LICENSEE NAME:
EVENT#:
CE ID#:
AUDITOR:
LICENSE#:
POC NAME:
Ref No.
Audit Item
Findings Audit Evidence/Observation
NCCR 7.010 (1)
Audit Questionnaire completed identifying cannabis facility current hours
of operations
NCCR 5.100(1)(j)
Nevada Secretary of State Business License
NCCR 5.127 (1)
Publicly Traded Establishment to provide most recent notice of Annual
Meeting.
NCCR 5.100 (1)(j)
If Establishment is a publicly traded company, it has provided a list of all
beneficial owners to the CCB.
NCCR 5.110(5)
Local Jurisdiction License (County, City)
NCCR 5.127 (2)(b)
Current list of owners, officers, and board members
NCCR 6.075(1)(a) (1-7)
Sample Establishment agent new hire packet to include, but not limited to,
job descriptions and required training.
NCCR 6.087(3) & (5)(a-d)
Current List of employees, contractors, and volunteers
NCCR 6.085 (1)(c)(4)
Electronic Monitoring System Specification Document that identifies the
capability to immediate automatic or electronic notification to alert local
law enforcement or unauthorized breach.
NCCR 6.085 (6)(a)
Semi-Annual audit of security measures report
NCCR 6.085 (7)
Security director or manager attestation /certificate of completion of
required training
NCCR 6.085 (1)(c)(3)
Security surveillance system screen print of all entry, exits, and storage
vaults.
NCCR 6.070 (6)
Copy of visitor logs for defined audit period
NCCR 6.072(1)
Active employees training records and/or attestation of all required
training received.
NCCR 6.075( 1-2)
Current Standard Operating Procedures identifying the date of the last
update
NCCR 10.015 (2)
Quality Control Unit personnel list.
NCCR 6.080(7)(d)(9) (I-V)
Destruction/waste logs for defined audit period
ROUTINE DESK AUDIT CHECKLIST
Sales Facility (Dispensary)
DOCUMENT REQUEST, MANAGEMENT & RETENTION
Page 1 of 15
Sample
NCCR 6.080(9)(1-V)
Copy of harvest, production and/or packaging logs (if applicable)
NCCR 4.035.1.(a)(5)
Tax Documentation for audit period -Excise Tax Returns and Sales Use
Tax Return
NCCR 4.035.1.(a)(5)
Taxation- Copy of active payment plan agreement (if applicable)
NCCR 6.075(1)(b)
Invoices and executed manifests for all transfers or acquisitions initiated
or received during audit period
NCCR 6.075(1)(b)
Sales Records: Third Party Inventory Management or Point of Sale System
Item sales summary report for defined audit period.
NCCR 6.135
Quarterly Activity Report timely submitted (30 days followings end of
calendar quarter)
NCCR 6.080 (8)(c)
Quarterly Physical Inventory Count report timely submitted(30 days
following the end of calendar quarter.
NCCR 6.130 (1)
Establishment reports documented loss or theft of Cannabis to law
enforcement and the board withing 24 hours of discovery.
NCCR 7.050
Delivery Confirmation Log that confirms by telephone the customers
identity, telephone number and items purchased.
NCCR 6.130 (2)
Establishment maintain copies of any documentation required pursuant to
Title 56 of NRS and NCCR for at least five (5) years after the date on the
documentation.
NCCR 6.130 (2)
Establishment provided copies of documentation to the Board or Board
Agents upon request or by deadline provided.
Ref No.
Audit Item
Findings Audit Evidence/Observation
Establishment Licensing
NCCR 5.090
Establishment is operational. If closed, Establishment has notified CCB of
closure 15 days prior to closure.
NCCR 5.095 Establishment has a valid Cannabis license.
NCCR 5.100(1)(j) Establishment has a current State of Nevada Business License
NCCR 5.100(1)(j) Establishment has a current Dept. of Taxation Sales Tax Permit
NCCR 5.100 (1)(j) Establishment has current Local Jurisdiction Licensing (County or City)
Outdoor Cultivation (If applicable)
Owner, Officer & Board Member Licensing
NCCR 5.130 (1)
Establishment owners, officers, board members, and persons holding
ownership =/+ 5% have a current Cannabis Executive Card.
LICENSING
Page 2 of 15
Sample
NCCR 5.130 (1)
Establishment owners, officers, board members, and persons holding
ownership less than 5% have a current Cannabis Executive Card or a
waiver on file.
NCCR 5.127 (1)
Publicly Traded Establishment can demonstrate the submission of Annual
Meeting notice to the CCB. If applicable.
NCCR 5.127 (2)(b)
Publicly Traded Establishment has provided annual list of Beneficial
Owners. If applicable.
NCCR 5.120(1)(2) Employee, Consultant,& Volunteer Licensing
NCCR 5.120 (1-2)
Establishment employees, contractors and volunteers have valid agent
cards (including temporary cards).
