$4ng Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Section A: Business Entity Information 1. Business Name: Etain. LLC 2. Organization Type (choose one): 3- BUSiness Type (Choose one)3 For.pro?t El Corporation Limited Liability Company Nonpro?t El Sole Proprietorship General Partnership El Limited Partnership Other: 4. Phone: 914-232-0902 5. Fax. 914-232-0909 6. Email: amy@etalnhealth.com 7. Business Address: 29 0 d Aspetong Road 8. City: Katonah 9. State: New York 10. ZIP Code: 10536 11. Mailing Address (if different than Business Address): Same 12. City: 13. State: 14. ZIP Code: Section B: Primary Contact Information 15. Name: Amy Peckham 16. Title: Chief Executive Of?cer 17. Phone: 914-232-0902 18. Fax: 914-232-0909 19. Email: amy@etainhealth.com 20. Mailing Address: 29 Old Aspetong Road 21.City: Katonah 22. State: New York 23. ZIP Code: 10536 Section C: Proposed Manufacturing Facility Information 24. Proposed Facility Name: Etain 25. Proposed Facility Address: 6030?6032 State Route 9 26. City: Chester 27. State: NY 28. ZIP Code: 12187 29. County: 30. Property Status (choose one): Warren Owned by the applicant Leased by the applicant Other: If you checked ?Other? above, describe the property status in the ?eld provided. 31. Proposed Hours of Operation: Monday; 12:00 am to 11:59 pm Friday: 12:00 am to 11:59 pm Tuesday; 12:00 am to 11:59 pm Saturday; 12:00 am to 11:59 pm Wednesday: 12:00 am to 11:59 pm Sunday: 12:00 am to 11:59 pm Thursday: 12:00 am to 11:59 pm 'An additional entry is included below for applicants who are proposing to use more than one manufacturing facility (responsible for cultivatlon. harvesting. extraction or other processing, packagimanglabelingl- DOH-5138 (04/15) Page 1 of 7 NEW YORK Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization 32. Proposed Facility Name: 33. Proposed Facility Address: 34. City: 35. State: NY 36. ZIP Code: 37. County: 38. Property Status (choose one): DOwned by the applicant Leased by the applicant DOther: If you checked ?Other? above, describe the property status in the field provided. 39. Proposed Hours of Operation: Monday: to Tuesday: to Wednesday: to Thursday: to 40. Proposed Facility Name: Etain Section D: Proposed Dispensing Facility #1 information Friday: to Saturday: to Sunday. to 41. Proposed Facility Address: 402 North Pearl Street 42. City: Albany 43. State: NY 44. ZIP Code: 12207 45. County: Albany 46. Property Status (choose one): Owned by the applicant Leased by the applicant Other: if you checked ?Other? above, describe the property status in the field provided. 47. Proposed Hours of Operation: Thursday: 48. Proposed Facility Name: Etain Monday: Closed to Friday: 10:00 am to 6:00 pm Tuesday: 10:00 am to 6:00 pm Saturday: 10:00 am to 4:00 pm Wednesday: 10:00 am to 6:00 pm Sunday: Closed to 10:00am to 8:00 pm Section E: Proposed Dispensing Facility #2 Information 49. Proposed Facility Address: 445 State Route 28 50. City: Kingston 51.State: NY 52. ZIP Code: 12401 53. County: Ulster 54. Property Status (choose one): Owned by the applicant Leased by the applicant Other: If you checked ?Other? above, describe the property status in the field provided. OOH-5138 (04/15) Page 2 of 7 $.ng De rtment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization 55. Proposed Hours of Operation: Monday: Closed to Friday: 10:00am to 6:00 pm Tuesday; 10:00 am to 6:00 pm Saturday; 10:00 am to 4:00 pm Wednesday: 10:00am to 6:00pm Sunday: Closed to Thursday: 10100801 to 8:00 pm Section F: Proposed Dispensing Facility #3 information 56. Proposed Facility Name: Etain 57. Proposed Facility Address: 460 Nepperhan Avenue 58. City: Yonkers 59. State: NY 60. ZIP Code: 10701 61. County: 62. Property Status (choose one): Owned by the applicant Leased by the applicant El Other: If you checked ?Other? above, describe the property status in the field provided. 63. Proposed Hours of Operation: Monday: Closed to Friday: 10:00 am to 6:00 pm Tuesday: 10:00 am to 6:00 pm Saturday: 10:00 am to 4:00 pm Wednesday: 10:00 am to 6:00 pm Sunday: Closed to Thursday: 10:00 am to 8:00 pm Section G: Proposed Dispensing Facility #4 Information 64. Proposed Facility Name: Etain 65. Proposed Facility Address: 2140 Erie Boulevard East 66. City: Syracuse 67. State: NY 68. ZIP Code: 13224 69. County: 70. Property Status (choose one): Onondaga Owned by the applicant Leased by the applicant Other: If you checked ?Other? above, describe the property status in the field provided. 71. Proposed Hours of Operation: Monday: Closed to Friday: 10:00 am to 6:00 pm Tuesday: 10:00 am to 6:00 pm Saturday: 10:00 am to 4:00 pm Wednesday: 10:00 am to 6:00 pm Sunday: Closed to Thursday: 10:00 am to 8:00 pm DOH-5138 (04/15) Page 3 0f 7 Department Medical Marijuana Program STATE of Application for Registration as a Registered Organization Section H: Legal Disclosures 72. Has the applicant, any controlling person of the applicant. any manager, any principal stakeholder, any sole proprietor applicant, any general partner of a partnership applicant, any officer or member of the board of directors of a corporate applicant, or corporate eral partner had a prior discharge in bankruptcy or been found insolvent in any court action? DYes $0 If the answer to this question is ?Yes,? a statement providing details of such bankruptcy or insolvency must be included with this application. 73. Does any controlling person of the applicant, any manager, any principal stakeholder. any sole proprietor applicant, any general partner of a partnership applicant, any officer or member of the board of direct0rs of a corporate applicant, or corporate general partner, or a combination of such persons collectively, maintain a ten percent interest or greater in any ?rm, association, foundation, trust, partnership, corporation or other entity, and such entity will or may provide goods, leases, or services to the registered organization, the value of which is or would be ?ve hundred dollars or more within any one year? OR Does any entity maintain a ten percent interest or greater in the applicant, and such entity will or may provide goods, leases, or services to the registered organization, the value of which is or would be ?ve hundred dollirs or more within any one year? ElYes If the answer to either of these questions is ?Yes,? a statement with the name and address of the entity together with a description of the goods, leases, or services and the probable or anticipated cost to the registered organization, must be included with this application. 74. A. Is the applicant a corporate subsidiary or af?liate of another corporation? EYes we If the answer to this question is ?Yes,? a statement setting forth the name and address of the parent or af?liate, the primary activities of the parent or affiliate, the interest in the applicant held by the parent or affiliate, and the extent to which the parent will be involved in the activities of the applicant, and responsible for the financial and contractual obligations of the subsidiary must be included with this application. The organizational and operational documents of the corporate subsidiary or affiliate must also be submitted, including but not limited to, as applicable: the certificate of incorporation, bylaws, articles of organization, partnership agreement, operating agreement, and all amendments thereto, and other applicable documents and agreements including in relation to the subsidiary or affiliate?s financial or contractual obligations with respect to the applicant. B. Is any owner, partner or member of the applicant not a natural person? UYes If the answer to this question is ?Yes,? a statement must be included with this application setting forth the name and address of the entity, the primary activities of the entity, the interest in the applicant held by the entity, and the extent to which the entity will be involved in the activities of the applicant, and responsible for the ?nancial and contractual obligations of the applicant. The organizational and operational documents of the entity must also be submitted, including but not limited to, as applicable: the certificate of incorporation, bylaws, articles of organization, partnership agreement, operating agreement, and all amendments thereto, and other applicable documents and agreements including in relation to the entity?s ?nancial or contractual obligations with respect to the applicant, and the identi?cation of all those holding an interest or ownership in the entity and the percentage of interest or ownership held in the entity. if an interest or ownership in the entity is not held by a natural person, the information and documentation requested herein must be provided going back to the level of ownership by a natural person (Principal Stakeholder). OOH-5138 (04/15) Page 4 of 7 Department SW: of Health Medical Marijuana Program Application for Registration as a Registered Organization 75. Has construction, lease, rental, or purchase of the manufacturing facility been completed? EYes [No If the answer to this question is a statement indicating the anticipated source and application of the funds to be used In such purchase, lease, rental or construction, as well as anticipated date that construction, lease, rental or purchase will be completed must be included with this application. 76. Has construction, lease. rental, or purchase of the disgensigg facilities been completed? _E?es [No If the answer to this question is a statement indicating the anticipated source and application of the funds to be used in such purchase, lease, rental or construction, as well as anticipated date that construction, lease, rental or purchase will be completed must be included with this application. Section l: Required Attachments Applications received without the required attachments will not be eligible for consideration until the required attachments are received. All such attachments must be postmarked by the Deadline for Submission of Applications. Ti?The applicant has enclosed a non-refundable application fee in the amount of $10,000. Applications received without the $10,000 application fee will not be considered. 78. The applicant has enclosed a conditionally refundable registration fee in the amount of $200,000. Applications received without the $200,000 registration fee will not be considered. The $200,000 registration fee will be refunded to applicants that are not selected as registered organizations. The applicant has attached all required statements from Section H: Legal Disclosures, if applicable. 80. The applicant has attached identification of all real property, buildings, and facilities that will be used in manufacturing and dispensing activities, pursuant to PHL 3365 and 10 and labeled this attachment as ?Attachment 817% The applicant has attached identification of all equipment that will be used to carry out the manufacturing, processing, transportation, distributing, sale, and dispensing activities described in the application and operating plan, pursuant to PHL 3365 and 10 and labeled this attachment as ?Attachment 82K The applicant has attached copies of all applicable executed and proposed deeds, leases, and rental agreements or executed option contracts related to the organization?s real property interests, showing that the applicant possesses or has the right to use suf?cient land, buildings, other premises, and equipment, and contains the language required in 10 if applicable, or, in the alternative, the applicant attached proof that it has posted a bond of not less than $2,000,000, pursuant to PHL 3365 and 10 and labeled this attachment as ?Attachment OOH-5138 (04/15) Page 5 of 7 9531K De artment Medical hilfarij;ana STATE of Health App Ication or Ion as a Registered Organization I 83. The applicant has attached an operating plan that includes a detailed description of the applicant's manufacturing processes, transporting, distributing, sale and dispensing policies or procedures. and contains the components set forth in 10 and labeled the operating plan as ?Attachment - Operating Plan" with the information clearly labeled and divided into the following sections: Section 1 - Manufacturing Section 2 - Transport and Distribution Section 3 - Dispensing and Sale Section 4 - Devices Section 5 - Security and Control Section 6 - Standard Operating Procedure Section 7 - Quality Assurance Plans Section 8 - Returns, Complaints, Adverse Events and Recalls Section 9 - Product Quality Assurance section 10- Recordkeeping 84. The applicant has attached copies of the organizational and operational documents of the applicant, pursuant 10 which must include the identification of all those holding an interest or ownership in the applicant and the percentage of interest or ownership held. and labeled this attachment as ?Attachment 85% ?Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members? has been completed for each of the board members, of?cers, managers, owners, partners, principal stakeholders, directors, and any person or entity that is a member of the applicant setting forth the information required in PHL 3365(1)(a)(iv) and 10 saw- The applicant has attached documentation that the applicant has entered into a labor peace agreement with a bona ?de labor organization that is actively engaged in representing or attempting to represent the applicant?s employees, pursuant to PHL and 10 and labeled this attachment as ?Attachment era The applicant has attached a ?nancial statement setting forth all elements and details of any business transactions connected with the application, including but not limited to all agreements and contracts for consultation and/or arranging for the assistance in preparing the application, pursuant to 10 and labeled this attachment as ?Attachment 88. The applicant has completed ?Appendix Architectural Program" and included the components set forth in 10 and 89. The applicant has attached the security plan of the applicant's proposed manufacturing and dispensing facilities indicating how the applicant will comply with the requirements of Article 33 of the Public Health Law, 10 Part 1004, and any other applicable state or local law. rule. or regulation, and labeled this attachment as ?Attachment 90m The applicant has attached the most recent ?nancial statement of the applicant prepared in accordance with generally accepted accounting principles (GAAP) applied on a consistent basis and certi?ed by an independent certi?ed public accountant, in accordance with the requirements of 10 and labeled this attachment as "Attachment Mame applicant has attached a staf?ng plan for staff to be involved in activities related to the cultivation of marijuana, the manufacturing and/or dispensing of approved medical marijuana products. and/or staff with oversight responsibilities for such activities that includes the requirements set forth in 10 of the regulations and labeled this attachment as "Attachment OOH-5138 (04/15) Page 5 of 7 #5ng Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization 92. ?The applicant has attached proof from the local intemet service provider(s) that all of the applicant's manufacturing and dispensing facilities are located in an area with internet connectivity and labeled this attachment as "Attachment lntemet connectivity will be required to support the use of a Seed-to-Sale Scyution approved by the Department to record the registered organization?s permitted activities. 9:1.sz applicant has attached a timeline demonstrating the estimated timeframe from growing marijuana to production of a final approved product, and labeled this attachment as ?Attachment applicant has attached a statement and/or documentation showing that the applicant is able to comply with all applicable state and local laws and regulations relating to the activities in which it intends to engage under the registration, pursuant to 10 and labeled this attachment as ?Attachment Section J: Attestation and Signature As the chief executive officer duly authorized by the board of a corporate applicant, or a general partner or owner of a proprietary applicant, I hereby authorize the release of any and all applicant information of a con?dential or privileged nature to the Department and its agents. If granted a registration. I hereby agree to ensure the registered organization uses the Seed-to-Sale Solution approved by the Department to record the registered organization?s permitted activities. I hereby certify that the information provided in this application, including in any statement or attachments submitted herewith, is truthful and accurate. I understand that any material omissions, material errors, false statements, misrepresentations. or failure to provide any requested information may result in the denial of the application or other action as may be allowed by law. 95. Signature/21 96. Date Signed: . {0/1115 97. Print Name: .H. la v.3 [Rum/10? The must Include a handwritten signature by the chief executive officer duly authorized by the board of a corporate applicant, or a general partner or owner of a proprietary applicant, and must be notarized. Notary Name: 3 Notary Registration Number: a. A 3mm k? 6 tie/mast owe a. Notary (Notary Must Af?x Stamp or Seal) Date: SARA ELIZABETH PAYNE Au . 1m" Notary Public. State of New York No. 02PA6310602 Qualified in Onondaga County . Comnussion Expires August 25. .iC. OOH-5138 (04/15) Page 7 of 7 APPENDIX A AF FIDAVITS ETAIN, LLC ORGANIZATIONAL CHART I Etain, LLC Hillary Peckham, Managing Member Keeley Peckham,Managing Member JD Peckham, Member Gregory Peckham, Member I CEO Board of Advisors I I Amy peckham I I I I I I Brian R. Sang lee Choi Jazmine Hupp Benjamin Charla} Monica Rachel Itzman Bl I a . . urn PM). Lombardo peeg 8 COO CCO CHO CFO Hillary Peckham Joseph Stevens Keeley Peckham Richard Levine Managing Managing Security Quality Manufacturing cmtivation Master I Pharmacist - Pharmacist - Director Assurance Manager Manager gall?igf HR Dlredor IT D'redor Upstate Downstate Of?cer (Grower) Medical Director Marketing Director I Manager I CommunityRelations I APPENDIX A AFFIDAVITS FOR BOARD MEMBERS, OFFICERS, MANAGERS, OWNERS, PARTNERS, PRINCIPAL STAKEHOLDERS, DIRECTORS, AND MEMBERS MEMBERS AND EXECUTIVES AMY PECKHAM, CHIEF EXECUTIVE OFFICER RICHARD LEVINE, CHIEF FINANCIAL OFFICER KEELEY PECKHAM, CHIEF HORTICULTURAL OFFICER AND MEMBER HILLARY PECKHAM, CHIEF OPERATING OFFICER AND MEMBER JOSEPH STEVENS, CHIEF COMPLIANCE OFFICER JOHN PECKHAM, MEMBER GREGORY PECKHAM, MEMBER Etain. LLC Appendix A A ?idavits vg?gk Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Etain LLC This is the name that was entered in Section cf the Application for Registration? as a Registered Organization. Briefly describe. the role of this person or entity in the proposed registered organizationi As Etain LLC's Chief Executive Officer, I will oversee all of the company's operations. 5. Will this person or entity come into cantact with medical marijuana or medical marijuana products? Yes Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through ldentogo at using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? Etes No If the answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. DOH-5145 (04/15) Page 1 of 7 95% De rtment Medical Marijuana Program STATE of HeaIth Application for Registration as - a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? DYes No If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. a. Phone: 9. Fax: (914)? 10. Email: amy@etainhealth.com 11. Residence Address: 12. City: - 13. State: I 14. ZIP Code: - 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received Iona College 715 North Avenue BA New Rochelle, New York 1981 1983 5/1983 10801 Catholic University 620 Michigan Avenue NE Transferred Washington, DC. 20064 1976 1978 OOH-5145 (04/15) Page 2 of 7 Department Medicalearij:ana Program STATE of Health App ication or egistration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License License Number (Mailing Address, Phone, Email) Effective Date Expiration Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3. if necessary. OOH-5145 (04/15) Page 3 of 7 YORK . . . . STATE of Health Application for Registration as a Registered Organization NEW Department Medical Marijuana Program Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Name of Employer: Type of Business: Street Address: City: JState: i Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference; Superwsor Phone Number: POsition/Responsibilities: Reason For Departure: Name of Employer: DOH-5145 (04/15) Page 4 of 7 NEW - De artment Medical Marijuana Program YORK STATE of Health Application for Registration as a Registered Organization Appendix A: . Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: 1 State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervrsor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: Street Address; I 7 I City: 7 State: . Zip Code: Starting Date of Employment: Ending Date of Employment: Name of SuperVisor for Reference: Superwsor Phone Number: Position/Responsibilities: Reason For Departure: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes serving as either a board member. of?cer, manager, owner, partner. principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any affiliations with the operations of a business in New York, in the USA, or in other countries? Yes From, 1998 Name and Address of Business: JRP Group, inc. (*see attached "Exhibit 1 to Appendix To: 12/7/2012 29 Old Aspetong Road, Katonah, New York 10536 Business Type: Of?ce Held/Nature of interest: a. Road construction materials Shareholder We" ?[?sed Dpr?p?99d Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: *see attached "Exhibit 1 to Appendix DOH-5145 (04/15) Page 5 of 7 NEW YORK Department 575? of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Name and Address of Business: Road construction materials Corporate Secretary From: 1998 JRP Group. Inc. (*see attached "Exhibit 1 to Appendix To: Present 29 Old Aspetong Road, Katonah, New York 10536 Business Type: Of?ce Heid/Nature of interest: open Dclosed Bproposed Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: *see attached "Exhibit 1 to Appendix From: 1998 To: Present Name and Address of Business: Peckham Family Holdings, Inc. 20 Haarlem Avenue, White Plains, New York 10603 Business Type: Road construction materials Of?ce Held/Nature of Interest: Corporate Secretary mopen Delosed Uproposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: *see attached "Exhibit 1 to Appendix From: 2014 To: Present Name and Address of Business: Peckham Industries. Inc. (*see attached "Exhibit 1 to Appendix 20 Haarlem Avenue. White Plains, New York 10603 Business Type: Road construction materials Of?ce Held/Nature of Interest: Board Member/ Land Use Committee oponDcloeed Dproposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: *see attached "Exhibit 1 to Appendix OOH-5145 (04/15) Page 6 of 7 'Y'gx?x De artment Medical MfarijuanatProgram STATE of Health App Ication or Regls ration as a Registered Organization Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: 1998 Name and Address of Business: Peckham Family Foundation To: Present 20 Haarlem Avenue, White Plains, New York 10603 Business Type: Office Held/Nature of Interest: Philanthropy Secretary Dam", Upr?p?s?d Name. Address and Phone Number of Licensing/Regulatory Agency. if applicable: None From: Name and Address of Business: To: Busmess Type: Of?ce Held/Nature of Interest: Dope" Dales? Upropmd Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: From: Name and Address of Busmess: To: Business Type: Of?ce Held/Nature of Interest: mopen??osed upmposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: OOH-5145 (04/15) Page 6 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are qualified to operate the proposed facility. This statement should include. but not be limited to. any relevant community/volunteer background and experience. 20. The undersigned certi?esgtgewe alty of perjury, that the information contained herein or attached hereto is accurate, true. apd-c plete in?ll erjal re pacts. I Date: Signatuif Notary me: Notary Registration Number. 5MB oePA0> Notary (Notary Must Af?x Stamp or Seal) Date: .50 Iv. 2 (A 5- SARA PAYNE Notary Public. State of New York 0 02336310602 i in ondaga County . Commission Expires August 25. OOH-5145 (04/15) Page 7 of 7 Exhibit 1 to Appendix A Additional Information in Response to Question 18 JRP Group, Inc. Group?) is the shareholder or member, as the case may be, of the subsidiary and af?liate entities listed below. While JRP Group does not hold licenses from regulatory bodies, many of its subsidiaries and af?liates do. Information about these licenses is provided herein for each entity in the format set forth in question 18 of Appendix A. l. Peckham Family Holdings, Inc. (all shares held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 2. Peckham Family Foundation (held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Philanthropy through grants to not-for?pro?t community organizations Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 3. Peckham Industries, Inc. (all shares held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 4. Reclamation, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 5. Reclamation, LLC (all shares held by Reclamation, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 6. Byram Holding, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-9000 c. Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914) 813-5000 7. Byram Concrete Supply, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-9000 c. Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914) 813-5000 8. Byram Ready Mix, LLC (all shares held by Byram Holding, closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 10. 11. 12. South Street Materials, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None Virginia Road Realty, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None RFY, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None LJL Realty, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 13. Peckham Asphalt Resale Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457?9000 0. Connecticut Department of Energy and Environmental Protection 79 Elm Street Hartford, Connecticut 06106 Telephone: (860) 424?3000 d. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354-4101 (unit telephone number) 14. Peckham Materials Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 New York State Department of Labor PO Box 15 130 Albany, New York 12212 Telephone: (518) 45 7-900 New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 45 7-4445 Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914) 813-5000 Mine Safety and Health Administration 1100 Wilson Boulevard, let Floor Arlington, Virginia 22209 Telephone: (202) 693-9400 15. Peckham Road Corp. (all shares held by Peekham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: See No. 3 above 16. Ballast Star Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if'applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 45 7-9000 c. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354?4101 (unit telephone number) 17. Barjac Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 18. Catskill Realty, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 19. County Asphalt, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. b. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 New York State Department of Labor PO Box 1 5130 Albany, New York 12212 Telephone: (518) 457-900 New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 45 7-4445 20. Cushman Farms, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (5 18) 45 7?4445 21. Duchess Quarry Supply Co., Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 22. Harborview Terminals, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354-4101 (unit telephone number) 23. James Reed Sales, Inc. (all shares held by Peckham Industries, 1110.; closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 24. Putnam Materials Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457?900 10 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 25. Soil Recovery Corp. (all shares held by Peckham Industries, Inc.; closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 26. William E. Dailey, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 1 5 3 0 Albany, New York 12212 Telephone: (518) 45 7-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 11 d. Vermont Department of Environmental Conservation 1 National Life Drive, Main 2 Montpelier, Vermont 15620 Telephone: (802) 828-1556 e. Vermont Agency of Transportation Secretary?s Of?ce; Finance and Administration Highway Policy, Planning and Intermodal Development 1 National Life Drive Montpelier, Vermont 15633 Telephone: (802) 828-2657 27. William E. Bailey Precast, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 d. Vermont Department of Environmental Conservation 1 National Life Drive, Main 2 Montpelier, Vermont 15620 Telephone: (802) 828-1556 12 e. Vermont Agency of Transportation Secretary?s Of?ce; Finance and Administration Highway Policy, Flaming and Intermodal Development 1 National Life Drive Montpelier, Vermont 15633 Telephone: (802) 828-2657 28. Wingdale Materials, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 d. Mine Safety and Health Administration 1100 Wilson Boulevard, let Floor Arlington, Virginia 22209 Telephone: (202) 693-9400 e. United States Bureau of Alcohol, Tobacco, Firearms and Explosives 99 New York Avenue, NE Washington, DC. 20226 Telephone: (202) 648-7080 13 95le Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, of?cers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: . This is the namqthat was entered I tion A of the Application for Registration as a Re . .3 4. Briefly descnbe the role of this person or entity In the pro sad registered organization: (ML ,Cmcm an? o?fw/ 4,1 w/ 5. VWli 's rson or entity come into contact with medical marijuana or medical marijuana products? DYes No Any managers who may come in contact with or handle medical mariiuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable tee. Criminal history background checks must be done through identogo at d/wwadento o.com/FP/NewYork.a using the CHI number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten is of a 10% or greater interest in any other business which manufactured or distributed drugs? DYes No if the answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any linding of violations at law or regulation by a governmental agency against the business or person or entity. n0H-5145 (Dd/1m Pane 1 nf7 YORK . . . STATE of Health Application for Registration as a Registered Organization NEW Department Medical Marijuana Program Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this peg/or entity been convicted of a felony or had any type of registration or license suspended or revoked in any admini trative or judicial proceeding? DYes No If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 11. Residence Address. 13. Statez. -: 14. ZIP Code: - 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received I'm (5, N00 wen/:14 Ave, m1? 7 A Newarqu 8. Phone: 10. Email: nnu cu: Inn/1m Pane 9 of 7 . Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. of Professional L?ype License Nlumrbseer lg?hgongegfneail) Effecnve Date Exp'rat'on Date Car-hired) {Motto W093 0P Z544me "?90 07(17 [Aroma/4t: . 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 ears. Attach additional co ies of a 3 if necessa . Name of Employer: Type of Business: (04/153 Pane 3 of 7 Department Medical Marijuana Program STATE _of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Street Address: City: State: I Zip Code: Starting Date of Employment: Ending Date of Employment: of Su isor Name Supervisor Phone Number: for Reference. Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervusor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: Street Address: 7 City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervrsor Phone Number: PosHim/Responsibilities: Reason For Departure: Name of Employer: nnu InAMrn NEW YORK Department 5'5? of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: I State: 1 Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: - Name of Employer: I Type of Business: Street Address: "?City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation. for the purpose of this section, includes serving as either a board member, of?cer, manager, owner, partner, principal stakeholder. director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or opera a business or had any affiliations with the operations of a business in New York, in the USA. or in other countries? Yes No Name, Address and hone Number of Licensing/Regulatory Agency, if applicable: nnH-5145 (04/15l Pane nf 7 . Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appende A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: Name and Address of Business: To: Business Type: Of?ce Held/Nature of Interest: Dopen Delosed Uproposed Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: Name and Address of Business: rorn. To: Business Type: Of?ce Held/Nature of Interest: Dope" uc'osed up?, I Name. Address and Phone Number of Licensing/Regulatory Agency. if applicable: Name and Address of Business: From. To: Business Type: Of?ce Held/Nature of Interest: Downtime? upropmd Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: HALO :4 A: I?ll4 Darn: A n? 7 5'ng De artment medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience. please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include, but not be limited to, any relevant community/volunteer background and experience. We 20. The undersigned certi?es. under penalty of perjury, that the information contained herein or attached hereto is accurate, true, and complete in all material respects. a ?iv/\V 512:: c: Notary Name: Notary Registr tion Num r: - Mdva 3- Notary (Not ryMustAf?x Sta por eal) Date: WW JXUW- Slum ?73% MELINDA Notary Pubtuz ?leu? a! New York No 4i-4885995 . Qualified In Queens county Expires February 23. Pane 7 of 7 $.5le De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Etain LLC This is the name-t?hatwasentered in Section A of the Application for Registration as a R_egiste_r_ed Organization. e?y- d??diib?th?'roi?br this person or entity in the proposed registered organization: 4. Bri As Etain LLC's Chief Horticultural Of?cer, I will oversee and manage all cultivation activities and supervise cultivation personnel, including the Cultivation Manager, Cultivation Training Manager,Cultivation Specialists, Cultivation Assistants, Cultivation Inventory Supervisors, Manicurists and Trimmers. I will also be responsible to direct and manage the company's research and development program. 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? Yes No Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through Identogo at using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? No If the answer to this question is yes, provide the name of the business, a statement de?ning the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. OOH-5145 (04/15) Page 1 of 7 953% De rtment Medical Nlarijgana Program STATE of Health App Icatlon or egistration as a Registered Organization Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? ?Yes No If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 10. Email: Keeley@etainhealth.com 13. State. 14. ZIP Code:- 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received Delgado Community 615 City Park Avenue Pending College New Orleans, LA 70119 1/2015 6/2015 (soil sciences) Tulane University 6823 St. Charles Avenue BFA New Orleans, LA 70118 2010 2014 8/2014 NY Botanical 2900 Southern Blvd. Certi?cate of Gardens School of Bronx, NY 10458 2008 2010 Horticultural 8/2010 Horticulture Therapy OOH-5145 (04/15) Page 2 0f 7 $1ng Department Medical Marijuana Program STATE of Health Application for Registration as 3 Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License License Number (Mailing Address, Phone, Email) E?ec?ve Date Exp'ratlon Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3. if necessary. OOH-5145 (04/15) Page 3 of 7 #5le Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders. Directors. and Members Redacted pursuant to NY. Officers Law, Art. 6 OOH-5145 (04/15) Page 4 of 7 Department Medical Marijuana Program STATE of Health App icatlon for Registration as a Registered Organization Appendix Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders. Directors. and Members Redacted pursuant to NY. Public Officers Law, Art. 6 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes serving as either a board member, of?cer, manager, owner, partner, principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any affiliations with the operations of a business in New York, in the USA, or in other countries? Yes ENO From. 2010 Name and Address of Business: JRP Group, attached "Exhibit 1 to Appendix To: Present 29 Old Aspetong Road, Katonah, New York 10536 Business Type: Of?ce Held/Nature of Interest: Road construction materials Shareholder We" Dimmed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: *see attached "Exhibit 1 to Appendix DOH-5145 (04/15) Page 5 of 7 95% Department 575" of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: 4/15/2015 To:, Present Name and Address of Business: KDBF Ventures, LLC 29 Old Aspetong Road, KatOnah, New York 10536 Business Type: Real estate holding/managemet Of?ce Held/Nature'of Interest Member open Eclosed aproposed Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: None Pram: 2005 Name and Address of Business: Peckham Family Holdings, lnc. To: 2010 20 Haarlem Avenue, White Plains, New York 10603 Business Type: Road Construction Materials Of?ce Held/Nature of Interest: Shareholder Open mclosed meposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: *see attached "Exhibit 1 to Appendix From: To: Name and Address of Business: Business Type: Of?ce Held/Nature of Interest Bopen?closed [Jproposed Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: OOH-5145 (04/15) Page 6 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as - a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rrnative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statemem should include. but not be limited to, any relevant community/volunteer background and experience. i am fully prepared and quali?ed to serve as Etain's Chief Horticultural Of?cer as a result of my education and hands-on experience in horticulture and business administration. Through my professional relationships with premier horticultural experts like Charles Yurglavich, Director of Horticultural Education at the New York Botanical Gardens, (NYBG), Lee Mandell, hydroponic systems expert and educator, William John-Pier Duhe and Charles Miller of Yotta Tech, and Master Grower Michael Leigh, I have secured access to leading proprietary methodologies for cultivation and revolutionary horticultural technology for Etain. As a NYBG Certified Horticultural Therapist with formal business training from Tulane University, lam exceptionally quali?ed to oversee, coordinate and mana Etain's cultivation, processing, extraction and manufacturing operations. Further, i am dshareholder of family-owned construction material companies operating throughout the State, and am thus intimately aware of the rigors of regulatory com Iiance and re orting in a highly regulated, vertically integrated industry. Etain, which I founded with a is my true passion. The company has adopted the philosophy that "product defines our process and our process de?nes our product" to further our mission and vision of making new cannabis-based therapies available to those suffering from debilitating diseases. All Etain staff will employ this philosophy to produce the best plants and products possible, starting with Etain's "Green Team." Under my leadership, Etain will set the standard for medical-grade cannabis product uniformity, quality and safety. Based on my experience and training, i am fully qualified and prepared to serve as Chief Horticultural Of?cer, and have skills and expertise necessary to do so in a manner consistent with New York's medical marijuana regulations. 20. The undersigned certi?es, under penalty of perjury, that the information contained herein or attached hereto is accurate, true, and comylete in all material respects. Date: i//Ja/C Notary Name: Notary Number: 2? 3? - as? Notary (Notary Must Affix Stamp or Sea Date: MARIELOUTRAY Notary Public Stateoi Louisiana Jefferson Parish Statewide Jurisdiction Notary ID it 86505 . My Commissmn rs for ere OOH-5145 (04/15) Pane 7 of 7 Exhibit 1 to Appendix A Additional Information in Response to Question 18 JRP Group, Inc. Group?) is the shareholder or member, as the case may be, of the subsidiary and af?liate entities listed below. While JRP Group does not hold licenses ?'om regulatory bodies, many of its subsidiaries and af?liates do. Information about these licenses is provided herein for each entity in the format set forth in question 18 of Appendix A. 1. Peckham Family Holdings, Inc. (all shares held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: 7 Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 2. Peckham Family Foundation (held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Philanthropy through grants to not-for?pro?t community organizations Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 3. Peckham Industries, Inc. (all shares held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: 7 Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 4. Reclamation, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regr?atory Agency, if applicable: None 5. Reclamation, LLC (all shares held by Reclamation, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 6. Byram Holding, LLC (all shares held by Peekham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-9000 c. Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914) 813-5000 7. Byram Concrete Supply, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-9000 6. WestchesterCounty Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914) 813-5000 8. Byram Ready Mix, LLC (all shares held by Byram Holding, closed) Address: 20 Ha'arlern Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 9. South Street Materials, LLC (all shares held by Byram Holding, open) Address: 20' Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 10. Virginia Road Realty, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: . Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 11. RFY, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 12. LJL Realty, LLC (all shares held by Byram Holding, open) Address: - 20 Haarlem Avenue White Plains, New York 10603 Business Type: - Real estate holding and managemen Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 13. Peekham Asphalt Resale Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 New York State Department of Labor PO Box 15 130 Albany, New York 12212 Telephone: (518) 457?9000 Connecticut Department of Energy and Environmental Protection 79 Elm Street Hartford, Connecticut 06106 Telephone: (860) 424-3000 United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354?4101 (unit telephone number) 14. Peckham Materials Corp. (all shares held by Peekham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457?900 New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 45 7-4445 Westchester County Department of Health. 145 Huguenot Street New Rochelle, New York 10801 (914) 813-5000 Mine Safety and Health Administration 1100 Wilson Boulevard, let Floor Arlington, Virginia 22209 Telephone: (202) 693-9400 15. Peckham Road Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: See No. 3 above 16. Ballast Star Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency,- if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Deparmient of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-9000 c. United States Coast Guard 2703 Martin Luther Jr. Avenue Washington, DC. 20593 Telephone: (718) 354-4101 (unit telephone number) 17. Barjac Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 18. Catskill Realty, LLC (all shares held by Peekham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 19. County Asphalt, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: . Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: 3. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (5 1 8) 45 7-4445 20. Cushman Farms, LLC (all shares held by Peekham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 c. 7 New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (5 18) 45 7-4445 21. Duchess Quarry Supply Co., Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: A Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of TranSportation 50 Wolf Road Albany, New York 12232 Telephone: (5 18) 45 7-4445 22. Harborview Terminals, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354-4101 (unit telephone number) 23. James Reed Sales, Inc. (all shares held by Peckham Industries, Inc.; closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials 7 Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 24. Putnam Materials Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 45 7-900 10 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (5 18) 45 7-4445 25. Soil Recovery Corp. (all shares held by Peckham Industries, Inc.; closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 26. William E. Bailey, Inc. (all shares held by Peekham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15 130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (5 1 8) 45 7-4445 ll (1. Vermont Department of Environmental Conservation 1 National Life Drive, Main 2 Montpelier, Vermont 15620 Telephone: (802) 828-1556 e. Vermont Agency of Transportation Secretary?s Of?ce; Finance and Administration Highway Policy, Planning and Intermodal Development 1 National Life Drive Montpelier, Vermont 15633 Telephone: (802) 828-2657 27. William E. Bailey Precast, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway- Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 45 7-900 0. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 (1. Vermont Department of Environmental Conservation 1 National Life Drive, Main 2 Montpelier, Vermont 15620 Telephone: (802) 828~1556 12 e. Vermont Agency of Transportation Secretary?s Of?ce; Finance and Administration Highway Policy, Planning and Intermodal Development 1 National Life Drive Montpelier, Vermont 15633 Telephone: (802) 828-2657 28. Wingdale Materials, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 New York State Department of Labor PO Box 15 130 Albany, New York 12212 Telephone: (518) 45 7-900 New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (5 18) 457-4445 Mine Safety and Health Administration 1100 Wilson Boulevard, 21 st Floor Arlington, Virginia 22209 . Telephone: (202) 693-9400 United States Bureau of Alcohol, Tobacco, Firearms and Explosives 99 New York Avenue, NE Washington, DC. 20226 Telephone: (202) 648-7080 13 #5le De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, officers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Etain 5-4 3:9, {Y?tnl 41,, i writThis is the name that was entered in Section A of the Application for Re istration as a Re - istered Or anization. 2322? tr 2: a; . I Brie?y describe the role of this person or entity in the proposed registered-orgaization': I a I In my role as Etain LLC's Chief Operations Of?cer, I will supervise human resources, dispensary operations, patient education policies and procedures, extraction formulation and production. 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? Yes No Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through ldentogo at using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? [te5 No If the answer to this question is yes, provide the name of the business, a statement de?ning the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. DOH-5145 (04/15) Page 1 of 7 vgn?x De rtment Medical lVlfarijgana Program STATE of Health App Ication or as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? UYes No If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8- Phone: 9- Fax: 10. Email: hillary@etainhealth.com 11. Residence Address: 12. City: - 13. State. 14.le Code: - 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received Dartmouth College; 100 Tuck Hall Certi?cate in Tuck School of Hanover, NH 03755 2014 2014 Business July 2014 Business Administration Hamilton College 198 College Hill Road BA Clinton, NY 13323 2009 2014 May 2015 DOH-5145 (04/15) Page 2 of 7 $53k Department AMedical lvlcarij:ana Program STATE of Health ppication or as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License License Number (Mailing Address, phone. Email) Effective Date Expiration Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 ars. Attach additional copies of a 3. if necessa . OOH-5145 (04/15) Page 3 of 7 $1sz Department Medical Marijuana Program STATE of Health Application for Registration as - a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Redacted pursuant to NY. Public Officers Law, Art. 6 OOH-5145 (04/15) Page 4 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders. Directors. and Members Redacted pursuant to NY. Publlc Of?cers Law, Art. 6 DOH-5145 (04/15) Page 4 of 7 93% De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Princi al Stakeholders Directors and Members Name of Employer. mpe of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference; Superwsor Phone Number: Position/Responsibilities: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes serving as either a board member. of?cer. manager. owner. partner. principal stakeholder. director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any affiliations with the operations of a business in New York. in the USA. or in other countries? Yes BN0 From, 2010 Name and Address of Business: JRP Group. Inc. (*see attached "Exhibit 1 to Appendix To: Present 29 Old Aspetong Road. Katonah. New York 10536 Business Type: Of?ce Held/Nature of Interest: Road construction materials Shareholder We" D?'?sed Dpr?p?5?d Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: *see attached "Exhibit 1 to Appendix DOH-5145 (04/15) Page 5 of 7 De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Name and Address of Business: KDBF Ventures, LLC From: 4/15/2015 To: Present . '29 Old Aspetong Road, Katonah, New York 10536 Business Type: Of?ce Held/Nature of Interest: . Real estate holding/managemet Merriber - we" acme? upmpmed Name, Address and Phone-Number of Licensing/Regulatory Agency, if applicable: None From: 2005 Name and Address of Business: Peckham Family Holdings, Inc. To: 2010 20 Haarlem Avenue, White Plains, New York 10603 Business Type: Of?ce Held/Nature of Interest: Road construction materials Shareholder we" acme? Name. Address and Phone Number of Licensing/Regulatory Agency. if applicable: *see attached "Exhibit 1 to Appendix From: Name and Address of Busmess: To: Business Type: Of?ce Held/Nature of Interest I Domnu?osed apropos.? Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: DOH-5145 (04/15) Page 8 0f 7 vg?l?? De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include, but not be limited to, any relevant community/volunteer background and experience. I am fully prepared and quali?ed to serve as Etain LLC's Chief Operating Of?cer due to my business administration education, hands-on experience and, particularly, through establishing relationships with premier cannabis experts such as Scott Van Rixel, CEO of the Bhang Corporation, Jazmin Hupp and Melissa Meyer of Women Grow, and Raechal Speegle, COO of the Veratas Foundation. I have been intimately involved with Etain's strategic planning efforts, and have leveraged my cannabis-industry relationships to secure Etain's exclusive access to proprietary best practices and top talent. Additionally, I have spearheaded Etain's community outreach efforts by advancing the company's vision and mission throughout the State and obtaining endorsements from municipal of?cials where Etain intents to locate facilities. My family has been operating vertically integrated, highly regulated businesses in New York for nearly a century, and is known for our motto that "our word is our bond." i live by these words, and with my - and - I am committed to making new cannabis-based therapies available to those suffering across the State. As a passionate entrepreneur, I bring energy, innovation and industry-speci?c competitive advantages to the table as Etain's Chief Operating Of?cer. Through learning the family business, I am also well versed in complex compliance and reporting requirements, such as those governing New York?s medical marijuana program. For these reasons, I am fully familiar with and equipped to navigate the specialized executive and management challenges Registered Organizations will face in a manner consistent with medical marijuana regulations and in furtherance of the Compassionate Care Act. 20. The undersigned certi?es, under penalty of perjury, that the information contained herein or attached hereto is accurate, true, and complete in all material respects. Signature: Date: Notary Name: . Notary Registration Number: 56"? Notary (Notary Must Affix Stamp or Seal) Date: Ma? 206? SARA ELIZABETH PAYNE Notary Public. State of New York _No. 02PA6310602 Qualified in Onondaga Couny Commission Expires August 25. 46? - DOH-5145 (04l1 5) Page 7 of 7 Exhibit 1 to Appendix A Additional Information in Response to Question 18 JRP Group, Inc. Group?) is the shareholder or member, as the case may be, of the subsidiary and af?liate entities listed below. While JRP Group does not hold licenses from regulatory bodies, many of its subsidiaries and af?liates do. Information about these licenses is provided herein for each entity in the format set forth in question 18 of Appendix A. 1. Peckham Family Holdings, Inc. (all shares held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 2. Peckham Family Foundation (held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Philanthropy through grants to not-for-pro?t community organizations Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 3. Peckham Industries, Inc. (all shares held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 4. Reclamation, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 5. Reclamation, LLC (all shares held by Reclamation, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 6. Byram Holding, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-9000 c. Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914) 813-5000 7. Byram Concrete Supply, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-9000 0. Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914) 813?5000 8. Byram Ready Mix, LLC (all shares held by Byram Holding, closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 9. South Street Materials, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 10. Virginia Road Realty, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 11. RFY, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 12. LJL Realty, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 13. Peckham Asphalt Resale Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 45 7-9000 0. Connecticut Department of Energy and Environmental Protection 79 Elm Street Hartford, Connecticut 06106 Telephone: (860) 424-3000 d. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354-4101 (unit telephone number) 14. Peekham Materials Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (5 18) 457-4445 Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914) 813-5000 Mine Safety and Health Administration 1100 Wilson Boulevard, 2lst Floor Arlington, Virginia 22209 Telephone: (202) 693-9400 15. Peckham Road Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: See No. 3 above 16. Ballast Star Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-9000 0. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354-4101 (unit telephone number) 17. Barjac Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 18. Catskill Realty, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 19. County Asphalt, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 1 5 130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 20. Cushman Farms, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 21. Duchess Quarry Supply Co., Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 45 7-900 0. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (5 1 8) 45 7-4445 22. Harborview Terminals, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC 20593 Telephone: (718) 354-4101 (unit telephone number) 23. James Reed Sales, Inc. (all shares held by Peckham Industries, Inc.; closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 24. Putnam Materials Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402?8829 b. New York State Department of Labor PO Box 15 130 Albany, New York 12212 Telephone: (518) 457?900 10 C. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 25. Soil Recovery Corp. (all shares held by Peckham Industries, Inc.; closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 26. William E. Bailey, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. b. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 11 (1. Vermont Department of Environmental Conservation 1 National Life Drive, Main 2 Montpelier, Vermont 15620 Telephone: (802) 828-1556 6. Vermont Agency of Transportation Secretary?s Of?ce; Finance and Administration Highway Policy, Planning and Intermodal Development 1 National Life Drive Montpelier, Vermont 15633 Telephone: (802) 828-2657 27. William E. Bailey Precast, LLC (all shares held by Peckham Industries, Inc; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402?8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 45 7-900 6. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (5 18) 457-4445 d. Vermont Department of Environmental Conservation 1 National Life Drive, Main 2 Montpelier, Vermont 15620 Telephone: (802) 828-1556 12 e. Vermont Agency of Transportation Secretary?s Of?ce; Finance and Administration Highway Policy, Planning and Intermodal Development 1 National Life Drive Montpelier, Vermont 15633 Telephone: (802) 828-2657 28. Wingdale Materials, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 45 7-4445 Mine Safety and Health Administration 1100 Wilson Boulevard, 2 1 st Floor Arlington, Virginia 22209 Telephone: (202) 693-9400 United States Bureau of Alcohol, Tobacco, Firearms and Explosives 99 New York Avenue, NE Washington, DC. 20226 Telephone: (202) 648-7080 13 'Y'gx?K De artment Medical lvltarijuan'a Program STATE of Health App Icatron or Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, of?cer, manager, owner, partner. director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: ETAIN LLC This is the name that was entered in Section A of the A Ilcation for Rs istration as a Re istered anization7:7: v.13?? 1.: 'n 4 . $33.3 . 4 4. Brie?y describe the role of this person or entity in the proposed registered organization: Ensures regulatory compliance throughout the organization by performing the following duties and responsibilities: Evaluate documentation and contracts on regular time intervals. Risk management. Procurement, monitoring and management of business insurance. Develop ef?cient compliance policies. Ensure company is in full compliance with state and federal laws and regulations. Oversees Security Division. Point of contact for ethics questions or concerns is Code of Conduct 5. V\?ll this person or entity come into contact with medical marijuana or medical marijuana products? Yes Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through Identogo at using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? DYes No if the answer to this question is yes, provide the name of the business, a statement de?ning the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. OOH-5145 (04/15) Page 1 of 7 NEW YORK Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization DYes No Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in 7 any administrative or judicial proceeding? If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. DOH-5145 (04/15) 8. Phone: 9. Fax: 10. Email: 11. Residence Address: - 12. City: - 13. State: I 14. ZIP Code: - 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received Mercer Community 1200 Old Trenton Road A.A.S. Funeral College West Windsor 1995 1997 Services 1997 NJ, 08550 Community College 214 Center Grove Road A.A.S. Radiography of Morris Randolph, NJ 07869 2005 2007 2007 Page 2 of 7 #5ka De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License . . . License Number (Mailing Address. Phone. Email) Effective Date Exp'rat'on Date Radiological 408466 American Registry of Radiologic Technologist Technologists.1255 Northland Drive 1997 2016 St. Paul, MN 55120 (651) 687-0048 NJ Diagnostic 642467 Bureau of X-Ray Compliance Radiography 25 Arctic Pkwy PO. Box 420 8/2/2007 12/31/2016 Trenton, NJ 08625 (609)984-5634 NJ Mortuary 23JP00424000 New Jersey State Board of Mortuary Practitioner Science PO. Box 45009. Newark, NJ 4/28/1997 inactive 2005 07101 (973)-504-6325 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3. if necessary. Page 3 of 7 DOH-5145 (04/15) 953% Department Medical Marijuana Pregram STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders. Directors. and Members Redacted pursuant to NY. Publlc Of?cers Law, Art. 6 Name of Employer: OOH-5145 (04/15) Page 4 of 7 $53k Department 575" of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: I State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer: I Type of Business: Street Address: City: I State: 1 Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Reason For Departure: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation. for the purpose of this section. includes serving as either a board member, of?cer, manager. owner, partner, principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any affiliations with the operations of a business in New York. in the USA. or in other countries? Yes BNO OOH-5145 (04/15) Page 5 of 7 NEW YORK Department of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: 2010 To: 2014 Name and Address of Business: - Greenleaf Compassion Center 395 Bloom?eld Avenue. Montclair NJ 07042 Business Type: NJ Licensed Medical Marijuana Of?ce Held/Nature of Interest: Board Member open Dclosed Dproposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: NJDOH. P. O. Box 360, Trenton, NJ 08625-0360 (609)-292-0424 From: To: Name and Address of Business: Business Type: of Interest: DopenEblosed proposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: (04/15) Page 6 of 7 De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include. but not be limited to, any relevant community/volunteer background and experience. 20. The undersigned certi?es. under penalty of perjury, that the infomation contained herein or attached hereto is accurate, true, anWleWenal respects. 522/45? e: Noa isration Number; (ll?M/reaBTr af?rm.? ?y 89 13000 Notary (Notary Must Af?x Stamp or Seal) Date: Ondrea B. Triggiani 5 [94 Notary Public New Jersey My Commission Expires 10-21-2019 No. 50004687 Wag OOH-5145 (04/15) Page 7 of? JOSEPH L. STEVENS EDUCATION AND LICENSING License #64246 7 2007 County College of Morris Associate of Applied Science, Radiogran Mortuary Practitioner License 1997 Mercer Community College Associate of Applied Science and Ceru'?ca te; Funeral Services Curriculum WORK EXPERIENCE Redacted pursuant to NY. Public Of?cers Law, Art. 6 Joseph Stevens is an East Coast pioneer in the medical marijuana industry. Joseph single handedly navigated through - highly restrictive Compassionate Use of Medicinal Marijuana Act and Regulations ooenin? ire?,? -. He worked hand in hand with the NJ Department of Health and Senior Services to meet the stringent State compliance requirements including, but not limited to security, inventory management, risk assessment, personnel management, cultivation procedures, and safe patient access. He assisted the Department of Health in establishing laboratory testing including the development of protocol for isolating and identifying quantities of THC, THC-A and The results of his success with compliance set the standard for the remaining licensees to meet in order to be approved for becoming operational. Joseph?s notoriety for being the? in I coupled with the numerous published news reports of his clashes with CUMMA program running, led to him becoming highly sought out by applicants in other states wishing to open marijuana facilities. Joseph consulted for.