment licensee is accountable for all actions employees take while logged into the inventory tracking system or otherwise conducting cannabis, cannabis concentrates and cannabis product inventory tracking activities.
(4) Each individual user is also accountable for all of his or her actions while logged into the inventory tracking system or otherwise conducting cannabis, cannabis concentrates or cannabis product inventory tracking activities, and shall maintain compliance with all relevant laws.
(5) Each individual user shall only log activities in the inventory tracking system under the user's own unique inventory tracking system user account.
D. A cannabis establishment may use separate software applications to collect information to be used by the business, including secondary inventory tracking or point of sale systems.
(1) A licensee must ensure that all relevant inventory tracking system data is accurately transferred to and from the inventory tracking system for the purposes of reconciliations with any secondary systems.
(2) A cannabis establishment must preserve original inventory tracking system data when transferred to and from a secondary application(s). Secondary software applications must use the inventory tracking system data as the primary source of data and must be compatible with updating to the inventory tracking system.
4.1.3Conduct While Using Inventory Tracking System.
A. A cannabis establishment and its designated inventory tracking system administrator(s) and inventory tracking system user(s) shall enter data into the inventory tracking system that fully and transparently accounts for all inventory tracking activities and authorized transfers. Both the cannabis establishment and the individuals using the inventory tracking system are responsible for the accuracy of all information entered into the inventory tracking system. Any misstatements or omissions may be considered a major license violation affecting public safety.
B. Individuals entering data into the inventory tracking system shall only use that individual's inventory tracking system account.
4.1.4Procedures for Inventory Tracking System Temporary Outages. If at any point a cannabis establishment loses access to the inventory tracking system for any reason:
A. The cannabis establishment shall immediately notify the Department and shall keep and maintain comprehensive records detailing all cannabis, cannabis concentrates and cannabis product tracking inventory activities that were conducted during the loss of access;
B. Once access is restored, all cannabis, cannabis concentrates and cannabis product inventory tracking activities that occurred during the loss of access must be entered into the inventory tracking system and the Department shall be notified that access has been restored;
C. A cannabis establishment must document when access to the system was lost, the cause of system loss and when it was restored; and
D. Unless permitted in writing by the Department, a cannabis establishment shall not transport or receive any cannabis, or cannabis product to or from another cannabis establishment until such time as access is restored and all information is recorded into the inventory tracking system.

In the event of a statewide or regional outage of the Department's inventory tracking system that is expected to last more than 24 hours, the Department will promptly notify licensees of such outage and any interim recordkeeping procedures or requirements for the duration of the outage.

4.1.5System Notifications.
A. A cannabis establishment must monitor all compliance notifications from the inventory tracking system. The licensee must resolve the issues detailed in the compliance notification in a timely fashion. Compliance notifications shall not be dismissed in the inventory tracking system until the cannabis establishment resolves the compliance issues detailed in the notification.
B. A cannabis establishment must take appropriate action in response to informational notifications received through the inventory tracking system including but not limited to notifications related to enforcement alerts and other pertinent information.
4.1.6Lawful Activity Required. Proper use of the inventory tracking system does not relieve a licensee of its responsibility to maintain compliance with all laws, rules and other requirements at all times.
4.1.7Inventory Tracking System Procedures Must Be Followed. A cannabis establishment must utilize the inventory tracking system in conformance with this rule and inventory tracking system procedures, including but not limited to:
A. Properly indicating the creation of a harvest batch or production batch including the assigned harvest batch or production batch number;
B. Accurately identifying the cultivation rooms where each plant is located on the licensed premises;
C. Accurately identifying when inventory is no longer on the licensed premises or is part of an authorized transfer;
D. Properly indicating that a test batch is being used as part of achieving process validation;
E. Accurately recording all remediation steps taken to remediate any batches of cannabis or cannabis products that fail mandatory testing;
F. Properly indicate test results from a cannabis testing facility, as applicable;
G. Accurately indicating the inventory tracking system item category for all cannabis and cannabis products;
H. Accurately recording, as applicable, the actual wholesale or retail price of all cannabis and cannabis products sold or otherwise transferred; and
I. Accurately including a note explaining the reason for any destruction of cannabis and/or cannabis products, and reason for any adjustment of weights to inventory tracking system packages.
4.2 - Transportation
4.2.1Transport Manifest. A transport manifest, generated by the tracking system, is required for all authorized transfers of cannabis or cannabis products, including samples of cannabis, cannabis concentrate and cannabis products for mandatory testing, to another licensee. The transport manifest does not take the place of a chain-of-custody form that may be required of the licensee. Transport authorized by this rule shall be by motor vehicle only.