Ref No.
Audit Item
Findings Audit Evidence/Observation
Financial Statements & Disclosures
5.045(2)(11)
Establishment provided financial statements (income statement, balance
sheet,
NCCR 5.070 (4)
Establishment required tax filings and payments are up to date with
Department of Taxation per NRS 372A
NCCR 5.155(12)(c)
Establishments filed financial disclosures and tax documents separately
from all other Establishment's components (if applicable).
NCCR 6.082 (3)
Establishment seed-to-sale inventory account is in good standing.
Licensing & Regulatory Fees
NCCR 5.095(1)
Establishment annual licensing fee is up to date
NCCR 5.100 (1)(d)
Establishment has no outstanding Time and Effort billing over 30 days
due
Ref No.
Audit Item
Findings Audit Evidence/Observation
Employee Records
NCCR 6.087(3)(b)
Establishment provides notification to the board within 10 working days
after the date in which Establishment agent commenced employment or
contract services.
NCCR 6.087(4)(b)
Establishment provides notification to the board within 10 working days
after the date in which Establishment agent ceased employment or contact
services.
Establishment new hire packet includes job description and required
training documents
FINANCIAL-Licensing , Fees & Taxes
PERSONNEL & TRAINING
Page 3 of 15
Sample
NCCR 6.087 (3)(c)
Establishment provided notification to the board within 10 working days
after the date in which Establishment agent commenced volunteering
NCCR 6.087(4)(c)
Establishment provided notification to the board within 10 working days
after the date in which Establishment agent ceased volunteering
NCCR 6.087 (3)(a)
Establishment provided notification to the board within 10 working days
after the date in which Establishment agent commenced serving as an
officer or board member.
NCCR 6.087 (4)(a)
Establishment provided notification to the board within 10 working days
after the date in which Establishment agent ceased serving as an officer or
board member.
NCCR 6.075(1)(a) (1-6)
Establishment personnel files includes job description, employment
contract (if applicable), qualification of personnel, training attestation, and
disclosure of potential health risk.
General Training Requirement
NCCR 6.072 (1)
All Establishment agents, prior to work commencement, have been
trained in the following area:
NCCR 6.072 (1)(a)
Establishment security measures and controls for the prevention of
diversion, theft, or loss of cannabis.
NCCR 6.072 (1)(b)
Establishment's emergency response procedures
NCCR 6.072 (1)(c)
State and Federal statutes and regulations related to the use of cannabis
NCCR 6.085 (6)(b)
Annual training on security measures, emergency response, and robbery
prevention
Establishment Specific Training-Sales Facility
NCCR 6.072 (2)
Sales facility Establishment agents (including delivery drivers), prior to
work commencement, have been trained in the following areas:
NCCR 6.072 (2)(a)and(b)
Different strains of cannabis and different methods of using cannabis and
cannabis products.
NCCR 6.072 (2)(c)
Recognizing signs of cannabis abuse, impairment or instability in the use
of cannabis by a consumer.
NCCR 6.072 (2)(d)
Clinical effects of cannabis on the human body and how THC affects a
consumer.
NCCR 6.072 (2)(e)
Required warnings and literature which must be supplied to a consumer.
NCCR 6.072 (2)(f)
Methods of refusing entry or sales to prohibited persons, including the
following:
Page 4 of 15
Sample
NCCR 6.072 (2)(f)(1)
Verifying identification and using age verification devices
NCCR 6.072 (2)(f)(2)
Education on the effects of cannabis on persons under 21 years of age
NCCR 6.072 (2)(f)(3)
Recognition of false or altered identification
NCCR 6.072 (2)(g)
Understanding the role of law enforcement in confirming compliance with
laws and regulations relating to cannabis
NCCR 6.072 (2)(h)
Applicable state and local laws and regulations regarding cannabis
NCCR 6.072 (2)(j)
Preventing the use of cannabis by persons under the age of 21 years.
NCCR 6.072 (2)(k)
How to prevent disturbances
NCCR 6.072 (2)(l)
Agent responsibility to put into effect strategies adopted by the
Establishment to prevent the diversion of cannabis.
Ref No.
Audit Item
Findings Audit Evidence/Observation
Security Manager or Director
NCCR 6.085 (6) Establishment has employed and identified a security manager or director.
NCCR 6.085 (7)
Establishment can demonstrate by attestation or certificate of completion
that security manager or director and at least one (1) cannabis employee or
any third party who provide security has attended the following trainings
within the first three (3) months of employment:
NCCR 6.085 (7)(a) Theft prevention
NCCR 6.085 (7)(b) Emergency Response
NCCR 6.085 (7)(c) Use of Force
NCCR 6.085 (7)(d) First Aid & CPR training
NCCR 6.085 (7)(e) Crime Scene Protection or related subject
NCCR 6.085 (7)(f) Control of access to protected areas of Establishment
NCCR 6.085 (7)(g) Minimum of eight (8) hours on-site training security training
NCCR 6.085 (7)(h)
Minimum of eight (8) hours of classroom training in providing security
services
Security Audit
NCCR 6.085 (6)(a)
A semi-annual audit has been conducted of security measures that are
compliant with State procedures and identify security threats
NCCR 6.085 (6)(c)
Can demonstrate an evaluation of credentials have been conducted of
Establishment's third Party Security Contractor prior to entering an
employment contract.
