N.Y. Comp. Codes R. & Regs. tit. 9 § 133.3

Current through Register Vol. 46, No. 53, December 31, 2024

Section 133.3 - [Effective until 1/7/2025] Site Visits, Compliance Inspections and Enforcement Investigations

(a) The office, with or without notice to the licensee, may conduct site visits, inspections or investigations of the licensee and any premises licensed, registered, or permitted by the board, as applicable, and on any affiliated vehicles owned, leased or utilized by the licensee and all records, including, but not limited to, financial statements and corporate documents, samples, photographs, videos, recordings, papers, books, documents, records, payrolls, accounts, correspondence, electronic communications and information, devices, supplies, and any other information to examine. Such site visit, inspection or investigation may include interviews of individuals, including, but not limited to, employees, contractors, managers, supervisors or any other persons whom the office has determined are involved in the financing, management, or operation of a licensee or subpoenas to compel the production of papers, books, documents, records, payrolls, accounts, correspondence, electronic communications, devices, supplies, and other tangible things. Submission of an application for a license, registration, or permit, or issuance of a license, registration, or permit, constitutes consent for an inspection, site visit, or investigation. Such premises shall be subject to inspection, site visit, or investigation by the office, by the duly authorized representatives of the office, by any peace officer acting pursuant to their special duties, by a police officer when requested by the office to support office activities. authorized by the Cannabis Law and this Part. After a license, registration, or permit is issued, it is the continuing obligation of the licensee to grant access to these records, locations, and individuals.

(b) A licensee shall make themselves or an agent thereof available and present for any site visit, inspection, or investigation required by the office. A site visit, inspection or investigation may include but is not limited to inspecting and ensuring that a licensee complies with all requirements of the Cannabis Law and all related regulations.

(c) During a site visit, inspection, investigation, or at any time, the office may, or direct a licensee to, send any cannabis, cannabis samples, cannabis products, cannabinoid hemp, cannabinoid hemp samples, or cannabinoid hemp products, or any products marketed and labeled as such, to the state reference laboratory, or, to a permitted cannabis laboratory pursuant to Part 130 of this Title, for testing of contaminants, cannabinoid profile or other testing including, but not limited to, filth, foreign material, and heavy metals, on cannabis or cannabinoid hemp by the office.

(d) A site visit, inspection, or investigation may be made prior to the issuance of a permit, registration, license, or the renewal of a permit, registration, or license. Additional site visits, inspections, or investigations may be made at any point the office deems it necessary for the enforcement of applicable laws, rules or regulation.

(e) The failure of a licensee to make themselves available for a site visit, inspection, or investigation, make available any documents and information requested by the office, allow full access to a licensed premises, and fully cooperate with a site visit, inspection, or investigation of the licensed, registered, or permitted premises by a duly authorized representative of the office, by any peace officer acting pursuant to their special duties, or by a police officer when requested by the office to support office activities authorized by the Cannabis Law and this Part, may result in immediate summary suspension of the license, registration, or permit; or other penalties.

(f) The Executive Director, or their designated delegate, may at any time and without prior notice, authorize any office employee or other agent to pose as a customer and purchase any cannabis, cannabis products, cannabinoid hemp, cannabinoid hemp products, or any products marketed and labeled as such, from any licensee for any investigative purposes including, but not limited to, testing for compliance with laboratory testing standards, product identification, and/or product packaging and labeling checks.

(1) The authorized employee or agent shall record and promptly submit to the office documentation of the purchase, including the date, time and place of purchase, type and amount of product purchased, receipt of purchase, and any other information or records as required by the office.

(2) All products purchased shall be securely stored during transport.

(3) The authorized employee or agent shall immediately document and report any discovered contamination or spoilage of products under this subdivision during transport or storage to the office. The office may authorize the disposal of the same.

(4) The office shall maintain records of or relating to the purchase and documentation of the chain of custody of the purchased products.

(5) The licensee shall be notified of any investigative results determined to be noncompliant in a manner prescribed in section 133.5 of this Part. The results may be used by the office to take action on the permit, registration, or license in accordance with this Part and assess fines or other civil penalties, including but not limited to stop work orders, quarantines, or recalls, pursuant to section 133.4 of this Part.

(g) Results of site visits, inspections, or investigations conducted under this section shall be retained as part of the records for the permittee or licensee for a period of five years.

(h) In its discretion, the office may conduct further evaluation of the site visits, inspections, investigations, and any records or results therefrom, at any time for verification, tracking, or for other purposes related to public health or safety.

(i) During a site visit, inspection, or investigation, any items containing cannabis, cannabis samples, cannabis products, cannabinoid hemp, cannabinoid hemp samples, or cannabinoid hemp products, or any products marketed and labeled as such which are in violation of the Cannabis Law, or its applicable regulations, may be seized and a stop order issued provided that:

(1) a licensee shall be notified of the seizure;

(2) a signed receipt shall be issued which states the date and time of the inspection, the items seized, their approximate weight, quantity, and physical description;

(3) the office shall maintain documentation of the chain of custody of seized items; and

(4) upon determination that the detention of the items seized are no longer necessary to ensure compliance with applicable regulations, the licensee shall be notified of that determination and the items may be returned to the licensee. The licensee shall acknowledge, in writing, receipt of the seized items at the time of such return.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 133.3

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)

Adopted New York State Register September 25, 2024/Volume XLVI, Issue 39, eff. 9/10/2024, exp. 1/7/2025 (Emergency)