- in - to assist with their marijuana production facility application. He has oiso orovioeo consulting services in? He has most recenriv beenensaeeo to assist an? Joseph has donated countless hours to working with parents of children with autism and seizure disorders who are interested in CBD treatment. He has also consulted with many public of?ce of?cials as well as regulatory personnel in New York, Delaware, and Oregon to provide insight into the application processes, development of rules and regulations, and compliance matters as they relate to the introduction of state marijuana programs. Prior to moonshine?s ioseoh was Both positions required him to prepare for and participate in both annually scheduled and unannounced, spur of the moment State inspections. His thorough knowledge of State requirements and regulations afforded him success in limiting his employers? exposure to violations and/or penalties. De artment Medical Nlarijuana Program STATE of Health App ication or Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Etain LLC This is the name that was entered in Section A of the Application for Registration as a Registered Orggtization. mama: iJoitri 'Peckham .- 7 "imam-em?? - 4. Brie?y describe the role of this person or entity in the proposed registered organization: I am a minority, non-managing member of Etain LLC. 1 will have no involvement in any aspect of the company's operations and will have no contact with plants or products. 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? No Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a ?ngerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through Identogo at using the ORI number NYO412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? EYes No If the answer to this question is yes, provide the name of the business, a statement de?ning the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. OOH-5145 (04/15) Page 1 of 7 eggx De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? BYes No If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8- Phone: - 9. Fax 10- Ema": 11. Residence Address: I 12. City: - 13. State: - 14.ZIP Code: - 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received Northeastern 360 Huntington Avenue Pending University Boston, MA 02115 2012 Present Oberlin College 173 West Lorain Street Transferred prior to Oberlin, OH 44074 2009 2012 degree award DOH-5145 (04/15) Page 2 of YORK . . . STATE of Health Application for Registration as a Registered Organization NEW Department Medical Marijuana Program Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License License . Number (Mailing Address, Phone. Email) Effective Date Exp'ratlon Date None 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 ears. Attach additional co?es of ae 3 if necessa . (04/15) Page 3 of 7 515le De artment Medical Marijuana Program STATE of Health Application for Registration as 3 Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders. Directors. and Members Redacted pursuant to NY. Publlc Of?cers Law, Art. 6 DOH-5145 (04/15) Page 4 of 7 NEW YORK Department 575? of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Princi al Stakeholders Directors and Members 18. Of?ces Held or Ownership interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes serving as either a board member, of?cer, manager. owner, partner, principal stakeholder. director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any af?liations with the operations of a business in New York, in the USA, or in other countries? Yes From: 2010 To: Present Name and Address of Business: JRP Group, Inc. (*see attached ?Exhibit to Appendix 29 Old Aspetong Road, Katonah, New York 10536 Business Type: Road construction materials Of?ce Held/Nature of Interest: Shareholder open Uclosed Uproposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: *see attached "Exhibit to Appendix (04/15) Page 5 of 7 De rtment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Name and Address of Business: From: 4/15/2015 KDBF Ventures. LLC To: Present 29 Old A'spetong Road. Katonah, New York 10536 Business Type: Office Held/Nature of Interest: Real estate holding/managemet Member Dam? Um?p?3?d Name. Address and Phone Number of Licensing/Regulatory Agency. if applicable: None From: 2005 Name and Address of Business: Peckham Family Holdings, Inc. To: 2010 20 Haarlem Avenue, White Plains. New York 10603 Business Type: Office Held/Nature of Interest: Road construction materials Shareholder We" named Elpropoeed Name. Address and Phone Number of Licensing/Regulatory Agency. if applicable: *see attached "Exhibit to Appendix From: Name and Address of Busmess: To: Business Type: Of?ce Held/Nature of Interest: I Upton Name. Address and Phone Number of Licensing/Regulatory Agency. if applicable: OOH-5145 (04/15) Page 6 of 7 9gfo De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience. please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include, but not be limited to. any relevant community/volunteer background and experience. As a member, I will invest in Etain LLC. but will not participate in the company's operations or management. 20. The undersigned certi?es. under penalty of perjury, that the information contained herein or attached hereto is accurate, true. and complete in all material respects. Signature'?gg Date: Notary NW Notary Registration Number: Sam Fwinc, oeruvMObol Notary (Notary Must Af?x Stamp or Seal) Date: Maui 3 do! 5? SARA ELIZABETH PA Notary Public. State of No York .No. 02PA6310602 Qualified in Onondaga Coun Commissron Expires August 25. ".48 OOH-5145 (04/15) Page 7 of 7 Exhibit 1 to Appendix A Additional Information in Response to Question 18 JRP Group, Inc. Group?) is the shareholder or member, as the case may be, of the subsidiary and af?liate entities listed below. While JRP Group does not hold licenses from regulatory bodies, many of its subsidiaries and af?liates do. Information about these licenses is provided herein for each entity in the format set forth in question 18 of Appendix A. l. Peckhani Family Holdings, Inc. (all shares held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 2. Peckham Family Foundation (held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Philanthropy through grants to community organizations Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 3. Peckham Industries, Inc. (all shares held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 4. Reclamation, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 5. Reclamation, LLC (all shares held by Reclamation, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 6. Byram Holding, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-9000 c. Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914) 813-5000 7. Byram Concrete Supply, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15 13 0 Albany, New York 12212 Telephone: (518) 457-9000 0. Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914)813-5000 8. Byram Ready Mix, LLC (all shares held by Byram Holding, closed) Address: 20 Haarlern Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 10. 11. 12. South Street Materials, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None Virginia Road Realty, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None RFY, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None LJL Realty, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 13. Peckham Asphalt Resale Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 45 7-9000 c. Connecticut Department of Energy and Environmental Protection 79 Elm Street Hartford, Connecticut 06106 Telephone: (860) 424-3000 (1. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354-4101 (unit telephone number) 14. Peckham Materials Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457?4445 Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914) 813-5000 Mine Safety and Health Administration 1100 Wilson Boulevard, 21 st Floor Arlington, Virginia 22209 Telephone: (202) 693-9400 15. Peckham Road Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: See No. 3 above 16. Ballast Star Corp. (all shares held by Peckham Industries, Inc.; open) Addres 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 45 7-9000 0. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354-4101 (unit telephone number) 17. Barjac Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 18. Catskill Realty, LLC (all shares held by Peekham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 19. County Asphalt, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402?8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 45 7-900 0. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 20. Cushman Farms, LLC (all shares held by Peckham Industries, 1110.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 21. Duchess Quarry Supply C0., Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 45 7-900 0. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 45 7-4445 22. Harborview Terminals, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: 21. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354?4101 (unit telephone number) 23. James Reed Sales, Inc. (all shares held by Peckham Industries, Inc.; closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 24. Putnam Materials Corp. (all shares held by Peekham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 10 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 45 7-4445 25. Soil Recovery Corp. (all shares held by Peekham Industries, Inc; closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 26. William E. Bailey, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 1 51 3 0 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 11 d. Vermont Department of Environmental Conservation 1 National Life Drive, Main 2 Montpelier, Vermont 15620 Telephone: (802) 828-15 5 6 e. Vermont Agency of Transportation Secretary?s Of?ce; Finance and Administration Highway Policy, Planning and Intermodal Development 1 National Life Drive Montpelier, Vermont 15633 Telephone: (802) 828-2657 27. William E. Bailey Precast, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 45 7-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (51 8) 45 7-4445 d. Vermont Department of Environmental Conservation 1 National Life Drive, Main 2 Montpelier, Vermont 15620 Telephone: (802) 828-1556 12 e. Vermont Agency of Transportation Secretary?s Of?ce; Finance and Administration Highway Policy, Planning and Intermodal Development 1 National Life Drive Montpelier, Vermont 15633 Telephone: (802) 828-2657 28. Wingdale Materials, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402?8 829 New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 45 7-4445 Mine Safety and Health Administration 1 100 Wilson Boulevard, 215t Floor? Arlington, Virginia 22209 Telephone: (202) 693?9400 United States Bureau of Alcohol, Tobacco, Firearms and Explosives 99 New York Avenue, NE Washington, DC. 20226 Telephone: (202) 648-7080 13 $1sz De artment Medical lt/Frijuana Program STATE of Health App Icatlon or Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, officers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Etajn LLC This is the name that was entered in Section A of the Application for Registration as a Registered Organization. 2. Name: Gregxy Peckham 3. Title: Member 4. Brie?y describe the role of this person or entity in the proposed registered organization: I am a minority, non-managing member of Etain LLC. I will have no involvement in any aspect of the company's operations and will have no contact with plants or products. 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? Yes No Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a ?ngerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through ldentogo at using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? No If the answer to this question is yes, provide the name of the business, a statement de?ning the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. DOH-5145 (04/15) Page 1 of 7 De artment Medical Marijuana Program STATE of Health Application for Registration as - a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? DYes No if the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8- Phone: 9. Fax. 10- Eman: 11. Residence Address: I 12. City: - 13. State:- 14.ZIP Code: - 15. Formal Education Dates Attended Degree institution Address From To Degree Received Date Received Hamilton College 198 College Hill Road Pending Clinton, NY 13323 2014 Present DOH-5145 (04/15) Page 2 of 7 #5ng Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License License Number (Mailing Address. Phone. Email) Effecnve Date EXp'rat'on Date None A i 17. Employment?History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3, if necessary. OOH-5145 (04/15) Page 3 of 7 De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders- Directors- and Members Redacted pursuant to NY. Public Officers Law, Art. 6 Name of Employer: OOH-5145 (04/15) Page 4 of 7 55% Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: State: 1 Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone umber: Position/Responsibilities: Reason For Departure: Name of Employer: 1 Type of Business: Street Address: City: State: lZip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number. Position/Responsibilities: Reason For Departure: 18. Of?ces Held or Ownership interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section. Includes serving as either a board member. of?cer, manager, owner, partner. principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. or in other countries? Yes Have you owned or operated a business or had any affiliations with the operations of a business in New York, in the USA, From: 2010 To; Present Name and Address of Business: JRP Group, inc. (*see attached "Exhibit to Appendix 29 Old Aspetong Road, Katonah, New York 10536 Of?ce Held/Nature of Interest: Business Type: Sh Id are 0 er Road construction materials open Dolosed Dproposed 4 *see attached "Exhibit to Appendix Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: OOH-5145 (04/15) Page 5 of? 55% Department We of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: 4/15/2015 To: Present Name and Address of Business: KDBF Ventures, LLC 29 Old Aspetong Road. Katonah. New York 10536 Business Type: Real estate holding/managemet Of?ce Held/Nature of interest: Member Open Uclosed Uproposed Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: None From: 2005 Name and Address of Business: Peckham Family Holdings, inc. To: 2010 20 Haarlem Avenue, White Plans, NY 10603 Business Type: Road construction materials Of?ce Held/Nature of Interest: Shareholder open Dclosed Bproposed Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: *see attached "Exhibit to Appendix From: To: Name and Address of Business: Business Type: Of?ce Held/Nature of Interest: Eproposed Name. Address and Phone Number of Licensing/Regulatory Agency. if applicable: OOH-5145 (04/15) Page 6 of 7 De artment AMtledical Atarijgana Program STATE of Health pp Ication or egistration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience. please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include. but not be limited to. any relevant community/volunteer background and experience. As a member, I will invest in Etain LLC, but will not participate in the company's operations or management. 20. The undersigned certi?es. under penalty of perjury, that the information contained herein or attached hereto is accurate. true. and complete in all material respects. Signature: Date: mum Notary Name: Notary Registration Number: . oicquevaw Notary (Notary Must Af?x al) Dater" by I (Q 0? JR. mammalian OOH-5145 (04/15) Page 7 of 7 Exhibit 1 to Appendix A Additional Information in Response to Question 18 RP Group, Inc. RP Group?) is the shareholder or member, as the case may be, of the subsidiary and af?liate entities listed below. While JRP Group does not hold licenses from regulatory bodies, many of its subsidiaries and af?liates do. Information about these licenses is provided herein for each entity in the format set forth in question 18 of Appendix A. 1. Peckham Family Holdings, Inc. (all shares held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 2. Peekham Family Foundation (held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Philanthropy through grants to not-for-pro?t community organizations Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 3. Peckham Industries, Inc. (all shares held by JRP Group; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 4. Reclamation, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 5. Reclamation, LLC (all shares held by Reclamation, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 6. Byram Holding, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-9000 c. Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 . (914) 813-5000 7. Byram Concrete Supply, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-9000 c. Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914) 813~5000 8. Byram Ready Mix, LLC (all shares held by Byram Holding, closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 9. South Street Materials, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 10. Virginia Road Realty, LLC (all shares held by Byrarn Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 11. RFY, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 12. LJL Realty, LLC (all shares held by Byram Holding, open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 13. Peckham Asphalt Resale Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402?8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 45 7?9000 c. Connecticut Department of Energy and Environmental Protection 79 Elm Street Hartford, Connecticut 06106 Telephone: (860) 424-3000 (1. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354-4101 (unit telephone number) 14. Peckham Materials Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: 21. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 New York State Department of Labor PO Box 15130 Albany, New York 12212 7 Telephone: (518) 457?900 New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 45 7?4445 Westchester County Department of Health 145 Huguenot Street New Rochelle, New York 10801 (914) 813?5000 Mine Safety and Health Administration 1100 Wilson Boulevard, 2lst Floor Arlington, Virginia 22209 Telephone: (202) 693-9400 15. Peckham Road Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: See No. 3 above 16. Ballast Star Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15 130 Albany, New York 12212 Telephone: (518) 457-9000 c. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354-4101 (unit telephone number) 17. Barjac Corp. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 18. Catskill Realty, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Real estate holding and management Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None - 19. County Asphalt, Inc. (all shares held by Peekham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457?4445 20. Cushman Farms, LLC (all shares held by Peekham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensinngegulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15 130 Albany, New York 12212 Telephone: (518) 45 7?900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 21. Duchess Quarry Supply Co., Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457-4445 22. Harborview Terminals, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 1223 3 Telephone: (518) 402-8829 b. United States Coast Guard 2703 Martin Luther King Jr. Avenue Washington, DC. 20593 Telephone: (718) 354-4101 (unit telephone number) 23. James Reed Sales, Inc. (all shares held by Peckham Industries, Inc; closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None - 24. Putnam Materials Corp. (all shares held by Peekham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8 829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 10 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 45 7-4445 25. Soil Recovery Corp. (all shares held by Peckham Industries, Inc.; closed) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: None 26. William E. Dailey, Inc. (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation C. 625 Broadway Albany, New York 12233 Telephone: (518) 402?8829 New York State Department of Labor PO Box 1 5130 Albany, New York 12212 Telephone: (518) 457-900 New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (518) 457?4445 11 d. Vermont Department of Environmental Conservation 1 National Life Drive, Main 2 Montpelier, Vermont 15620 Telephone: (802) 828-1556 6. Vermont Agency of Transportation Secretary?s Of?ce; Finance and Administration Highway Policy, Planning and Intermodal Development 1 National Life Drive Montpelier, Vermont 15633 Telephone: (802) 828-2657 27. William E. Bailey Precast, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 15130 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (5 8) 457-4445 (1. Vermont Department of Environmental Conservation 1 National Life Drive, Main 2 Montpelier, Vermont 15620 Telephone: (802) 828-1556 12 e. Vermont Agency of Transportation Secretary?s Of?ce; Finance and Administration Highway Policy, Planning and Intermodal Development 1 National Life Drive Montpelier, Vermont 15633 Telephone: (802) 828?2657 28. Wingdale Materials, LLC (all shares held by Peckham Industries, Inc.; open) Address: 20 Haarlem Avenue White Plains, New York 10603 Business Type: Road construction materials Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: a. New York State Department of Environmental Conservation 625 Broadway Albany, New York 12233 Telephone: (518) 402-8829 b. New York State Department of Labor PO Box 1 5 30 Albany, New York 12212 Telephone: (518) 457-900 c. New York State Department of Transportation 50 Wolf Road Albany, New York 12232 Telephone: (5 18) 457-4445 d. Mine Safety and Health Administration 1100 Wilson Boulevard, 2lst Floor Arlington, Virginia 22209 Telephone: (202) 693-9400 e. United States Bureau of Alcohol, Tobacco, Firearms and Explosives 99 New York Avenue, NE Washington, DC. 20226 Telephone: (202) 648-7080 13 "y APPENDIX A AFFIDAVITS FOR BOARD MEMBERS, OFFICERS MANAGERS, OWNERS, PARTNERS, PRINCIPAL STAKEHOLDERS, DIRECTORS, AND MEMBERS BOARD OF OF DIRECTORS BRIAN R. SALTZMAN, M.D. SANG EE (SANDY) CHOI JAZMINE HUPP BENJAMIN BLUM CHARLES YURGALEVITCH, PH.D. MONICA LOMBARDO RACHEL SPEEGLE 9 Etain, LLC Appendix A A?idavits Department Medical Marijuana Program STATE of Health Application for Registration as - 2 a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders. directors, and members. For board members, officers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, of?cer, manager, owner, partner, director and member of that entity, going back to the level or ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: grain LLQ ty in the Overseeing: 1. Development of data collection tools. questionnaires 2. Systematic collection of patient information, and clinical responses to different strains/extractions used to treat different indications. and disease states. Monitoring and reporting possible adverse events 3 Organizing prospective clinical research based on such data in an attempt to determine which strain or extraction is most ef?cacious in different disease states, alleviating different and are best tolerated. 5. Will this rson or entity come into contact with medical marijuana or medical marijuana products? No Any managers who may come in contact with or handle medical mariluana. including medical marijuana products. shall be subject to a ?ngerprinting process as part of a criminal history background check In compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background streaks must be done through ldentogo at it .id nto ew it using the URI number Nimrzsoo and the Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? DYes me If the answer to this question is yes, provide the name of the business. a statement de?ning the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. 0 Dnl?l-?u? ind/15s pm 1 7 re?ed wdrzai De artment Medical Marijuana Program STATE of ealth Application for Registration as 3 Registered Organization Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type or registration or license suspended or revoked in any administrative orjudiciai proceeding? [Ties BNO If the answer to either of these questions is "Yes." a statement explaining the circumstances of the felony. suspension or revocation must be provided below. Monez? sm- 10. Email? 11. Residence Address: 12, ony; - ?13. State: I 14. Code: - 15. Formal EducaliTm Dates Attended . Degree Institution Address From To Degree Reoeivod Date Received New York University 530 First Avenue, New Doctor of Medicine School of Medicine York. NY 10016 7/1979 6/1981 6/1981 Sophie Davis School Cement Avenue, New York, Bachelor of Science of- Biomedicai NY 10036 7/1975 6/1979 .. 6/1979 Education, CCNY n?H-S?ld? Ina/151 Parts 2 (If 7 2859a wazztusmmo De artment MedicalMarijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License institution Granting License . - - License Number (Mailing Adch?ess. Phone, Email) Em've Date Exp'mm" Data Medicine 159703 New York State Education Department, Of?ce of the 1982 7/31/2016 Professions. Albany, NY 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 ears. Attach additional co ies of 3 if necessa . OOH-5145014115) Pam 3 of 7 Ea?ed XdeH Department WE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Name of Employer: Type of Business: Street Address: City I State: 1 Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number. Position/Responsibilities: Reason For Departure: fril'amed?mplom efBusiness'E i .2 rv I . Ol'Employment: A j- I 7 - Ending . i Supervisor V. Name of Employer: va?ed var" Department Medical Marijuana Program STATE of Health . Application for Registration as - a Registered Organization . Appendix A: . Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: 1 State: Zip Code: Starling Date of Employment: Ending Date of Employment: Supervisor Phone Number. Position/Responsibilities: Reason For Departure: I I I [Type 0.7 . ?37 Street'Addre'ss: a .. -. . 'a lorry; . {scare - rot-Referee: . - supervisor - ?Rea?wiog bepamm: I ,4 18. Of?ces Held or Ownership interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes serving as either a board member, of?cer, manager, owner, partner. principal stakeholder, director or member of the! organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any af?liations with the operations of a business in New York, in the USA, or in other countries? mYea lM/1?\ - Pm 5 of 7 9959d Department Medical liarljuan?a Program STATE of Health . Applicatlon or Registration as a Registered Organization Appendix A: . Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: Name and Address of Business: To: BUSiness Type: Of?ce Held/Nature of Interest: Dope" Bum? up ?d Name, Address and Phone Number of Licensing/Regulatory Agency, if -- .. Narne and-Addressor Busmess Engine-Bis; - . - Of?ce Helleatu're of Interest: A - Name?ddressand Phone Numberjof Dowsing/Regulatory Agency, if applicable: . OOH-5145 Pane 8 If 7 ga?ed Department Medical Marijuana Program STATE of Health . Application for Registration as - a Registered Organization Appendix A: 4 Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience. please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include, but not be limlted to. any relevant community/volunteer background and experience. . 20. The ersigned ?ningy?er penalty of perjury, that the lntonnation contained hereln or attached hereto is acwrate, m.ng comple in material respects. . $ng .. Date: M9 WWUS Notary me: Notary Registratzigrx?umber: I I .MMdte 0mm? NU . 0,2162%? (as Notary (Notary Must Attix Dateg?zv) . - (231$: Brian (C Sui?Wm? MICHELLE ouaow' - . Notary Public - State at New York N0. MOMS-282765 Qualified in New York County My Commission Expires May 26. 2017 5 . ?5sz OOH-5145 (0411!? Pam 7 (If 7 La?ed De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, officers, managers, owners, partners, principal stakeholders. directors. and members. For board members, officers, managers. owners, partners, directors. and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: (I This is the name that was entered in Section A of the Application tor FLegistration as a Registered Organization. ems: gamma (9mm) Chat lama: mm) of memes 4. Briefly describe the role of this person or entity in the proposed registered-organization: Wit"? r5 uzx t\ i?tk?t?? (MW 5. Wil this person or entity come into contact with medical marijuana or medical marijuana products? Elites END Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a ?ngerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through ldentogo at using the OBI number NY0412500 and the Fingerprint Reason "Control Substance License." 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% Or greater interest in any other business which manuiactured or distributed drugs? UYes It the answer to this question is yes, provide the name ol the business, a statement delinlng the position oi management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. OOH-5145 (04/15) Page 1 of 7 9531K Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a telonyvor'had any type of registration or license suspended or revoked in any administrative or judicial proceeding? UYes If the answer to either of these questions is "Yes." a statement explaining the circumstances of the teiony, suspension or revocation must be provided below. 8. Phone: 9. Fax to. Email: 11. Residence Address 12. City: 13. State! 