SECURITY
Page 5 of 15
Sample
Security Equipment
NCCR 6.085 (1)(c)(1)
Establishment has an operable security system/equipment/device to deter
and prevent unauthorized intrusion.
NCCR 6.085(1)(c)(4)
Establishment security surveillance system provides for immediate
automatic or electronic notification to alert local law enforcement of
unauthorized interior breach of security.
NCCR 6.085 (1)(c)(3)
Establishment has an operable electronic monitoring system that can be
accessed remotely by law enforcement with the following:
NCCR 6.085 (1)(c)(3)(I)
One (1) call up monitor that is 55 inches or larger
NCCR 6.085 (1)(c)(3)(II)
Printer capable of immediately producing a clear still photo from any
video camera view
NCCR 6.085 (1)(c)(3)(III)
Video coverage of all entrances/exit, vault, and point of sale areas with a
recording resolution of at least 1920 x 1080; 15 frames per second 24
hours a day.
NCCR 6.085 (1)(c)(3)(IV)
Video coverage of all limited access and activity adjacent to Establishment
with a recording resolution of at least 720x480; 15 frames per second 24
hours a day.
NCCR 6.085 (1)(c)(3)(V)
Video camera with the capability of recording in low light conditions
NCCR 6.085 (1)(c)(3)(VI)
A method for storing video recordings for a minimum of 30 calendar days
in a secure off-site location or through a service or network that provides
on-demand access to the recordings
NCCR 6.085 (1)(c)(3)(VI)
A portable, external drive immediately available to store a minimum of
seven (7) days (168 hours) of video from a minimum of seven (7) cameras.
NCCR 6.085 (1)(c)(3)(VII)
Failure notification system that provides an audible and visual notification
NCCR 6.085 (1)(c)(3)(IX)
Sufficient battery back-up for video cameras and recording equipment for
a minimum of five (5) minutes.
NCCR 6.085(2)(a)
Security video cameras generate and reflect the correct date and time,
which does not significantly obstruct recording view.
NCCR 6.085(2)(b)
Security video cameras are installed in a manner that prevents obstructed
recording views.
Outdoor Cultivation (If Applicable):
NCCR 6.085(2)
Has exterior lighting to facilitate surveillance that covers the entirety of the
cultivation area that doesn't interfere with growing cycle of the crop.
Page 6 of 15
Sample
NCCR 6.085(1)
Security equipment with devices to detect unauthorized intrusion of the
cultivation area and perimeter and exterior area of facility.
Ref No.
Audit Item
Findings Audit Evidence/Observation
Personnel
NCCR 6.075((1)(a)
Establishment has policies and procedures that address job descriptions,
and employment contracts, and the following:
NCCR 6.075((1)(a)(1) Duties, authority, responsibilities, and qualifications of personnel
NCCR 6.075((1)(a)(2) Supervision of personnel
NCCR 6.075((1)(a)(3) Training in and adherence of confidentiality requirements
NCCR 6.075((1)(a)(4) Periodic performance evaluations
NCCR 6.075((1)(a)(5) Disciplinary actions
NCCR 6.075((1)(a)(6)
Disclosure of potential health risk involved with the performance of job
duties.
Workplace
NCCR 14.010(1)
Establishment that employs 15 or more employees has written workplace
discrimination and harassment policies & procedures
NCCR 14.010(1)(a)
Procedures identify the methods available to a person seeking to report an
instance of workplace discrimination or harassment
NCCR 14.010(1)(b)
Procedures for investigating a report of workplace discrimination or
harassment
NCCR 14.010(2)
Written policies and procedures that address workplace discrimination or
harassment, including sexual harassment
NCCR 14.010(2)(a) Policy and procedures include internal owners and personnel
NCCR 14.010(2)(b)
Policy and procedures include and address external individuals that
conduct business with the Establishment
Business Records
NCCR 6.075 (1)(b)
Establishment has policies and procedures that address business records -
Assets and liabilities
NCCR 6.075 (1)(b)
Establishment has policies and procedures that address business records -
Monetary Transactions
NCCR 6.075 (1)(b)
Establishment has policies and procedures that address business records -
Journals, ledgers
NCCR 6.075 (1)(b)
Establishment has policies and procedures that address business records -
Invoices, checks, vouchers, and other supporting docs
STANDARD OPERATING PROCEDURES
Page 7 of 15
Sample
Inventory Control (Cultivation, Production, Consumption & Sales)
NCCR 6.075 (1)(c)(1)
Establishment has policies and procedures that address Inventory control-
Inventory tracking
NCCR 6.075 (1)(c)(2)
Establishment has policies and procedures that address Inventory control-
Inventory Packaging
NCCR 6.075 (1)(c)(3)
Establishment has policies and procedures that address Inventory control-
Inventory Acquisition
NCCR 6.075 (1)(c)(4)
Establishment has policies and procedures that address Inventory control-
Inventory Disposal accordance with NCCR 10.080
NCCR 6.075 (1)(c)(5)
Establishment has policies and procedures that address Inventory control-
Inventory Returns
Quality Control Unit
NCCR 10.015 (2)(a)
Establishment has written procedures identifying the responsibilities and
procedures of the quality control unit.
