Alabama
General
Dec 2022
3 min

How to Create a Successful Alabama Integrated License Application

How to Use This Outline

It's true, Alabama Medical Cannabis Commission provided a guide to the integrated license application process. We read it and realized that the structure of the exhibit information (begins on page 22) is a lot to navigate. There aren't explicit instructions for how to fulfill some of the requirements in the exhibits (this is normal for requests for application as they want you to know what information to provide) - so we've provided some recommendations for what information to provide as well as structured the exhibit information in to a checklist style format instead of the paragraph style used in the state provided guidance (we believe checklists are easier to navigate when preparing an application). And the guide they provide doesn't operate like a checklist. You can use this article as an educational resource if you're interested in Alabama's cannabis business licensing process, as a guide as you develop your integrated license application (though tough as of the publishing of this article there's only one month left to get everything together), or as a quality control checklist to compare your completed application materials against to make sure you've included everything.

This outline was specifically made for Alabama's Integrated License application which includes dispensary, cultivation, processing, and transportation licensing. If applying for any individual license type this guide won't follow the application structure but will provide some guidance for navigating the requirements.

Integrated Facility Rules


1. No more than 5 licenses to be awarded.

2. Operate up to 5 dispensaries

3. An integrated facility license authorizes:

  • The cultivation of cannabis.
  • The processing of cannabis into medical cannabis, including proper packaging and labeling of medical cannabis products.
  • The dispensing and sale of medical cannabis only to a registered qualified patient or registered caregiver.
  • The transport of cannabis or medical cannabis between its facilities.
  • The sale or transfer of medical cannabis to a dispensary.

                      Annual License Fee: $50,000

Alabama Medical Cannabis Commission Guidance

For the specific guidance provided by the Alabama Medical Cannabis Commission, see their guide to the integrated license application.  This guidance document includes information about scoring. You'll see that our guide elaborates on the information provided in theAlabama Medical Cannabis Commission's guidance to give you some insight about how to sufficiently meet what they are asking for. If you are applying for a license, WE RECOMMEND downloading the following guidance document as it provides more in depth information about the license process and requirements.

Guide to Integrated License Applications

For information about some of the regulations upon which the application process is based, see this document which outlines the regulations for the Integrated License Facilities.  It's important. to remember that while this list of regulations pertains to integrated licenses, there are other regulations that apply to the integrated licenses and those regulations should also be referenced as you complete the application. We've provided links to other regulations a bit further down in this outline.

Regulation of Integrated Facilities

State Contact for Questions

For all communications to the department, you must use this e-mail address: applications@amcc.alabama.gov

Many states limit the amount of time during which applicants can contact the state by providing question and answer windows. Alabama is unique in that the department is allowing applicants to ask questions via email throughout the process. Take advantage of this. We suggest contacting the Alabama Medical Cannabis Commission with anything you're unsure about. They're good at responding to questions and getting clarity will help guide you in correctly completing any application requirement.

Ownership Requirements

Alabama has specific ownership requirements which only apply to a select set of companies. Make sure that your company meets the requirements before diving in to the arduous task of completing a competitive cannabis business application. The most notable requirements for an Integrated License application in Alabama include:

  • 15+ years of Alabama residency for majority of ownership
  • 15+ years of commercial agriculture or horticulture experience in Alabama
  • 21+ years of age


The Selection Process

Alabama's licensing process is merit based. Merit based process is like being graded on an assignment in school. There are a limited number of licenses available, a set amount of points available for the application, and a set of criteria for getting a high score on each section. The harsh truth is that these merit based systems are not easy. They require expertise, planning and an abundance of time. Once an applicant submits all of their completed materials, Alabama will read every application, ensure it meets the basic criteria such as forms, background checks, and ownership requirements and then will move on to grading all of the operating plans and procedures to see if they're up to snuff. Highest scorers win so applicants have to have a competitive mindset. A "good enough" mindset will not suffice. We've created this guide to give some insight to the process and how to do well.


Final Application Filing Format

Filing requirements for cannabis businesses are extensive and complicated even when they seem simple. One of the biggest mistakes made by even the most sophisticated on cannabis business applicants is not realizing how small things like filing requirements impact the success of the application.  No detail is too small, and time should be committed to verifying that the filing is done to the T. To correctly file your Integrated License application in Alabama, follow this structure:

  1. Two USBs filed in person
  2. Label the two physical USB drives: (1) ORIGINAL (2) REDACTED
  3. Deliver USB Drives along with completed Form L

 

Exhibit Formatting

Exhibit formatting is often overlooked and there are some tricky pieces of Alabama's formatting requirements.  For instance, pages with images or that are existing files provided for proof (such as tax returns or litigation information) have to be numbered.  Because of the specific requirements we advise dedicating one to two days to ensuring the format of every exhibit is done correctly.  It would be a shame to receive a deficiency on the application due to formatting.

Document Naming Conventions

Once you complete each exhibit as outlined below, you'll have to save the documents in PDF format and name each of them according to Alabama's required naming convention:

  • Exhibits: [Application Number]_[Exhibit Number]_[Exhibit Title] 
  • Application Form: [Application Number]_Application Form


Exhibit name example:
123_1_Resume or Curriculum Vitae of Individuals

Application Form name example: 123_Application Form

How to Format Cover Pages

Every exhibit must have a properly formatted cover page.  The requirements for the cover page include having the name of the exhibit labeled exactly as it is named in the Application guidance document provided by the Alabama Medical Cannabis Commission. Here are the cover page rules, the correct names for each exhibit, and some examples.

All cover pages must have the following information.
 

  • Right Adjusted Header: “License Type: Integrated Facility” (without quotation marks and placed on every page even attachments)
  • Page X of Y (on every page, including attachments)
  • Left Adjusted Footer:  Exhibit # - Exhibit Name
  • Verification Statement, as follows:

Verification

The undersigned verifies that the information contained in this Exhibit, including any attachments thereto, is accurate and complete, based on the best available information at the date of verification.

Printed Name of Verifying Individual  _________________        
Title of Verifying Individual ___________________
Signature of Verifying Individual  ___________________                
Verification Date   _________________


The exhibit title must match the title given to the exhibit in the application guidance as follows:
 
Exhibit 1 – Resume or Curriculum Vitae of Individuals

Exhibit 2 – Residency of Owners.

Exhibit 3 – Commercial Horticulture or Agronomic Production Experience.

Exhibit 4 – Criminal Background Check.

Exhibit 5 – Minimum Performance Bond Requirements.

Exhibit 6 – Minimum Liquid Assets Requirement.

Exhibit 7 – Demonstration of Sufficient Capital.

Exhibit 8 – Minimum Operating Capital Requirement.

Exhibit 9 – Financial Statements.

Exhibit 10 – Tax Plan.

Exhibit 11 – Business Formation Documents.

Exhibit 12 – Business License and Authorization of Local Authorities.

Exhibit 13 – Business Plan.

Exhibit 14 – Evidence of Business Relationship with Other Licensees and Prospective Licensees.

Exhibit 15 – Coordination of Information from Registered Certifying Patients.

Exhibit 16 – Point-of-Sale Responsibilities.

Exhibit 17 – Confidentiality of Patient Information.

Exhibit 18 – Money Handling and Taxes.

Exhibit 19 – Standard Operating Plans and Procedures.

Exhibit 20 – Policies and Procedures Manual.