14. ZIP Code 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received . run/OOH-5145 (04:15) Page 2 0t 7 I #5an Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held; List any and all licenses issued by a governmental or other regulatory entity. . Type of Professional 3 License Institution Granting License 3 - - I License 3 Number (Mailing Address. Phone. Email) - Enomwe Date DaWWI Ewanxvii/ti17. Employment History lor the Past 10 Years; Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3. it necessary. OOH-5145 (04215) Page 3 0t 7 #8le De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders. Directors. and Members Redacted pursuant to NY. Of?cers Law, Art. 6 OOH-5145 (04/15) Page 4 017 De artment Medical Marijuana Program STATE Of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders. Directors. and Members Redacted pursuant to NY. Of?cers Law, Art. 6 18. Offices Held or Ownership Interest in Other Businesses List any affiliations you have been associated with in the past 10 years. Affiliation. for the purpose of this section. includes serving as either a board member. officer. manager. owner. partner. principal stakeholder. director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated {busi ass or had any affiliations with the operations of a business in New York. in the USA. Or in other countries? DYes ?F?la and Addressof Business. - rom. To: Business Type: Office Held/Nature of Interest: Dope" Duos? Dproposed Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: OOH-5145 (04.515) Page 5 of 7 Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: Name and Address of Business: To: Business Type: Of?ce Held/Nature of Interest: Dope? Enclosed Upfoposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: From: Name and Address of Busmess: To: BUSINESS Type: Office Heldiature of Interest: nope" Bagged mpromsed Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: From: Name and Address of Business: To: Business Type: Office Held/Nature of Interest: Dopenm?osed apropos? Name, Address and Phone Number of Licensingi?egulatory:Agency, if applicable: (04:15) Page 6 of 7 953K De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members ?Efttith??tm Statement at Qualifications For individuals who have not previously served as a tirector/ollicer nor have had managerial experience. please include a statement below explaining how you are quali?ed to operate the proposed lacility. This statement should include. but not be limited to. any relevant community/volunteer background and experience. [Oittitt?hh?m 'lt? iwwb WM .1. LU Wat nip-liq [D?tvlrittlitat newt-ta it- . (w Nil?iiht?t lb?m in "Pill/L Clttuu that itK?L?i-itl?l- nwk?iNi-uz vi ti~? Ni (?Width [tint/tin. (?ll it? [t3 A?i?rziw -i 106(1le c'tSSt izzk i'PSt'cli?Nl?5 it: 5 Ida (nu-q, .m 55?ka all-6%? ?Wt/f ill? l' E?ltf?f?l' {Rd 'k QWWELQ I) ilefoc?niztiz mm 1* Wk nip-gm ?7,11 (tv?l?xgd {ghee? llu 7' . nut 1'leij it ?95 {WM/bin? MM as? ('izHl?kj mm ""154 - lat?m Laa?ivemw er ("ii Mt. l?M??Q-ci a? 7) (- ?.Fu?l?tl toil-ll. Willi/[rid (bulk 20. The undersigned certi?es. under penalty oi perjury. that the iniormation contained herein or attached hereto is accurate. true. and complete. in all material respects. f/ Notary Registration Number: MC. HUM {732 (W1 7 {776/ Notary (Notary Must Aftix Qamp or Seal) Date; I ?WW.in.sz OOH-5145 (04115) Page 7 ol 7 ,7 San 01 BAR ADMISSIONS New Jersey (November 2006); New York (July 18, 2007) EDUCATION PACE UNIVERSITY SCHOOL OF LAW, White Plains, NY Juris Doctor and International Law Certificate, May 2006 Activities: American Bar Association; Study Abroad: Pace University School of Law London Law Program, London, UK, Spring 2005 BIN GHAMTON UNIVERSITY, Binghamton, NY Bachelor of Arts in English January 2001 Honors: Dean?s List, Spring 2000; Study Abroad: Binghamton Semester in London Program, London, UK, Fall 2000 I .RC AI . Redacted pursuant to NY. Public Of?cers Law, Art. 6 Sandy Choi attended the State University of New York at Binghamton where she received a Bachelor of Arts in English Literature. She has also earned a Juris Doctor from Pace Law School. She has spent the majority of her life living and working in and is an attorney licensed to practice in New York and New Jersey. She is currently employed by In her role as a licensed attorney employed by the in the world, she investigates and evaluates potential exposure under commercial general liability policies for various commercial entities. Her strong analytical and organizational skills along with excellent communication, negotiation and investigation skills are valuable and applicable to many facets of this new endeavor, including applicability to risk management and compliance. As medical marijuana becomes decriminalized, less stigmatized, and more widely available, it?s encouraging that patients will ?nally be able to have access to the medical bene?ts of the drug. The change from the social blemish as it has been perceived to be, to now being recognized as a valuable treatment, is an encouraging change and exciting time in the medical community. De artment Medical Marijuana Program STATE of Health Application for Registration as - a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, of?cer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Euro,? CL This Is the name that was entered In Section A of the Application for Registration as a Registered Organization. 2. Name: Jazmin Hupp T3. Title: Board of Directors 4. Brie?y describe the role of this person or entity in the proposed registered organization: Jazmin Hupp is the - of a network of 10,000 entrepreneurs in all sectors of the cannabis industry. Her work to jumpstart 1,000+ women-owned cannabis businesses at the beginning of an industry is the most effective campaign to increase diversity in this sector. She will ensure that ETAIN, LLC has access to the highest-quality partners through her network. She is also a leading lecturer on responsible cannabis branding and will help ensure clear compliant messaging to ETAIN's patients and the public. 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? DYes @No Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable tee. Criminal history background checks must be done through ldentogo at using the OBI number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? DYes @No It the answer to this question Is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. (04/150 NEW YORK Department STATE of Health Medical Marijuan a Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? UYes @No If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8. Phone: 9. Fax: Ema": 11. Residence Address: 12. City: - 13. State: I Code: - 15. ormai Education Dates Attended Degree institution Address From To Degree Received Date Received State University of 325 Hudson Street, New Bachelor of Science New York: Empire York, NY 10013 2005 2007 in Busmess, May 2007 State College Management Economics State University of 735 Andreson Hill Rd, None New York: Purchase Purchase. NY 10577 2003 2004 College NEH-5145 (mt/151 Pane. 9 of 7 De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members rT6. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. hr Type of Professronal I License institution Granting License Effective Date License Number (Mailing Address. Phone, Email) Exp'rat?on Date 17. Employment History for the Past 10 Years: 37a} with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of pa 8 3, if necessa .-., .. #4ng Department Medical Marijuana Program STATE of Health Application for Registration as . a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Redacted pursuant to NY. Public Officers Law, Art. 6 Name of Employer: n0H-5145 De artment AMedicalNlarijganatProgram STATE of Health pp Ication or egis ration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Position/Responsibilities: Supervisor Phone Number: Reason For Departure: Name of Employer: Type of Business: Street Address: City: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Position/Responsibilities: Supervisor Phone Number: Reason For Departure: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes serving as either a board member. of?cer. manager, owner. partner. principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any af?liations with the operations of a business in New York, in the USA, or in other countries? @Yes 0N0 DOH-FHAS Ind/1!? De artment AMediialMfarij;:n:tP;:gram STATE of Health Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: Name and Address of Busmess: To: Typei Of?ce Held/Nature of Interest: Dope" Dclosed apropos? Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: . Name and Address of Business: From. To: Business Type: Of?ce Held/Nature of Interest: Dope? Uclosed apropos? Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: Name and Address of Business: rom. To: Business Type: Of?ce Held/Nature of Interest: Dopenuclosed up?) Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: OOH-S145 (04/1Fii Pam: 6 nf 7 #5ng Department Medical Marijuana Program sun; of Health Application for Registration as - a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Affirmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include, but not be limited to, any relevant community/volunteer background and experience. i am qualified to serve on the Board of Directors because of my position as- and of . i currently spend 35 weeks a year visiting all the major cannabis markets and bringing those best practices to Utilizing our network of 10,000 cannabis entrepreneurs, ensure ETAIN will have access to a diverse list of quali?ed talent to build their business. i also lecture on responsible branding for the cannabis industry at national conferences. My goal is to create a safe and inclusive company that creates consistent products for a diverse range of patients. 20. The undersigned certi?es, under penalty of perjury, that the information contained herein or attached hereto is accurate, true, and complete in all material respects. Signature: Date: 47.28/lr Notary Name: Notary Registration Number: cal-:59 Era?lanes Notary (Notary Must Af?x Stamp or Seal) Date: TA 8 8 of 20/5 ELSA v. ?33m, Yak ?my zeal. OOH-5145 104/1!? JAZMIN VICTORIA HUPP Redacted pursuant to NY. Public Officers Law, Art. 6 State University of New York: Empire State College Bachelor of Science in Business, Management 8. Economics 2005-2007 Concentration: Management Information Systems 0 Graduated cum laude. State University of New York: Purchase college Design Technology Major 2003-2004 Nonprofit Board Memberships . Startup lnTurn: Placing underrepresented students in sponsored startup internships, 2012. GLSEN Southern Oregon Chapter: Gay, Lesbian, Straight Education Network, 2000-2003. Actors Theatre of Talent: Local community theatre, 1999-2000 season. Community Service 0 MentorNet: Volunteer mentor for undergraduate students in technology. Founder Labs: Coordinator for Startup Incubator program held on Google?s NYC campus. . LAMBDA Community Outreach Award for significant contributions to the youth LGBT community. $15an Department Medical Marijuana Program STATE of Health Application for Registration as 3 Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, officers, managers, owners, partners, principal stakeholders, directors, and members. For board members, of?cers, managers, owners, partners, directors. and members of the applicant that are not natural persons, Appendix A must be completed by each board member, of?cer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Etain This is the name that was entered in Section A of the Application for lstration as a Registered Clganization. "easier-x. 1? ?its: "is vi. Mr. Blum's role is to advise the company on the creation and implementation of quality assurance and product safety testing methods. With over ?ve years experience on several therapeutic project teams in the biotech and pharma industries, Mr. Blum is experienced in authoring Chemistry, Manufacturing, and Contols (CMC) sections for FDA submissions, as well as technology transfer to CMOs and authoring sections of GMP batch records. Mr. Blum will use this expertise to advise the company on parallel processes in the Medical Marijuana industry. 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? DYes MNO Any managers who may come in contact with or handle medical marijuana, includin medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check In compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through ldentogo at using the number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? DYes ENO it the answer to this question is yes, provide the name of the business, a statement the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. OOH-5145 (04/15) Page 1 of? 55le Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? DYes No If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. s. 10. Ema": 11. Residence Address: - - 12. City: - 13. State: - 14. ZIP Code: - . 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received Dartmouth College Hanover. NH 03755 B.A. 09/2005 06/2009 June 14, 2009 Northeastern 360 Huntington Ave, MS. University Boston, MA 02115 08/2011 05/2013 May 05. 2013 Boston University 72 Concord St, Boston. School of Medicine MA 02118 09/2014 Present Expected OOH-5145 (04/15) Page 2 of 7 #5th Department Medical Marijuana Program STATE of Health Application for Registration as 3 Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License . - . License Number (Mailing Address, Phone, Email) E?eCt'Ve Date Exp'rat'on Date EMT 873351 Massachusetts Department of Public Health. Of?ce of Emergency Medical 4/01/2017 Services 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 ears. Attach additional copies of a 3, if necessa . Name of Employer: Type of Business: OOH-5145 (04/15) Page 3 of? NEW YORK Department 57575 of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Street Address: 7 City: I'State: 7 [Zip __Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: 7 Supervisor Phone Number: 7? PoSition/Responsibilities: R?easonfor Departure: Name of Employer: Type of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name ef?Em'ployer: Type of Business: Street Address: City: State: Zip' Code: Starting Date of Employment: Ending'D?ate of EmpiOyment: Name of Supervisor for Reference: . Supervisor Phone Number: Positioanesponsibilities: Reason For Departure: Name of Employer: (04l15) Page 4 of? Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: State: I Zip Code: Starting Date of Employment: Ending Date of Employment" Name of Supervisor for Reference: Supervisor Phone Number: Pos?ion/Responsibilities: Reason For Departure: Name of Employer: 7 Street Address: Type ofBusihesS: :1 3; City: 7 State: 3 7 Zip Code: Starting Date of Employment: EndingDate'of Employment: Name oerupervisor for Reference: 7 Supervisor Phone Number: Position/Responsibilities: Reason ForDeparture: 18. Offices Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Affiliation, for the purpose of this section. includes sewing as either a board member. officer. manager, owner, partner. principal stakehotder, director or member of the organization. Organizations outside of New York State must also be disclosed. orin othercountries? [Was No Have you owned or operated a business or had any with the operations of a business in New York, in the USA, From: To: Name and Address of Business: Business Type: Office Held/Nature of Interest: Dopen Dclosed Uproposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: DO (04/15) Page 5 of 7 De artment Medical Marijuana STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members me: I Name and Address of Business: To: Business Type: Office Held/Nature of Interest: . D?i'osed' Dp'ro?dsed Name. Address and Phone Number of'Licensing/Regulatory Agency, if applicable: 7 From: Name and Address of Busmess: To: Business Type: Office Held/Nature of Interest: 7_ Dope" Dclosed aproposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: Name'and Address of BUsIness: To: Business Type: Office Held/Nature of?lnterest: I openL?Jclosed Upropb??d Name, Address and Phone Number'of LicenSing/Regulatory Agency, if applicable: -- . DOH-5145 (04/15) Page 6 of 7 Medical Marijuana Program Application for Registration as a Registered Organization 553% Department We of Health Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/officer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include, but not be limited to, any relevant community/volunteerbackground and experience. Mr. Blum has over five years experience in the biotech and pharmaceutical industries. actively involved in the development of protein therapeutics. While working for? (formerly?), Mr. Blum authored CMC sections of submissions to the FDA, supervised technology transfer for the GMP production of biologics. and performed research on the engineering and analysis of several protein therapeutic candidates, spanning multiple technology platforms. Mr. Blum also worked on implementing data tracking systems. is an inventor of two patent applications, and has general management experience for a local not-for-pro?t organization. Mr. Blum's previous project management experience and service on the Board of Directors for a not-for-pro?t organization is strong preparation to contribute to the oversight and operation of the company. Mr. Blum was President of the Board of Directors of the Wayland-Weston Rowing Association and oversaw the reinstatement of the organizations 501 (3)c status, which required extensive work with the appropriate state and federal agencies. Mr. Blum oversaw the implementation of a new governance structure to prevent similar lapses of the organization in the future. With this experience. Mr. Blum is uniquely quali?ed to guide the company on the establishment of rigorous testing and quality control standards for the Medical Marijuana industry and meet regulatory requirments. 20. The undersigned certi?es, under penalty of perjury. that the information contained herein or attached hereto is accurate, true. and complete in all material respects. Signature: . Datebr/I 8/10,! S. Notary e: ?7 Notary. Registration" Number: CHRISTINE M. NICKERSON Nota'ry (Notary Must Affix Stamp or Seal) Date: 5/M/a Notary Public My Commission Expires August 31. 2018 Cormoan of Massachusetts (04/15) Page 7 of 7 $53k Department Medical Marijuana Program STATE of Health Application for Registration as - a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Etain. LLC a antral 3' L. 4. Bne?y the role . i a; .1 prsor entity in the Invited by Etain, LLC to serve as the horticulture expert and consultant. 5. Vi?ll this person or entity come into contact with medical marijuana or medical marijuana products? Yes BNO Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through ldentogo at using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? [:IYes No If the answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. OOH-5145 (04/15) . Page 1 oi 7 YORK STATE of Health Application for Registration as a Registered Organization NEW Department Medical Marijuana Program Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? DYes No if the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8- We: 9? Fax? 10. Email: 11. Residence Address: 12. City: - 13. State: - 14. ZIP Code: - 15. Formal Education Dates Attended Degree institution Address From To Degree Received Date Received Rutgers University Foran Hall/ Cook Campus 59 Dudley Rd. 9/1982 11/1988 May 1989 New Brunswick, NJ 08901 Rutgers University Foran Hall/ Cook Campus MS. 59 Dudley Rd. 9/1980 5/1982 May 1982 New Brunswick, NJ 08901 University of Rhode College of Env. 8 Life Sci. 38. island 120 Flagg Road 9/1975 5/1979 May 1979 Kingston, Ri 02881-2020 OOH-5145 (04/15) Page 2 of 7 Department MedicalearijSana STATE of Health App ication or egistra Ion as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held; List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License . . - License Number (Mailing Address, Phone, Email) E?ect've Date Exp'mtm? Date Director's license - NYSED-BPSS 89 Washington Ave, EBA 550 4/1/2004 5/18/2016 Albany, NY 12234 Instructor's license #45575058 (518) 474-3969 8/30/2005 7/30/2017 bpss@nysed. gov Agent's license #1326-336 03/4/2004 4/01 /201 8 School license #986 1977 6/18/2016 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment dUring the last 10 years. Attach additional copies of page 3, if necessary. f'l'zype'opru's'jin'?SSI' DOH-5145 (04/15) Page 3 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, rincipal Stakeholders, Directors, and Me bars a; - I 35; 9,57- 1 ?73? 7-: A I Type of Business: Street Address: City: 1 State: Zip Code: Starting Date of Employment: Ending Date of Employment: Supervisor Phone Number. Position/Responsibilities: OOH-5145 (04/15) Page 4 of 7 NEW Department Medical Marijuana Program YORK STATE of Health Application for Registration as . a Registered Organization Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: I State: Pip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference; Supervrsor Phone Number. Position/Responsibilities: 33. 50. Pa?u ,1 . 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes serving as either a board member, of?cer. manager. owner, partner, principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any af?liations with the operations of a business in New York, in the USA, or in other countries? DYes No From, January 2004 Name and Address of Business: Metro Hort Group Inc. To: present PO. Box 1113, New York, NY 10185 Business Type; Of?ce Held/Nature of Interest: non-pro?t hort. organization Secretary (since 2005) We" Ech?m? upmmsed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: DOH-5145 (04/15) Page 5 of 7 alsz De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, olders, Directors, 3 From: February 2013 Mather Building Arts Craftsmanship High School To: present 439 West 49th Street, 4th Floor, NY, NY 10019 Business Type: Of?ce Held/Nature of Interest: CTE High School, NYC Member - Curriculum Development Comm we" D?'?sed memsw Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: Page60f7 OOH-5145 (04/15) #wa Department 576? of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include, but not be limited to. any relevant community/volunteer background and experience. true, angco/mplete in all material respects. 20. The undersigned certi?es, under penalty of perjury, that the information contained herein or attached hereto is accurate, Date: A, Notary Name: - . (i x'l')HlJ. Notary Rogistr?n Number: 0 xi L?s? 4? f? Notary (Notary Must Af?x Stamp or Seal) .. .. . 8. Amafo NOTARY PUBLIC, STATE or NEWVORK No, mmsorzooa QUALIFIED lN county MY COMMISSION MARCH 25, 201Date: I I Jr? (.. OOH-5145 (04/15) Page7of7 Throughout my career, i have found myself in several challenging positions and, as reflect, have performed above and beyond what was required in each position. Below are just a few of my career successes. Since entering the workforce following my post-doc at the University of Florida's Tropical Research Education Center in Homestead, Florida. I served as an Agriculture Consumer Protection Specialist. I was the ?rst in Miami-Dade County to spot Florida Wax Scale at a nursery, which was then treated and eradicated. As Team Leader of the Mobile Irrigation Lab, i lead the Mobile irrigation Labs around the State to standardize how irrigation evaluations were to be conducted and reported. At the University of Florida's Miami-Dade Cooperative Extension Service, was the ?rst Extension Agent in the State to create and teach workshops to landscape architects about plants - workshops that were received with much enthusiasm and a desire for more. Since becoming Director of the School of Professional Horticulture at The New York Botanical Garden, have accomplished the following, which were not originally part of my job responsibilities - Applied for and received accreditation in 2005 - Applied for and received Title lV certi?cation in 2005 - Applied for and received certification with the US Department of Homeland Security and the NY State Department of Veterans Affairs - Creatively developed new programs and opportunities in the Adult Education programs. - Successfully implemented two new workshops to the School of Professional Horticulture?s curriculum. - Successfully created, implemented, and hosted an industry-sponsored, annual, Green industry intern Field Day at NYBG. I believe i am a highly competent, motivated and enthusiastic administrator with experience of working as part of a team in a busy of?ce environment. Besides being responsible for the day-to-day operations of the School, guide students with special group projects, plant studies. reviews, and field trips. I coordinate with the School's Advisory Board which is composed of instructors, education and horticulture staff, and representatives from horticultural businesses to periodically meet and review school policies and curriculum. i am responsible for compliance with NY State Education Department's Bureau of Supervisory School Supervision, the Accrediting Council for Continuing Education Training, the US. Department of Veterans Administration, and serves as the School's Primary Designated Of?cial (PDO) with the US. Department of Education and the US. Department of Homeland Security. in addition, bring to any organization the following: - very well-organized and proactive in providing timely, efficient and accurate direction to colleagues. - approachable, well presented and able to establish good working relationships with a range of different people, - possessing a proven ability to generate innovative ideas and solutions to problems - highly resourceful, ?exible, innovative, and enthusiastic individual who possesses a considerable amount of knowledge regarding education, horticulture and administrative procedures. - A quick learner who can absorb new ideas and is experienced in coordinating, planning and organizing a wide range of administrative activities. - an excellent team player with a proven ability to work proactively in a complex and busy office environment. - Superb oral and written communication skills. - PROFILE EDUCATION 0000 SKILLS LANGUAGES Professional Educator with over twenty-?ve years teaching experience including college-level courses, seminars workshops. Over twenty-?ve years experience in Urban Horticulture, Arboricuiture, Pesticide Safety Training, Agriculture and Project Management encompassing Agricultural Production, Water Management/Conservation, Irrigation, Environmental Protection, Everglades Restoration, and Horticultural Research. Oral communication skills demonstrated through talks at state, national and lntemational meetings, board presentations, seminars and workshops, and management brie?ngs. Written communication skills demonstrated through publishing data obtained from projects, preparation of cooperators' letters, quarterly and annual reports, and writing de?nitions of irrigation types for government agencies. International experience includes working with grain and vegetable farmers in M?xlco and working on a vineyard in Tuscany, Italy. in Horticulture, 1989 Rutgers University, New Brunswick, New Jersey Thesis: Regeneration of Fragaria Species from leaf callus and the characterization of alcohol dehydrogenase. M.s. Degree in Horticulture, 1982 Rutgers University, New Brunswick, New Jersey Thesis: Effects of carbon dioxide applications to the root zones of tomato plants. 85. Degree in Agriculture and Resource Technology, 1979 University of Rhode Island, Kingston, Rhode Island Honor-g: Cum Laude Graduate Professional! Training: Certified Instructor for 90-hours of Basic Methods Teaching Courses, recognized by the N.Y. State Department of Education. ISA?Certi?ed Arborlst (Member of International Society of Arboricuiture) Use of Ashtech GPS receiver and software to process data obtained when locating open irrigation wells (Training Course) Entomology, Plant Pathology, Plant Identification, and Nematology (Florida Department of Agriculture Consumer Services) Training in Irrigation System Design, Evaluation, Operation and Maintenance (South Dade Soil Water Conservation District) Computer Skill: Graphics Word Processing (Windows, PowerPoint, Word, WordPerfect, GIS Mapping, Irrigation Software) Laborato Skills: Light Microscopy, Protein Isolation and Puri?cation, Gel Electrophoresis, Spectrophotometry, Column Chromatography, Plant Tissue Culture TEACHING EXPERIENCE 2000-2003 1997 2000 1993 1999 1993 1996 1980 1988 Additional: University of Florida Miami-Dade Cooperative Extension Commercial Horticulture Agent Taught workshops to the commercial horticulture industry (arborists, landscape architects, landscape management and county parks employees) in Miami-Dade County. Miami-Dado Community College, Miami, Florida Instructor Energy the Natural Environment Taught required course for all students at the Wolfson campus. Miami-Dade County Cooperative Extension Service, Homestead, Florida Nursery Production School Irrigation Principles and Practices Fruit Spice Park, Homestead, Florida Instructor Irrigation Workshon Rutgers University, New Brunswick, New Jersey Instructor Cook College (84-88) Taught Botany of Turfgrass Course for over seventy-five professionals as part of Turfgrass Management Program (Winter 86 88). Also taught two courses in Home Gardener's School .?House Plants for the Home? and ?Problems with House Plants? (84-87). Teaching Assistant General Biology (80-85) Assisted with fear recitation sections per semester (83-85). Also taught freshman level course required for all undergraduate science majors, with two laboratory sections per semester (80- 83). Presentations, Pubiications and Abstracts Available upon Request PROFESSIONAL EXPERIENCE- 2003 - Present New York Botanical Garden, Bronx, New York Director, School of Profggsional Horticulture and Program Coordinator, Continuing Education Department Direct operations and develop the School of Professional Horticulture including evaluation of the program, planning, goal 2000 2003 1992 2000 setting and recruitment of students. Initiated and obtained national accreditation in 2005. Initiated and obtain approval to participate in Title IV federal student aid programs in 2005. Brought the School into compliance with NY State Education Department. Work with Continuing Education and Horticulture staff to assure a coordinated, quality education through both academic training and practical work experience. Develop curriculum for the Horticulture discipline in the Continuing Education department. Created and organized two annual, Green Industry Intern Field Days at NYBG. These field clays serve to inspire and educate interns in the Tri-State area about the numerous career opportunities in the multi-faceted horticulture and green industries. In July 2014, over 160 people attended the all-clay field day at 125 of them were interns. Served as a Team Evaluator for ACCET as part of a 3-person team to conduct an on?site evaluation at Upper Valley Educators Institutie in Lebanon, NH. May 12 13, 2014. Elected to the Board of Directors for. Metro Hort Group, 2004. Elected to serve as Secretary on the Board of Directors for MetroHort Group, 2005. Licensed by N.Y. State Education Department as Director (#34536620), Agent (#1154789) and Teacher (#55541745). University of Florida Miami-Dede Cooperative Extension Service, Homestead, Florida Commercial Urban Horticglture Extension Agent Develop, deliver and evaluate extension programming in commercial landscape design, installation and management. Clientele are private landscape and maintenance companies, arborists, landscape architects, and parks and recreation departments in Miami-Dade County. This includes the use of newsletters, publications, radio TV appearances to educate the commercial horticulture interests on environmentally friendly landscape practices. Develop, deliver and evaluate extension programming in pest management/pesticide safety training for landscape professionals. Perform other duties as assigned by the county extension director and district extension director. South Dado Soil Water Conservation District, Homestead, Florida Project Leader Mobile Irrigation Lab Project management responsibilities for cooperatively funded research program that promotes water conservation in both agricultural and urban sectors of Miami?Dade County, Florida. Supervise daily project operations with responsibility for conducting irrigation evaluations, developing water management plans, and preparing quarterly and annual reports and publications. In addition, promote the project in public forums and assist the South Florida Water Management District with de?nitions of irrigation systems unique to Miami-Dada County. 