A. The licensee transporting cannabis or cannabis products including samples for mandatory testing is responsible for entering all required information in the tracking system for the generation of a transport manifest, including without limitation, the following information:
(1) The name, contact information, licensed premises address and license number of the licensee transporting the cannabis or cannabis products;
(2) The name, contact information, licensed premises address and license number of the licensee receiving the transported cannabis;
(3) Product name and quantities (by weight or unit) of all cannabis and/or cannabis product, including samples, contained in each transport;
(4) The date of transport and approximate time of departure;
(5) Arrival date and estimated time of arrival;
(6) Delivery vehicle make and model and license plate number;
(7) Name and signature of the licensee or individual identification card holder and their identification card number accompanying the transport;
(8) Name and signature of the licensee or individual identification card holder and their identification card number receiving the authorized transfer; and
(9) Damaged or refused cannabis or cannabis products being returned to the original seller, in the case of samples of cannabis, cannabis concentrate or cannabis products for mandatory testing collected by a sample collector, the sample collector will return any samples rejected by a cannabis testing facility to the licensee from which the samples were collected;
B. A transport manifest must be prepared for each cannabis establishment that will receive cannabis or cannabis products. Each transport manifest must specify a single authorized destination.
C. A licensee may not void or change a transport manifest after departing from the originating premises.
D. A licensee must accept returns of any cannabis or cannabis products, including samples, that are refused by the intended recipient and appropriately track and dispose of the same.
4.2.2Transport Manifest Exception. When cannabis or cannabis products are transferred by way of authorized transfer between two licenses controlled by the same licensee, and which do not require the transport of the cannabis or cannabis products outside the boundaries of the premises, then a licensee need not create three copies of the transport manifest. In these cases, the licensee must still follow all requirements of the tracking system.
4.2.3Transportation of samples for research and development purposes. A licensee transporting samples of cannabis or cannabis products solely for the purpose of research and development must record such samples in the Department's inventory tracking system and complete a paper transport manifest on forms provided by the Department. The licensee must make at least 2 copies of the transport manifest; one to be retained by the licensee transporting the samples for research and development testing, and one for the cannabis testing facility receiving the samples for research and development testing.
4.2.4Sales Delivery Manifest. A sales delivery manifest, generated by the tracking system, is required for all deliveries of cannabis or cannabis products by a cannabis store licensee to an adult use consumer.
A. A cannabis store licensee transporting sales orders of adult use cannabis and cannabis products to adult use consumers is responsible for entering all required information in the tracking system for the generation of a sales delivery manifest, including without limitation, the following information:
(1) The name, contact information, premises address and license number of the cannabis store licensee transporting the sales order of cannabis and/or cannabis products;
(2) The name and residential delivery address of the adult use consumer that placed the request for delivery of the sales order;
(3) Item name and quantities (by weight or count) of the cannabis and cannabis products ordered by the consumer;
(4) The date and approximate time of departure;
(5) The date and approximate time of arrival at the residential delivery address;
(6) Delivery vehicle make, model and license plate number;
(7) Name and individual identification card number of cannabis store employee delivering the sales order;
(8) Government-issued identification number presented by the consumer receiving the delivery; and
(9) An indication of any cannabis or cannabis products from the sales order that were not delivered to the consumer that requested the order, and the reason the items were not delivered.
B. A sales delivery manifest must be prepared for each sales order to be delivered to a consumer. A sales order shall only be transferred to the consumer who placed the request for the sales order with the cannabis store after the consumer's age and identity are verified by the cannabis store employee making the delivery. Each sales delivery manifest must specify only one delivery destination. A cannabis store employee may complete delivery of multiple sales orders in one delivery trip.
C. A licensee may not void or change a sales delivery manifest after departing from the originating cannabis store premises.
D. A licensee must accept returns of any cannabis or cannabis products that are refused by the intended recipient and must appropriately track the same.
E. A licensee shall ensure that the sales delivery record for each delivery is completed in the inventory tracking system by 11:59 p.m. that same day in accordance with the requirements section 4.1.2.
4.2.5Transportation of Cannabis and Cannabis Products. Cannabis and cannabis products, including samples, must be transported subject to the following requirements:
A. Cannabis or cannabis products may be transported only from one licensed cannabis establishment to another licensed cannabis establishment, or from a cannabis store licensee to an adult use consumer pursuant to a request for delivery of a sales order;
B. Samples of cannabis, cannabis concentrate and cannabis products for mandatory testing must be transported by the licensee that collected the samples for mandatory testing from the site where the samples were collected to the cannabis testing facility(ies) performing the mandatory analyses, except that a cannabis testing facility may, at its discretion, offer a service to retrieve samples collected by self-samplers from the cannabis establishment where the samples were collected and transport those samples to the cannabis testing facility conducting the mandatory analyses;
C. Except as provided in Sections 4.2.2 and 4.2.3, all cannabis or cannabis products being transported must be included in, and accompanied by, a transport manifest or sales delivery manifest generated by the tracking system;
D. All cannabis or cannabis products, including sales orders for delivery to adult use consumers, being transported must be contained within an enclosed, locked area in the transport vehicle;
E. A cannabis products manufacturing facility, or as applicable to cannabis stores delivering sales orders, must provide adequate refrigeration for perishable cannabis product that will be consumed and shall utilize adequate storage facilities and transport methods. This shall include, but not be limited to, potentially hazardous food as defined under the State of Maine Food Code.