Exhibit 21 – Production and Manufacturing Process.

Exhibit 22 – Machinery and Equipment.

Exhibit 23 – Receiving and Shipping Plan.

Exhibit 24 – Secure Transport Vehicles.

Exhibit 25 – Compliance with Alabama Public Service Commission Requirements.

Exhibit 26 – Commercial Driver’s License.

Exhibit 27 – Fleet Summary.

Exhibit 28 – Care and Maintenance of Vehicles.

Exhibit 29 – Route Plans.

Exhibit 30 – Plan for Segregation of Process Within and Transportation Between Facilities.

Exhibit 31 – Facilities.

Exhibit 32 – Engineering Plans and Specifications (Cultivation Facilities).

Exhibit 33 – Security Plan.

Exhibit 34 – Personnel.

Exhibit 35 – Business Leadership Credentials.

Exhibit 36 – Employee Handbook.

Exhibit 37 – Secure Transport Drivers.

Exhibit 38 – Driver’s Manual.

Exhibit 39 – Quality Control and Quality Assurance Plan.

Exhibit 40 – Contamination and Recall Plan.

Exhibit 41 – Marketing and Advertising Plan.

Exhibit 42 – Website and Social Media.
 

Cover Page Examples

Here are some examples of properly formatted cover pages.  Remember that the cover pages must be labeled as page 1, so your exhibit information will all have to begin on page 2 in order to ensure the pages numbers are all correct.

Examples of properly formatted cover pages for Alabama Cannabis License application


How to Format Exhibit PDFs

The formatting of all exhibits must follow these rules:

     
  • Cambria Font
  • 12-point
  • 1.5 line spacing
  • 1-inch margins
  • “Integrated License” written in the header
  • “Exhibit # - Title” left adjusted in footer
  • Page X of Y right adjusted in footer
  • Section headings match the application wording
  • No borders, clip art, logos, or handwritten material
  • Exhibits must fit within the page limit
  • Attachments in the documents must be labeled


Note:
For any exhibit, or portion that requires the Applicant to provide a plan or to satisfy any requirement(s), the Applicant must indicate the status of the plan or     requirement(s), as of the date of application filing, with one of the following designations (essentially add one of the following designations on to everything except for forms or existing documents being attached such as litigation information or business licenses):

  • Completed
  • In Progress with completion expected _____ days before award of license
  • Not Started, but completion expected _____ days before award of license
  • In Progress with completion expected _____ days after award of license
  • Not Started, but completion expected _____ days after award of license

 

Regulations 

The following regulations are referenced in the application exhibit requirements or are advised for use in the application materials. Please cite any local, state and federal regulations that apply to your company’s activities and consider including them in your application. Strong license applications integrate as many pertinent regulations as possible to show compliance with regulations and to display the company's knowledge and awareness of existing regulations. Given that Alabama's licensing process is competitive, with a set number of licenses available, using regulations to solidify the legitimacy of your company's plans is non-negotiable if you want to win.

AMCC Rules and Regulations  [These are the primary cannabis regulations]

  • Used in most exhibits (8-42)

Local Jurisdiction Rules (look up per jurisdiction)

  • Exhibit 12
  • Exhibit 31

280 E  [Federal Tax Rule for Controlled Substances]

  • Exhibit 10
  • Exhibit 18

Ch. 14A of Title 40, Code of Alabama 1975 [Alabama tax rule]

  • Exhibit 10
  • Exhibit 18

Ch. 2A of Title 20, Code of Alabama 1975 [AL Rules about Food, Drugs and Cosmetics]


HIPAA

  • Exhibit 15
  • Exhibit 16
  • Exhibit 17

  

Forms

Each of these forms must be completed.  Some forms need to be filled out more than once (if you need one for each owner or one foreach transportation driver).  The outline in the article indicates which exhibit each form needs to be attached to. Make sure to fill each form with the information TYPED in, NOT handwritten. If you're applying for an integrated license, we suggest downloading each of these forms and saving them to your desktop for easy access.

FORM A - Ownership Resume-CV

FORM B - Background Check Applicant Verification

FORM C - State Background Check (ALEA)

FORM D - National Background Check (FBI)

FORM E - Background Check Individual Verification

FORM F - Integrated Facility Performance Bond

FORM G - Personnel Roster & Verification

FORM H - Secure Transport Drivers

FORM I - Ownership Entity Individuals

FORM J - Affidavit of Individual Applicant for License

FORM K - Affidavit of Entity Applicant for License

FORM L - Verification of USB Flash Drives

Alabama Medical Cannabis Commission -Integrated License Guide

Tips for Success

Cannabis business licenses are not easy to get, and they come with a lot of responsibility. To take the process lightly is to guarantee failure, and we don't want you to fail.  We've put together this list of tips to help you navigate the process efficiently, so that success is likely! These tips should be followed by your entire team and any vendors that you work with throughout the process.

  1. High Achievement is the only option
  2. Aim for a perfect score (even if doing so seems like it takes excessive effort)
  3. Achieve the following in all exhibits and application materials.
  4. Respond to all requested information
  5. Provide exceptional detail
  6. Information beyond expectations
  7. Show for the following attributes for the company in every area of the application where they are pertinent:

          + Solvency (financing)

          + Stability (maintain ops)

          + Suitability (qualified ownership)

          + Capability (related skills)

          + Project Efficiency (timeline)

 

Integrated License Application Exhibits Outline

Let's get to it! The integrated license application has 42 exhibits, some of which are completed using forms and some of which require full operational plans. The exhibit outline shows the page limit for each exhibit as well as information about what information must be included in the exhibit.  This guide was created using Alabama's provided guidance document but simplifies and elaborates on the information so it's easier to understand.

Exhibit 1

Page limit: N/A


#1.
Form A
for every owner

Exhibit 2

Page limit: N/A


#1. Records proving Alabama residency for at least 15 years for at least 51% of the ownership.

  • Do this for every owner who has been in Alabama for 15+ years, even if they cumulatively own more than 51% of the company.

Records proving residency may include:

  • W2
  • Driver’s License
  • Form 1040
  • Vehicle registration
  • Insurance documents

Note: If this exhibit exceeds 25 pages, a table of contents must be created for the section, followed by a summary of the exhibit.

Exhibit 3

Page limit: N/A 

#1. Org chart showing ownership % and years of agriculture or agronomic production

#2. Records proving 15 years of agriculture or agronomic production for Owners

#3. Records proving 15 years of agriculture or agronomic production for the business.

  • This can be done with 15 years of business licenses

Note: If this exhibit exceeds 25 pages, a table of contents must be created for the section, followed by a summary of the exhibit. 

Exhibit 4

Page limit: N/A

#1. Get fingerprinted for state and federal background check  

#2. Form B  

#3. Form C

#4. Form D

#5. Form E

Exhibit 5

Page limit: N/A

#1. Speak with bond provider with a minimum 'A' rating to have them provide a $2,000,000 bond 

#2. Form F

Exhibit 6

Page limit: N/A

#1. Proof that company has at least $250,000 in liquid assets available

     

Exhibit 7

Page limit: 5 
Specialty needed:
Finance, CPA

#1. Proof of capital sufficient to cover first 3 years of the annual budget for the company.

