Summary of Final Plans of Record

All applicants must complete the following forms:

The Site, Security and Operations Plan requires a detailed design diagram for each location that contains the following components: 

  • Fire and smoke detection systems [Minn. Admin. R. 9810.1102 subp. 3(A)]
  • Carbon monoxide detection systems [Minn. Admin. R. 9810.1102 subp. 3(B)]
  • Enclosed toilet facilities [Minn. Admin. R. 9810.1100 subp. 6(A)]
  • Product storage areas [Minn. Admin. R. 9810.1104]
  • Limited-access areas and restricted-access areas [Minn. Stat. Sec. 342.24 subd. 3]
  • Ventilation and filtration systems [Minn. Stat. Sec. 342.24 subd. 4]
  • Planned square feet of space for licensed activities [Minn. Stat. Sec. 342.14 subd. 1(a)(5)]
  • Planned square feet or acres of space for cultivation (if applicable) [Minn. Stat. Sec. 342.14 subd. 1(a)(5)]
  • Planned square feet of space for manufacturing (if applicable) [Minn. Admin. R. 9810.2102 subp. 2(2)]
  • Planned square feet or acres of plant canopy (if applicable) [Minn. Stat. Sec. 342.14 subd. 1(a)(5)]
  • Planned square feet or acres of space for retail sales (if applicable) [Minn. Stat. Sec. 342.14 subd. 1(a)(5)]
  • Manufacturing equipment (if applicable) [Minn. Admin. R. 9810.2102 subp. 2(2)]
  • Separate manufacturing equipment used for product received from unlicensed individuals (if applicable) [Minn. Stat. Sec. 342.26 subp. 3(e)]
  • All points of ingress and egress [Minn. Stat. Sec. 342.14 subd. 1(a)(6)]
  • Windows and doors, with identification of locks [Minn. Admin. R. 9810.1500 subp. 12]
  • Alarm systems, including control panels and alarm sensors [Minn. Admin. R. 9810.1500 subp. 8]
  • Video surveillance cameras and storage devices, including identification of video area coverage [Minn. Admin. R. 9810.1500 subp. 9]
  • Lighting [Minn. Admin. R. 9810.1500 subp. 10]
  • Lock keypads [Minn. Admin. R. 9810.1500 subp. 12]
  • Fencing or locked gates (if applicable) [Minn. Admin. R. 9810.1500 subp. 14]

 

Summary of Questions Contained in Each Plan

Section 4 – Site requirements

All License Types (except 1 question is Manufacturing Only)

  • 15 questions
  • One question is for manufacturing only- (floors, walls and ceilings)
  • One question on pest management, answer would vary based on license type
  • Description required for ventilation filtration, temp, humidity control, regardless of license type. This cannot be answered until the system is designed. I can refer you to someone who can do this for under $1000.
  • Water, sewage and electricity answers cannot be answered until facility is secured.
  • Summary – 11 of the 15 questions can be completed now, without facility design/acquisition

 

Section 4A: Site Requirements for Businesses with Extraction and Concentration Endorsements and/or Production of Customer (Consumer) Products Endorsements

Manufacturing Only

  • 7 questions at the top, 5 of which can be done without facility design/acquisition, 1 that requires knowing equipment and utensils. The 7th question can be answered using the information that was used in the preliminary application (methods of extraction)
  • 19 other questions pertain to specific chemicals and products (5 questions per catalyst/chemical, 14 question per product), which the applicant can easily answer without support. One question at the bottom is about potential product contaminants, which might require support, as well as the Storage/Distribution question).
  • Summary- 7 questions can be completed now, without facility design/acquisition
  • The applicant will need to know products that will be produced, vendors from which ingredients will be obtained, product shelf life

 

Section 4B: Site Requirements for Businesses with Cultivation Endorsements

Cultivation Only

  • 5 simple questions per product applied (pesticide, nutrient, growth additives, etc.) Most growers will have at least a dozen products.
  • Summary: Besides answering simple questions about inputs, there are 4 questions that can be complete now related to sanitation, methods of cultivation, grow schedule, drying/curing/storage.

 

Section 4C: Site Requirements for Businesses with Retail Operations Endorsements

Retail Only

  • 4 questions – vent/filtration/temp/humidity (repeat of same question in general licensing section), POS description, inventory tracking and preventing access to people under 21.
  • Summary: The first question requires facility design, the second requires choosing a POS provider. The other 2 can be done now. 

 

Section 5: Security Plan

All License Types

  • Requires a separate set of answers for each facility, but the answers can be about the same in most cases
  • 32 questions total
  • One question requires naming an MN-licensed security company if you are getting one (most people will)
  • Summary – 31 of the 32 questions can be completed now, without facility design/acquisition.

