The Compliance Unit of the Office of Cannabis Management (OCM) ensures licensees, permittees, and registrants have the tools and support they need to stay compliant and thrive in the regulated cannabis industry. 

The Compliance Unit conducts inspections and audits to monitor licensees for areas of noncompliance. Unless there is a serious or immediate risk, licensees are generally given the chance to correct issues and remain in good standing—supporting both public safety and the stability of their businesses. Compliance monitoring is essential to protect the health, safety, and welfare of consumers, respond to complaints, and investigate law violations. 

Compliance 

The Compliance Unit manages licensee-related matters such as inspections, quarantines, and recalls. It also answers questions about interpreting regulations and provides guidance on operational issues—like what types of products can be produced, which ingredients may be used, and training required for employees of a licensee. Stay on this page to learn more.  

Licensing 

The Licensing Unit reviews and provides updates on license applications, including new applications, amendments, and renewals. It also addresses ownership questions, requests to cease licensed activity, and license surrenders.  
 

LEARN MORE ABOUT LICENSING

Authorization for Inspections

By signing and submitting a license, registration, or permit application, licensees provide voluntary consent for the Office to conduct inspections, site visits, or investigations (NYCRR §133.3(a)). Refusing entry or failing to cooperate during an inspection may result in a Stop Work Order or Summary Suspension Order (NYCRR §133.6(a)(5)–(6)). 

Inspections may include: 

• On-site visits to licensed locations (inspectors must be granted access to all areas — NYCRR §133.3(e))
• Desk audits
• Interviews with employees, contractors, managers, supervisors, or others involved in financing, management, or operations
• Requests or subpoenas for records, books, payrolls, accounts, electronic communications, and other business materials 

When Will Licensees Be Inspected?

Inspections (on-site or desk audits) may occur at any time during the licensing cycle or before a final license is issued. On-site routine compliance inspections will generally be unannounced. 

What Will Be Inspected?

Inspectors may review a wide range of requirements, including: 

• Facility sanitation and equipment maintenance
• Good Manufacturing Practices (GMP) production standards
• Use of ingredients and solvents
• Advertising and signage
• Product packaging and labeling
• Inventory tracking completeness
• Maintenance of required recordkeeping
• Operations consistent with licensure (i.e., cultivation methods, canopy limits, authorized activities and locations)
• Security and access controls

What Happens If Deficiencies Are Found?

If one or more deficiencies are found during an on-site or desk audit inspection, the Office will issue a Statement of Findings (SOF). The licensee must then provide a written Corrective Action Plan in response.