#2. Identify source of each capital contribution

#3. Statement of verification from a designated responsible party 

#4. Statement of verification from the company’s point of contact for the application 

#5. Statement of verification from an independent CPA (cannot be internal to your company)

Exhibit 8

Page limit: 10
Specialty needed:
Finance

#1. Proof of company’s financial ability to operate for 2 years once licensed

     
  • Copies of financial statements
  •  
  • Commitment of funding from business
  •  
  • Commitment of funding from investors/owners
  •  
  • Narrative about financial planning and utilization


Exhibit 9 

Page limit: 15
Business line:
All
Specialty needed:
Finance

#1. Financial statement or pro-forma, for the year of commencement plus 3 more years

  • Year-end projections
  • Balance sheet report (as of December 31 of each years)
  • Value of Assets at commencement of operations
  • Value of Liabilities at commencement of operations.
  • Value of Equity at commencement of operations.

#2. Profit and loss report from inception (licensure) to commencement (first day of operations)

     
  • Income
  •  
  • Expenses
  •  
  • Net profit

#3. Profit and loss report for year of commencement (first day of operations), plus 3 more years

     
  • Projected income
  •  
  • Projected expenses
  •  
  • Projected net profit

#4. Cash flow statements

     
  • Cash flow in and out of the business from inception (licensure) to commencement (first day of operations)
  •  
  • Cash flow in and out of the  business from the year of commencement (first day of operations) plus 3 more years


Exhibit 10

Page limit: 5
Business line:
All
Specialty needed:
Tax

Reference: Ch. 2A of Title 20,Code of Alabama 1975

#1. A written narrative/plan purposed to:

  • Demonstrate understanding of applicable tax laws
  • Demonstrate plan for compliance with applicable tax laws
  • Ensure the plan provides all info required to comply with Ch. 2A of Title 20, Code of Alabama 1975, including payments
  • Ensure the plan provides all info required to comply with federal tax law including 280E 

 

Exhibit 11

Page limit: N/A
Business line:
All
Specialty needed:
Legal OR company document handler

#1. Certified copies of business formation documents

     
  • Articles of organization/incorporation.
  •  
  • Operating plan signed by owners

Note: If this section exceeds 25 pages, create a table of contents for the section

 

Exhibit 12

Page limit: N/A 
Business line:
All
Specialty needed:
Legal OR company document handler

#1. Certified copies of business license for the cannabis company

#2. Copies of cannabis resolutions or ordinances of each local jurisdiction

#3. Copies of letters or statements of approval received from local jurisdictions

Note: If this exhibit exceeds 25 pages, a table of contents must be created for the section, followed by a summary of the exhibit.

  

Exhibit 13 

Page limit: 50
Business line:
All
Specialty needed:
Insurer, Business planning, Advertising, Environmental planning

#1. Clearly defined business structure


#2. Plan for adherence to applicable corporate conventions 


#3. Clearly defined business goals

  • 3-year plan
  • 5-year plan


#4. Org chart conveying business’s internal structure

  • Roles
  • Responsibilities
  • Relationships between individuals 


#5. Managerial job descriptions

     
  • Authority
  •  
  • Qualifications
  •  
  • Duties


#6. Non-managerial job descriptions

     
  • Qualifications
  •  
  • Duties


#7. Executive Summary

     
  • Mission statement
  •  
  • Leadership background
  •  
  • Leadership qualifications
  •  
  • Business style
  •  
  • Business philosophy
  •  
  • Key personnel
  •  
  • Identification of facility location (address, coordinates, & jurisdiction)
  • Identify facility type for each location (cultivation, processing, dispensary, transported
  • Description of services and products to be cultivated [projected pricing data, expected product life span, benefits to consumers, patents (if any), and proprietary technology (if any)]
  • Description of services and products to be processed [projected pricing data, expected product life span, benefits to consumers, patents (if any), and proprietary technology (if any)]
  • Description of services and products to be dispensed [projected pricing data, expected product life span, benefits to consumers, patents (if any), and proprietary technology (if any)]
  • Description of services and products to be transported [projected pricing data, expected product life span, benefits to consumers, patents (if any), and proprietary technology (if any)


#8. Advertising and marketing  strategy


#9. Community engagement plan for next 3 years

  • Describe efforts that have been made to foster a relationship with the local jurisdiction community
  • Describe efforts that will be  made to foster a relationship with the local jurisdiction community
  • Describe Commitments that  have been made to the local jurisdiction communities
  • Describe Commitments that will be made to the local jurisdiction communities
  • Describe involvement that has occurred in local jurisdiction communities
  • Describe involvement that will occur in local jurisdiction communities
  • Steps that have been taken to reduce or eliminate carbon footprint in local jurisdictions and/or achieve and maintain a positive environmental footprint
  • Steps that will be taken to reduce or eliminate carbon footprint in local jurisdictions and/or achieve and maintain a positive environmental footprint


#10. Environmental impact plan for the next 3 years

  • Projected environmental impact of cultivation facility
  • Projected environmental impact of processing facility
  • Projected environmental impact of transportation activity
  • Projected environmental impact of Dispensary 1
  • Projected environmental impact of Dispensary 2
  • Projected environmental impact of Dispensary 3
  • Projected environmental impact of Dispensary 4
  • Projected environmental impact of Dispensary 5
  • Existing efforts to relationships build relationships to collaborate and comply with federal, state, and local agencies with environmental oversight
  • Planned efforts to build relationships to collaborate and comply with federal, state, and local agencies with environmental oversight


#11. Insurance plan

+ Declarations from an A-rated insurer

  • Casualty
  • Workers’ comp
  • Liability
  • Auto/fleet policy
  •    


+ Pages from an A-rated insurer

  • Casualty
  • Workers’ comp
  • Liability
  • Auto/fleet policy



+ Letters of intent from an A-rated insurer

  • Casualty
  • Workers’ comp
  • Liability
  • Auto/fleet policy


Exhibit 14

Page limit: N/A
Business line:
All
Specialty needed:
Legal

#1. Copies of any existing contracts, memoranda of understanding, or letters of intent with:

  • Cultivator or prospective cultivator
  • Processor or prospective processor
  • Secure transporter or prospective transporter
  • Dispensary or proposed dispensary
  • Integrated facility or proposed integrated facility
  • State testing laboratory or prospective testing laboratory

#2. If any of the above (1) do not exist, provide examples of contracts, memoranda of understanding, or letters of intent that will be entered with

  • Cultivator or prospective cultivator
  • Processor or prospective processor
  • Secure transporter or prospective transporter
  • Dispensary or proposed dispensary
  • Integrated facility or proposed integrated facility
  • State testing laboratory or prospective testing laboratory

Note: If this exhibit exceeds 25 pages, a table of contents must be created for the section, followed by a summary of the exhibit.