Good Manufacturing Practices (Cultivation, Production,
Consumption & Sales)
NCCR 10.025 (1)
Written procedures describing in sufficient detail the receipt, identification,
storage, handling, sampling, and examination of labeling and packaging
materials.
NCCR 10.030 (1)-(3)
Written procedures describing, in sufficient detail, the receipt,
identification, storage, handling, sampling, testing, and approval or
rejection of components, product containers and closures and that it
follows those procedures.
Security
NCCR 6.085(1)(d)(1)
Establishment has policies and procedures that address facility access
restrictions
NCCR 6.085(1)(d)(2)
Establishment has policies and procedures that address identification of
persons authorized to be in restricted areas
NCCR 6.085(1)(d)(3)
Establishment has policies and procedures that address loitering
prevention
NCCR 6.085(1)(d)(4)
Establishment has policies and procedures that address conducting
electronic monitoring
NCCR 6.085(1)(d)(5)
Establishment has policies and procedures that address the use of the
automatic or electronic notification to alert local law enforcement agencies
of an unauthorized breach of security at the Establishment
Page 8 of 15
Sample
NCCR 6.085(1)(d)(6)
Establishment has policies and procedures that address for limiting the
amount of money available in any retail areas of the Establishment and for
training employees on this practice
NCCR 6.085(1)(d)(7)
Establishment has policies and procedures that address public notification
of minimal amount of money available
Curbside Pickup - If applicable
NCCR 7.060 (3) (a-d)
Has curbside pick-up policies and procedures that address security plan,
curbside pick-up plan, pick-up designation, and transaction(s) protection
measures.
Ref No.
Audit Item
Findings Audit Evidence/Observation
General Requirement(s)
NCCR 6.055 (1)
Dual licensee complies with the statutory and regulatory requirements of
the medical establishment operated by a dual licensee.
NCCR 6.055 (2)
Dual licensee has combined the location and operations of the medical
establishment and adult-use Establishment operated by dual licensee.
NCCR 6.080(1) Establishment has identified at least one (1) inventory control manager.
NCCR 6.080(8)(c)
Establishment can demonstrate that a quarterly physical inventory counts,
performed by persons independent of the manufacturing, has been
reconciled to the State's seed-to sale inventory system.
Quality Control
NCCR 10.015 (1)
Establishment has identified members of internal quality control unit (lab
exempt).
NCCR 6.100
Establishment ensures that Quality Assurance testing has been completed
before the sale or transfer of cannabis or cannabis products.
Seed -To-Sale Inventory System
NCCR 6.082 (1)
Establishment utilizes the seed-to-sale inventory system to track all
cannabis and cannabis products
NCCR 6.082 (1)
Establishment harvested and tested production batches have been marked
as “Finished” in the seed-to-sale inventory system. Metrc user guide- Pg.
129
NCCR 6.082 (2)
Establishment connects inventory tracking system to seed -to-sale system
using Application Programming Interface (API) OR has designated Seed-
to-sale as primary inventory system.
INVENTORY CONTROL
Page 9 of 15
Sample
Acquisitions-Wholesale Transactions
NCCR 6.080(7)(b)(1) NCCR
6.080(7)(c)(1)
Acquisitions manifest accurately reflects the cannabis acquired, including
the amount, strain, batch and/or production run number, and lot number.
NCCR 6.080(7)(b)(2) NCCR
6.080(7)(c)(2)
Acquisitions manifest accurately reflects the name and license/CEID
number of Establishment providing the cannabis.
NCCR 6.080(7)(b)(3) NCCR
6.080(7)(c)(3)
Acquisitions manifest accurately reflects the agent name and I.D. number
receiving the cannabis on behalf of Establishment
NCCR 6.135
Acquisitions identified in the Quarterly Activity report reconciles with the
seed-to-sale inventory system.
NCCR 6.080(7)(a)
Incoming wholesale transactions are processed and received in the seed-to-
sale system within 24 hours of delivery.
