1. (a) The ATC shall maintain all required records for a minimum of 4 years.
2. (b) The ATC shall maintain a current and accurate, hardcopy or electronic, record for each qualifying patient, designated caregiver, and visiting qualifying patient that has received services from the ATC.

3. (c) At a minimum, qualifying patient, designated caregiver, and visiting qualifying patient records shall contain the following:

   1. (1) Identification data, including:

      1. a. The qualifying patient, designated caregiver, and visiting qualifying patient’s name, date of birth, and registry identification number;
      2. b. The name, address, registry identification number, and contact information for the qualifying patient’s designated caregiver, if applicable; and
      3. c. The name, address, and telephone number of the qualifying patient’s certifying medical provider, if provided by the qualifying patient or designated caregiver;

   2. (2) Dispensing documentation for each dispensing transaction, tracked by using the qualifying patient, designated caregiver, or visiting qualifying patient’s registry identification number, to include:

      1. a. The date, amount of cannabis or CIP dispensed, and amount charged;
      2. b. The form of cannabis or CIP dispensed;
      3. c. The strain of cannabis dispensed; and
      4. d. Whether the cannabis was dispensed to the qualifying patient or the designated caregiver;
   3. (3) For qualifying patients who are willing to provide it, the ATC shall document, by the qualifying patient’s registry identification number, any side effects and the effectiveness of the cannabis product used;
   4. (4) Documentation verifying the qualifying patient’s eligibility to purchase cannabis at a reduced cost, if applicable;
   5. (5) Documentation whether an initial intake consultation was conducted with the qualifying patient, designated caregiver, or visiting qualifying patient;
   6. (6) Documentation that educational material was provided to the qualifying patient, designated caregiver, or visiting qualifying patient, on their first visit;
   7. (7) Documentation of any reportable incident involving the qualifying patient, designated caregiver, or visiting qualifying patient;
   8. (8) For qualifying patients, any provider instructions or recommendations, as described in He-C 402.20(f); and
   9. (9) For visiting qualifying patients, the documentation required by He-C 402.20(j)(2), (3), as applicable, and (5) as applicable.
4. (d) Records in (c) above shall be considered confidential and only be released in accordance with He-C 402.25 and other applicable law.
5. (e) Records in (c) above shall be safeguarded against loss or unauthorized use or access.
6. (f) Records shall be retained for 4 years after a qualifying patient is no longer registered as a qualifying patient with the department, except that when the qualifying patient is a minor, records shall be retained until the minor reaches the age of 19, but no less than 4 years after the qualifying patient is no longer registered as a qualifying patient with the department.
7. (g) The ATC shall arrange for storage of, and access to, records as required by (e) above in the event the ATC ceases operation.
8. (h) An ATC shall be permitted to disclose a qualifying patient or visiting qualifying patient’s dispensing history to another ATC for the purpose of determining compliance with the dispensing limit of 2 ounces of cannabis every 10 days, pursuant to He-C 402.20(e)(1). Such dispensing history shall be limited to the total amount of usable cannabis dispensed in the prior 10 days.
9. (i) The ATC shall maintain legible, current, and accurate records for inventory tracking as required by He-C 402.13.
10. (j) The ATC shall maintain legible, current, and accurate security records as required by He-C 402.24.

11. (k) The ATC shall maintain personnel records for each ATC agent that include:

    1. (1) The name, address, and contact information for the agent;
    2. (2) A photocopy of the employee’s identification badge;
    3. (3) The written notification from the department indicating that the agent has not been found guilty of a felony in this or any other state and can work for or be otherwise engaged by the ATC;
    4. (4) Documentation of verification of references, for employees and volunteers only;
    5. (5) The initial and annual affidavit signed by the agent stating that the agent has not been found guilty of a felony in this or any other state;
    6. (6) A statement signed by the agent that he or she has received the initial orientation and copies of and training on those elements required by He-C 402.31(l), for employees and volunteers only;

    7. (7) A statement signed annually by the employee and volunteer:

       1. a. That he or she has received annual training on the ATC policies for confidentiality, security, and safety;
       2. b. That he or she has received annual training on the ATC policies and procedures that specifically relate to the agent’s job function(s); and
       3. c. Which includes the date, time, and place of the training, the topics discussed, and the name and title of the trainer.
    8. (8) The resume or completed application for each employee and volunteer;
    9. (9) A detailed job description for each ATC employee and a volunteer agreement for each volunteer which shall include duties, authority, responsibilities, qualifications, supervision, and physical requirements, if any;
    10. (10) A record of any disciplinary actions;
    11. (11) A copy of a valid and current driver’s license if the employee transports cannabis, and proof of insurance if the transport is to be done in the employee’s own vehicle; and
    12. (12) Documentation of annual performance evaluations, for employees only.
12. (l) Personnel records shall be kept for a minimum of 4 years after the agent is no longer associated with the ATC.
13. (m) The ATC shall maintain documentation for all employees and volunteers of the dates and times worked.
14. (n) The ATC shall maintain documentation of any reportable incident as required by He-C 402.10(n) and (o).
15. (o) The ATC shall maintain access documentation in accordance with He-C 402.24(e).

16. (p) The ATC shall maintain business records, which shall include manual or computerized records of:

    1. (1) Assets and liabilities;
    2. (2) Monetary transactions;
    3. (3) Books of accounts, which shall include journals, ledgers, and supporting documents, agreements, checks, invoices, and vouchers; and
    4. (4) Salary and wages paid to each employee, stipend paid to each board member, and any executive compensation, bonus, benefit, or item of value paid to any individual affiliated with an ATC, including members of the non-profit corporation.
17. (q) The ATC shall be able to document verification of compliance with all rules contained in He C 402 capable of documentation.

Source. #10731, eff 11-25-14; ss by #12653, eff 11-1-18; ss by #13673-A, eff 6-26-23