   

Exhibit 15

Page limit: 5
Business line:
Dispensaries
Specialty needed:
HIPAA, Document management

Reference: Rule538-x-8-.03 (5-7) , Code of Alabama 1975 20-2A-31(3)(b), Code of Alabama 20-2A-33 (c-g) , Rule538-x-2-.07 , HIPAA

#1. Plan for receiving information and certifications from registered physicians

#2. Plan for coordinating information and certifications from registered physicians

  

Exhibit 16

Page limit: 5
Business line:
Dispensaries
Specialty needed: Training AND Operations

Reference: Rule538-x-8-.03 , Rule538-x-8-.08 , 538-x-4-.05(5), Rule538-x-2-.07

#1. Plan for POS education

#2. Plan for patient consultation [HIPAA]

#3. Plan for responses to patient and caregiver questions

#4. Instructions for product use

 

Exhibit 17

Page limit: 5
Business line:
Dispensaries
Specialty needed: Cyber Security

Reference: Rule538-x-3-.05-3.m.(16)(i) , Rule538-x-4-.07-12.o.(9) , Rule538-x-2-.13 , HIPAA, Rule538-x-4-.05(7) , Code of Alabama 1975 20-2A-60 , Code of Alabama 1975 20-2A-5

#1. Plan for maintaining confidential information

#2. Cybersecurity plan for sensitive information of patients and caregivers

#3. Protocols for maintaining confidentiality of patient info in accordance with HIPAA

 

Exhibit 18

Page limit: 5
Business line:
All
Specialty needed:Tax

Reference: Rule538-x-8-.03(8) , 280E  , Code of Alabama 1975 20-2A-80 , Code of Alabama 1975 40-14A-(22-29)

#1. Plan for handling money

#2. Plan for remitting local taxes

#3. Plan for remitting state taxes

#4. Plan for remitting federal taxes

   

Exhibit 19

Page limit: 30
Business line:
All
Specialty needed: Operations

#1. Standard Operating Plan and Procedures

(must maintain in full PDF form on a designated computer at the physical facilities, or in the company’s cloud – additionally in updated printed form for access by the Commission upon request).

     
  • IT plan
  •  
  • Plan for maintenance and storage of cannabis and medical cannabis
  •  
  • Quality Control/Quality Assurance Plan (include the section title in this exhibit but only provide the plan in Exhibit 39)
  •  
  • Contamination and Recall Plan (include the section title in this exhibit but only provide the plan in Exhibit 40)
  •  
  • Criminal Activity Plan
  •  
  • Emergency Procedures/Disaster Plan
  •  
  • Alcohol, Smoke and Drug Free Work Policy
  •  
  • Employee Safety Plan
  •  
  • Confidential Info and Cybersecurity Plan
  •  
  • Tracking and Disposal of Waste Plan
  •  
  • Security Plan (include the section title in this exhibit but only provide the plan in Exhibit 33)
  •  
  • Grow Plan
  •  
  • Engineering Plans and Specifications
  •  
  • Chain of custody, inventory, and tracking (Cultivation only)


Exhibit 20

Page limit: 30
Business line:
All
Specialty needed: Operations

#1. Policies and Procedures Manual

Note: If this exhibit exceeds 25 pages, a table of contents must be created for the section, followed by a summary of the exhibit.


Exhibit 21

Page limit: 25
Business line:
All
Specialty needed: Processing, Security AND Architecture/Construction

Reference: OSHA

#1. Identify approved product types to be processed (recommended products in bold)

  • Tablets
  • Capsules
  • Tinctures
  • Gels, oils, and creams for topical use
  • Suppositories
  • Transdermal patches
  • Nebulizers
  • Liquids or oils for use in an inhaler 

#2. Summary of manufacturing processes and methods to be used per product

     
  • Machinery
  •  
  • Equipment
  •  
  • Personnel


#3. Professionally rendered blueprint or floor plan for each facility

+ Label each facility for its use (cultivation, processing, dispensing, transport)

+ Label each room for its designated use, such as:

     
  • General Storage
  •  
  • Cure
  •  
  • Dry
  •  
  • Extraction
  •  
  • Manufacturing
  •  
  • Packaging & labeling
  •  
  • Sales floor/dispensing
  •  
  • Product vault
  •  
  • Product intake
  •  
  • Waiting room
  •  
  • Employee only areas
  •  
  • Cashier/Sales
  •  
  • Delivery packaging
  •  
  • Product intake
  •  
  • Offices
  •  
  • Cash safe
  •  
  • Waste safe
  •  
  • Storage of finished product
  •  
  • Order processing/preparing for distribution
  •  
  • Quarantine
  •  
  • Flower rooms
  •  
  • Veg room
  •  
  • Trim
  •  
  • Refrigerated storage of bulk extract

- Specify a list of activities in each facility that will not be conducted (Example: specify that the dispensaries will not process/cultivate/transport)

     

#4. Plans for safety of personnel

     
  • Machinery safety
  •  
  • Equipment maintenance
  •  
  • Personal protective equipment
  •  
  • Emergency eyewash
  •  
  • Trained on machinery and excipient safety
  •  
  • Fire extinguishers
  •  
  • CO2 detection
  •  
  • Sharps storage and use
  •  
  • MSDS for cleaning solutions

#5. Plans for safety of facility

     
  • Cleaning and sanitization
  •  
  • Regular inspection
  •  
  • Bomb room for extraction machinery
  •  
  • Fire resistant  floor coating in rooms where high-risk machinery is used
  •  
  • Follow all fire codes
  •  
  • Access controls
  •  
  • Panic buttons accessible in every room

#6. Detailed list of ingredients

     
  • Pharmaceutical grade excipients
  •  
  • Tested and approved cannabis
  •  
  • Patch
  •  
  • Capsules

#7. Detailed list of formulas

     
  • Recipes for each product
  •  
  • Measurements for each ingredient


Exhibit 22

Page limit: 20 (not including operations manual for equipment and machinery)
Business line:
All

#1. Sales contracts for equipment and machinery

#2. Lease agreements

#3. Other documentation demonstrating possessory interest in equipment and machinery

#4. Operations manual for equipment and machinery (ask equipment providers for manuals)


Exhibit 23

Page limit: 10 (not including operations manual for equipment and machinery)
Business line:
All (esp. transport)
Specialty needed: Transportation and Distribution

#1. Receiving and Shipping Plan

     
  • Received batches of cannabis are appropriately prepared, tagged or otherwise identified (labeled) at time of receipt
  •  
  • Received product is appropriately placed in containers after preparation and tagging
  •  
  • Ensure incoming cannabis has transporter’s manifest, route, and purchase order receipt (Ensure info is accurate, Ensure docs are signed by transporter and an internal -facility agent)
  • Log received product in State Seed to Sale Tracking (info from QR code, time of receipt, date of receipt)
  • Plan for packaging and containing cannabis products before transport to a dispensary or cultivator
  • Plan for QR coding products (Point of Sale Systems / METRC) – Include all info that will be in QR code
       

Exhibit 24

Page limit: N/A
Business line:
Transport
Specialty needed: Transportation

#1. Select the vehicles from current transport activities that will be used

#2. Title for vehicles (if applicable)

#3. Lease for vehicles (if applicable)

#4. Copy of declaration pages from insurance policies for all vehicles

#5. License plate number for each vehicle

#6. DOT number for each vehicle

Note: If this exhibit exceeds 25 pages, a table of contents must be created for the section, followed by a summary of the exhibit.

 

Exhibit 25

Page limit: N/A
Business line:
Transport

#1. Verification of compliance with Alabama Public Service Commission requirements for motor carriers.