S.B. 278
Affiliated Transfers-Incoming: Both receiving and originating facility has
l00% like ownership
Acquisition – External Transactions (Patient Donations and Sales
Transactions)
NRS 678C.410(2)
Establishment Patient Acquisitions were originated by a Nevada medical
patient or caregiver card holder
NRS 678C.410(2)
Patient or Caregiver received no compensation for usable cannabis
transaction
Work In Progress -Manufacturing
NCCR 6.080(7)(a)(1-5)
Establishment has a inventory that documents each day's beginning
inventory, harvest, disposal of usable cannabis, and ending inventory
Packaging (If approved to package on site.
NCCR 1.125 (1-2) Establishments adheres to the lot limits: 5 lbs. -flower, 15 lbs.-shake/trim
NCCR 6.082(4) All lots are assigned a seed-to-sale inventory tracking RFID tag
NCCR 12.030 (1)
Establishment has labeled all cannabis prior to selling/transferring
cannabis to another establishment.
Storage
7.035 (1)
Stores all usable cannabis, concentrated cannabis and cannabis products
behind a counter or other barrier to ensure a consumer does not have
direct access to the cannabis, concentrated cannabis, or cannabis products
Page 10 of 15
Sample
7.035 (3)
Only sells usable cannabis obtained from a cannabis cultivation facility in
this State
7.035 (4)
Only sell concentrated cannabis and cannabis products obtained from a
cannabis product manufacturing facility in this State
Disposal
NCCR 10.080 (1)(b)
Establishment renders waste containing cannabis unusable prior to leaving
the cannabis facility
NCCR 10.080 (3)(a)(b)
Establishment adheres to and utilizes methods approved by the Board
when rendering cannabis unusable.
NCCR 6.080 (7)(d)(9)(I-IV)
Disposal logs complete with a item description, reason, date, and method
of disposal
NCCR 6.080 (7)(d)(9)(V)
Disposal logs reflect the name and I.D. number of the Establishment
agent(s) responsible for disposal
Significant Variances (Adjustments)
NCCR 6.080 (9)
Analysis Results-Establishment annual shrinkage (adjustments) rate
(theft/undocumented/Invalid adj. reason) is below .5% of total inventory.
NCCR 6.080 (9)
Analysis Results-Establishment audit period shrinkage
(theft/undocumented/Invalid adj. reason) rate is below .25% of total
reported inventory
NCCR 6.080 (8)(b)
Significant variances identified has been reported to the Board within 24
hours.
Ref No.
Audit Item
Findings Audit Evidence/Observation
Duties of Cannabis Agent
NCCR 7.015 (3)(a)-(b)
Agent entered into inventory control system the sales transactions
including the amounts (weight/each/dollar amount), date and time of
cannabis or cannabis product sold.
NCCR 7.015 (3)(c)-(d)
Cannabis agent registration card number and cannabis facility license
number.
Sales Transaction Limits:
NCCR 7.025(1)
Has not sold to any consumer more than one (1) ounce of usable cannabis
NCCR 7.025(2)
Has not sold to any consumer more than one-eighth ounce of
concentrated cannabis or cannabis products containing more than 3543
milligrams (3.54 grams) of THC
SALES TRANSACTIONS
Page 11 of 15
Sample
NCCR 7.025(3)
Has not sold a combination of usable and concentrated cannabis that
exceeds the legal limit
Acquisitions & Sales Restrictions
NCCR 7.030 (6)
A cannabis sales facility shall not sell cannabis or cannabis products to a
consumer through the use of, or accept a sale of cannabis or cannabis
products from, a third party, intermediary business, broker, or any other
business that does not hold a license for a cannabis sales facility in this
State.
NCCR 7.030 (7)
A cannabis sales facility shall not contract with a third party or
intermediary business to advertise delivery to consumers. This section
applies to advertising only and not delivery services.
Ref No.
Audit Item
Findings Audit Evidence/Observation
General Requirements
NCCR 7.040 (1)
Delivery is made by cannabis agent who holds agent card in the category
of sales facility.
NCCR 7.040 (2)
Deliveries are made by agents or independent contractors employed by a
cannabis sales facility.
NCCR 7.040 (2)(a)-(b)
Independent contractors have a valid service agreement with a cannabis
sales facility to perform deliveries to consumers using only Establishment
agents who hold an Establishment agent registration card in the category
of cannabis sales facility
NCCR 7.040 (3)
The name of all independent contractor who performed deliveries on
behalf of the sales facility have been published on the CCB website.
NCCR 7.040 (4)
The Board has received confirmation from the cannabis sales facility,
before a person engages in the del delivery process, including, without
limitation, accepting an order or physically delivering cannabis or cannabis
products, that the person is employed by, volunteers at, or provides labor
as an Establishment agent at the cannabis sales facility and has an
Establishment agent registration card in the cannabis sales facility.