 

Section 2: Inventory Control, Storage, and Diversion Prevention SOP

All License Types

  • 9 questions
  • Each answer is a procedure of its own
  • The same answer can be used for multiple endorsements in many cases
  • Summary: All 9 questions can be answered now, without facility design/acquisition.

 

Section 2A: Inventory Control, Storage, and Diversion Prevention for Retail Operations Endorsement

Retail only

  • 9 questions/procedures related to handling consumer access and transactions
  • Summary: All 9 questions can be answered now, without facility design/acquisition.

 

Section 2: Quality Assurance SOP

All License Types

  • 13 questions/procedures related to waste management, complaints and recalls
  • 1 of the 13 is about annual employee training, which can be answered with a simple statement to outsource it.
  • Summary: All 13 questions can be answered now, without facility design/acquisition.

 

Section 2A: Quality Assurance for Retail Operations

Retail Only

  • 2 questions about POS integration and age verification. The second one is a procedure.
  • Summary: Both questions can be answered now, without facility design/acquisition.

 

Section 2: Accounting and Tax Compliance

All License Types

  • 2 questions/procedures
  • Summary: Both can be answered now, without facility design/acquisition.

 

Master Summary

Total number of questions-

  • For manufacturers (no other endorsements) that we can complete without knowing your products, methods or ingredients  –  75
  • For cultivators (no other endorsements) that we can complete without knowing your pesticides, nutrients and other inputs – 70
  • For retailers (no other endorsements) that we can complete without knowing your POS system – 79
  • For microbusinesses with all 3 endorsements – 92, assuming all in the same facility

 

All of the Individual Questions Contained in the Final Plans of Record Are Listed Here

Section 4: Site Requirements If you have multiple locations, provide responses for each facility in all prompts within this section. Required fields are marked with an asterisk (*)

  • Describe the facility’s access to electrical services.*
  • Describe the facility’s access to water services.*
  • Describe the facility’s access to sewer services.*
  • Describe the facility’s ventilation and filtration system, including humidity and temperature controls.*
  • Describe the facility’s pest prevention and control measures, including integrated pest management principles, pesticides, traps, and physical barriers such as screening.*
  • Describe the facility’s floors, walls, and ceilings, including their ability to be easily cleaned and maintained in good repair.*
  • Describe the facility’s sanitation facilities. These must include hand-washing facilities in all cultivation or manufacturing areas where unpackaged product is handled, that supply hot and cold water, hand soap, and sanitary drying functions (such as electronic drying devices, single-use towels, or sanitary towel service).*
  • Describe the facility’s product storage area(s), including methods of ensuring that regulated products are free from contamination.*
  • Describe the facility’s product storage area(s), including methods of ensuring no mixing between batch numbers or different types of regulated products.*
  • Describe the facility’s product storage area(s), including methods of storing products at least six inches above the ground.*
  • Describe how the business will record and maintain verification that cannabis workers are following the storage procedures.*
  • Describe how the business will record when the storage area(s) was accessed and by whom, and which regulated products were added or removed from the storage area.*
  • Describe how the business will maintain these storage area records and make them available for inspection.*
  • Provide a description of the signage the business will post at all points of access to areas containing cannabis.*
  • Describe the facility’s cannabis waste storage area(s).*
  • Describe the facility’s sanitation facilities. These must include hand-washing facilities in all cultivation or manufacturing areas where unpackaged product is handled, that supply hot and cold water, hand soap, and sanitary drying functions (such as electronic drying devices, single-use towels, or sanitary towel service).*
  • Describe the facility’s chemical control program, including practices for storing toxic cleaning compounds, sanitizing agents, and other potentially harmful chemicals.*
  • Describe the facility’s plans for recycling supplies, inputs, ingredients, and work-in-progress (rework) for manufacturing, including water and packaging materials.*
  • Describe the facility’s methods to secure inputs and ingredients, and in-process products.*
  • Describe the equipment you will use to manufacture consumable items including tables or countertops, mixing bowls, utensils, food storage units, etc.*
  • Describe the surfaces used to manufacture consumable items, which must be corrosion-resistant and made of materials approved for food contact.*
  • Identify all methods of extraction, concentration, and/or conversion to create artificially derived cannabinoids intended to take place at the facility.*
  • List all volatile chemicals and/or catalysts that will be involved in extraction, concentration, and/or conversion (for artificially derived cannabinoids) activities.
    • Product Name*
    • Active Ingredient (if applicable)*
    • Product Type/Use (catalyst, solvent, etc.)*
    • Vendor Name*
    • Vendor Address/Phone*
    • Add another chemical/catalyst?*
  • Product Name*
  • Product Description*
  • Ingredients*
  • Flavoring Ingredients*
  • Ingredient Brand/Product Name(s)*
  • Ingredient Vendor Name(s), Address(es), and Phone Number(s)*
  • Packaging Used*
  • Intended Use*
  • Intended Consumers*
  • Shelf Life*
  • Labeling Instructions Related to Safety.*
  • Storage and Distribution*
  • Planned Annual Volume*
  • Add another product?*
  • Identify the hazards (biological, chemical, and physical) and controls for each product and process.*
  • Are you going to be manufacturing cannabis products while also planning to receive product from unlicensed individuals to process for those individuals?*
  • Describe the facility’s sanitation facilities. These must include hand-washing facilities in all cultivation or manufacturing areas where unpackaged product is handled, that supply hot and cold water, hand soap, and sanitary drying functions (such as electronic drying devices, single-use towels, or sanitary towel service).*
  • Product Name*
  • Active Ingredient (if applicable)*
  • Product Type (pesticide, fertilizer, nutrients, etc.)*
  • Vendor Name*
  • Vendor Address/Phone*
  • Add another product intended for use during cultivation?*
  • Add another product intended for use during cultivation?*
  • Describe the method of cultivation (hydroponic, aeroponic, in-ground, etc.).*
  • Describe the approximate growing schedules, including number of harvests and number of plants intended per year, and how the facility will record the actual dates such activity occurs including seeding planting, and harvesting dates.*
  • Describe the methods for drying, curing, and storing harvested cannabis.*
  • Describe the point-of-sale (POS) system that will be used, which must be validated and integrated with the statewide tracking system.*
  • Describe the facility’s ventilation and filtration system, including humidity and temperature controls, and ability to control odor.*
  • Describe how the business will track all adult-use cannabis and medical inventory management and sales separately.*
  • Describe the procedures for ensuring the retail sale area is only accessed by individuals either 21 years or older or registered in the medical registry program.*