     
  • Documentation
  •  
  • Signature from the commission verifying compliance


Exhibit 26

Page limit: N/A
Business line:
Transport 

#1. Commercial driver’s license for each identified transport drive

#2. Commercial driver’s training manual

#3. Insert the following statement, including verification lines:

“All transportation vehicles identified for our integrated facility’s transport activities are appropriately registered, cared for and suited for commercial transportation of cannabis products, including being free of any markings, not allowing driver visibility of the products, not allowing external visibility of the products (no windows or covered windows), and being securely locked and temperature controlled. All transportation driver working on behalf of our integrated facility has years of experience as commercial drivers for agricultural products, haveCommercial Driver’s licenses, and have received the required training.  All drivers have been informed about the state, local and federal laws that apply to them and will comply with each of the said laws, including : list referenced laws in the header of this exhibit section)

The undersigned verifies that the information contained in this statement, is accurate and complete, based on the best available information at the date of verification.

Verification:

Name________________________

Role________________________

Signature___________________________________

Date__________________  

#4. Sign the statement above (fill out the verification section with name, role, date, signature)

Note: If this exhibit exceeds 25 pages, a table of contents must be created for the section, followed by a summary of the exhibit.

  

Exhibit 27

Page limit: N/A
Business line:
Transport
Specialty needed: Transportation

#1. Fleet Summary (summary of all vehicles)

     
  • Make
  •  
  • Model
  •  
  • Year
  •  
  • VIN Number
  •  
  • License plate number
  •  
  • Vehicle specs per vehicle
  • No visibility from carriage to storage area
  • No visibility from outside to inside
  • Locked storage area
  • Locked carriage
  • GPS for navigation
  • GPS for vehicle location tracking
  •  

Exhibit 28

Page limit: 5
Business line:
Transport 
Specialty needed: Vehicle Maintenance

#1. Protocols for care of all vehicles

#2. Protocols for maintenance of all vehicles

   

Exhibit 29

Page limit: 5
Business line:
Transport 
Specialty needed: Transportation and Distribution

#1 Example of route plans image (GPS)

#2 Example of route plan assignment

#3 Example of route plan planning strategy

 

Exhibit 30

Page limit: 10
Business line:
All 
Specialty needed: Operations

#1. Plan for strictly segregating cultivation, processing, dispensing, transportation

     
  • Separate vaults
  •  
  • Separate areas for production and cultivation
  •  
  • Garage area for packing vehicle
  •  
  • Labeling containers for transport

Exhibit 31

Page limit: 10
Business line:
All
Specialty needed: Legal AND Architecture

#1. A statement of the following items for each dispensary (all 5), and the processing, cultivation and transport facility(ies) that the company plans to operate, as of the commencement (operations start) date and within 2 years from commencement (start) date: 

  • Facility name
  • Facility Type: Dispensary
  • Physical address
  • GPS coordinates
  • Aerial photograph w/ defined site boundaries
  • Proof of occupancy authorization
  • Copy of local jurisdictions ordinance approving medical cannabis
  • Proof of proper zonin
  • Professional blueprint or floor plan (Drawn and  labeled rooms/areas (label by use)
  • Time table (date of completion of construction, date of commencement of operations
  • Insert this statement: This facility will be open to the public, limited only to caregivers and registered patients, for the purpose of medical cannabis dispensing.
  • Hours of operation
  • Hours the building will be occupied by employees
  • After-hours management contact information

Exhibit 32

Page limit: 20
Business line:
Cultivation 
Specialty needed:
Architecture, Construction and Security

#1. Engineering plans and specifications for each cultivation facility

+ Detailed plan and elevation drawings of all operational areas involved in cultivation

  • Dimensions
  • Elevation referenced to a single facility benchmark
     

+ Cross sections that show the construction details and their dimensions to provide:

  • Verification of construction materials
  • Enhancement for security measures
  • Biosecurity measures 

+ Identification of all employee-accessible non-cultivation

+ Storage area

     
  • Location
  •  
  • Size
  •  
  • Capacity


+ Ventilation systems

     
  • Location
  •  
  • Size
  •  
  • Capacity


+ Equipment used for cultivation

+ Entrances and Exits

     
  • Location
  •  
  • Door material  specifications (must be reinforced)


+ Outer walls

     
  • Physical makeup (must be reinforced)
  • Specifications
  •  


+Windows

  • Location
  • Specifications  (must be reinforced)

+ Hatches

  • Location
  • Specifications


+Skylights

  • Location
  • Specifications

+ Cameras: interior and exterior

  • Camera Location

             - Each ingress/egress

              - At vehicle entrance/exit point

              - Parking lot

              - Perimeter of  building

              - All areas except bathrooms

  • Field of view


+ Insert this statement:

All monitoring cameras will be operational for 24 hours per day, 365 days per year for the purposes of monitoring both the internal and external activities of the facility, per the requirements of cite proper regulation. The undersigned verifies that the information contained in this statement, is accurate and complete, based on the best available information at the date of verification.

Verification:

Name________________________  

Role________________________

Signature___________________________________

Date__________________

+ Have a responsible party sign the above statement

+ Location of all alarm inputs

  • Door contacts
  •  
  • Motion detectors
  •  
  • Duress/hold up devices
  •  
  • Pressure switches

                -At ingress/egress

               - At reception area

               - At vehicle entrance/exit  

     

+ Location of digital audio/video recorder

+ Location of control panel

+ Restricted access areas

+ Employee access areas

+ Public areas

+ Storage of plant inputs and equipment

  • Where nutrients, buckets, trimmers, sharps, etc. will be stored
  • Locations of garages or loading/unloading dock
  • Must be secure  and out of public view
     

+ Storage of returned products

Exhibit 33

Page limit: 30
Business line:
All
Specialty needed: Security

Reference: 3.m.(16)(k)of Rule 530-x-3.03 , § 20-2A-65(c)  (for transport section33.26)

#1. Written security plan applicable for each dispensary (do not need to write 5 plans)

+ 24-hour alarm system will be installed in all facilities where cannabis or medical cannabis are present.


+ Describe alarm system specifications and capabilities


+ The alarm system will be provided and installed by experts in industry-standard commercial grade alarm systems (Name security company and their credentials).


+ Alarm systems will:

  • Be fully operational
  • Secure all entry points
  • Secure all perimeter windows (glass break detectors)
  • Be equipped with motion detectors and pressure switches
  • Cover all areas where cannabis is delivered, received handled, stored, prepared, processed, tested, packaged, labeled, or readied for transport.


+ The reception area and personnel adjacent to ingress and egress points will have ready to access duress panic and hold-up alarms that can be accessed and     activated in the event of access by unauthorized personnel or intruders.
      

  • Explain that each employee will have a personal alarm
  • Describe the specific of the personal alarm equipment


+ Broadcast communication devices (cell phones, intercom, walkie talkies)

  • Walkie talkies for each employee.
  • Intercoms installed at perimeter ingress/egress stations, facility reception areas, and the security office
  • Will be capable of providing audio communication with sufficient clarity to be heard and understood
  • Describe the intercom equipment specifications
  • Describe the walkie talkie specifications and capabilities


+ The facility will maintain an audio/visual surveillance system that will be in continuous operation, 24 hours per day, 365 days per week.  
       