DELIVERIES & TRANSPORTATION
Page 12 of 15
Sample
NCCR 7.040 (5)
The Establishment agent who delivers cannabis or cannabis products to a
consumer obtains verification of the identity and age of the consumer at
the point of delivery by scanning a document described in NCCR 7.020
before providing the cannabis or cannabis products to the consumer
NCCR 7.040 (7)
No delivery purchases was made by the delivery driver to be reimbursed
by the consumer upon completion of delivery transaction.
Manifest Requirements:
NCCR 7.045 (1)(a)
Facility maintains a physical or electronic copy of deliver manifest
generated using the seed-to-sale tracking system.
NCCR 7.045 (7) (a-c)
Seed-to-sale delivery manifest is completed properly including the date and
time of delivery, name, location, and license number of sales facility, name,
location and address of each consumer.
NCCR 7.045 (7) (d)
The name and quantity, by weight or unit, of each item delivered.
NCCR 7.045 (7) (e)
Vehicle make, model, license plate number, and the number of
identification card issued pursuant to NCCR 7.055 of the vehicle used for
delivery
NCCR 7.045 (7) (f)
The name, number of the Establishment agent registration card and
signature of each Establishment agent performing or accompanying the
delivery of the cannabis or cannabis products.
NCCR 5.070(1)
Vehicles utilized to transport cannabis or cannabis products have been
inspected and approved by the Board
NCCR 13.045
Establishment utilizes a licensed distributor when transporting cannabis or
cannabis product to a sales facility.
Delivery Restrictions
NCCR 7.050 (1)
No more than 5 ounces (141.75 grams) of cannabis or an equivalent
amount of cannabis products has been delivered to any combination of
consumers within a single trip by facility delivery drivers.
NCCR 7.050 (2)
No more than 10 ounces (283.5 grams) of cannabis, edible cannabis
products, or cannabis-infused products, or any combination thereof when
making a sales delivery exclusively to persons who hold a valid registry
identification card or designated as a primary caregiver.
Page 13 of 15
Sample
NCCR 7.050 (3)
No cannabis or cannabis products have been delivered to a consumer at
any location that has been issued a gaming license, as defined in NRS
463.0159.
NCCR 7.050 (4)
Not knowingly deliver more than one (1) ounce (28.35 grams) of cannabis
or cannabis products to a consumer in a private residence in one calendar
day.
Duties of Cannabis Agent Making Delivery
NCCR 7.050 (5)
A cannabis sales facility shall not deliver cannabis or cannabis products to
any person other than the consumer who ordered the cannabis or
cannabis products. Before delivering cannabis or cannabis products to a
consumer, the Establishment agent delivering the cannabis or cannabis
products for a cannabis sales facility shall:
NCCR 7.050 (5)(a)
Confirm by telephone that the consumer ordered the cannabis or cannabis
products and verify the identity of the consumer
NCCR 7.050 (5)(b)
Enter the details of such a confirmation in a log which must be made
available for inspection by an appropriate law enforcement agency, the
Board and Board Agents.
NCCR 7.045 (5)
If delivery is unsuccessful to the consumer who ordered the cannabis or
cannabis products, the Establishment agent shall return the cannabis or
cannabis products to the cannabis sales facility
NCCR 7.045(12)
Facility can reconcile the delivery of cannabis or cannabis products with
the seed-to-sale tracking system and all associated transaction history and
order receipts.
Page 14 of 15
Sample
Page 15 of 15
Sample
LICENSEE NAME:
EVENT#:
CE ID#:
AUDITOR:
LICENSE#:
POC NAME:
Ref No. Audit Item Findings Audit Evidence/Observation
NCCR 6.085(1)(d)(3)
Establishment has no signs of loitering surrounding the building's
exterior.
NCCR 6.085(1)(b)
No cannabis or cannabis product is visible from outside of the
Establishment.
NCCR 6.085 (1)(c)(3)(IV)
Establishment has video coverage of all limited access and activity
adjacent to establishment. Sample Provided
NCCR 6.085 (1)(c)(3)(III)
Establishment has video coverage of all exterior entrances/exits. Sample
Provided
NCCR 7.010 (2)
Hours of Operation are posted in a place that can be viewed by persons
entering the facility.
Ref No. Audit Item Findings Audit Evidence/Observation
NCCR 6.120 (1)(a)(1-3)
Has not engaged in advertising which contains statement or illustration
that is false or misleading, promotes overconsumption, depicts actual
consumption of what appears to be cannabis or cannabis products.
NCCR 6.120 (1)(a)(4)
Adverting does not depict a child or persons that appears to be less than
21 years of age consuming cannabis or cannabis products.
NCCR 6.120 (1)(a)(4)
No advertising that depicts objects suggesting the presence of a child,
without limitation, toys, characters, cartoons, or contains other depictions
in a manner that may be appealing to persons under 21 years of age.
