Investor Presentaiton
Compliance and Enforcement: Approach and Highlights
• At present, OCR's compliance and enforcement team involves inspections, audit, and legal functions. In general, our compliance
and enforcement priorities include:
•
Compliance with seed-to-sale tracking requirements;
• Material nondisclosure of financial, ownership, and/or investor interests; and
.
•
Unlicensed distribution/transportation of regulated product.
The typical OCR enforcement action is rooted in inspection findings, routine or targeted audits of METRC activity, and less.
frequently, complaints from the industry or the general public. These are then investigated by audit and inspections staff with the
input and guidance of legal personnel and senior management.
•
Material findings, to the extent they emerge, are considered internally before presentation to the licensee in question for further
information and clarification. In recent years, violations have been resolved in concert with the licensees, and closed out by way of
consent agreements and concurrent fines as authorized in the program regulations.
•
The Director of DBR maintains ultimate adjudicatory authority should licensees choose to contest violations/disciplinary actions;
these cases proceed before an Administrative Hearing Officer per the rules of the Administrative Procedures Act.
.
For details on concluded OCR enforcement actions, see: https://dbr.ri.gov/office-cannabis-regulation/cannabis-enforcement-
actions
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