  • Describe  maintenance checks and protocol
  • Describe the  audio/visual surveillance system 


+ Cameras

  • Will be fixed in place, covering both the interior and exterior of the building
  • Describe number of cameras
  • Describe camera resolution
  • Visibility lines
  • Ability to detect facial features at all times of day from dusk to dawn and at any other time when ambient lighting requires enhancement
  • Audio recordings will clearly and accurately capture sound within camera range at a level of 20 decibels or greater


+ Interior and exterior lighting   
      

  • Will be abundantly placed so that cameras have full visibility of all activities in all reasonably accessible areas of the premises
  • Describe the lighting brightness
  • Describe type of lights
  • Describe number of lights
  • Describe specific placements


+ The cultivation, production and transportation integrated facility will have cameras at point of vehicle entrance and exit capable of detecting the license plate     number, style of vehicle, color of vehicle and any other identifying characteristics for every vehicle utilized for cannabis transport, as well as for any employee, visitor, inspector, or service provider vehicles which enter the property.

  • Number of cameras
  • Type of cameras
  • Camera specifications/capabilities
  • Camera placement description


+ The cultivation, production, and transportation integrated facility property perimeter

  • Will be surrounded by a fence sufficient to prevent access by unauthorized individuals. 
  • Will have sufficient lighting to always allow for the proper functioning of video surveillance equipment between dusk and dawn or at any other time when ambient lighting requires enhancement to permit identification of individuals and activities upon or immediately adjacent to the premises. Indoor premises must likewise be sufficiently lit to allow for the identification of individuals and activities.

Note: Describe how authorized persons will access the property via code entry


+ Audio/visual record keeping

  • Record all ongoings at the facility
  • Clearly display the time and date of the recordings
  • Keep audio/visual surveillance records for no fewer than 60 days
  • If requested by Commission inspectors, or law enforcement, audio/visual recordings will be kept for more than 60 days.
  • Audio/Video recordings potentially reflecting an incident of actual or attempted diversion must be kept for longer of 2 years or until incident resolution
  • The facility security office will be equipped with a printer capable of printing a high-resolution image capture

                    + Describe the printer type

                    + Describe printer capabilities 


+ Exterior doors will be reinforced to withstand unlawful forcible entry

  • Describe the materials used to reinforce the walls


+ Exterior walls will be reinforced to withstand unlawful forcible entry

  • Describe the  materials used to reinforce the walls


+ Windows will be reinforced to prevent breakage from outside intruders

  • Describe the  glass break detectors
  • Describe window reinforcement
  • Describe (ideally) that the facility will not have any exterior window


+ Dispensaries will be a standalone structure OR multi-use structure/strip mall/retail facility

  • NOT accessible by neighboring businesses (no doors attached to neighboring business), other tenants or other not employed by our company.


+ Describe the structure type for each dispensary

  • if in a shopping mall must be separated from other businesses
  • The building will only be accessible by employees of the Applicant; patients and caregivers; AMCC (Alabama Medical Cannabis Commission) representatives and their guests;  representatives of other licensees; vendors, cleaning crew personnel, and repair workers carrying out business-related functions on the premises; representatives of the lessor during routine inspections or similar circumstances warranting a physical visit to the premises; or other appropriate individuals.


+ Each facility will have two staffed security guards during operating hours to reasonably ensure the safety of the products stored in the facility, and the humans occupying the facility.

+ Strict access controls, including frequency operated buttons with access limitations and access record keeping will protect areas where cannabis and medical cannabis are stored in a secured, locked vault.

  • Describe area access controls and ability to limit access
  • Describe vault strength
  • Describe vault entry access control


+ Daily monetary receipts are handled and stored in a secured locked safe

  • Describe safe
  • Describe access controls to safe
  • Describe room where safe is stored (access-controlled manager’s office)


+ Cash handling procedures for beginning and end of day movement

  • Between secure areas and sales areas 


+ Security plan for always maintaining cash on hand

  • Cash drawers
  • Describe cash drawers, level of security and access
  • Describe how an employee would request additional cash on hand
  • Describe protocol for additional cash on hand being transferred to employee
  • Describe at what max cash value an employee must notify a manager that cash needs to be transferred to the safe. 

+ Members of the public are not allowed inside the dispensary facilities unless they are proven to be a registered patient or caregiver in the state of Alabama     with a valid, unexpired, unrevoked medical cannabis card.

  • Describe ID checking


+ Electronic records will be kept of all persons on the premises at the facility at all times, including patients, care givers, employees, vendors, transporters or other licensees, and all others. Such records shall be kept for a minimum of two years, and longer at the request of the Commission or law enforcement.) These records must record:

  • Name
  • Date and time of ingress
  • Date and time of egress
  • Reason for presence (non-employees)
  • Describe employee login system and it’s record keeping
  • Describe visitor check in procedure, policy, and record keeping
  • Describe manual records to be kept should a system crash (excel) 


+ While on duty, employees must wear identification badges that clearly identify them as employees.  Employee badges must be kept at the facility in the security office when employee is not on duty.

  • Name
  • “EMPLOYEE”
  • Facility name


+ Visitors, including vendors, other licensees, Commission members, inspection personnel, or other representatives, will be required to wear a facility-issued visitor badge or an “AMCC Official” pass (as applicable) while on premises and must return the badges before exiting the facility.  Each visitor’s badge number will be recorded during the visitor check in process.

+ Create: Theft, loss and diversion policies for reporting theft, loss and diversion of cannabis products to the Commission and to law enforcement as early as practicable and not more than 24 hours from the time of the identification of theft, loss, or diversion.

  • Describe theft, loss, diversion detection
  • Describe theft/loss/diversion record keeping
  • Describe theft/loss/diversion reporting to commission and law enforcement (designated email, emergency number call)


+ Insert this statement:

Each dispensing facility will conspicuously and prominently display a sign with the statement, “WARNING: This facility is monitored at all times using audio and video surveillance. Entry to this business and purchases within are strictly prohibited except as to registered patients and caregivers presenting valid identification as required by law.” These signs will be at least 8”X11” with bold legible font that is at least 20pt. These signs will be placed at each entry point and on the wall near the check-out point on the sales floor. The undersigned verifies that the information contained in this statement, is accurate and complete, based on the best available information at the date of verification.

Verification:

Name________________________     Role________________________

Signature___________________________________    Date__________________

 

#2 Plan for security  during transport of cannabis and/or medical cannabis

+ Variable route plans and GPS tracking systems will be monitored from the transport section of the facility security center using WIFI, or hardline network technology

  • Describe the technology
  • Describe the tracking detail
  • Describe how the tracking will be monitored by internal security or management transport personnel


+ All vehicles will have locks and alarm systems, including on the secure storage area of the vehicle where cannabis and cannabis products are stored during transit.

  • Describe the locks and alarms (are some of them already present in the vehicles?)
  • Describe how alarms are triggered
  • Describe how locks are accessed


+ Self-recording audio/visual recording device will be placed on the dashboard of every transport vehicle.


+ Self-recording audio/visual recording device will be placed in secure storage area with visibility of all products and all activity, in every transport vehicle.


+ Vehicle’s audio/visual recording systems will be functional at all times the vehicles are in use and in transit.


+ Audio/visual equipment

  • Will have sufficient lighting to always allow for the proper functioning of video surveillance equipment between dusk and dawn or at any other time when     ambient lighting requires enhancement to permit identification of individuals and activities upon or immediately adjacent to the vehicle.
  • Recordings will clearly display the time and date of the recordings
  • Keep audio/visual surveillance records for no fewer than 60 days
  • If requested by the Commission, Commission inspectors, or law enforcement, the audio/visual recordings will be kept for more than 60 days based on the     request made.  
  • Audio/Video recordings potentially reflecting an incident of actual or attempted diversion must be kept for the longer of a period of two years, or until resolution of the incident and apprehension and discipline or prosecution of the individuals involved in the actual or attempted diversion.
  • Ability to detect facial features at all times of day from dusk to dawn and at any other time when ambient lighting requires enhancement to permit individuals and activities upon or immediately adjacent to the facility
  • Audio recordings will clearly and accurately capture sound within camera range at a level of 20 decibels or greater (if greater, name the number of decibels)


+ All secure transport vehicles will be free of marking indicating that the vehicle is transporting cannabis.  


