N.Y. Comp. Codes R. & Regs. tit. 9 § 133.5

Current through Register Vol. 46, No. 25, June 18, 2024

Section 133.5 - [Effective until 4/2/2024] Corrective Action Plan

(a) Any violations or instances of noncompliance identified whether by an inspection, investigation or otherwise, shall be documented in a statement of findings by the office.

(b) A licensee shall respond to a statement of findings by submitting a written corrective action plan in a format acceptable to the office within fifteen (15) calendar days of the date of the statement of findings. A corrective action plan shall address all violations and areas of noncompliance cited in the statement of findings and shall contain:

(1) an assessment and analysis of the violation and circumstances relating to the noncompliance including, but not limited to:

(i) restating facts and circumstances surrounding the events in the statement of findings as the licensee understands them;

(ii) an analysis of any remedies that were immediately put into place to address the situation;

(iii) an attestation that there was no intention to violate any laws or purposefully noncomply; and

(iv) any other information the licensee would like to share regarding the violation and circumstances relating to the noncompliance.

(2) a procedure addressing how the licensee shall correct each area of noncompliance;

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

(4) the proposed date by which each area of noncompliance shall be corrected; and

(5) any other information as determined by the office.

(c) Notwithstanding the foregoing, any finding which the office determines jeopardizes the immediate health, safety, or well-being of the public as referenced in section 133.4 of this Part, Categories 1-3 shall require immediate corrective action. The licensee shall submit a corrective action plan to the office within twenty-four (24) hours of notification by the office of such deficiency and violation.

(d) If the office determines that the corrective action plan needs modification, the licensee shall modify the plan until it is approved by the office.

(e) Upon written approval of the office, the licensee shall implement the corrective action plan.

(f) Failure by the licensee to comply with these requirements may result in suspension, cancellation, revocation, a civil penalty or permanent debarment from vending, contracting or engaging in a business transaction with any person licensed under the Cannabis Law.

(g) Nothing herein shall limit the application of any other remedies, enforcement actions or sanctions applicable pursuant to the Cannabis Law, this Part, or any other laws, rules or regulations.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 133.5

Adopted New York State Register April 26, 2023/Volume XLV, Issue 17, eff. 4/6/2023 (Emergency)

Amended New York State Register August 16, 2023/Volume XLV, Issue 33, eff. 8/4/2023, exp. 12/4/2023 (Emergency)

Adopted New York State Register December 20, 2023/Volume XLV, Issue 51, eff. 12/4/2023, exp. 4/2/2024 (Emergency)