Section 5: Security Plan

If you have multiple locations, provide responses for each facility in all prompts within this section. Required fields are marked with an asterisk (*).

Secure Access Procedures and Related Equipment Describe the facility’s secure access procedures and related equipment.

  • Describe any commercial-grade locks.* [Minn. Admin. R. 9810.1500 subp. 12]
  • Describe any lockable product storage areas and restricted-access areas.* [Minn. Admin. R. 9810.1104 subp. 13]
  • Describe any lockable entrance and exit doors and windows.* [Minn. Admin. R. 9810.1500 subp. 12]
  • All cannabis workers must have an employment identification badge (issued by the cannabis business) that implements a visual coding system indicating the activities the worker may perform and the areas the worker may access. Describe your plans for meeting this requirement.* [Minn. Admin. R. 9810.1500 subp. 6]
  • Describe the presence of electronic locks and keypads on all perimeter entry doors.* [Minn. Admin. R. 9810.1500 subp. 12]
  • Describe your means for preventing access to limited-access areas by individuals under 21 years old.*
  • Describe the secure storage of electronic and paper customer and business records in a locked room.* [Minn. Admin. R. 9810.1500 subp. 7(c, d)]
  • Describe any fencing that might be used for the facility. [Minn. Admin. R. 9810.1500 subp. 14]

Alarm System [Minn. Admin. R. 9810.1500 subp. 8]

  • Describe how you’ll ensure your alarm system has an operational status of 24 hours per day, seven days per week.*
  • Describe how the facility’s alarm system will be monitored by a security company or an employee of the licensed business.*
  • Describe the facility’s alarm system’s capability of immediately alerting local law enforcement and the business for any unauthorized breaches or a system failure.*
  • Describe the presence of a backup system that activates immediately and automatically in the case of electricity loss.*
  • Describe the plan for repairing alarm system failures within 72 hours of system failure.*
  • Describe the alarm system’s audible alarm capable of being heard within a 100-foot radius from all facility entrances and exits.*
  • Describe the ability of the audible alarm to be remotely disabled by authorized personnel.*

Security Personnel [Minn. Admin. R. 9810.1500 subp. 16]

  • Describe any security personnel that may be utilized, including acknowledging that they must be at least 21 years of age.*
  • If employing a security company, ensure they are licensed by the State of Minnesota. Provide information on the security company, (if applicable).

