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

Current through Register Vol. 46, No. 43, October 23, 2024

Section 133.5 - [Effective until 1/7/2025] Corrective Action Plan

(a) Any violations or instances of noncompliance by a licensee identified whether by a compliance site visit, compliance inspection, compliance investigation or other compliance related action, shall be documented in a statement of findings by the office. This section does not apply to any site visits, inspections, or investigations conducted by the enforcement division or any other unit.

(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 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 non-comply; 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 non-compliance;

(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 non-compliance 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) Upon written approval of the office, the licensee shall immediately implement each section of the corrective action plan as approved by the office. 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) Nothing in this section shall limit the office from determining at any time that that there is no appropriate cure or corrective action that can be taken for the licensee's violation(s), and that such violations shall be grounds for suspension, cancellation, revocation, or debarment of a license, registration, or permit, and denial of renewal, change, or amendment of licenses, registrations, or permits.

(f) Failure by the licensee to complete a corrective action plan for each separate violation that fully resolves that violation in a the time frame prescribed by the office in the statement of findings, responses to corrective action plans, or other correspondence from the office; failure by the licensee to fully implement each corrective action plan immediately upon approval by the office, and in accordance with that approval and time frame prescribed by the office; and failure to comply with any these requirements in this section, will be deemed separate violations of this section and may result in suspension, cancellation, revocation, a civil penalty, a stop work order, permanent debarment from vending, contracting or engaging in a business transaction with any person licensed under the Cannabis Law, or any penalty permitted under the Cannabis Law.

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

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