1991?1992 l988-?199l 1984 ~1988 Additional: South Dade Soil Water Conservation District (Continued) Coordinated and implemented four-year Water for South Florida Education Program that involves annual presentations on water conservation and the Everglades Restoration Plan program to 2,000 students annually (grades in Miami?Dade County. Received Certi?cate of Appreciation and Merit Award in appreciation of Leadership to the Mobile Irrigation Lab Committee for development of Standardized Reporting Procedures. Received Certi?cate of Appreciation for Support to Minority Youth in Dade County through AmeriCorps Program (Trained and supervised ?ve AmeriCorps Members on Irrigation Evaluations). Served as chair of statewide Irrigation Conservation Committee, composed of all MIL personnel and USDA Natural Resources Conservation Service's technical staff. Participated in various workshOps with several Miami?Dade Cooperative Extension Agents regarding irrigation systems practices. Volunteer on two projects for Winrock International in M?xico, to assist growers with improving production and irrigation practices. Florida Department of Agriculture, Homestead, Florida Agiculgye Consumer and Protection Specialist Inspected nurseries to maintain standards set by the state, and enforced regulations governing export and import of plant material. University of Florida Tropical Research Education Center, Homestead, Florida Post-doctoral Assistant in Horticulture Investigated and quanti?ed the amount of genetic variation in polyembryonic cultivars of Mangifera indica L. using isozymes as biochemical markers. Also studied effects of ethylene on mango somatic embryogenesis. Rutgers University, New Brunswick, New Jersey Research Assistant Horticulture Department Conducted research in characterizing the enzyme alcohol dehydrogenase in strawben'y callus. Determined if callus could be grown under low oxygen conditions and how this affects enzyme activity. Work also involved successful regeneration of strawberry species from leaf tissue callus. REFERENCES: Redacted pursuant to NY. Public Of?cers Law, Art. 6 PRESENTATIONS Yurgalevitch, C.M. L. Vasquez, 1999. Florida?s Mobile Irrigation Labs. Proceedings of the 20th Annual International Irrigation Show. Orlando, FL. Nov. 7?9, 1999. Yurgalevitch, C.M., L.A. Vasquez, J. Dymond C.A. Coffin, 1998. A View From the Field: a Mobile Irrigation Lab '5 perspective. Soil Water Conservation Society Annual Conference, San Diego, July 5-9, 1998. Pitts, D., C.M. Yurgalevitch, T. Obreza, J. Capece, R. Urs G. Dymond. Suitablility of Dade County groundwater for use in microirrigation systems. Florida Horticulture Society Annual Meeting. November 4, 1996. Orlando. Xurgalevitch, C.M., L.S. Tenny, D.S. Ulmer, 1995. The current status of microirrigation systems in Dade County. Fifth International Microirrigation Congress, Orlando, Florida, April 2-6. Yurgalevitch, C.M., L.S. Tenny, D.S. Ulmer, 1994. Taking the pulse of irrigation: a Mobile Irrigation Lab '5 perspective. Fifteenth International Irrigation Exposition &Technical Conference, November 5?8, Atlanta. Yurgalevitch, C.M. Irrigation Practices in Dade County a view from the field. University of Florida - TrOpica'l Research Education Center's seminar series. January 27, 1994. PUBLICATIONS 8i. ABSTRACTS Yurgalevitch, C.M. L. Vasquez, 1999. Florida?s Mobile Irrigation Labs. Proceedings of the 20th Annual International Irrigation Show. Orlando, FL. Nov. 7?9, 1999. Litz, R.E. C. Yurgalevitch, 1997. Effects of acid, and sulfate on induction of embryogenic competence of mango nucellar explants. Plant Cell, Tissue and Organ Culture 51:171-176. Pitts, D., C.M. Yurgalevitch, T. Obreza, J. Capece, R. Urs G. Dymond. Suitablility of Dade County groundwater for use in microirrigation systems. Florida Horticulture Society Annual Meeting. November 4, 1996. Orlando. Awarded Outstanding Paper in the Krome Section at the Annual Meeting of the Society, Nov. 2, 1997. Pitts, D., C.M. Yurgalevitch, T. Obreza, J. Capece, R. Urs G. Dymond. Suitablility of Dade County groundwater for use in microirrigation systems. Florida Horticulture Society Proceedings. November 3?6, 1996. Orlando. Yurgalevitch, C.M., L.S. Tenny, D.S. Ulmer, 1995. Taking the pulse of irrigation: a Mobile Irrigation Lab's perspective. Irrigation Journal. 45(2): 22-24. Yurgalevitch, C.M., L.S. ?Tenny, D.S. Ulmer, 1995. The current status of microirrigation systems in Dade County. In: Microirrigation for a changing world: conserving resourcesjpreservinq the environment. Proceedings of the Fifth International Microirrigation Congress, April 2-6, Orlando, pp. 331?335. Litz, R.E., V.H. Mathews, P.A. Moon, F. Pliego?Alfaro, C.M. Yurgalevitch, and S.G. DeWaId, 1993. Somatic embryos of mango (Mangifera indica L. In: SynSeeds: Applications of seeds to crop improvement. ed. K. Redenbaugh, CRC Press, Inc. Boca Raton, FL. pp. 409?425. Ulmer, D.S., W. Townshend, H. Bryan, M. Asgari, R. Smola, C. Yurgalevitch and L. Tenny, 1993. Conservation practices after Hurricane Andrew. Southern Society of Agricultural Scientists, Winter meeting. Litz, R.E., V.H. Mathews, R. Hendrix, and C.M. Yurgalevitch, 1989. Somatic cell genetics of mango. Third International Symposium on Mango. Darwin, Australia. September 25?29. Yurgalevitch, C.M. and H.W. Janes, 1988. Carbon dioxide enrichment to the root zones of tomato seedlings. J. of Horticultural Science. Yurgalevitch, C.M., H.W. Janes and C.K. Chin, 1986. Characterization of alcohol dehydrogenase and its induction in strawberry callus. HortScience: 21(3). Abstract 546. Yurgalevitch, C.M., H.W. Janes and C.K. Chin, 1985. Somaclonal variation in Fragaria. HortScience: 20(3). Abstract 450. Yurgalevitch, C.M. and H.W. Janes, 1982. The effects of ion activity to root zones of tomatoes caused by carbon dioxide applications. HortScience: 17(3). Abstract 59. #5an Department Medical Marijuana Program STATE of Health Application for Registration as . a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners. principal stakeholders, directors, and members. For board members, of?cers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Etain' LLC This is the name that was entered in Sction A the A - olication for Re istration as a Re 2 istered sanizatlon. - I w?P h. v. gr." - . ivy L171:91? 3g 9? is. ri?rj?w?g! "3 4. Brie?y describe the role of this person or entity in the proposed registered organization: Would act in a capacity of Board of Directors - Background in Accounting (Audit Tax). Finance and Human Resources in various organizations make me quali?ed and to assist with business plans, ?nancial and operational guidance as well as guidance in the area of human resources on the Board. 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? DYes No Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through ldentogo at using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? No If the answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. OOH-5145 (04/15) Page 1 of 7 Department Medical Marijuana Program STATE of Hearth Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative orjudicial proceeding? No If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8. Phone: 9. Fax: n/a 10- Ema": 11. Residence Address; 12. City: - 13. State: - 14. ZIP Code: - 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received Hawaii Pacific Honolulu, HI na College 1985 1987 Fordham University Bronx, NY BS, Finance 1987 1989 1989 Pace University, White Plains, NY MBA, Accounting Lubin School of 1994 1997 1997 Business (04/15) Page 2 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as . a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License License Number (Mailing Address, Phone. Email) Effed've Date Exp'ra?c?? Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3, if necessary. DOH-5145 (04/15) Page 3 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders- Directors- and Members Redacted pursuant to NY. Public Of?cers Law, Art. 6 Type of Business: Street Address: . City: . State: Zip Code: Starting Date of Employment: 1990 Ending Date of Employment: 1993 Name of Supervisor for Reference; SuperVIsor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer. OOH-5145 (04/15) Page 4 of 7 NEW YORK Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: I State: I Zip Code: Starting Date of Employment Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number. Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose ofthis section. includes serving as either a board member, of?cer, manager, owner. partner, principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. or in other countries? BYes Have you owned or operated a bu-siness or had any af?liations with the operations of a business in New York. in the USA, No From: 1985 Name and Address of Business: Litchfield Farms, Inc To; present 133 Town Farm Road, Litchfield, CT Business Type: Dairy Farm and Forestry Of?ce Held/Nature of Interest: Treasurer open Dclosed aproposed n/a Name. Address and Phone Number of Licensing/Regulatory Agency. if applicable: DOH-5145 (04/15) Page 5 of 7 NEW YORK STATE of Health Department Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: 1995 Name and Address of Business: I . First Congregational Church of Chappaqua To: Present Orchard Ridge Road. Chappaqua,rNY 10514 Business Type: Of?ce Held/Nature of interest: open Elclosed Bproposed Church, 1 Board of Trustees, PlayCare, Christian Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: n/a From: Name and Address of Business: To: Business Type: Of?ce Held/Nature of Interest: ?open mclosed aproposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: From: Name and Address of Business: To: Business Type: Office Held/Nature of Interest: D'open?closed Uproposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: DOH-5145 (04/15) Page 6 of 7 98ka Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience. please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include. but not be limited to, any relevant community/volunteer background and experience. Currently global Fortune 500 company with multi-billion dollar revenue earnings. Her background in various organizations spans across Accounting (Audit Tax). Finance and Human Resources (Compensation and Talent Management). Experience in each of these ares built a strong capability in Business Acumen as well as a thorough understanding financial statements, business plans. and human resource requirements. This is the core foundation for an effective Board Member. See attached Bio for additional details on background as needed. hat the information contained herein or attached hereto is accurate. Date: -- Notary Registration Number: Notary (Notary Must Af?x Stamp or Seal) Date: 1 MARK GOLDSTEIN Notary Public, State of New York No.02605051396 Qualified in Westchester County . . Commission Expires November 6. ip/ 7 OOH-5145 (04/15) Page 7 of 7 PROFILE Twenty years of experience in the Human Resources, Finance, and Accounting industries. Globally managed and motivated teams up to 30 employees. Designed, developed and deployed multiple global compensation and recognition programs. with responsibility for over $1.43 of compensation investment for 350,000+ employees Managed budgets up to and performance and sales productivity metrics for sales org for multi-billion dollar Software Business. Provided ?nancial services and support to IBM organizations and commercial clients outside of IBM career. CA RFFR Redacted pursuant to NY. Public Officers Law, Art. 6 MONICA M. LOMBARDO Page 2 of 2 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Master of Business Administration, Major: Accounting: Pace University, White Plains, NY, 1997 Bachelor of Science, Major: Finance: Fordham University, Bronx, NY, 1989 952% De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, of?cer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Etain This Is the name that was entered in Section A of the Application for Registration as a Registered 0 anization"72-21mm: Rachael SpeegleBrie?y describe the role of this person or entity in the proposed registered organization: Provide medical expertise in the safe cultivation, processing, and distribution of medical cannabis. 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? No Any managers who may come in contact with or handle medical marijuana, Including medical marijuana products, shall be subject to a ?ngerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through ldentogo at using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? Yes If the answer to this question is yes, provide the name of the business, a statement de?ning the position of management or ownership held in such business, and any ?nding of violations of law or regulation by a governmental agency against the business or person or entity. The Verdes Foundation, a New Mexico Department of Health Licensed Non-Pro?t Medical Cannabis Producer Title: Director of Operations No violations or regulation against The Verdes Foundation or Rachael Speegle exist. OOH-5145 (04/15) Page 1 of 7 De artmen-t Medical Marijuana Program STATE Of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? UYes No If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. a. Phone: 9. Fax: 10. Email:? 11. Residence Address: 12. City: 13. State: - 14. ZIP Code: - 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received Brookiine College 4201 Central Ave NE Bachelor Degree in Albuquerque, NM 87105 2010 2012 Nursing 12/2012 University of New Albuquerque, NM 87131 Bachelor Degree in Mexico 2007 2010 Chemistry 12/2010 Swedish Intitute 226 West 26th St Associates Degree NY. NY 10001 2004 2006 in Medical Massage 2006 Therapy DOH6145 (04/15) Page 2 of 7 g'g?ls?K Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License . . . License Number (Mailing Address, Phone. Email) E?ect've Date Exp'rat'on Date Massage Therapy 019033 State Education Department, New York, New York 2/28/2006 Registered Nurse 77171 New Mexico Board of Nursing Albuquerque, NM 2/2013 2/2017 505.841.8340 17. Employment for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3, if necessary. DOH-5145 (04/15) Page 3 of 7 #5an Department Medical Marijuana Program STATE of Health Application for Registration as - a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders. Directors. and Members Redacted pursuant to NY. Of?cers Law, Art. 6 Name of Employer: OOH-5145 (04/15) Page 4 of? vgl?lK Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: I State: I Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Position/Responsibilities: Supervisor Phone Number: Reason For Departure: I Name of Employer: Type of Business: I Street Address: . City: - a 1 State: Zip Code: Starting Date of Employment: Ending Dateof Employment: Name of Supervisor for Referehce; Supervrsor Phone Number: Position/Responsibilities: Reason For Departure: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes serving as either a board member, of?cer, manager, owner, partner, principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any affiliations with the operations of a business in New York, in the USA, or in other countries? Yes OOH-5145 (04/15) Page 5 of 7 YORK STATE of Health Department Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members ;sewage-Adages a Easiness: - I A I I Of?ce Held/Nature baseless i i was dosed fi?l??ig?ddress-and Phone Number applicable; From: Name and Address of Business: To: Business Type: Of?ce Held/Nature of interest: open Eclosed proposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: '5'3Frorni Name. andeddressiof sadness; Type-'7 ?openlosed Address :a?ci' Phone, Agency, if applicable: DOH-5145 (04/15) Page 6 of 7 55?an De artment Medical Marijuana Program STATE of Health Application for Registration as - a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 79. Affirmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include, but not be limited to. any relevant community/volunteer background and experience. 20. The undersigned certi?es. under penalty of perjury, that the information contained herein or attached hereto is accurate, true, and complete in all material respects. Signature: Dam: 5/25/2015 Notary Narde: Notary Registration Number: i W- M. Notary (Notary Must Af?x Stamp or Seal) Date: 5 la, [20 l5 68??on OOH-5145 (04/15) Page 7 of 7 RACHAEL SPEEGLE 3 - Redacted pursuant to NY. Public Officers Law, Art. 6 PROFESSIONAL EXPERIENCE EDUCATION Brooldlne College, Albuquerque, NM 2014 MW Honor Roll, Brookline College, Albuquerque, NM 2012 IN CHEMISTRY, Dean?s List, University of New Mexico, Albuquerque, NM, 2010 MEDICINE, Honor Roll, Swedish Institute, New York, NY, 2006 TRAINING 8: CERTIFICATIONS CERTIFIED CANNABIS NURSE . American Cannabis Nurses Association ADVANCED CARDIAC LIFE SUPPORT. American Heart Association ONCOLOGY INTERNSHIP, University of New Mexico, Dr. Robert Quinn AID CERTIFICATION, American Heart Association Presbyterian Hospital FIRST AID American Red Cross EMERGENCY MEDICAL TECHNICIAN-INTERMEDIATE University Of New Mexico WILDNERNESS EMERGENCY MEDICAL TECHNICIAN-BASIC. Wilderness Medical Institute of NOLS VOLUNTEER EXPERIENCE Albuquerque Public School system: Teach CPR and First Aid to students with disabilities. Beth Israel Hospice: Over 100 volunteer hours providing re?exology pain management to terminally ill patients. Lobbying for public health causes and health-care reform issues. Medical Power ofAttorneyfor an Albuquerque stroke patient with no known family. Women ?s Shelters: Massage therapy and somatic bodywork for victims of sexual abuse. New York Marathon: Sports massage for athletes. Citywide Dialysis Centers Chair massage for dialysis patients. Albuquerque Mountain Rescue, Albuquerque Response Team, Emergency Medical Technician-Intermediate. Yosemite Search and Rescue Team: Provide emergency medical care as a member of the team. American Red Cross: Community education instructor, specializing in diabetes education and prevention (paid and volun teer). University of New Mexico: Wilderness Medicine Medical School Rotation. Organized hospice outreach opportunities for student community service. Organized fun draisers for Artists With AIDS. APPENDIX A AFFIDAVITS FOR BOARD MEMBERS, OFFICERS, MANAGERS, OWNERS, PARTNERS, PRINCIPAL STAKEHOLDERS, DIRECTORS, AND MEMBERS MANAGERS, RETAINED STAFF AND INTENDED STAFF MATTHEW BICKEL SANG CHOI WILLIAM OHN-PIERRE DUHE ERIKA FALLON memeN ROSE GOLDFINE KEVIN KING MICHAEL LEIGH ALF ONSO LIU Etain, LLC Appendix A A ?idavits LEE MANDELL MARTHA MCDERMOTT MAUREEN MCNAMARA DIANE MEIER MICHAEL REGO UNDERWOOD Etain, Appendix A A ?davits Department Medical-Mfarij:ana Program STATE of Health App ication or egistration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, officers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors. and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager. owner. partner, director and member of that entity. going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: a . +4 (4 This is the name that was entered in Section A of the Application for Flgistration as a Registered Orggnization. 2. Name: IaTitlezcuu??Q?'am 6W4. 4. Brie?y describe the role of this person or entity in the proposed registered organization: but? be WJMS obi/+9 ww?ln?an #0337 ?lo 3W n, 5le (aw/M4, (t e?iw?ae?te M75. 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? 2] Yes Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through Identogo at using the CHI number NY0412500 and the Fingerprint Reason ?Control Substance License." 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? DYes if the answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. ind/1?? pant-?4 1 nf7 55% Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative orjudicial proceeding? DYes '530 If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 9. Fax 10 Email? 11. Residence Address: 14. ZIP Code:- 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received Moms}, 5' 5* 9050 99:93 ia-aasa 76% ?l'tlne ideas- 04 aft/cm, Ind/1m Pam:- 9 of 7 Department AMiladical Mfarij:anatPr:gram STATE of Health pp ication or egis ra Ion as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members T16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License . . . License Number (Mailing Address. Phone. Email) E?ectlve Date EXp'ratlon Date (btem?a Maggi-gm; - #69 'E?har?aemt' LIES/shaman 31'. ?r [3 0903 am Hat 17. Employment History for the Past 10 Years: Start with MOE RECENT employment and include employment during the last 10 years. Attach additional copies of page 3, if necessary. Ind/1m Pan? 3 of 7 New YORK Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Redacted pursuant to NY. Public Officers Law, Art. 6 Reason For Departure: Name of Employer: Type of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer: rant-1-5145 Ind/1M Dane. 7 New YORK Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: State: I Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supen/isor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: Street Address: City: . State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: 18. Offices Held or Ownership Interest in Other Businesses - List any af?liations you have been associated with in the past 10 years. Af?liation. for the purpose of this section. includes serving as either a board member. of?cer. manager, owner. partner. principal stakeholder. director or member of the organization. Organizations outside of New York State must also be disclosed. or in other countries? [3 Yes 0 Have you owned or operated a business or had any af?liations with the operations of a business in New York. in the USA. From: To: Name and Address of Business: Business Type: Office Held/Nature of Interest: Dopen Dclosed Dproposed Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: Ind/1?? Pane 7 NEW YORK Department Medical Marijuana Program STATE Of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members . Name and Address of Business: From. To: Business Type: Of?ce Held/Nature of interest: Dope? Dclosed aproposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: Name and Address of Business: From. To: Business Type: Of?ce Held/Nature of Interest: Dope? Delosed aproposed Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: Name and Address of Business: From. To: Business Type: Office Held/Nature of Interest: DopenL?lclosed aproposed Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: DUI-131119 Dam: nf 7 Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/officer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include. but not be limited to, any relevant community/volunteer background and experience. I awn/1 emhmh W5 3 {ma-(W ?406? to franqorm Jro we Wa? ?cg?tr 46:731. I 56964625 7? CvicLWd/t, IL "is m7, [tie ?s @557?? ?5 i to be wrote SW Jo 0% W05t' Mm? team 000 121k rs Jaimie 5rd 9999/6 JEWW pmezzrit?s a? Mtjmi 20. The undersigned certi?es. under penalty of perjury, that the information contained herein or attached hereto is accurate. true, and oomph}; in all material res . Signature: Date: 5197/ {f Notary Name: Notary Registration Number: Notary (Notary Must Af?x Stamp or'Seal) Date: (0 - NOTARY or cowmoo 2 Myidenticanmizoisioigass Expires May 15. 2019 L- Darin 7 nf 7 vg?lK Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, officers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors. and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity. going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. awn 2/099 This is the name that was entered in Section A of the Application for Relistration as a Registered Organization. 2- Nm= 3' an CLAL I 3m? 4. Brielly describe the Tale of this person or entity in the proposed registered organization: (A 1 am at Lit?thunk NVS ymmw'rt M?it Lt 11L aim this person or entity come into contact with medical marijuana 0r medical marijuana products? Yes [We Any managers who may come in contact with or handle medical marijuana. including medical marijuana products. shall be subject to a fingerprinting process as part oi a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable tee. Criminal history background checks must be done through ldentogo at using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License." 6. Has this person or entity held any position of management or ownership during the preceding ten of a 10% at greater interest in any other business which manufactured or distributed drugs? ?Yes If the answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. (04:15) Page 1 of 7 Department 5'6" of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any admini live or judicial proceeding? miles No If the answer to either of these questions is ?Yes.? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8. Phone: 10. Email: 11. Residence Address: 13. State: 14. ZIP Code: 15. Forma uca on Dates Attended Degree institution Address From To Degree Received Date Received Lea/25 151mm mow?, . [25 ac it {2 (2/676 VWML OOH-5145 (04/15) Page 2 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License License Number (Mailing Address, Phone. Email) Re tie Nils - a1; V??ngir 047444 Edj?j?im 7/0, 00 [imam {Elia/U M234 Effective Date Expiration Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3. it necessary. a OOH-5145 (04/15) Page 3 or 7 ?5gK Department Medical Marijuana Pregram STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Redacted pursuant to NY. Public Of?cers Law, Art. 6 Department sen of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: TState: I Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Pos?ion/Responsibilities: Reason For Departure: Name of Employer: Hype of Business: Street Address: City: State: . Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor . . tor Reference: Supervrsor Phone Number. Position/Responsibilities: Reason For Departure: 18. Offices Held or Ownership Interest in Other Businesses - List any af?liations you have been associated with in the past 10 years. Affiliation, for the purpose of this section, includes serving as either a board member, of?cer, manager, owner, partner. principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a bigness or had any affiliations with the operations of a business in New York, in the USA, or in other ocuntries? UYes 0 From: Name and Address of Business: To: Business Type: Office Helleature of Interest: open Bagged apropos? Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: OOH-5145 (04115) Page 5 of 7 gigglx Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: Name and Address of Busmess: To: BUSiness TYPE: Office HeldINature of interest: Dope? Dclosed apropos? Name, Address and Phone Number of LicensinglRegulatory Agency, if applicable: From: Name and Address of Busmess: To: Business Type: Of?ce Held/Nature of Interest: Dope? Enclosed proposed Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: From: Name and Address of Busmess: To: Business Type: - Of?ce Held/Nature of Interest: Domn?losed Elmomsed Name, Address and Phone Number of LicensinglRegulatory Agency, if applicable: OOH-5145 (04/15) Page 6 of 7 98% Department Medical hilarijuana Program 51'5" Of Health Application or Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Affirmative Statement of Quali?cations For individuals who have not previously served as a director/otiicer nor have had managerial experience. please include a statement below explaining how you are quali?ed to Operate the proposed facility. This statement should include. but not be limited to. any relevant community/volunteer background and experience. I {at cm a; new Mia/Wait I am Zna?i?fo rm- .I-[aurc (414? 0% a gym/L63 A?r?dfg?\% #9 24M 7 so bj act/W. 20. The undersigned certilies, under penalty of perjury. that the information contained herein or attached hereto is accurate. true. and complete in all material respects. Date: I Notary RegistraticTn Number: Notary Name: . lz?bn/Wo $00 3?0 77 Notary (Notary MustA Sta por Seal) Date: :2 . ?7 ARDO ARMS normvpuauc or new JERSEY emission Expires 911112011 OOH-5145 (04/15) Page 7 ol 7 SANG CHOI VLQRE EXPERIENCE: Redacted pursuant to NY. Public Of?cers Law, Art. 6 SKILLS: Rx 2000; InteRx; McKesson EDUCATION: Arnold and Marie Schwartz College of Phannacy at Long Island University Brooklyn, NY Bachelor of Pharmacy (1999) LICENSES: New York REF ERENQES: Available upon request. 553? De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization ??31 Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, of?cer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Name: Yotta Technologies INC This is the name that was entered in Section A of the Application for Regi_stration as a Registered organization. 2. Name; ,William John-Pierre Duhe I liTitlel Manager 4. Brie?y describe the role of this person or entity in the proposed registered organization: William will lead efforts in researching, developing, and integrating new technologies and grow methods into new and existing infrastructures. This witl help Etain understand the emerging technological landscape and apply these recent advancements in order to most ef?ciently respond to the modern challenges surrounding plant production and quality control. 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? Yes [No Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a ?ngerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through tdentogo at i 7 using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity heid any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? [Was No if the answer to this question is yes, provide the name of the business, a statement de?ning the position of management or ownership held in such business, and any ?nding of violations of law or regulation by a governmental agency against the business or person or entity. OOH-5145 (04/15) Page 1 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? DYes No if the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. Ema": 11. Residence Address: 12. City: - 13. State: I 14. ZIP Code- 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received Cornell University lthica, New York 2007 2008 MA United States Naval Annapolis, Mayland Academy 2008 2009 Loyola University New Orleans, Louisianna Physics 2009 2014 May,15, 2014 Tulane Unviversity New Orleans, Louisianna 2014 2015 OOH-5145 (04/15) Page 2 of 7 $5le Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License License Number Address' Phone. Date Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3, if necessary. Name of Employer. Type of Business: Street Address: City. State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number. Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: OOH-5145 (04/15) Page 3 of 7 Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Street Address: City: rState: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employen Type of Business: Street Address: City: State: I Zip Code: Starting Date of Employment: Ending Date of Employment Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: Street Address: City: State: 1 Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer: OOH-5145 (04/15) Page 4 of 7 51ng Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Tape of Business: Street Address: City:_ - State: 1 Zip Code: Starting Date of Employment: Ending Date of Employment: me of Su rvisor a Supervisor Phone Number: for Reference. Position/Responsibitities: Reason For Departure: Name of Employer: Type of Business: Wag?s; City: State: {Zip Code: Starting Date of Employment: Ending Date of Employment: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes serving as either a board member, of?cer, manager, owner, partner, principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any af?liations with the operations of a business in New York, USA, or in other countries? Yes ElNo DOH-5145 (04/15) Page 5 of 7 #5le Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization AppendixA: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: Name and? Address of Busmess: To: Type: Of?ce Held/Nature of Interest: Dope" Dclosed meposed Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: . Name and Address of Business: From. To: Business Type. Of?ce Held/Nature of interest. Dope? Debs? meposed Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: Name and Address of Business: From. To: Business Type: Of?ce Held/Nature?of interest; DopenDclosed apropos? Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: OOH-5145 (04/15) Page 6 of 7 Department Medical Mfarijuana Program STATE of Health App Ication or Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include, but not be limited to. any relevant community/volunteer background and experience. 