F. The licensee transporting the cannabis or cannabis products must:
(1) Keep cannabis or cannabis products in transit shielded from public view;
(2) Use a vehicle for transport that is:
(a) Insured at or above the legal requirements in Maine; and
(b) Equipped with, at a minimum, a functional, manufacturer-installed alarm system.
(3) Ensure that only IIC holders are in any vehicle, including trailers, used in transport.
G. All cannabis or cannabis products must be contained within wholesale containers in the transport vehicle, except that cannabis and cannabis products to be delivered by a cannabis store to adult use consumers shall be packaged in accordance with Section 9 of this Rule.
H. Samples of cannabis, cannabis concentrate and cannabis products for mandatory testing must be transported in appropriately labeled sample collection containers with tamper evident seals affixed.
I. An IIC holder transporting cannabis or cannabis products to another adult use establishment licensee must carry two copies of each transport manifest during the transportation of cannabis or cannabis products and must:
(1) Give one copy to the receiving licensee following the verification of the transport manifest and transfer of the cannabis or cannabis products; and
(2) Maintain a copy of the transport manifest that must be returned to the cannabis establishment for record-keeping purposes, except that a sample collector licensee will retain this copy of the transport manifest for the sample collector licensee's records and is not required to return this copy to the cannabis establishment from which the samples were collected;
J. A cannabis store employee transporting sales orders of cannabis or cannabis products to adult use consumers must carry one copy of the sales delivery manifest for each order transported in the delivery vehicle. If the receiving consumer is unable or unwilling to accept receipt of some or all of the delivery order, or the cannabis store employee declines to transfer the delivery order:
(1) The cannabis store employee shall note that the sales order, or a portion thereof, was retained on the sales delivery manifest, as well as the reason for retaining the sales order; and
(2) The cannabis store employee shall return, that same day, the cannabis and/or cannabis products, along with the sales delivery manifest, to the cannabis store.
K. In the event of unforeseen exigent circumstances, a sample collector licensee that needs to store samples of cannabis, cannabis concentrate or cannabis products for mandatory testing overnight must store those samples:
(1) Securely in a locked container or locked compartment in the locked vehicle;
(2) In a manner that maintains at all times the recommended temperature range; and
(3) The sample collector must provide contemporaneous written notice via e-mail to the Department's Compliance Division regarding the nature of the exigent circumstances, the amount of cannabis or cannabis products being stored, the location, the license and IIC number of the person in possession of the cannabis or cannabis products and the expected duration of the circumstances necessitating storage in a vehicle.
L. Any vehicle transporting cannabis or cannabis products, including a cannabis store licensee making deliveries to adult use consumers, must travel directly from the shipping licensee to the receiving licensee, or adult use consumers, for cannabis store licensees making deliveries, and the licensee or individual identification card holder transporting cannabis or cannabis products must not:
(1) Make any stops in between except:
(a) to the destination listed on a transport manifest; to accommodate meal and rest periods required by law, or refueling;
(b) in the case of an emergency, in which case the shipping licensee shall promptly report, or cause to be reported, the stop and the reasons for the stop to the Department and note the same on the transport manifest; or
(c) in the case of a cannabis store licensee making deliveries of sales orders to multiple adult use consumers, to the private residences of each adult use consumer to whom the licensee is delivering sales orders;
(2) Remove the cannabis or cannabis products from the vehicle until arrival at the destination;
(3) Transfer cannabis or cannabis products to, nor store cannabis or cannabis products in any unlicensed premises; or
(4) Travel with any persons not listed on the transport manifest.
M. A licensee or individual identification card holder must make a vehicle used for the transport of cannabis or cannabis products immediately available for inspection upon request of the Department.
N. Upon law enforcement stop or other contact all persons in the vehicle shall identify themselves with their Department-issued individual identification card and all transport manifests.
4.2.6Receiving Party.
A. The cannabis establishment receiving cannabis or cannabis products pursuant to an authorized transfer must:
(1) Verify the condition and quantity of cannabis or cannabis products included in the transport manifest;
(2) Record in the tracking system and any other relevant business records any damaged or refused cannabis or cannabis products, or other discrepancies found between the cannabis or cannabis products delivered and the cannabis or cannabis products stated on the transport manifest;
(3) Enter the received cannabis or cannabis products in the tracking system of the receiving party prior to end of business on the day that they are received; and
(4) Provide an authorized signature and individual identification card number of the person receiving the authorized transport on the transport manifest belonging to the party transporting the cannabis or cannabis products, which must be kept by the transporting party for their records.
B. The cannabis store employee transporting sales orders of cannabis or cannabis products to adult use consumers must indicate on the sales delivery manifest whether the sales order, or a portion thereof, was retained by the cannabis store employee and the reason the order was rejected by, or otherwise not delivered to, the receiving consumer.
4.3 - Authorized Transfers

A licensee may make authorized transfers, within its licensed authority, of cannabis seeds, seedlings, immature plants, cannabis, cannabis concentrate, and cannabis products; as well as samples of the same, including trades samples, employee samples, and samples for mandatory testing or other testing; in accordance with the tracking system requirements of 28-B MRS, this Rule and all other applicable laws and rules

18-691 C.M.R. ch. 1, § 4