+ All secure transport vehicles will be free of any logo or name of the licensed company or any other licensee.


+ Cannabis and medical cannabis will be stored in sealed, opaque, tamper-evident containers with informational labels including the destination of each container’s contents while in transport.

  • These containers, while in transit, will not be visible by transport drivers.
  • Describe containers
  • Each container will be equipped with a tracking device that can be monitored remotely by the secure transport station at the facility at all times during transport
  • Describe tracking device
  • These containers holding cannabis or medical cannabis will not be visible or recognizable from the outside of the vehicle.  

+ Drivers will be equipped with accessible panic buttons to be held on their person and duress alarms to be placed strategically in the vehicle carriage so that they are accessible by both transporters but are not placed as to be at risk of false alarm. The transport drivers will be trained on how to activate panic buttons and duress alarm in the event of an attempted diversion by unauthorized personnel, hijackers, terrorists, or other improper intervenors.


+ Each of the 2  employees in the transport vehicle will have company provided cell phones to contact the secure transport center located at the facility or to call     911 in case of emergency – at all times when they are in the transport vehicle whether or not cannabis or medical cannabis is stored in the vehicle.  This procedure will be included in training for transport drivers before they start transporting cannabis. These devices will be kept at the secure transport facility when drivers are not in transit, and will be charged overnight so that drivers have fully charged communication devices while in transit.  All transport vehicles will be equipped with cellular device chargers so that both transport drivers can ensure their communication devices are functional at all times while in transit.


+ If any emergency required stopping the vehicle, the transport employees will be trained to immediately notify a manager or dispatcher at the secure transport center via phone call and to alert AMCC via email or phone call (whichever AMCC prefers).  Transport drivers will be trained to follow an emergency protocol checklist which includes notifying the secure transport center and ALEA, in detail, about the nature of the incident and completing an incident report in the form provided by the Commission. When necessary, transport drivers will also alert law enforcement personnel.  In addition to the incident form provided by the Commission, internal electronic records will be kept regarding any incident, drivers involved, type of incident, date and time of incident, product being transported, any other parties involved in the incident (ex: car crash), and the outcome of the incident or actions taken. 


+ No person other than a commercially licensed secure transport driver employed by the facility may have actual physical control over (be the driver of) the     transport vehicle at any time during transport of cannabis or medical cannabis.  


+ Transport drivers employed by the facility will be trained in, and have ready access to , secure procedure for undergoing administrative inspection by law     enforcement pursuant to § 20-2A-65(c) , Code of Alabama 1975 : meaning  that law enforcement may inspect the vehicle while it contains cannabis or medical cannabis to validate the licensure of the drivers which must be carried at all times during licensure, inspect the employee ID which must be carried at all times during transit, the proof of registration and insurance policy, the route plans and delivery manifest for the delivery, and that proper security systems such as panic alarms, duress signals and GPS are installed in the vehicle.


+ Containers of cannabis or medical cannabis that are prepared for transport will be appropriately labeled with a copy of the product labels of the products within the container, as well as the final destination of the product, and a copy of the purchase order receipt. and inserted in the sealed opaque tamper evident containers prior to storage or transport.


+ Batches that are prepared for storage or transport will bar coded with a METRC tag and QR coded by the internal inventory tracking system (which integrates with the state tracking) both which will identify:

  • Batch number or plant tag number
  • Contracting licensee
  • Facility of origin
  • Type of product
  • Date of harvest (flower) or date of processing (product)
  • Date of packaging
  • Date of the most recent State Lab Testing Approval


+ Transport vehicles while transporting cannabis or medical cannabis will have two transport employees present when a transport vehicle is making more than     one stop on the delivery route or is traveling more than 10 miles away from the facility.  One will be the designated driver and one will be the designated passenger whose job will be to assist the driver with loading and unloading the vehicle, ensuring the proper protocols are followed, helping in case of incident or     emergency, and ensuring the vehicle is never left unattended.

  • Non-employees are prohibited from being in the secure transport vehicles at any time.
  • Only employees who have been assigned as secure transport drivers and fully trained are permitted to be in the vehicle either as a passenger or a driver.
  • The transport vehicles must never be left unattended when transporting cannabis or medical cannabis and at least one secure transport employee of the     facility must always remain with the vehicle.


+ Route plans are carefully curated and randomized for optimal transport safety and delivery times. Transporters will be trained to strictly adhere to the designated     route plans at all times.  Transporters must document any stops made along the designated route plan for refueling or any other reason (ex: to use a restroom).  The documentation will include: reason, duration, activity, and location of the stop.  


+ Secure transport vehicles will be equipped with GPS tracking and monitored throughout tracking by the security personnel located at the facility through Wi-Fi,     or hardware networking technology

  • Describe the technology

 

#3 Verification statements


+ Insert this statement

Route plans, manifests, transport logs, freight bills, bills of lading and any free-on-board (“FOB”) terms of sale documents, maintenance and repair records, and insurance documentation will be kept electronically, including, but not limited to, as part of the Statewide Seed-to-Sale Tracking System METRC, as to all vehicles in the secure transportation fleet, for a period of not less than two (2) years, and longer upon the request of the Commission or law enforcement. Back up version of such documents will be stored in an organized file location on an administrative computer and in a secure cloud storage location and be made available to the Commission or its representatives(including inspectors) during inspections and other official visits.
The undersigned verifies that the information contained in this statement, is accurate and complete, based on the best available information at the date of verification.

Verification of this statement made by:

Name__________________________________.   Role________________________

Signature___________________________________   Date__________________

+ Insert this statement

Upon request, the company will make available to the Commission or its inspectors all information relating to the official security plan, including, but not limited to, security alarm systems, monitoring, alarm activity, maps of camera locations and camera coverage, audio/video footage, surveillance equipment maintenance logs, authorized use lists, operation instructions, secure transport security plan and procedures, and any other security-related information deemed relevant by the Commission or its inspectors.
The undersigned verifies that the information contained in this statement, is accurate and complete, based on the best available information at the date of verification.

 Verification of this statement made by:

Name__________________________________.   Role________________________ 

Signature___________________________________   Date__________________  

Exhibit 34

Page limit: N/A
Business line:
All

#1 Form G – fill out for ALL employees to be utilized in the integrated facilities

#2 Collect the following information for EACH employee and leader to fill out form

     
  • Name
  •  
  • Street address
  •  
  • Contact phone  number(s)
  •  
  • E-mail  address(es)
  •  
  • Social security  number


#3 Sign Form G once complete (complete verification section at the bottom)

#4 If more than 1 form G is needed, make sure that each one has the verification section filled out.