20. The undersigned certi?es. under penalty of perjury. that the information contained herein or attached hereto is accurate. true. and mplete i}1\all material respects. ?tnaturetr Date: MR7 Nota Name? Notary Registration Number: a/nda - wag/o Notary (Notary lVlust Affix Stamp or Seal) . . at}; Wanda (.. Mint-rs. LA. Notary l?ulilit' ?53" 2? (W rL' ., i arwh t) it 11mm Conunismionm} for Lift: 033? at t' Notary #042010 I, Date'- 0 61 l, 301% . Ind/1?? Dam: 7 nf 7 2005?2009 Summer? 2008 Summer?- 2008 2006?2009 2009?2014 Summer- 2014 Technologist Progra mm er/ Ph ysicist The scienti?c man does not aim at an immediate result. His work is like that of the planter for the future. His duty is to lay the foundation for those who are to come, and point the way. He lives and labors and hopes. ~Nikola Tesla Education Additional Studies, Cornell, lthica, . Attended Cornell under full scholarship for a summer in order to study life sciences and earned 5 college credits. Additional Studies, United States Naval Academy, Annapolis, . Attended the Naval Academy's summer session and received top marks and eventually was awarded a vice presidential nomination from Dick Cheney, as well as nominations from all four of Louisianna's congressional representitives, to attend. College, South Eastern University, Hammond, . Began to attended night classes during my sophmore year of high school under the ?South Eastern Scholars" Scholarship after receiving a 27 on my ACT my freshman year and accumulated 31 college credits during high school. Physics, Loyola Universitleew Orleans, . Graduated with honors with a 8.5 in Physics and a minor in both Mathematics and Computational Science Physics and Engineering, Tulane University, New Orleans, . Awarded a research assistantship working in computational materials science to towards my in Physics 1/3 Honors Thesis Title Emergent Cyclic Inflation, A Numerical Analysis Supervisors Dr. Tirthabir Biswas Description We provide a comprehensive development and numerical study of the Emergent Cyclic Inflation scenario. This is a scenario where instead of traditional monotonic slow roll inflation. the universe expands over numerous short asymmetric cycles due to the production of entropy via interactions among different species. This is one of the very few scenarios of inflation which provides a nonsingular geodesically complete space-time along with distinctive wigeg signatures in the cosmic microwave background radiation. In Awards 0 Received the "Father Marlow" graduation distinction for promoting an interest in physics and technology within the New Orleans community 0 Received the "Excellence in Undergraduate Reasearch" for a range of research conducted in computational sciences 0 Received the State of Louisiana's ?All Star Academic" award for excellence in athletics and academics 0 Received "National Award for Acacademic Excellence" from President of the United States. 0 Received Cornell University scholarship to do summer studies in 2008 0 Received and accepted the Dean's Honors Scholarship at Loyola University 0 Received the ?Father Marlow" scholarship for showing and explicit interest and passion for physics at Loyola University. 0 Received the "Lawrence J.Strohmeyer Endowed Scholarship" in the field of physics by offering incentives to talented students. 0 Recieved honorable mention in SPS (Society of Physics Students) "Outstanding Undergraduate Achievement" awards. Experience Programming Languages Mathematica 50!. UNIX HTML MATLAB LabView Root 9534K Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, of?cers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, of?cer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Etain This is the name that was entered in Section A of the Application for Qgistration as a Rggistered Organization. 4. Brie?y describe the role of this person or entity in the proposed registered organization: Manage pharmacy operations. Create, maintain, update, train and ensure compliance with Standard Operating Procedures. Ensure full-time pharmacist coverage during operation of applicable dispensing facility and monitor compliance of facility. Manage the reporting of daily activities to the appropriate department, reporting of adverse and unexpected events; proper reporting and compliance to enforcement agencies as required. 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? Yes Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through ldentogo at using the number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? EYes DNO If the answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. Position of management: No discipline to disclose. Responsible for overseeing the operation of pharmacy and ensuring pharmacy is in conformance with all laws and regulations pertinent to the practice of pharmacy and the distribution of drugs, personally in full and actual charge of pharmacy and its staff. Establish the pharmacy policies and procedures for the procurement, storage, compounding, and dispensing of drugs. Supervise all of the professional and nonprofessional employees of the pharmacy insofar as their duties relate to the sale or storage, or both, of drugs. Establish and supervise the record?keeping system for the purchase, sale, possession, storage, safekeeping, and return of drugs. Ensure that employees have knowledge of and follow applicable standard operating procedures including compliance with standards for safety and quality. nor?mew: Cd Dan: 4 AF 7 r531, De partment Li? of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? [Was No If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8. Phone: 9. Fax 10. Email: 11. Residence Address- 12. City: - 13. State: I 14.211D Code: - 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Receiver Albany College of 106 New Scotland Ave. Doctor of Pharmacy Pharmacy Albany. NY 12208 8/2001 5/2008 May 2008 State University of 1400 Washington Ave. general New York, Albany Albany, NY 12222 8/2002 5/2003 education requirements Dana 9 nf 7 4: 1mm NEW Department Medical Marijuana Program YORK i . . . . STATE of Hea'th Application for Registration as Kris? a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members_ tie. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License . . . License Number (Mailing Address. Phone. Email) E?eCtlve Date EXp'ratlon Date - - - Registered 052563 NYS Of?ce of the Professions State Pharmacist Education Building 2nd Floor, 07/15/2008 55/31/2017 Albany, NY 12234 518-474-3817 Email: op4info@nysed.gov 17. Employment Historyfor the Past MOS l' employment and include employment (mg the last 10 years. Attach additional copies of page 3, if necessary. Demo 'l of 7 DIN Department Medical Marijuana Program STATE of HeaIth Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Redacted pursuant to NY. Public Of?cers Law, Art. 6 Name of Employer: Dario A nf 7 5?5le ?merit Medical Marijuana Program STATE of "earth Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: I State: I Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervrsor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervrsor Phone Number: Position/Responsibilitiesc~p Reason For Departure: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation. for the purpose of this section. includes serving as either a board member. of?cer, manager. owner, partner, principal stakeholder. director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any af?liations with the operations of a business in New York, in the USA. or in other countries? DYes No . Name and Address of Business: From. To: Business Type: Of?ce Held/Nature of Interest: Dope? Dolosed apropos? Name. Address and Phone Number of Licensing/Regulatory Agency. if applicable: nnr-rJzur: Dana n67 De rtme'? Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: Name and Address of Busmess: To: Office Held/Nature of Interest: Dope" Dclosed apropos? Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: From: Name and Address of Busrness: To: Busmess Of?ce Held/Nature of Interest: Dope" Dclosed apropos? Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: From; Name and Address of Busmess: To: TYPGI Of?ce Held/Nature of Interest: Dopenmdosed aproposed Name, Address and Phone Number of Licensing/Regulatory Agency. if applicableDOH-R1AR 101111 Dam: of 7 Del)a rtment 57?" of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience. please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include. but not be limited to, any relevant community/volunteer background and experience. true. and coLn?ple aten'al respects 20. The undersigned Wnder penalty of perjury, that the information contained herein or attached hereto is accurate. In all Signature: 9% Notary Nam; Notary Registration Number: Olm/t 6'33 Notary (Notary Must Af?x Stamp or Seal) mosaier mmcoum uc. mmzzaoss com. axe ?n Date: Dana 7 nf 7 vgx?K De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, officers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, of?cer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1, Business Name: Etain LLC at This is the name . :3 2. 1.3L. was entered in Section A of the Application for Registration as a Registered Organization. 4. Brie?y describe the role of this person or entity in the proposed registered organization: Manager of operations including administration of the Quality System as applied to manufacturing in the facility. Manager of facility Safety and Maintenance. 5. \Mll this person or entity come into contact with medical marijuana or medical marijuana products? Yes Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through ldentogo at using the ORI number NYO412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? DYes No If the answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. (04/15) Page 1 of 7 NEW YORK Department 5'6? of Health Medical Marijuana Program Application for Registration as a Registered Organization Principal Stakeholders, Directors, and Members Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8. Phone: 9. Fax 10. Email: 1 1. Residence Address: 12. City: 13. State: 14. ZIP Code: 15. Formal Education Dates Attended Degree institution Address From To Degree Received Date Received OOH-5145 (04/15) Page 2 01 7 NEW YORK STATE of Health Department Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and al licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License . . . License Number (Mailing Address. Phone, Email) Effecuve Date exp'ratlon Date On-Premises Liquor 2131595 New York State Liquor Authority License 7/12/2010 6/30/2016 OOH-5145 (04/15) "17. Employment History for the Past 10 Years: Start with MOST employment and include employment during the last 10 years. Attach additional copies of page 3, if necessary. Page 3 of 7 #3ng Department Medical Mfarijuana Program STATE of Health App Ication or as a Registered Organization Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Name of Employer: Type of Business: Street Address: City: Tetate: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of SuperviSOr for Reference: Position/Responsibilities: Supervisor Phone Number: Reason For Departure: Name of Employer. Type of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment Name of Supervisor for Reference: Position/Responsibilities: Supervisor Phone Number. Reason For Departure: Name of Employer ?1 00Hs145 (04/15) Page 4 of 7 Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: city: 1 State; I Zip Code: Starting Date of Employment: Ending Date Of zigzg?grww Supervisor Phone Number. Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: 's Name Of Swab" or Supervisor Phone Number for Reference. Position/Responsibilities: Reason For Departure: 18. Offices Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes sewing as either a board member, of?cer, manager, owner, partner, principal stakeholder. director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any af?liations with the operations of a business in New York, in the USA, or in other countries? Yes DOH-5145 {94/15) Page 5 of 7 vg?gK De artment Mela-diced Mfarijlrana Program STATE of Health App Icatlon or egistratlon as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Name and Address of Business: From: To: Business Type: Of?ce Held/Nature of Interest: [japan Unused Epmmed Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: From: Name and Address of Busmess: To: BUSi?ess Type: Of?ce Held/Nature of Interest: Domn?hsed apropos? Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: OOH-5145 (04/15) Page 6 of 7 {253% Department of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Qualifications manufacturing standards makes me an ideal candidate consistent and proper manner. For in$viduals who have not previously served as a director/officer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed This statement should include. but not be limited to. any relevant community/volunteer background and experience. My 23 years of experience in medical device manufacturing under both the US FDA and the ISO European to bring Medical Marijuana to the public in a safe, 20. The undersigned certi?es, under true. and con/inlets in all material acts. of perjury, that the information contained herein or attached hereto is accurate, Signature; We: {/rl /20/6? - KRISTOPHER JOHN SWANTKO Notary Public - State at New York N0. 018W6308388 Qualified in Warren County My Commission Expires Jul 21. 2018 Notary Name: Notary Registration Number. Knsdop?ef Notary (Notary Must Af?x Stamp or Seal) Date: Lt I 5 OOH-5145 (04/15) Page7of7 vgl?IK De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, officers, manaers, owners, partners, principal stakeholders, directors, and members. For board members, of?cers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational must be included with this application. 1. Business Name: This is the name that was entered in Section A of the Application for Registration as a Registered Organization. 2. Name: Q, I 3. Title: 4. Brie?y describe the role of this person or entity in the proposed registered organization: .RCVJ ASE-tit? Rec-cl {time Consulwi? 5. Will this person or entity come into contact with medical marijuana or medical maijuana products? ENC Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a ?ngerprinting process as part of a criminal history background check In compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through identogo at using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? If the answer to this question is yes, provide the name of the business, a statement de?ning the position of management or ownership held in such business, and any of violations at law or regulation bya govemmentai agency against the business or person or entity. DOH-5145 (04l15) Page 1 of 7 $1sz Department Medical Marijuana Program STATE of Health Application for Registration as - a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any admin' trative or judicial proceeding? DYes No If the answer to either of these questions ls ?Yes,? a statement explaining the circumstances of the felon y, suspension or revocation must be provided below. 8. Phone: 10. Email: 11. Residence Address. I 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received 05!? Writ/ef?ng} me in! BA whom 304. emu/515 5: Float. Cot Bar/Pr Bar/Pr 12km t?t?llo mK Mink/it! Jere Tia/toil 900m, ?(73 ?'75 OOH-5145 (04/15) Page 2 of 7 $5le De artment Medical Marijuana Program of Health App Ication for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License . . A License Number (Mailing Address, Phone, Email) Effectwe Date EXp'ratlon Date u5D%333i AM 9136?: Drill/[Case NEW MW 309? 19/ 695137 3:501 21 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3, if necessary. Name of Employer: Type Of Business: - OOH-5145 (04/15) Page 3 of 7 Department 575" of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members For Departure: Name of Employer: Type of Business: Street Address: City: 1 State: TZip Code: Starting Date of Employment: Ending Date of Employment Name of Supervisor for Reference: Supervisor Phone Number: Reason For Departure: Name of Employer: Type Of Business: ,?Streetv?Add'ress': .- . . I 'flyZip'Codezu :City: - Bate: Starting Date of Employment: Ending Date of Employment, Name Of supervisor - 'for Reference: I Supervisor Phone Number: Po?sititin/Responsibilities: ReaSOn For Departure: Name of Employer: OOH-5145 (04/ 1 5) Page 4 of 7 NEW De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization A Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From; Narneand Address oijusiness: I I . I jot?? Dopen Dciosed and PhoneN?ur?nb?er of Licensin gIR'egulatory Agen'oy, if applicablef Name and Address of Business: From. To: ff . Busmess Type 0 Ice Held/Nature of Interest Dope" Delosed apropos? Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: I R. .Nameia'n'daAddress .- to; Business TYPE . Of?ce mopenljcuos?ed? Uproposed I Name, Address and of LicensinglRegulatory Agency, if applicable: DOH-5145 (04/15) Page 6 of 7 NEW YORK Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization -iostt1?m3 ibi+l\ 3m 2.007 atva wt?H/x rm rule. 6&1 LQ?CA-lrwh?aml 43mm ?Hts. i eta, i/\c 3 0&1 or Vaiilm+l03k ?13an a? that? (Rf-59x9 ??eitji (1 (mm if; time I tn?lft? t? if? ?4 Ui?ii/LC' his "Mitten/ea CrisL ??gsrxarf?luljh . .J DOH-5145 (04/ 15) Page 1 of 7 Department Medical Marijuana Program 51-675 of Health - Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any admini ative orjudiclal proceeding? DYes No If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 13. State: 14. ZIP Code: i 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received Lard? 3&5 .700 1"??4?97 (6176 new I Umvu?bi?i?y 1 Okio Unit/U597 8.4 .. Make?, 0?4? H95 OOH-5145 (04/15) Page 2 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License . . . License Number (Mailing Address. Phone. Email) Effective Date Expiration Date MIND Mgr; in?amemg?f W- i 5 var '00 802.05 2,0311 2? 03 Ji 30%- 2435? 342.1 MAC [Sual/LL mm - we; KeiL 17. Employment History for the Past 1 0 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3. if necessary. OOH-5145 (04/15) Page 3 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as .. a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members - . .1- Street-MESS: . . - . .- State: 4 I . .?zip:Code: Starting Dated-Employment: I I Ending Date of Employment: N?hiebfsupervi'sor- . "for ReferenCez- Supervisor Phone Number: Position7Respon5ibilities: 'ReasOn 'Fo'r Departure: Name of Employer: OOH-5145 (04/15) Page 4 of 7 $15le Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: 1 State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Position/Responsibilities: Supervisor Phone Number. Reason For Departure: ?.tlem?idf?EmP?by?rt Ni - .- iTyp? greatness; Access:- Isiarez' - Of?ZSiiper-Vlsor . -. I - a .fpi?efiif?nii?i' . - Number: . Posf?rtroanesponsibilities; Departure: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?iations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes sewing as either a board member, officer. manager. owner, partner, principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a bust or had any af?liations with the operations of a business in New York, in the USA. or in other countries? DYoe No From: Name and Address of Business: To: TYPE: Of?ce Held/Nature of Interest: Elm" Debs? pro Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: OOH-5145 (04/15) Page 5 or 7 #5th De artment Medical ?Irritania Program STATE of Health App Ication or eg stration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: Name of w?ss Type: 3 A 'Of?c-e Hedi-Naturemme-regi 1? Dmn?c'md Dhr?hosed, .- Name, Address and Phone N'u'rnber'ef Licensin?iReg'ulatory if applicable; From: Name and Address of Business: To: Of?ce Held/Nature of Interest Dope" Debs? meposed Name. Address and Phone Number of Licensing/Regulatory Agency. if applicable: Frqm: Name a'nd?Address of Business: To: Business Type: I Of?ee Held/Nature oflnterest; . omnwo?d' Ewan-Asap Address and'Phone Number of ,LicehsingrRe-guabw Age-"Cy. if app?, OOH-5145 (04/ 15) Page 6 of 7 De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Affirmative Statement of Qualifications For individuals who have not previously sewed as a director/of?cer nor have had managerial experience. please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include. but not be limited to, any relevant community/volunteer background and experience. . Ll. (3me l4. . Ml Wrzbucfvuk Qacmid-les lieeLi/LseA A vii-row 20a +13 2.012, Mike, Ne+rodneok moL sawing doze/irks 059- earl?{mam amploxlaes.. MILL sweats? in Joelle; itth coxmdcim\ violoLs 3e. as Past; cities, Mild; Amiga-ale k: iotLV? yt? iu?a flower Jr (we? Ml?k shooterots. A sa?l?i? ?taugk PK ten ML WULL o?Q?Pac?me?A oL? ,5 Adtc??td +0 elem/Lest tro?>s Possikic. 20. The undersigned certi?es, under p?enalty of perjury. that the information contained herein or attached hereto is accurate, true, and complete in all material respects. Signature: 10 Date: a ?3 A) ?5 71/ Notary Name: Notary Registration Number: Kai til/Why?d 2064014351 Notary (Notary Must Af?x Stamp or S'eai) Date: NOTARY PUBLIC - STATE OF COLORADO My ldeni?iication ii 20154019356 Expires May 15. 2019 cpl-IS I OOH-5145 (04/15) Page 7 of 7 Mike Leigh is a seasoned cultivator and entrepreneur in the cannabis industry. A man of many trades, he attended Ohio State University where he studied physical education and has coached high school athletics including football and wrestling. He served in the US. Army for a short time after college, before moving to Colorado where, as a patient, he learned to grow his own medicine and eventually began his career as a cannabis cultivator. Mike?s career in commercial cultivation started when? The enterprise was a nationally recognized operation known for high quality cannabis and patient education. As self-taught expert and trailblazer in the cannabis industry, Mike was one of the ?rst cultivators in Colorado to legally grow large quantities of medicinal cannabis. In 2008, Mike designed on of the ?rst legal commercial cultivation facilities in the state. While managing three CDS cultivation operations, he was able to serve thousands of patients with top shelf cannabis on a regular basis. Mike has changed the cannabis industry by refusing to conform to popular methods of cultivation that lack quality and ef?ciency. He has forever positivity transformed product results, while changing individual perspectives about the nature of the product and the business as a whole. Mike has dedicated himself to improving the existence of cannabis cultivation through diligent research and experimentations. By refining the environment and ecosystem of the plant, Mike has developed strategic scientific protocols and has created his own brand of superior products that consistently test high in purity and potency. His technical methodologies are steadfast to the production of maximizing ef?cient yields that are unaltered by pollutants or toxins commonly found in commercialized cannabis and have been adopted by a national cannabis branding company, Aquarius Cannabis. Mike utilizes a combination of biostimulants and a calcium-based approach, which work together to improve the plants vigor, production, quality, and tolerance of abiotic stresses. Mike believes in the therapeutic benefits of cannabis, and is passionate about unlocking all of the attributes and medical advantages the plant has to offer. Most recently, Mike has been engaged by several Denver operations to convert them to pesticide free systems after Denver Health quarantined cannabis containing unlawful pesticide residuals. Mike resides in the? area with his - where they both utilize their talents in the cannabis industry and devote any spare time to their- NEW Department Medical Marijuana Program YORK STATE of Health Application for Registration as - a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, of?cers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager. owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: stain LLC is is the name that was entered Section A of the A - lication for rv' Nth-v. x; war. u-w. ?v 22.? w. a. an.? .- pro 03 i a. Plan, implement, execute and manage the manufacturing facility. including, but not limited to, management of clean rooms, laboratory practices, formulation and packaging. v. i .. . Bi the thipe or My 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? [2le END Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be sublect to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through ldentogo at using the number NY0412500 and the Fingerprint Reason "Control Substance License." 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? DYes It the answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. Eventhough i didn't work with drugs. i worked in- to manufacture Laboratory devices that are used to test urine, blood, etc. Also, produced Tracked etched membrane to be used to create and growth arti?cial skin. At implemented Class 10k clean room and a program to manufacture DNA testing kits in a class 100 environment. (04/15) Page 1 of 7 Department 57f?! of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members any administrative or judicial proceeding? Yes No suspension or revocation must be provided below. 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, (04/15) aphone? Max:? Ema": 11. Residence Address: 12. City: - 13. State: I 14. ZIP Code: - 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received University of One University Ave . Courses toward Massach ussetts Lowell, MA 01854 9/96 NA Master Industrial NA Engineering Northeastern 360 Huntington Ave. Bachelor of University Boston, MA 02115 1978 1982 Electrical 1982 Engineering Techno Page 2 of? #8le Department Medical Marijuana Program STATE of Health Application for Registration as 3 Registered Organization Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professronal License Institution Granting License Effective Date License Number (Mailing Address. Phone. Email) Expirat'On Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3, if necessary. OOH-5145 (04/15) Page 3 of 7 #5le Department Medical Marijuana Program STATE of Health Application for Registration as 3 Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members :Jan?'r'??nQLDat? .. . for -: "pasib'in?i? Name of Employer: DOH-5145 (04/15) Page 4 of 7 gisz Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City. i State: 1 Zip Code; Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference; Supervusor Phone Number. Position/Responsibilities: Reason For Departure: 't-Addressz; - . 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes serving as either a board member, of?cer, manager. owner. partner, principal stakeholder. director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any affiliations with the operations of a business in New York, in the USA, or in other countries? Yes EINO DOH-5145 (04/15) Page 5 of 7 De artment Medical Marijuana Program STATE of Application for Registration as - a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: Name and Address of Business: To: Business Of?ce Held/Nature of Interest: Dopen [jelosed Elproposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: DOH-5145 (04/15) Page 6 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include, but not be limited to, any relevant community/volunteer background and experience. 20. The undersigned certi?es, under penalty of perjury, that the information contained herein or attached hereto is accurate, true, and complete in all material respects. Signature: . Date: June 1' 2015 Notary Name: govf Notary Registration Number: [0 (0 Notary (Notary Must Af?x Stamp or SealLJ Date: 15* 1mg Neural Sal Dabble Ion-y, Notary Public Upper Hacungle Twp., Lehlgh County My Mission Expires Dec. 12, 2017 mmvmu manor: or OOH-5145 (04/15) Page 7 of 7 $15le De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, of?cers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, of?cer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: ETAIN, LLC This is the name that was entered in Section A of the Application for Registration as a Wiution. 2. Name: Lee Mandell I 3. We?mmvaiqn Trainin 4. Brie?y describe the role of this person or entity in the proposed registered organization: Chief Hydroponicist: to be engaged in Hydroponic system design tunctionalities and provide Hy ro\p{e\uc Certification education classes to train local employees. (See: ?Hydroponics Systems Operating Manual and Growing Guide? the Farms Hydroponic Certi?cation Coursebook - attached as an exhibit to Application Question #83 - for - "manufacturing and standard operating procedures." 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? Yes Any managers who may come in contact with or handle medical marijuana, Including medical marijuana products, shall be subject to a ?ngerprinting process as part of a criminal history background check In compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through Identogo at using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License." 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? DYes No If the answer to this question Is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. OOH-5145 (04/15) Page 1 of 7 95% Department of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative orjudiclal proceeding? BYes No If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8. Phone: 9. Fax: Eman? 1 1. Residence Address: 12. City: - 13. State: - 14. ZIP Code: - 15. Formal Education Dates Attended Degree institution Address From To Degree Received Date Received Northeastern 360 Huntington Ave. 8.8. Comp. Sci. University Boston, Massachusetts 1934 1987 w/ Highest Possible June 1987 02115 Honors Michigan State 220 Trowbn'dge Rd, East Candidate for 3.8. University Lansing, MI 48824 1980 1982 in Mathematics DOH-5145 (04/15) Page 2 of 7 De rtment Medical Nicarijuana Program STATE of Health App Ication or Registration as a Registered Organization Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type Of Professional License institution Granting License . . License Number (Mailing Address, Phone, Email) Efrem Date Exp?muc?" Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3, if necessary. OOH-5145 (04/15) Page 3 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Name. of-Embloyer': .. I Type (if-Business: . ., . - . ?IState: . I 'I-znp'codei, Starting Dat?pr?r?nploymentp . Ending Date bt'Empioyrn?nt: .?fN??me?biSup?rvisbr Position/Res'ponsibilities: Reason For Departurez' Name of Employer. OOH-5145 (04115) Page 4 of 7 . NEW YORK Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: State: TZip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number Position/Responsibilities: Reason For Departure: O?Na?me 0f Employer- rType of Business: i_ .?iSireetAd?dressCity:- QI: State? . . . . [zipjcode: "StartingDa'te otEmpioy'mentz.? .EndingrDateofEmployment: 'gNarnefofSupervisor', 7 ifdr Reference: .- Swims?" NPW- ?Reason For Departure: 18. Offices Held or Ownership Interest in Other Businesses List any a?iliations you have been associated with in the past 10 years. Af?liation, for the purpose of this section. includes serving as either a board member, of?cer, manager. owner, partner, principal stakehoider, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any af?liations with the operations of a business in New York, in the USA, or in other countries? DYes BNO OOH-5145 (04/15) Page 5 of 7 Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and - - 1-994 -- Al I AVe-vc?mb?dge MA02138 Members .-: of I From: 2002 Name and Address of, Business: . Ave, Cambn'd 8, MA 02138 2007 9 Kahal B?raira Boston?s Congregation for Humanistic Judaism, 765 Concord Of?ce Held/Nature of Interest: Went Business Type: Down ?amed EIProposed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: I 1 - wast; gamma my,? 