Testing and Inspection of Security Measures [Minn. Admin. R. 9810.1500 subp. 3]

  • Describe periodic testing and inspection of security measures (that must occur at least every 90 days).*

Video Surveillance System [Minn. Admin. R. 9810.1500 subp. 9]

  • Describe how you’ll ensure your video surveillance system has an operational status of 24 hours per day, seven days per week.*
  • Describe how cameras will allow for clear recording of activity within a radius of at least 20 feet from all entrances and exits.*
  • Describe how cameras will allow for the clear identification of all individuals entering and exiting the facility, all limited-access areas, and all restricted-access areas.*
  • Describe how cameras will allow for the viewing of all areas where cannabis is stored, packaged and labeled, prepared for transfer, prepared for sale, sold, where samples are collected, or where cannabis waste is destroyed.*
  • Describe the facility’s video surveillance system’s ability to produce video files that are stored in a secure place for at least 90 days and saved in an industry standard file format that can be played without the purchase of specialized software or equipment.*
  • Describe how the cameras are capable of recording at a minimum of 15 frames per second and with a minimum resolution of 720p.*
  • Describe the cameras’ ability to display an accurate date and time stamp on all recordings that do not obscure the image.*
  • Describe how the cameras will be permanently affixed to interior and exterior walls.*
  • Describe the facility’s video surveillance system’s capability to record for an additional eight hours during a power outage.*

Lighting [Minn. Admin. R. 9810.1500 subp. 10-11]

  • Describe the lighting for both the interior and exterior of the facility.*
  • Describe how the lighting will ensure that observers can see and cameras can clearly record activity within at least 20 feet of all entrances and exits.*
  • Describe how the lighting will not disturb surrounding businesses or neighbors.*
  • Describe how deficient or inoperable lighting will be repaired within 48 hours of detection.*
  • Will motion sensors be used with lighting? If so, describe.*

Section 2: Quality Assurance SOP

  • Describe specific procedures for how your business will ensure the safe and sanitary storage of regulated products in a controlled environment that is used only for the storage of regulated products.*
  • Describe specific procedures for how your business will manage proper segregation and disposal of a regulated product that is damaged, contaminated, or expired.*
  • Describe specific procedures for how your business will manage proper segregation and disposal of product that is the subject of a recall.*
  • Describe the specific product recall response procedures your business will take if required, in response to a manufacturer or office-ordered recall.*
  • Describe specific procedures for how your business will ensure consistent and accurate use of the statewide tracking system for inventory management and discrepancies, sales data, waste tracking, and theft/loss reporting.*
  • Describe specific procedures for how your business will manage cannabis waste storage.*
  • Describe specific procedures for how your business will manage cannabis waste disposal.*
  • Describe specific procedures for how your business will manage cannabis waste tracking and entry into the statewide tracking system.*
  • Describe your annual training plan for management and employees.*
  • Describe the specific procedures your business will use to manage the receipt of customer complaints.*
  • Describe the specific procedures your business will use to manage the documentation of complaints received.*
  • Describe the specific procedures your business will use to manage the investigation and resolution of complaints.*
  • Describe the specific procedures your business will use to manage the protocol for tracking recurring issues, notifying regulatory authorities if required, and implementing corrective actions to prevent future occurrences.*

Section 2A: Quality Assurance for Retail Operations

  • Describe the specific point-of-sale system your business will use to integrate with the statewide tracking system during retail operations.*
  • Describe the specific procedures your business will use to confirm an individual is at least 21 years of age before initiating a sale, if not a medical patient.* 

 

Section 2: Inventory Control, Storage, and Diversion Prevention SOP

  • Describe specific procedures for how your business will manage stock/inventory of regulated products.*
  • Describe specific procedures for how your business will securely store and control access to cannabis plants, product, and waste.*
  • Describe specific procedures for how your business will ensure the accurate and timely entry of data into the statewide tracking system.*
  • Describe specific procedures for how your business will ensure proper designation of authorized personnel for issuing employee identification badges.*
  • Describe specific procedures for how your business will ensure proper designation of authorized personnel for protocols for employee access to restricted access areas.*
  • Describe specific procedures for how your business will ensure proper designation of authorized personnel for protocols for employee access to private and non-public computer data.*
  • Describe specific procedures for how your business will maintain records of an individual accessing a product storage area, including the date and time of access, the name of the individual, and any regulated products that were added to or removed from the product storage area.*
  • Describe specific procedures for how your business will manage inventory audits.*
  • Describe specific procedures for how your business will manage inventory audits and any necessary reporting after an incident of theft or another security breach.*

Section 2: Accounting and Tax Compliance SOP

  • Describe specific procedures for how your business will adhere to GAAP (Generally Acceptable Accounting Principles) standards.*
  • Describe specific procedures for how your business will ensure the timely filing of taxes.*