 

Exhibit 35

Page limit: 10
Business line:
All

#1. CV – Curriculum Vitae (resume) for the business demonstrating,  for each facility (including each dispensary):

  • Education of leadership
  • Credentials of leadership
  • Education of science or engineering based employees
  • Credentials of science or engineering based employees
  • Education of business experienced employees, including
  • Finance
  • Accounting
  • Marketing
  • Managing
  • Advertising
  • Public relations

#2. Detailed explanation of the operational Role for each employee, including:

  • Leader
  • Certified dispenser
  • Scientist
  • Businessperson
  • Or engineer

 

#3. 5 year hiring plan for employees, identifying:

     
  • Types
  •  
  • Positions
  •  
  • Required education
  •  
  • Required experience
  •  
  • Expected roles

  

Exhibit 36

Page limit: N/A
Business line:
All
Specialty needed: HR and Legal


#1. Employee Handbook

     
  • Safety policies
  •  
  • Personnel safety
  •  
  • Crime prevention techniques

Note: If the handbook exceeds 25 pages, the create a summary of the handbook (not to exceed 5 pages)

Exhibit 37

Page limit: N/A
Business line:
Transport

#1. Form  H  – secure transport drivers


#2. To complete form H for each driver you’ll need this information:

     
  • Name
  •  
  • Date of birth
  •  
  • SSN
  •  
  • Driver’s license      


#3. All citations, fines and violations received in past 3 years (tickets)

  • Copies of these violations (tickets) if available [attach to form]

4. Copy of driver’s license [attach to form]

 

Exhibit 38

Page limit: N/A
Business line:
Transport
Specialty needed: Transportation and HR

#1. Driver’s manual including:

  • Qualifications
  • Standards
  • Procedures to be met and followed by drivers
  • Procedures to be met and followed by prospective drivers (training, test drive)
  • Any other information pertinent to a Driver’s Manual

Note: If Driver’s Manual exceeds 25 pages, the create a summary of the handbook (not to exceed 5 pages)

 

Exhibit 39

Page limit: 20
Business line:
All
Specialty needed: Cultivation, Processing, Operations

#1 Quality control and Quality Assurance plan for each facility (including each dispensary)

     
  • Overview of  steps to be taken in the cultivation and processing (“manufacturing”)

                 + To provide high quality product

                 + Ensure batch safety

                 + Ensure batch potency

                 + Ensure batch stability

                 + Ensure batch lifespan

                 + Ensure batch consistency

  

          Methods of ensuring the above may include:              

                  + Nutrient type

                  + Water quality

                  + Monitor environment

                  + Pest inspection & mitigation

                  + Consistency in procedures

                  + Storage temperatures

  • A plan for performing Quality Control of packaged and unpackaged products at company’s expense, after licensure

                  + Describe pest control

                  + Describe care of packaged products

                  + Describe intake/care of packaging

                  + Describe intake/care of labels

                  + Quality Control Unit

                  + Personal Protective Equipment 

  • A plan for conducting testing with a State Licensed Testing Laboratory (Ch.10)

                  +  Tests @ each production stage

                  +  Will testing @ each stage
                     be conducted:

                           - In house

                           - Unofficially @ a State Lab

                           - Only officially @ a State Lab

  • Plan for any failed test samples, including how the following will be logged and tracked:

                  +  Return

                  +  Remediation

                  +  Destruction

Exhibit 40

Page limit: 10
Business line:
All
Specialty needed: Operations and Legal

#1 Detailed contamination and recall plan in event of batches or lots being required for recall

     
  • Notifying processor or integrated facility and any other licensed facility that integrated with the supply chain of the recalled product
  • Classifying need for recall and what remediations steps (if any) would be taken for each classification
  • Quality Control Unit assigned to oversee recall procedures
  • Notification protocols and to other licensees through the state tracking system
  • Process to ensure return, remediate, approved as safe/destroyed of recalled product
  • Process to report to the commission and other regulatory body with interest, the crisis response steps taken to mitigate or avoid danger to the public
  • Steps to avoid contamination, preserve and protect uncontaminated cannabis or cannabis products and ensure access to medical patients - Quarantine plan
  • Investigation and analysis of factors that led to the unsafe conditions which resulted in a recall
  • Identifying and defining any required adjustments to existing protocol to prevent another occurrence

Exhibit 41

Page limit: 20
Business line:
All
Specialty needed: Marketing

#1. Marketing and Advertising Plan:

     
  • Logos
  •  
  • Branding
  •  
  • Messaging
  •  
  • Other communications both internal and external (ex: video sin the dispensary, posters in-house, ads)


#2 Specific media outlets or platforms to be utilized for marketing or advertising

     
  • Social media platforms
  •  
  • Website
  •  
  • Magazines?
  •  
  • Leafly / I <3 Jane


#3 Media outlet or third party projected to play a role in marketing and advertising efforts, and copies of example contracts with these entities

     
  • PR firm
  •  
  • Marketing firm
  •  


#4 Virtual renderings of packaging

     
  • Size
  •  
  • Color
  •  
  • Logo
  •  
  • Artwork
  •  
  • Statements/wording
  •  
  • Show the child-resistant, tamper evident and other safety feature


#5 Examples of proposed labeling

     
  • For packaging
  •  
  • For inserts
  •  
  • In packages
  •  
  • For containers


#6 Labeling examples must include the following information on the back labeling

     
  • Company name
  •  
  • Company address
  •  
  • Company license number
  •  
  • Product name
  •  
  • Product amount (in grams)
  •  
  • Total THC (THC+THCA)
  •  
  • Total CBD (CBD+CBDA)
  •  
  • THC %
  •  
  • Terpene Profile
  • The universal state symbol printed in color at least one-half inch by one-half inch in size.
  •  
  • This statement:  "WARNING: This product may make you drowsy or dizzy. Do not drink alcohol with this product. Use care when operating a vehicle or other machinery. Taking this product with medication may lead to harmful side effects or complications. Consult your physician before taking this product with any     medication. Women who are breastfeeding, pregnant, or plan to become pregnant should discuss medical cannabis use with their physicians."      
  •  
  • QR code placement
  •  
  • Mock up ads
  •  
  • Mock up social media posts
  •  
  • Brand use  guidelines (color codes, sizing, placement, etc)

  

Exhibit 42

Page limit: 10
Business line:
All
Specialty needed: Marketing

#1. Website of each website owned or operated by integrated facility

  • Buy domain name (make a landing page if time permits)

#2. Secure social media handles (instagram, Facebook, twitter, LinkedIn) if desired

Conclusion

Congratulations! You made it to the end of the checklist. As you can see, Alabama’s process for cannabis licensing (in this case an integrated cannabis license, but the high standards exist for every license type) is no joke because they want to make sure things are done right and they want to limit the pool of applicants to an elite few. So, if you’re working on your cannabis business license now, good luck! If you’d like to do so in a few years when they open up licensing again, now you know how to get started. You know the BEST way to start preparing -We have the documents you need to fulfill most of the requirements.  Go get 'em tiger.

___________________________ 

Find Required Documents

Dispensary Operating Plans

Cultivation operating Plans

Processing Operating Plans

Employee Agreements, Forms, and Handbook

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About Leafsheets

Leafsheets is a cannabis business support and acceleration platform that is breaking the barriers to entry and success in cannabis business by simplifying cannabis entrepreneurship by providing vital operating plans, business information, and answers to the most pressing questions. **Leafsheets is an experienced business advisor and not a legal advisor. For legal advice, consult with a licensed legal practitioner in your state.

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