1 -. DOH-5145 (04/15) Page 6 of? 953K De artment Medical Marijuana Program STATE of Hearth Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are qualified to operate the proposed facility. This statement should include, but not be limited to, any relevant community/volunteer background and experience. As have amassed extensive experience conceiving of, designing, managing, and educationally enhancing hydroponics projects with a wide range of communities. The farm began in an attempt to bring healthy food access to traditionally underserved neighborhoods -- so- called "food deserts.? Under this mission, I designed and built high production systems for food pantries all over the New York City area, including work with major organizations CAMBA, The Child Development Support Corporation, and Los Sures Southside United HDFC. has also designed and installed therapeutic hydroponics projects at United Cerebral Palsy of NY Fountain House, The Educational Alliance, and Project FIND (for which we recently received a shout out from Manhattan Borough President Gale A. Brewer). Our customized approach has allowed us to be innovative with adaptations for use by people with almost any level of physical or mental capacity. Extending from the mission to provide a farm for any space? is also at the forefront for aesthetic hydroponic design. My background as a sculptor has led to such projects as Truffula Loraxia, a fully functional hydroponic tree installation that was featured in the 2014 DUMBO Arts Festival. We are currently developing an indoor hydroponic conservatory garden that allows for a full range of aesthetic - yet functional - - hydroponic system design. All projects, whether focused on production, therapeutic function, education, or aesthetics includequ hydroponics training for managerial staff and volunteers at the host organization. has also developed one of the first Hydroponics Certification programs in the US, for which n?al adilaal gun. Anal I.-- .Ik. 20. The undersigned certi?es, under penalty of perjury, that the information contained herein or attached hereto is accurate, true, and complete in all material respects. Signature: 2? Date: 5f// C) /r Notary Nam Notary Registration Number: {3an fr'f?z) 03 $26 Notary (Notary tAflix Stamp or Seal) Date: public, State NOW No. omsoossz? Qualifed in'Qch GM Certi?cate Filed inNW . Commission-Expires DOH-5145 (04/15) Page 7 of 7 Complete text for question #19 As of I have amassed extensive experience conceiving designing, managing, and educationally enhancing hydroponics projects with a wide range of communities. The farm began in an attempt to bring healthy food access to traditionally underserved neighborhoods -- so-called "food deserts." Under this mission, designed and built high production systems for food pantries all over the New York City area, including work with major organizations CAMBA, The Child Development Support Corporation, and Los Sures Southside United HDFC. has also designed and installed therapeutic hydroponics projects at United Cerebral Palsy of NYC, Fountain House, The Educational Alliance, and Project FIND (for which we recently received a shout out from Manhattan Borough President Gale A. Brewer). Our customized approach has allowed us to be innovative with adaptations for use by people with almost any level of physical or mental capacity. Extending from the mission to provide a farm for any space, is also at the forefront for aesthetic hydroponic design. My background as a sculptor has led to such projects as Truffula Loraxia, a fully functional hydroponic tree installation that was featured in the 2014 DUMBO Arts Festival. We are currently developing an indoor hydroponic conservatory garden that allows for a full range of aesthetic -- yet functional -- hydroponic system design. All projects, whether focused on production, therapeutic function, education, or aesthetics include full hydroponics training for managerial staff and volunteers at the host organization. has also developed one of the ?rst Hydroponics Certi?cation programs in the US, for which we've written and edited our own custom manual and coursebook. The certi?cation course has successfully trained people for jobs in the urban farming industry for three years now. My deep commitment to community based growth and education has also been re?ected in my volunteer positions with Spare Change, Kahal Braira, and Brooklyn organization Arts in Bushwick. Through these positions, I have acquired additional valuable experience managing large teams of people towards a common goal. Education: 1984?87 Northeastern University, Boston MA College of Computer Science, 8.5. Computer Science with Highest Possible Honors 1980-82 Michigan State University, East Lansing MI College of Natural Science, Candidate for B5. in Mathematics Farming. Redacted pursuant to NY. Public Officers Law, Art. 6 Fall 2011 Bushwick Community High School, NYC, NY. Taught an 8-week program using hydroponics to teach science and engineering. The students designed their own hydroponic systems. Physics, chemistry, botany and biology were all taught using the systems as a starting place. 2007 2010 1994 - 2008 2001 2006 2002 2007 2001 - 2004 1998 - 2002 1994 - Present 1989 - Present Redacted pursuant to NY. Public Of?cers Law, Art. 6 Volunteer Work: Webmaster and operational support, Arts in Bushwick, Brooklyn, NY. Homeless Empowerment Project/ Spare Change News. Board President 2002-2007, Cambridge, MA Homelessness Marathon Annual 14 hour live radio broadcast to raise awareness around issues of homelessness and poverty, Cambridge, MA Kahal B'raira Boston's Congregation for Humanistic Judaism, Congregation President 2002 - 2004. Boston, MA Somerville Arts Council, Board Member, Somerville, MA Brickbottom Artists Association. Board Member. Somerville, MA Art and Theater: Visual Art exhibitions and installations. NYC, NY and MA Theater - Technical Direction and Stage Managing. NYC, NY and MA Department Medical Marijuana Program of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, of?cers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be Included with this application. 1.Business Name: This Is the name that was ants in Section A of the Application for Registration as a Registiered Organization. 2. Name: MW asst M?vbevmo?? lame: 4. Brie?y describe the role of this person or entity in the proposed registered organization: 0P 4 . Wait 3: WM San/e 06> 0t Magma gopher/qt hf? mmaoi?i?l as a4 a WW MAWW mneme [ngWOg? put/cuter)? to 00W. 5. this person or entity come into contact with medical marijuana or medical marijuana products? .Yes ?No Any managers who may come In contact with or handle medical marijuana, Including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through ldentogo at using the OBI number NYO412500 and the Fingerprint Reason ?Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? DYea .No It the answer to this question Is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency aalnst the business or person or entity. Department Medical Marijuana Program of Health Application for Registration as a Registered Organization YORK gig?: Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? DYes .No if the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the telony, suspension or revocation must be provided below. 9. Fax 10. Email: 11. Residence Addres 14. ZIP Code: - t3. Formal Education Dates Attend? Degree I 6 A institution Address From To Degree Received Date Received 3W col 0F . Neme mm?? 90- ?lm: ma?a: am, will V?l?m?i?y \fwki 10052 \ano '3mRAL?lm1gt \JwaQ. $33? waaHQ-l Mao NEW . YORK Department Medical Marijuana Program Of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Profess' al License institution Granting License . . . License Number (Mailing Address, Phone, Email) Effecme Date Exp'rat'on Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 ears. Attach additional co 'es of a 3. if necessa . Name of Employer: Type of Business: {fax Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Street Address: City: State: 1 Zip Code: Starting Date of Employment Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number. Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: Street Address: City: State: le Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer: Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City I State: Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor . far Reference: Supervrsor Phone Number. Position/Responsibilities: Reason For Departure: Name of Employer: I Type of Business: Street Address: City: I State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section, includes serving as either a board member, of?cer, manager. owner. partner, principal stakehoider. director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned had any af?liations with the operations of a business in New York, in the USA, or in other countries. No From. Nammdmo Business: I 7?0 (P 2? l?ngWU?F?oydWOSgb Wit Li Eleven new aproposed Name. [8388 as?, as: am: sag-09d Huts [05291 Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Name and Address of Business: rom. To: Business Type: Of?ce Held/Nature of interest: Dope? Odom apropos? Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: Name and Address of Business: rom. To: Business Type: Of?ce Held/Nature of Interest: Dope" unwed 0pm I Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: Name and Address of Business: From. To: Business Type: Of?ce HeldINature of interest: Download apropos? Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Qualifications For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include. but not be limited to, any relevant community/volunteer background and experience. as De?ant wet/law pmro??i Lu. mmeJ?rsFi?il?t/mm Whirl/L. 201/0755) I MW W17) iw?revaot w?bcig mplUi/ieos) WHO, 1 20. The undersigned certifies. under penalty of perjury, that the information contained herein or attached hereto is accurate. true. and complete in all material respects. Signature: LDate: I, I 3 0 Nota ameg GUMZEL ff/a/j N'otary (Notary Must Af?x Stamp or Seal) .05 A. GUNZEL Notary Public, State of New York No. 01GU6119561 Qualified in Westchester Count; La Commission Expires November 29. 0 Date: 5., De artment Medical Marijuana Program STATE of Health Application for Registratlon as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, of?cers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, of?cer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Etain, LLC This is the name that was entered in Section A of the Application for Registration as a Registered Organization. 2. Name: Maureen McNamara I 3.1?Itle: Dispensary Training Manager 4. Brie?y describe the role of this person or entity in the proposed registered organization: Maureen McNamara will create, customize and facilitate training programs to be implemented pre-opening. And deliver on-going training as needed as people are hired. Additionally, she will provide on going training for professional development. 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? EYes No Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a ?ngerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable fee. Criminal history background checks must be done through Identogo at using the ORI number NY0412500 and the Fingerprint Reason ?Control Substance License." 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? No If the answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any ?nding of violations of law or regulation by a governmental agency against the business or person or entity. OOH-5145 (04/15) Page 1 of? De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders. Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? DYes No if the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8. Phone: 9. Fax: - to. Email: 11. Residence Jams; 12. City. - 13. State: I 14. ZIP Code: - 15. Formal Education Dates Aittgided Degree Institution Address From To Degree Received Date Received Saint Michael's Wmooski, Vermont Philosophy College 1987 1991 May, 1991 OOH-5145 (04/15) Page 2 of 7 'Y'gglK De artment Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License . . . License Number (Mailing Address, phone. Email) Effective Date Expiration Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3, if necessary. OOH-5145 (04/15) Page 3 of 7 9ng Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Princi al Stakeholders Directors and Members Name of Employer: Type of Business: Street Address: City: State: ?p Code: Starting Date of Employment: Ending Date of Employment: $3223?S?ugmsor Supervisor Phone Number; Position/Responsibilitiee: Reason For Departure: Name of Employer. Type Of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number. Position/Responsibilities: Reason For Departure: Name of Employer: OOH-5145 (04/15) Page 4 of? Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: I State: 1 Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor . for Reference: Supervrsor Phone Number. Position/Responsibilities: Reason For Departure: Name of Employer: I Type of Business: Street Address: City: State: Zip Code: Starting Date ?of Employment: Ending Date of Name Of SUp?msor Supervisor Phone Number: for Reference. Position/Responsibilities: Reason For Departure: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation. for the purpose of this section, includes serving as either a board member, of?cer, manager, owner, partner, principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any af?liations with the operations of a business in New York, in the USA, or in other countries? Yes BN0 OOH-5145 (04/15) Page 5 of 7 9531K Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Af?davit for Board Members, Officers, Managers, Owners, Partners, Princ'taer an rs OOH-5145 (04/15) Page 6 of 7 Medical Marijuana Program Application for Registration as a Registered Organization Department STATE of Health Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include. but not be limited to, any relevant community/volunteer background and experience. 20. The undersigned certi?es, under penalty of perjury, that the information contained herein or attached hereto is accurate. . 7, mm at ?3348 MM Yak. 8&3 Date: CARMEN A GUEVARA NOTARY PUBUC UTATE OF COLORADO NOTARY ID 20134005543 MI 8 DOH-5145 (04/15) Page 1 of 7 . De artment AMT-distal hilarij:anatPr:gram STATE of Health pp Ica Ion or egls ra Ion as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, ?pirectors, and Members Appendix A must be completed for all board members, officers, managers, owners, partners, principal stakeholders, directors, and members. For board members, of?cers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. A 1. Business Name: (L- entered In Sectlo - ration as a Re istered Or anlzatloni'a- '35: .. .3 tthis person or ntit in the I . a mat/(Was, 1.0. 5K in) PM 5. this person or entity come into contact with medical marijuana or medical marijuana products? UYes @No Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a ?ngerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable tee. Criminal history background checks must be done through at using the number NY0412500 and the Fingerprint Reason ?Control Substance License." 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? DYes ?2 If the answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. Dame 1 of 7 I vg?gk De artment AMTdIcal MfaruEanatPrEgram STATE of Health pp lcation or egis ra ion as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? DYes If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8. Phone: 9. Fax: Eman? 11. Residence Address: - 12. City: - 13. State: I 14. ZIP Code: - 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received University of Phildelphia, PA 1968 1970 Princeton University Princeton. NJ 1969 1970 University of Philadelphia PA 1972 1973 (04/1 El Pane 9 of 7 giggx Department Medical Marijuana Program STATE of Health - Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License License Number (Mailing Address. Phone, Email) meme Date Exp'rat'm Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional co 'es of a 3, if necessa . Name of Employer; Type. Of Business: . nnH-5145 Ind/1!? Pane 3 of 7 Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Street Address 1.. I Principal Stakeholders, Directors, and Members .. anagramswamp .. - . . . . I - Name of Employer: Type of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: 9f . Street'Asidre-ssq -. -- - for?Refstencea Starting'fDaQteiQf Emplormeht? 1 i a Na'the ~53 .31? Ending Q: i; Position/Responsibilities:is: ReaSOn~ For Departure; j, 5 . .3 Name of Employer: OOH-5145 (04/1 Bl Pam: a of 7 953K Department 575? of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: City: I State: I Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name de?mibibyer; . .. - ,IypeofBusiness??j? StreetAddress[-State, .ZipCodef Starting Date of?Er'nployment; ::'Ending Date "of Employment; Name?of SuperViSOr for 'R'e'fereane: Supervisor Number: PositiOn/Responsibilities; 7 Reason For DepartUre: I 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation. for the purpose of this section, includes serving as either a board member, of?cer, manager, owner, partner, principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any af?liations with the operations of a business in New York, in the USA, or in other countries? @Yes nor-1-5145 ind/1!? Dana of 7 NEW YORK Department STATE of Health Medical Marijuana Program Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal From: 1 Stakeholders, Directors, and Members .: . . Narn?. applicabl?jijifj?f From: To: Name and Address of Business: Business Type: Of?ce Held/Nature of Interest: Dopen Dclosed aproposed Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: Frorni To: be?'Si??SSiL i - ..1 Pane 6 of 7 YORK - - - STATE of ealth Application for Registration as a Registered Organization NEW Department Medical Marijuana Program Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Qualifications For individuals who have not previously served as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include, but not be limited to, any relevant community/volunteer background and experience. encompasses all aspects of research, insight, brand development and outreach required to take a business to its natural audience and meet its potential. For more than thirty years I have been doing this at the highest possible level, from companies such as? Our work has won every award our industry bestows, some many times, and it has been published in consumer magazines, trade magazines and textbooks that feature marketing and design all across the globe. have spoken extensively about the nature and importance of an integrated approach to marketing all over America and at some of the top business schools and trade associatoions in the country. lwas? Andi am included in the compendium, "Feminsts Who Changed America 1963 - 1975" (Barbara Love and Nancy Cott). My philanthropic work has covered both fund-raising and management (GMHC and Fashion Cares) during the HIV-AIDS crisis. And now involves fund raising and problem solving on behalf of libraries and theircommunities in embracing the change to digital services and the need to provide fellowship, training, exposure, culture and human connection within their communities. 20. The unde igned certi?es. under penalty of perjury, that the information contained herein or attached hereto is accurate. true, and complete in all material respects. I I 1 Signature- Notary Name: Notary Registration Number: ewe v. or Fociotiaea. Notary (Notary Must Af?x Stamp or Seal) Date: /7?r 20/4? 20 0&7 ?g No. 01 F06104982 Qualified in New York Cou Commission Expires Feb. 2. n0H-5145 mm St Pane. 7 of 7 Department Medical marijuana Program STATE of Health Application for Registration as . a Registered Organization Appende A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, of?cers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, of?cer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application. 1. Business Name: Etain 3.51:2? sexing-trBrie?y describe the role of this person or entity in the proposed registered organization: Manager of Security and Security related functions. 5. Mil this person or entity come into contact with medical marijuana or medical marijuana products? @Yes Duo Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission oi? the applicable tee. Criminal history background checks must be done through ldentogo at using the OBI number NY0412500 and the Fingerprint Reason "Control Substance License.? 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed dmgs? @Yes lithe answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any ?nding of violations of law or regulation by a overnmentai ainst the business or person or entity. No violations Department medical marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? DYee ENO If the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8. Phone: 9. Fax: 10. Email: 11. Residence Address: 12. City: 13. State: 14. ZIP Code: 15. Formal Education Dates Attended Degree institution Address From To Degree Received Date Received vaavK Department medical maruuana Program STATE of Health Application for Registration as 3 Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License . . . License Number (Mailing Address, Phone, Email) E?ect've Date Exp"a"?" Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and inciude employment during the last 10 years. Attach additional copies of page 3, if necessary. - "Type-6f Bugin'?gs; IVIGOICBI marijuana I??fgf am STATE of Health Application for Registration as a Registered Organization Appendix A: AffIdavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members .. a . 1 ITFQf'P?b??ilie. I. Name?ofEmployer". cw New, RI Nepali pare use: ht a Type of Business: Law Enforcement Agency Street Address: 120 Broaway City: Newport 1 State: RI Zip Code: 02840 Starting Date of Employment 09/1993 Ending Date of Employment: 10/2010 - for Reference; Supervrsor Phone Numb Position/Responsibilities: DETECTIVE - UNIT, JUVENILE DIVISION, CRIMINAL INVESTIGATIONS DIVISION October 1998 - 2010 PATROL OFFICER (Promoted to Detective in 1998) September 1993 1998 Provided criminal investigations 0 Made numerous Dr tand prosecution Reason For Departure: 11' "Typed i . I Name of Employer: Department Medics: marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: Street Address: cm? I State Zip Code: Starting Date of Employment: Ending Date of Employment Supervisor Phone Number: Position/Responsibilities: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, for the purpose of this section. includes sewing as either a board member, officer, manager, owner, partner. principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any af?liations with the operations of a business in New York, in the USA, or in other countries? EYes 0N0 . 07/2012 Name and Address of Business: From. A320 115 Empire Street Providence, RI 02903 Business Type: Of?ce Held/Nature of Interest. Non Pro?t Boad of Directors Dam To; Present Name. Address and Phone Number of Licensing/Regulatory Agency, if applicable: MEGICBI marijuana Program of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal, rs, Directors, and Members Name and Address of Business: From. To: Business Type: Office Held/Nature of Interest: Dom aimed apropos? Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: (.2 Department of Health metrical marijuana rrogram Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously sewed as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include. but not be limited to, any relevant community/volunteer background and experience. true, and complete in all material respects. 20. The undersigned certi?es. under penalty of perjury. that the information contained herein or attached hereto is accurate. a Date: 045? a?l'ne: I ?EVE/wen] 7, (38375 Notary Registration Number: Notary (Notary Must Aflix Stamp or??eal) WW og/oz 2/5297 as?er 4?2 1 Date: lvucuael L. cho Mob..- Seeking a position where I can contribute my leadership skills, team-player perspective and administrative abilities to your organization SUMMARY Highly trained professional, dedicated to a successful law enforcement career. 18 years of service in a city of over 50,000 residents. Varied and adaptable interests. Substantial experience in percussion (drums), higher education (adjunct instructor), special music events management, and sports coaching. Meticulous, persuasive, and trusted negotiator especially adept at developing and maintaining loyal, long-term relationships. Recently employed as the one of ?rst Medicinal Marijuana Compassion Centers. Financial and business skills include budgeting, marketing initiatives, and contract administration. Developed ability to deal tactfully with a variety of personalities, proactively de?ne and resolve problems, and cultivate strategic relationships with a variety of business venues. Proven leader, organizer, and collaborator in law enforcement, Medicinal Cannabis and music ?elds. Willingness and ability to travel. CORE COMPETENCIES 9 Developing and implementing pro?table promotional partnerships Securing and maintaining loyal, trusted relationships 9 Adept and trained in dealing with dif?cult individuals and stressful situations 9 0 Writing excellence, and strong oral presentation skills in individual and plenary venues 0 Strategic planning in bringing product or service from concept to market 0 Con?dent leadership in prioritizing and handling projects in multi-functional environments 9 Crisis negotiation, criminal, background investigations, and wide legal experience in Family, District, Superior, and Federal courts 9 Computer skills include MS Word, MS Excel applications, and intemet savvy HIGHLIGHTS DISTINCTIONS 9 Newport Police Department Drug Recognition Expert (DRE) and Instructor 9 Newport Police Department Crisis Negotiation Team Leader 0 Newport Police Department Pre-employment Background Police Of?cer candidate Investigator 0 Newport Police Department ?Chief?s Award? recipient 9 Newport Police Department recipient of numerous ?Letters of Commendation? 9 Newport Fraternal Order of Police Lodge #8 Bargaining Committee member (key participant in extensive arbitration negotiations) EXPERIENCE State of Rhode Island, FDA - Tobacco Inspection Program, Cranston, RI COORDINATOR of FIELD OPERA TIONS LA ENFORCEMENT LIASON January 2012 February 2013 A key position for a contract between the federal Food and Drug Administration and the State of R1 to enforce certain provisions of the 2009 Tobacco Control Act: and to serve as an alternate to the State Program Coordinator. to a signed con?dentiality agreement, details of this program cannot be included. City of Newport, RI, Newport Police Department, Newport, RI DETECTIVE UNI JUVENILE DIVISION, CRIMINAL INVESTIGATIONS DIVISION October 1998 2010 PATROL OFFICER (Promoted to Detective in 1998) September 1993 1998 0 Provided criminal investigations 0 Made numerous Drug ?Under Cover? Drug Buys for arrest and prosecution 0 Worked with and supervised informants leading to arrest and prosecution Drafted and executed search warrants 0 Prepared criminal cases and court testimony for Family, District, Superior, and Federal Courts 0 Investigative experience and acquired skills using specialized electronic equipment 0 Lead Investigator responsible for developing and managing covert operations EDUCATION Salve Regina University, Newport, RI Master of Science Degree in Administration of Justice May 1992 Bachelor of Arts Degree in Administration of Justice May 1989 Dean?s List 9 Semester in Kenya, East A?'ica, 1987 AFFILIATION COMMUNITY SERVICE SRU Men?s Varsity Soccer Team; Captain ?88, ?89; MVP ?87, ?88, ?89 9 Special Olympics Volunteer 9 Administration of Justice Club 9 Portsmouth Youth Baseball and Soccer Coach 0 Newport Hospital Volunteer 0 Newport Fraternal Order of Police, Lodge Treasurer, 4 years It is evident Detective Rego is a skilled investigator. He is truly an asset to the Newport Police Depmem . De artment Medical Marijuana Program . STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Appendix A must be completed for all board members, of?cers, managers, owners, partners, principal stakeholders, directors, and members. For board members, of?cers, managers, owners, partners, directors, and members of the applicant that are not natural persons, Appendix A must be completed by each board member, officer, manager, owner, partner, director and member of that entity, going back to the level of ownership by a natural person. An Organizational Chart documenting your organizational structure must be included with this application.? I 1. Business NameBriefly Managing and measuring the day to day plant cultural practices 5. Will this person or entity come into contact with medical marijuana or medical marijuana products? @Yes ONO Any managers who may come in contact with or handle medical marijuana, including medical marijuana products, shall be subject to a fingerprinting process as part of a criminal history background check in compliance with the procedures established by Division of Criminal Justice Services and submission of the applicable tee. Criminal history background checks must be done through ldentogo at :IMwa ento .com/F .a using the number NY0412500 and the Fingerprint Reason ?Control Substance License." 6. Has this person or entity held any position of management or ownership during the preceding ten years of a 10% or greater interest in any other business which manufactured or distributed drugs? -uYee END if the answer to this question is yes, provide the name of the business, a statement defining the position of management or ownership held in such business, and any finding of violations of law or regulation by a governmental agency against the business or person or entity. 4 (0411 Hi Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 7. Has this person or entity been convicted of a felony or had any type of registration or license suspended or revoked in any administrative or judicial proceeding? DYes ENO if the answer to either of these questions is ?Yes,? a statement explaining the circumstances of the felony, suspension or revocation must be provided below. 