Rule 1301:18-3-14 | Cannabis Entity Record Keeping.
(A) Each licensee shall maintain all books, records, policies, procedures, and documentation evidencing the daily operations and business transactions conducted at the licensed premises.
(1) Unless otherwise approved by the division of cannabis control, all records must be maintained upon the licensed premises.
(2) All records shall be maintained in an auditable format and immediately available for inspection and duplication upon the division of cannabis control's request.
(3) A licensee may use an electronic system for storage and retrieval of records so long as the system meets the following:
(a) Guarantees the confidentiality of the information stored in the system;
(b) Is capable of providing safeguards against erasures and unauthorized changes; in data after the information has been entered and verified by the licensee;
(c) Can implement an administrative hold for investigative or inspection purposes; and
(d) Is capable of being reconstructed in the event of a computer malfunction or accident resulting in the destruction of the data bank.
(4) Any loss of electronically maintained records shall not mitigate any violations of this rule.
(B) Documentation maintained within the normal course of business and as required by paragraph (A) of this rule shall be retained for the current calendar year, and the preceding calendar year, and include the following:
(1) Any and all written policies and procedures utilized at the licensed premises including those mandated by division 1301:18 of the Administrative Code, including:
(a) Standard operating procedures;
(b) Cleaning and sanitization procedures of the licensed premises;
(c) In accordance with rule 1301:18-3-12 of the Administrative Code, waste disposal records;
(d) Inventory records;
(e) Security and surveillance records;
(f) Production records;
(g) Packaging and labeling records;
(h) Records of all test samples sent to a licensed testing laboratory and the associated certificate of analysis for each batch or lot;
(i) In accordance with rule 1301:18-3-13 of the Administrative Code, transportation records;
(j) In accordance with rule 1301:18-9-04 of the Administrative Code, product alerts and recall procedures; and
(k) In accordance with rule 1301:18-3-11 of the Administrative Code, visitor logs.
(2) If applicable:
(a) Dispensing records, as required by Chapter 1301:18-8 of the Administrative Code;
(b) Records of any theft, loss, or other unaccountability of any cannabis as required by rule 1301:18-9-02 of the Administrative Code;
(c) All complaints received pertaining to the quality or efficacy of the licensee's cannabis cultivated, processed, tested, or dispensed at the licensed premises; and
(d) All complaints received alleging the cannabis cultivated, processed, tested, or dispensed at the licensed premises, directly caused a negative health or adverse event resulting in serious bodily harm to the complainant, as required by rule 1301:18-9-02 of the Administrative Code.
(3) Business records, including:
(a) Licensee's ownership list and capitalization table;
(b) An organizational chart identifying all owners, officers, and board members of the licensee;
(c) For each owner, officer, and board member:
(i) Full legal name;
(ii) Mailing address;
(iii) Date of birth, evidencing the individual is at least twenty-one years of age or older; and
(iv) The individual's role with the licensee.
(d) A list of any person with a direct or indirect financial interest in, the licensee;
(e) A list of any person with direct or indirect control over, the licensee;
(i) This applies to any current or future right to control.
(f) A list of any of the following regardless of whether they meet the definition of ownership, financial interest, or control:
Option agreement, debt conversion, or other agreement which creates a current or future right in equity in the licensee, regardless of whether such modification is contingent upon certain acts or omissions.
(g) A copy of any executed merger, sale, option to purchase, letter of intent, consulting, management, support, administrative services, or other similar agreements between applicant and any other person or that person's affiliates; and
(h) Any other documentation evidencing the ownership structure, financial interest, or control of the licensee.
(4) All financial records reasonably related to operations, including but not limited to:
(a) Records that clearly reflect all financial transactions and the financial condition of the business, including contracts for services performed or received that relate to the licensee;
(b) Purchase invoices, bills of lading, manifests, sales records, copies of bills of sale, and any supporting documents, including the items and/or services purchased, from whom the items were purchased, and the date of purchase;
(c) Accounting and tax records related to the licensee and all investors in the licensee;
(d) Bank statements;
(e) Cancelled checks; and
(f) Third-party vendor contracts.
(5) All advertising records related to advertising, promotional, or other marketing materials;
(6) Employee records, including:
(a) Employee hiring records, including the applicable background evaluation conducted by the licensee pursuant to paragraph (B)(1) of rule 1301:18-3-09 of the Administrative Code;
(b) An employee list of all current and former employees, outlining the following information:
(i) Full legal name, address, phone number, and electronic mail address;
(ii) Badge certificate number pursuant to rule 1301:18-3-09 of the Administrative Code;
(iii) Access designation credentials;
(iv) Date of hire; and
(v) If applicable:
(a) Date and rationale for separation; and
(b) History of disciplinary actions.
(c) Salary and wages paid to each employee, and any executive compensation, bonus, benefit, or item of value paid to any individual affiliated with any cannabis entity, including members of a non-profit corporation, if any; and
(d) Training and educational records, pursuant to rule 1301:18-3-10 of the Administrative Code.
Last updated October 9, 2025 at 7:35 AM
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