Required Signs:
ROUTINE FIELD AUDIT CHECKLIST
Sales Facility (Dispensary)
PERIMETER CHECK
RESTRICTIONS ON ADVERTISING & REQUIRED SIGNS
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Sample
NCCR 6.120 (2)(a)
“No minors permitted on the premises unless the minor holds a letter of
approval and is accompanied by a designated primary caregiver”
NCCR 6.120 (2)(b)
“No on-site or public consumption of any cannabis or cannabis
products”
NCCR 6.120 (2)(c) “Distribution to persons under the age of 21 is prohibited”
NCCR 6.120 (2)(d)
“Except for medical cannabis patients, possession of over 1 ounce of
usable cannabis, a cannabis product containing more than 3,543
milligrams of THC or a combination of the two which exceeds the legal
limit is prohibited”
NCCR 6.120 (2)(e)
“Transportation of cannabis or cannabis products across state lines is
prohibited.”
NCCR 12.070 All Ads must now have CEID
Ref No. Audit Item Findings Audit Evidence/Observation
NCCR 5.075 (3)&(6)
Interior access was granted to Board agent immediately or within a
reasonable amount of time. Wait time over 4 min requires video of facility activity
during the time access was not granted/unavailable.
NCCR 6.085(1)(a)
Establishment can demonstrate that it utilizes one (1) single secure
entrance to access the physical building.
NCCR 6.070(5)
Establishment has visitor logs readily available for visitors prior to
accessing restricted areas and visitors.
NCCR 6.070(3)
Establishment has visitor badges readily available for persons other than
authorized establishments agents.
NCCR 6.070(4)(d)
badges are returned upon departing the premises.
Ref No. Audit Item Findings Audit Evidence/Observation
Cannabis Establishment (C.E) Licensing
NCCR 6.050 All required licenses are posted in public view in the Establishment
NCCR 5.095 Establishment has a valid Cannabis license.
NCCR 5.100(1)(j) Establishment has a current State of Nevada Business License
NCCR 5.100(1)(j) Establishment has a current Dept. of Taxation Sales Tax Permit
NCCR 5.100 (1)(j) Establishment has current Local Jurisdiction Licensing (County or City)
Employee, Consultant,& Volunteer Licensing
ACCESSIBILITY
LICENSING
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Sample
NCCR 6.087 (1)
All employees, contractors, and volunteers have valid agent cards in their
immediate possession while on premises.
NCCR 6.070(7)
No regular, seasonal or temporary of, volunteer or person who provides
labor, may not use a visitors badge while on the premises.
Ref No. Audit Item Findings Audit Evidence/Observation
Security Equipment
NCCR 6.085 (1)(c)(1)
and prevent unauthorized intrusion. Demonstrated or log identifying
the last test conducted
NCCR 6.085(1)(c)(4)
Establishment security surveillance system provides for immediate
automatic or electronic notification to alert local law enforcement of
unauthorized interior breach of security. Demonstrated
NCCR 6.085 (1)(c)(3)(I)
Establishment has one (1) call up monitor that is 55 inches or larger
NCCR 6.085 (1)(c)(3)(II)
Establishment has a printer capable of immediately producing a clear still
photo from any video camera view. Print Provided
NCCR 6.085 (1)(c)(3)(III)
Establishment has video coverage of all interior entrances/exit, vault, and
point of sale areas. Visual Confirmed
NCCR 6.085 (1)(c)(3)(IV)
Establishment has video coverage of all limited access and activity
adjacent to establishment. Visual Confirmed
NCCR 6.085 (1)(c)(3)(V)
Establishment can demonstrate video camera with the capability of
recording in low light conditions. Visual Confirmed
NCCR 6.085 (1)(c)(3)(VII)
Establishment can demonstrate failure notification system that provides
an audible and visual notification
NCCR 6.085(2)(a)
not significantly obstruct recording view.
NCCR 6.085(2)(b)
Security video cameras are installed in a manner that prevents obstructed
recording views. Blind Spot Test Conducted
Security Personnel
NCCR 6.085 (7)
At least one person on-site has been trained in the security requirement
NCCR 6.085 (10)
Not knowingly permit any activity or acts of disorderly conduct witness
on the premises
Ref No. Audit Item Findings Audit Evidence/Observation
SECURITY
INVENTORY CONTROL
Page 3 of 6
Sample
Quality Control Unit
NCCR 10.015(1) (a-d)
Quality control unit can demonstrate its processes and it adheres to their
written procedures.
NCCR 6.100
Establishment ensures that Quality Assurance testing has been completed
before the sale or transfer of cannabis or cannabis products.
Inventory Control (Cultivation, Production, Consumption & Sales)
NCCR 6.082(4)
Cannabis and cannabis products are tagged as required using the seed-to-
sale inventory system.
NCCR 10.025 (3)
Establishment can demonstrate that access to storage areas containing
cannabis or cannabis products is limited to authorized personnel of the
establishment.
NCCR 6.075 (1)(c)(1)
Establishment can demonstrate Inventory control-Inventory Tracking
procedure
NCCR 6.075 (1)(c)(2)
Establishment can demonstrate Inventory control-Inventory Packaging
procedure
NCCR 6.075 (1)(c)(3)
Establishment can demonstrate Inventory control-Inventory Acquisition
procedure
NCCR 6.075 (1)(c)(4)
Establishment can demonstrate Inventory control-Inventory Disposal
procedure in accordance with NCCR 10.080
NCCR 6.075 (1)(c)(5)
Establishment can demonstrate Inventory control-Inventory Returns
procedure.
Packaging and labeling- Sales Facility Requirements
NCCR 12.040 (1)
Facility affix, include with, or supply through electronic medium a label
approved by the board that includes:
NCCR 12.040 (1)(a)
The business or trade name and the license number of the cannabis
cultivation facility that cultivated and sold the usable cannabis;
NCCR 12.040 (1)(b)
If the cannabis cultivation facility is operated by a dual licensee, the
number of the medical cannabis establishment license of the cannabis
cultivation facility operated by the dual licensee
NCCR 12.040 (1)(c)-(d) (J)
The batch number, harvest date, and lot number
NCCR 12.040 (1)(e)
The quantity sold, including the net weight, measured in ounces and
grams or by volume, as appropriate
NCCR 12.040 (1)(f)
The name and address of the cannabis sales facility
NCCR 12.040 (1)(h)
Warning reading "This product may have intoxicating effects and may be
habit forming;”
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Sample
NCCR 12.040 (1)(i)
Statement reading "This product may be unlawful outside of the State of
Nevada”
NCCR 12.040 (1)
Warning reading "Keep out of Reach of Children"
Storage
NCCR 10.025 (3)
Access to storage areas containing cannabis or cannabis products is
limited to authorized personnel of the establishment.
NCCR 10.055(2)(e)
There are separate or defined areas of the Establishment as are necessary
to prevent contamination or miscalculation or misuse of any component
in any step of the manufacturing, control, packaging, labeling, or
distribution of cannabis or cannabis products during the following
procedures:
NCCR 10.055(2)(e)(1)
Receipt, identification, storage and withholding from use of components,
product containers, closures, and labels, pending the appropriate
sampling, testing or examination by the quality control unit before release
for manufacturing, processing, or packaging;
NCCR 10.055(2)(e)(2)
Holding rejected components, product containers, closures, and labels
before disposition;
NCCR 10.055(2)(e)(3) Storage of released components, product containers, closures, and labels
NCCR 10.055(2)(e)(4) Storage of in-process materials
NCCR 10.055(2)(e)(5) Processing operations
NCCR 10.055(2)(e)(6) Packaging and labeling operations
NCCR 10.055(2)(e)(7) Quarantine storage before the release of cannabis or cannabis products
NCCR 10.055(2)(e)(8) Storage of cannabis or cannabis products after release
Ref No. Audit Item Findings Audit Evidence/Observation
Duties of Cannabis Agent
NCCR 7.015 (1)
Prior to sale of cannabis or cannabis product, sales agent verifies the age
of consumer by checking government-issued I.D. utilizing an
identification scanner to determine validity of I.D.
NCCR 7.015 (2)
Offer any appropriate consumer education or support material
Product Restrictions
NCCR 7.030 (1)
Facility only offers cannabis, cannabis products, cannabis paraphernalia,
cannabis-related accessories, and cannabis derived CBD products.
SALES TRANSACTIONS
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Sample
NCCR 7.030 (2)
Only offers for sale containers for the storage of cannabis and cannabis
products which lock and are designed to prohibit children from unlocking
and opening the container
NCCR 7.030 (3)
Does not sell any food, beverages or personal care items that do not
contain cannabis.
NCCR 7.030 (4)
Nicotine product has not been found for sale on site.
NCCR 7.030 (5)
Alcohol product has not been found for sale on site.
NCCR 7.035(5)
Does not sell products other than usable cannabis, concentrated cannabis,
approval of the appropriate Board Agent.
NCCR 7.035(5)
Certificate of Analysis is available upon request
NCCR 12.050(2) Required warning printed on the sales receipt
Ref No. Audit Item Findings Audit Evidence/Observation
NCCR 6.080 (7)(a-h)
Establishment total inventory validation rate is equal to or greater than
90%.
NCCR 6.080 (9)
physical inventory
Ref No. Audit Item Findings Audit Evidence/Observation
NCCR 13.040(4)
Vehicles stored on-site during field audit and utilized to transport
cannabis or cannabis products have been inspected and approved by the
Board
DELIVERIES & TRANSPORTATION
INVENTORY SAMPLING
Page 6 of 6
Sample