8. Phone: 9. Fax: w. Eman? 11. Residence Address: I 12. City: - 13. State: - 14. ZIP Code: - 15. Formal Education Dates Attended Degree Institution Address From To Degree Received Date Received Adirondack Bay Rd AA Business Community College Queensbury NY 199? Skidmore College Broadway BS Business Saratoga Springs NY 1997 nor-mus (0411!? Pam: 9 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 16. Licenses Held: List any and all licenses issued by a governmental or other regulatory entity. Type of Professional License Institution Granting License License Number (Mailing Address. Phone, Email) E?ect've Date EXp'rat'on Date 17. Employment History for the Past 10 Years: Start with MOST RECENT employment and include employment during the last 10 years. Attach additional copies of page 3, if necessary. Name of Employer: Type of Business: OOH-5145 Pann 3 of 7 Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Dlrectors, and Members Street Address: CW3 I State: [Zip Code: Starting Date of Employment Ending Date of Employment: Name of Su rvisor . for Romano: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor . for Reference: Supervrsor Phone Number. Position/Responsibilities: Reason For Departure: Name of Employer: Type of Business: Street Address: City: State: Zip Code: Starting Date of Employment: Ending Date of Employment: Name of Supervisor for Reference: Supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name of Employer: nor-?43145 ((14/15) Pane (if 7 De artment Medical Marijuana Program STATE of Health Application for Registration as a a Registered Organization Appendix A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members Type of Business: _Street Address: City: State: IZip Code: Starting Date of Employment: Ending Date of Employment: Name of Supenrisor for Reference supervisor Phone Number: Position/Responsibilities: Reason For Departure: Name Of Employer: 7 Type ofBusiness: street'AddressCity: 1 State: . Zip Code: I Starting Date of Employment: Ending Date of Employment: I Supervisor Phone Number: Pb?Sition/Responsibilities: ReaSon For Departure: 18. Of?ces Held or Ownership Interest in Other Businesses List any af?liations you have been associated with in the past 10 years. Af?liation, forthe purpose of this section, includes sewing as either a board member, of?cer. manager, owner. partner, principal stakeholder, director or member of the organization. Organizations outside of New York State must also be disclosed. Have you owned or operated a business or had any af?liations with the operations of a business in New York, in the USA, or in other countries? EYes ?No From. May 2009 Name and Address of Business: Troy Waterfront Farmers Market To: April 2015 Troy NY Business Type: Of?ce Held/Nature of interest: Farmer's Market . Treasurer] Vice President Ewe? Uc'ose? upr?p?sed Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: nnH-514.s (0411 5) Fame 5 of 7 #5le Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix? A: Affidavit for Board Members, Officers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members From: 1 January 201-3 Name and Address of Busmess: Saratoga Farmers Market Association. To: present 110 Spring St Saratoga NY 12866 Of?ce Held/Nature of Interest: Treasurer! PreSld'ent Business Type: Farmer?s Market Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: @open Dolosed aproposed 7 From: Name and Address of Busmess: To: Business Type: Of?ce Held/Nature of Interest: ?open Uclosed aproposed Name, Address and Phone Number of Licensing/Regulatory Agency. if applicable: Name and Address Of Business: From. To: Business Type: Office Held/Nature of Interest: Dopen?closed aproposed' Name, Address and Phone Number of Licensing/Regulatory Agency, if applicable: non-1-5145 (?dl?l El Pane. of 7 De artment Medical Marijuana Program STATE 'Of Health Application for Registration as . a Registered Organization ?Appendix A: Af?davit for Board Members, Of?cers, Managers, Owners, Partners, Principal Stakeholders, Directors, and Members 19. Af?rmative Statement of Quali?cations For individuals who have not previously sewed as a director/of?cer nor have had managerial experience, please include a statement below explaining how you are quali?ed to operate the proposed facility. This statement should include, but not be limited to, any relevant community/volunteer background and experience. I have owned, operated, and managed our hydroponic greenhouse facility for 19 years. We currently employ 4 full time and 2 part time employees. Our operation follows GAP. (Good Agricultural Practices) and we are certi?ed and inspected each year by the USDA GAP program. lam a current volunteer at Saratoga Farmers Market and have volunteered in the past as: Cub Scout leader, founder and chair of Salem Youth Soccer, co founder and President of Advocates for Academics and Troy Waterfront Farmers Market. 20. The undersigned certi?es, under penalty of perjury, that the information contained herein or attached hereto is accurate, true. and complete in all material respects. 4 Signature/0M Date: Slums Notary NameZ/f): Notary Registration Number: Notary (Notary/Must Af?x Stamp or Date; 334.1%; MAle A I Mia - 8W OI NO. 01mm: 0mm Won Guilty My emission mm May 24. 2010 OOH-5145 (04/15) Page 7 of 7 Phillis Underwood - Professional Profile Management Consultant (10 yrs) Hydroponic Greenhouse Owner Grower (19 yrs) Financial management Sales Marketing Purchaser Buyer Hydroponic Cultural skills Cost Control Pro?t Improvement Measure verify record growth production Manager Grant writer Human Resource Manager Professional Accomplishments Consulting Reduced operating costs minimum of 15% Restructure Organization reduce employees Time Management reduction in payroll Increase sales Designed and developed food label packaging Hydroponic Greenhouse Start up hydroponic greenhouse 4 expansions over 14 years Successfully shifted production through winter months Secured wholesale and retail accounts Manage day to day operations Educa?on BA Business Skidmore, Saratoga Springs NY 1992 References References are available upon request. Ph Ilis Underwood Professional Profile Management Consultant (10 yrs) Hydroponic Greenhouse Owner Grower (19 yrs) - Financial management - Purchaser/ Buyer - Cost Control Profit Improvement 0 Manager Professional Accomplishments Consulting - Reduced operating costs minimum of 15% - Restructure Organization reduce employees - Time Management reduction in payroll - increase sales 0 Designed and developed food label packaging Hydroponic Greenhouse Sales Marketing Hydroponic Cultural skills Measure verify record growth production Grant writer Human Resource Manager - Start up hydroponic greenhouse 4 expansions over 14 years - Successfully shifted production through winter months - Secured wholesale and retail accounts - Manage day to day operations Work History Microsoft Corporation 7/31/2002 3:56 PM Formatted: Bullets and Numbering Educa?on BA Business References References are available upon request. Skidmore, Saratoga Springs NY 1992 APPLICATION OF ETAIN, LLC FOR REGISTRATION AS A REGISTERED ORGANIZATION COMPASSIONATE CARE ACT (PHL § 3365) TABLE OF CONTENTS VOLUME I APPLICATION FORM – DOH-5138 APPENDIX A: FORM 5145 – AFFIDAVITS VOLUME II APPENDIX B: FORM 5146 – ARCHITECTURAL PROGRAM MANUFACTURING FACILITY VOLUME III APPENDIX B: MANUFACTURING FACILITY – CONT’D. VOLUME IV APPENDIX B: FORM 5146 DISPENSING FACILITIES 1 - 4 VOLUME V ATTACHMENT A: IDENTIFICATION OF REAL PROPERTY, BUILDINGS AND FACILITIES ATTACHMENT B: EQUIPMENT ATTACHMENT C: PROPERTY AGREEMENTS 1. Manufacturing Facility – Chester 2. Dispensing Facility – Albany 3. Dispensing Facility - Kingston Etain, LLC i Table of Contents 4. Dispensing Facility - Yonkers 5. Dispensing Facility - Syracuse ATTACHMENT D: OPERATING PLAN Executive Summary Section 1 – Manufacturing Section 2 – Transport and Distribution Section 3 – Dispensing and Sales Section 4 – Devices Section 5 – Security and Control Section 6 – Standard Operating Procedures Section 7 – Quality Assurance Plans Section 8 – Returns/Complaints/Adverse Effects/Recalls Section 9 – Product Quality Assurance Section 10 – Recordkeeping VOLUME VI ATTACHMENT E: ORGANIZATIONAL DOCUMENTS ATTACHMENT F: LABOR PEACE AGREEMENT ATTACHMENT G: STATEMENT OF BUSINESS TRANSACTIONS ATTACHMENT H: SECURITY PLAN ATTACHMENT I: GAAP FINANCIALS ATTACHMENT J: STAFFING PLAN Etain, LLC ii Table of Contents ATTACHMENT K: PROOF OF INTERNET SERVICE ATTACHMENT L: START-UP TIMELINE ATTACHMENT M: STATEMENT OF COMPLIANCE WITH LAWS SUPPLEMENTAL EXHIBITS TO APPLICATION 1. Letters of Support 2. Pro Forma Financial Projections 3. Employment Manual 4. Code of Business Conduct and Ethics 5. Workplace Safety Program 6. Validation Quality Plan Etain, LLC iii Table of Contents Department STATE of Health Appendix B: Architectural Program A SEPARATE SHALL BE COMPLETED FOR EACH SEPARATE BUILDING FACILITY INCLUDED IN THE BUSINESS PLAN COMPANY INFORMATION Business Name: Etain, LLC Manufacturing Facility F-1: Factory Industrial Type VB Facility Type: Dispensing Facility Use and Occupancy Classi?cation: Building Construction Type and Classi?cation: Facility Address: 6030-6032 US Route 9, Town of Chester, Warren County (914) 232-0902 Primary Contact Fax number: (914) 232-0909 PART I ARCHITECTURAL PROGRAM CONSTRUCTION TIMELINE: Applicant shall identify planning requirements. including but not limited to: TOWN BOARD APPROVAL PLANNING BOARD APPROVAL ZONING BOARD OF APPEALS APPROVAL Primary Contact Telephone number: PREPARATION OF CONSTRUCTION DOCUMENTS BUILDING PERMIT BIDDING PHASE CONTRACT AWARD PHASE PER EACH APPLICABLE CONTRACTOR (Identify all that apply) COMMENCEMENT OF CONSTRUCTION COMPLETION OF CONSTRUCTION DOH-5146 (04/15) Medical Marijuana Program Application for Registration as a Registered Organization Page 1 of 13 vgan Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix Architectural Program PART II SITE Applicant shall provide the appropriate details for each of the following by identifying the location and dimension on the Site Plan attached to the application for each building location. Entrance and Exits Fire Lane and/or Fire Apparatus Road Public Parking Spaces Percentage of Green Space Staff Parking Spaces 2] Location of Emergency Power Systems Accessible Parking Spaces Loading Unloading Accessible Route(s) 2] Security Gates Fences PART ENERGY SOURCES SYSTEMS: Applicant shall provide the following minimum information to outline the speci?cations relating to the energy sources and engineering systems of each building included in the application. Energy Source: Natural Gas Oil Electric El Solar Other Propane Engineering Systems: 2] Heating System: Type Radiant ,Size TBD Ef?ciency Ventilation Requirements TBD Cooling System: Type Split Sys. ,Size TBD Ef?ciency Ventilation Requirements TBD Ventilation Humidi?cation Systems: Type TBD ,Size TBD Ef?ciency Ventilation Requirements TBD Electrical Distribution Available 3-Phase 13-2 amps Water Supply: Municipal Water Service or Private Well Water 25 gal/min Sewage: Municipal Sewer System or Private Septic System Emergency Power System: Type Prooane ,Size 500 kW Ef?ciency . DOH-5146 (04/15) Page 2 of 13 515an Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix Architectural Program PART IV - BUILDING CODE COMPLIANCE: (pages 3-13) CHECK ALL APPLICABLE CODES FOR THE FACILITY 2010 BUILDING CODE OF NYS 2010 FIRE CODE OF NYS 2010 PLUMBING CODE OF NYS 2010 MECHANICAL CODE OF NYS 2010 FUEL GAS CODE OF NYS 2010 PROPERTY MAINTENANCE CODE OF NYS 2010 ENERGY CONSERVATION CONSTRUCTION CODE OF NYS 2012 IECC COMMERCIAL PROVISIONS 2010 EXISTING BUILDING CODE OF NYS NEC NATIONAL ELECTRIC CODE, (Specify Applicable Version) 2014 NY CITY CONSTRUCTION CODE 2008 NY CITY CONSTRUCTION CODE 1968 NY CITY CONSTRUCTION CODE NFPA 101-06 LIFE SAFETY CODE A117.1-03 ACCESSIBLE AND USABLE BUILDINGS AND FACILITIES OTHER DOH-5146 (04/15) Page 3 of 13 $.ng Department Medical Marijuana Program STATE of Health Application for Registration as a Registered Organization Appendix Architectural Program Select Proiect New Building Alteration Level 3 Demolition 11%: Repair Change of Occupancy Chapter 3. Prescriptive Compliance Method ghfethalihtha? Alteration Level 1 El Addition El Chapter 13. Performance Compliance Method eero - - - -- Building Code for 9 Alteration Level 2 El Historic Burlding de?nitions. Select Work El General Construction 2] Structural Site Work Roo?ng Mechanical Sprinkler CheCk 3" thataPP'Y- El Asbestos Plumbing Elevators Abatement/Environmental E ectrica Other; El Fire Alarm CODE COMPLIANCE REVIEW Applicant shall provide all applicable information in regards to the code topic and section listed below. 1 Code Compliance Review is based on the 2010 NY State Building Code for New Construction. If any other building code applies to the location or type of construction, provide applicable code and sections that most closely relates and references the code topic and information in the code sections listed below. Provide appropriate abbreviations for other applicable codes, such as: Fe: Fire Code, PC: Plumbing Code, MC: Mechanical Code, Fuel Gas Code, E006: Energy Conservation Code. 2. Provide the Required standard for each applicable code section. area, quantity, classi?cation type, materials, hourly separation, etc). If section does not apply, indicate one of the following with explanation: NA: Not Applicable, NR: Not Required, NP: Not Permitted 3 Provide your facilities ?Actual? value for each required standard as per applicable code section. No. Topic NYS Other Code? Minimum Information Required to be Required Code Value2 Facility?s Actual Value? Building (as Stated Identi?ed for this building/facility on the [Allowed Code Value Code Above) Building or Site Plan(s) Section Section 1 Use 302.1 - Use occupancy of this facility. 312 Identify all applicable materials, class ClaSSI?catlon and quantities regarding Table 307.1. OOH-5146 (04/15) Page 4 of 13 Medical Marijuana Program Application for Registration as a Registered Organization Appendix B – Architectural Program No. Topic NYS Building Code Section 2 Combustible Storage 413 All combustible storage areas and rooms, as per applicable Building and Fire Codes. Identify all combustible stored materials, area and room dimensions, all required fire separations, and exit requirements. NA 3 Hazardous Materials 414 All hazardous materials stored or used as per applicable Building and Fire Codes. Identify all combustible stored materials, area and room dimensions, all required fire separations, and exit requirements. NA 4 Hazardous Materials Control Areas 414.2 Provide additional information indicating number, size, materials stored, and quantity of each material. 5 Building Area & Height 501-507 Provide the building area & height Provide all calculations and cite applicable code sections for increased Building Area & Heights allowed per building code(s). Main Bldg: 6,400 sf Green House: 13,354 sf 6 Incidental Use Areas 508.2 Identify all Incidental Use Areas and required fire separation of occupancies on Building Plans. Waste Room: 1hr DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ NA Page 5 of 13 Medical Marijuana Program Application for Registration as a Registered Organization Appendix B – Architectural Program No. Topic NYS Building Code Section 7 Mixed Occupancies 508.3 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). N/A 8 Nonseparated Uses 508.3.2 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). N/A 9 Separated Uses (Ratio < 1) 508.3.3 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). None required 10 Construction Classification 602 Provide Construction Classification per each building included in Application. 11 Fire Resistance Rating Reqm’t for Building Elements Table 601 Provide Fire Resistance Rating per each building element as per Table 601. Identify rating & elements on Building Plans. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value None rating required. Facility’s Actual Value³ N/A Page 6 of 13 Medical Marijuana Program Application for Registration as a Registered Organization Appendix B – Architectural Program No. Topic NYS Building Code Section 12 Exterior Wall FireResistance Rating Table 602 Identify required fire resistance rating of exterior walls on Building Plan(s). None required 13 Exterior Fire Separation Distance Table 602 Identify required fire separation distance of exterior walls between Buildings on Plan. None required 14 Fire Walls 705 Provide code information and identify all applicable required Fire Wall(s) and fire resistance requirement on Building Plans. Table 705.4: 3 hrs Fire wall separating the main bldg and green house: 3 hrs 15 Fire Barriers 706 Provide code information and identify all applicable required Fire Barrier(s) and fire resistance requirement on Building Plans. 1 hr. 1 hr. 16 Shaft Enclosures 707 Provide code information and identify all applicable required Shaft Wall(s) and fire resistance requirement on Building Plans. 1 hr. 1 hr. 17 Fire Partitions 708 Provide code information and identify all applicable required Fire Partition(s) and fire resistance requirement on Building Plans. 1 hr. 1 hr. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ Page 7 of 13 NEW YORK Department STATE of Health Appendix Architectural Program Medical Marijuana Program Application for Registration as a Registered Organization No. Topic NYS Other Code? Minimum Information Required to be Required Code Value2 Facility?s Actual Value? Building (as Stated Identi?ed for this building/facility on the [Allowed Code Value Code Above) 8. Building or Site Plan(s) Section Section 18 Horizontal 711 Provide code information and identify all - - - Assemblies applicable required Horizontal 1 hr' ?re rated cemngs In the Assemblies and ?re resistance corridor_ requirement on Building Plans. 19 Fire 903 Indicate Type of Sprinkler stem: I A Protection: EINFPA 13 NFPA 13 NFPA 130 Sprinkler Provide code information of all System applicable requirements for Automatic Sprinkler Systems with code section cited. 20 Alt. Fire 904 Provide code information of all I A Extinguishing applicable requirements for Alternative system Automatic Fire-Extinguishing Systems with code section(s) cited. 21 Standpipe 905 Provide code information of all I A System applicable requirements for Standpipe Systems with code section(s) cited. 22 Fire Alarm 907 Provide code information of all . . . Detection applicable requirements for Fire Alarm F're alarm panel be t'ed Systems System(s) with code section cited. to a 24/7 Monitoring Service Indicate Type of Fire Alarm System DAddressable Hardwired (zoned) via phone line and back up celluar signal. OOH-5146 (04/15) Page 8 of 13 Medical Marijuana Program Application for Registration as a Registered Organization Appendix B – Architectural Program No. Topic NYS Building Code Section 23 Emergency Alarm System 908 Provide code information of all applicable requirements for Emergency Alarm Systems with code section cited. N/A 24 Fire Department Connections 912 Identify Fire Department connections in accordance with NFPA applicable standard. N/A 25 Exits 1001.1 &2 Identify on the Building Plans and documents, per each door, the following information: door width, door height, direction of swing, type of construction, hourly rating, and door closures. Refer to drawing LS-101. 26 Occupant Load 1004 & Table 1004.1.1 Identify the use/name of each room, dimensions of each room, and Occupant Loads per each room on the Building Plans. Refer to drawing LS-101. 27 Egress Width 1005 Provide egress widths & cite applicable code section(s) and requirement(s) on the Building Plans Refer to drawing LS-101. 28 Accessible Means of Egress 1007.1 Provide accessible means of egress as per Section 1007 & cite applicable code section(s) and requirement(s) on the Building Plans. Refer to drawing LS-101. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ Page 9 of 13 Medical Marijuana Program Application for Registration as a Registered Organization Appendix B – Architectural Program No. Topic NYS Building Code Section 29 Doors, Gates, and Turnstiles 30 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1008 Means of egress doors shall meet the requirements of this section. Exit doors min. width 32". All exit doors are 36" wide. Interior Stairs 1009 Identify the following information for each stairway on the Building Plan(s): the width of stairways; the height, width, depth and number of risers and treads; dimensions of landings; stairway construction type; and handrail height. N/A 31 Ramps 1010.1 Identify the following information of each ramp, on the Building Plan(s): width; total vertical rise; length of ramp; and handrail height. N/A 32 Common Path of Travel 1014.3 Identify on the Building Plan(s): the length of the “Common Path of Travel” per each room as per applicable building code requirements. 33 Exit Doorway Arrangement 1015 Identify on the Building Plan(s): applicable building code requirements for all Exits and Exit Access Doorways per each room and required exits in all buildings. Refer to drawing LS-101. 34 Corridor Fire Rating 1017.1 Identify, on the Building Plan(s): all corridors with required fire resistance and the applicable fire rating. Refer to drawing LS-101. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Not to exceed 75 ft 20 ft Page 10 of 13 Medical Marijuana Program Application for Registration as a Registered Organization Appendix B – Architectural Program No. Topic NYS Building Code Section 35 Corridor Width 1017.2 Identify on the Building Plan(s): the width of all corridors. Provide applicable code section(s) and requirement(s). 36 Dead End Corridor 1017.3 Corridors shall not exceed the maximum dead end corridor length as per applicable code. 37 Number of Exits and Continuity 1019 Identify on the Building Plan(s): required number of exits, continuity and arrangement as per the applicable code requirements. Refer to drawing LS-101. 38 Vertical Exit Enclosures 1020 Identify on the Building Plan(s): all applicable code requirements for each Vertical Exit Enclosure. Refer to drawing LS-101. 39 Exit Passageways 1021 Identify on the Building Plan(s): all applicable code requirements for each Exit Passageway. Refer to drawing LS-101. 40 Horizontal Exits 1022 Identify on the Building Plan(s): all applicable code requirements for each Horizontal Exit. Refer to drawing LS-101. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ Refer to drawing LS-101. Max corridor length: 20 ft. N/A Page 11 of 13 Medical Marijuana Program Application for Registration as a Registered Organization Appendix B – Architectural Program No. Topic NYS Building Code Section 41 Exterior Exit Ramps & Stairways 1023 Identify on the Building Plan(s): all applicable code requirements for each exterior exit ramps and stairways. Refer to drawing LS-101. 42 Exit Discharge 1024 Identify on the Building Plan(s): all applicable code requirements for each Exit Discharge. Refer to drawing LS-101. 43 Accessibility 1101.1 1110 & ICC/A117. 1(03) Identify on the Building Plan(s): all applicable code requirements such that the design and construction of each building/facility provides accessibility to physically disabled persons. Refer to drawing LS-101. 44 Energy Conservation 2010 NYS ECCC & IECC 2012 Identify the R-Value and U-Value of each construction component and assembly of the building envelope as required in the applicable energy and building code(s). 45 Emergency & Standby Power 2702.1 Identify emergency & Standby Power locations and specifications of the system to be provided. Propane / 500KW 46 Smoke Control Systems 2702.2.2 Identify the Standby power for smoke control systems in accordance with Section 909.11 of NYS Building Code. N/A DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Min Walls: R-13.3 C.I. Min Roof: R-49 Facility’s Actual Value³ Actual Walls: R-13.3 C.I. Actual Roof: R-49 Page 12 of 13 Medical Marijuana Program Application for Registration as a Registered Organization Appendix B – Architectural Program No. Topic NYS Building Code Section 47 Plumbing Fixture Count 2902.1 48 Available Street Water Pressure 49 Fire Apparatus Access Road DOH-5146 (04/15) FC503.1 Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ Identify on the Building Plan(s): the minimum plumbing facilities as per applicable plumbing code(s). Refer to drawing LS-101. Provide the available street or well water pressure. N/A Identify on the Site Plan: Fire Apparatus Road, Fire Lane and other Fire Service requirements per applicable Building and Fire Codes. Refer to site plan C1 (sheet 3 of 8) Page 13 of 13 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 (I) 8 gig; 03-5 'g LEE ?3:336030 Rt 9 Town of Chester, NY 10918 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 gel rchitects 1854 Lincoln Highway East MIA 17002 (717)392-m21. tum-7140 MEDICAL MARIJUANA ETAIN, LLC 6C30 Rt 9 Town of Chester. NY 10918 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 gel rchitects 1664 Lincoln Hm East Lam. PA 17w: (NW-6021, fax 302-7140 MEDICAL MARIJUANA ETAIN, LLC 6030 Rt. 9 Town of Chester. NY [0918 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 ngel itects 1864 Lincoln HM East Lam, PA 17802 (717)392-8021. fix 392-7140 2?0 3'4. 2% 5E Em 6030 Rt 9 Town of Chester, NY 10918 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 1?33 .3. EE- 239$? Us? a MEDICAL MARIJUANA LLC 6030 Rt. 9 Town of Chester. NY 10918 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 g3?? m2 E..- O) ?3:52 MEDICAL MARIJUANA ETAIN, LLC 6030 Rt. 9 Town of Chester. NY [0918 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 gel rchitects 1mmumym Lancaster. PA 17002 (717)392-0021. for 392-7140 MEDICAL MARIJUANA ETAIN, LLC 6030 Rt. 9 Town of Chester. NY 10918 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. (D 3 B'Egg 2?03? 5 4:332 0?0 3 4?llg294 lg? Redacted pursuant to NY. Public Officers Law, Art. 6 U) 3 6 923;: ?3:5 MEDICAL MARIJUANA ETAIN, LLC 6030 Rt 9 Town of Chester. NY 10918 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 (D .Q-o Es. :5 035:" U33: MEDICAL MARIJUANA ETAIN, LLC 6030 Rt 9 Town of Chester. NY 10918 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 gel rchitects 1054 leln WW Eat Lam. PA 17002 (717)392-6021. fax 392-7140 En MEDICAL MARIJUANA ETAIN, LLC 6030 Rt 9 Town of Chester. NY 10918 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. ngel rchitects 1854 Lincoln HgmayEast Lanaster, PA 17602 (717)392-8021. tax 392-7140 [Vital/lth ?n ETAIN, LLC 6030 Rt 9 Town of Chester. NY 10918 AW 28, 295 QAWING TITLE AREAS GENES, B10136 FEET N0. 3E3.1 Redacted pursuant to NY. Public Officers Law, Art. 6 ngel itects 1654 Lincoln Highway East Lancaster. PA 17602 (717)392-8021. fax 392-7140 ETAIN, LLC 6030 Rt. 9 Town of Chester. NY 10918 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be e'xemijrom disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 We material on tzis page is requested to 3e exempt f'r'om disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (7) and/or would disclose critical infrastructure information. Redacted pursuant to NY. 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Public Of?cers Law, Art. 6 1 he material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 disclosure under FOIL pursuant to Public Of?ce-rs Section 87(2) (6), (I) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 . "w muw: wu uu pus: to Icqucowu UC disclosure under FOIL pursuant to Public Officers Law Section 87(2) (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 . .., v- unrv-v-t?le vu- disclosure under O?ILUpursuant 15' l?ublic Officers Law Section 87(2) (0 and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Of?cers Law, Art. 6 LL The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0 and/or would disclose critical infrastructure Redacted pursuant to N.Y. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to N.Y. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 gag; Meg- gym-1&3. arm" 523$g 13w? 02 5 3 49materlal on page 18 requested to be exempt Irom alsclosure under f?UlL pursuant to PuDllC UIncers Law beCthI?l 87(2) (C), (I) and/or would alsclose CI'ltlcal Infrastructure 1ntormat10n. Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 $53k Department STATE of Health Appendix B: Architectural Program A SEPARATE SHALL BE COMPLETED FOR EACH SEPARATE BUILDING FACILITY INCLUDED IN THE BUSINESS PLAN COMPANY INFORMATION Business Name: Etain LLC Manufacturing Facility Dispensing Facility Use Group - Mercantile for main area, Use Group 82 at garage area Facility Type: Use and Occupancy Classi?cation: Building Construction Type and Classi?cation: 38 Facility Address: 402 N. Pearl St., Albany, NY 12207 (914) 232-0902 (914)-234-0909 PART I - ARCHITECTURAL PROGRAM CONSTRUCTION TIMELINE: Applicant shall identify planning requirements, including but not limited to: TOWN BOARD APPROVAL PLANNING BOARD APPROVAL ZONING BOARD OF APPEALS APPROVAL Primary Contact Telephone number: Primary Contact Fax number: PREPARATION OF CONSTRUCTION DOCUMENTS BUILDING PERMIT BIDDING PHASE CONTRACT AWARD PHASE PER EACH APPLICABLE CONTRACTOR (Identify all that apply) COMMENCEMENT OF CONSTRUCTION COMPLETION OF CONSTRUCTION DOH-5146 (04/15) Medical Marijuana Program Application for Registration as a Registered Organization Page 1 of 13 Appendix B – Architectural Program PART II – SITE PLAN(S) Applicant shall provide the appropriate details for each of the following by identifying the location and dimension on the Site Plan attached to the application for each building location. ✔ ✔ ✔ ✔ ✔ Entrance and Exits Public Parking Spaces Staff Parking Spaces Accessible Parking Spaces Accessible Route(s) ✔ ✔ ✔ ✔ Fire Lane and/or Fire Apparatus Road Percentage of Green Space Location of Emergency Power Systems Loading & Unloading Security Gates & Fences PART III – ENERGY SOURCES & ENGINEERING SYSTEMS: Applicant shall provide the following minimum information to outline the specifications relating to the energy sources and engineering systems of each building included in the application. Energy Source: ✔ Natural Gas Solar Oil Other _______________ ✔ Electric Engineering Systems: Roof top Size_____________ 6 ton Existing Efficiency ___________, ✔ Heating System: Type ___________, Ventilation Requirements _____________________________________ Roof top Size_____________ 6 ton Existing ✔ Cooling System: Type ___________, Efficiency ___________, Ventilation Requirements _____________________________________ ✔ Ventilation & Humidification Systems: Type ___________, Size_____________ , Efficiency ___________, Existing system to remain Ventilation Requirements _____________________________________ 800 amp/3 phase ✔ Electrical Distribution Available _________________________________ X ✔ Water Supply: Municipal Water Service _______ or Private Well Water ____________ X Municipal Sewer System _______ or Private Septic System ____________ ✔ Sewage: ✔ Emergency Power System: See plan Size_____________ Efficiency ___________, Type ___________, DOH-5146 (04/15) Page 2 of 13 Appendix B – Architectural Program PART IV – BUILDING CODE COMPLIANCE: (pages 3-13) CHECK ALL APPLICABLE CODES FOR THE FACILITY ✔ 2010 BUILDING CODE OF NYS ✔ 2010 FIRE CODE OF NYS ✔ 2010 PLUMBING CODE OF NYS ✔ 2010 MECHANICAL CODE OF NYS 2010 FUEL GAS CODE OF NYS 2010 PROPERTY MAINTENANCE CODE OF NYS ✔ 2010 ENERGY CONSERVATION CONSTRUCTION CODE OF NYS ✔ 2012 IECC COMMERCIAL PROVISIONS ✔ 2010 EXISTING BUILDING CODE OF NYS ✔ NEC NATIONAL ELECTRIC CODE, (Specify Applicable Version) 2014 NY CITY CONSTRUCTION CODE 2008 NY CITY CONSTRUCTION CODE 1968 NY CITY CONSTRUCTION CODE NFPA 101-06 LIFE SAFETY CODE ✔ ICC/ANSI A117.1-03 ACCESSIBLE AND USABLE BUILDINGS AND FACILITIES OTHER DOH-5146 (04/15) Page 3 of 13 Appendix B – Architectural Program Select Project Type: Check all that apply. Refer to the Existing Building Code for definitions. New Building Repair Alteration Level 1 Alteration Level 2 Select Work Involved: Check all that apply. ✔ General Construction Roofing Asbestos Abatement/Environmental Fire Alarm ✔ Alteration Level 3 Change of Occupancy Addition Historic Building ✔ ✔ ✔ ✔ Structural Mechanical Plumbing Electrical Demolition Chapter 3. Prescriptive Compliance Method Chapter 13. Performance Compliance Method Site Work Sprinkler Elevators Other:_____________________________ CODE COMPLIANCE REVIEW Applicant shall provide all applicable information in regards to the code topic and section listed below. 1 Code Compliance Review is based on the 2010 NY State Building Code for New Construction. If any other building code applies to the location or type of construction, provide applicable code and sections that most closely relates and references the code topic and information in the code sections listed below. Provide appropriate abbreviations for other applicable codes, such as: FC: Fire Code, PC: Plumbing Code, MC: Mechanical Code, FGC: Fuel Gas Code, ECCC: Energy Conservation Code. 2. Provide the Required standard for each applicable code section. (i.e.: area, quantity, classification type, materials, hourly separation, etc.). If section does not apply, indicate one of the following with explanation: NA: Not Applicable, NR: Not Required, NP: Not Permitted 3 Provide your facilities “Actual” value for each required standard as per applicable code section. No. Topic NYS Building Code Section 1 Use & Occupancy Classification 302.1 312 DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Use & occupancy of this facility. Identify all applicable materials, class and quantities regarding Table 307.1. Required Code Value² /Allowed Code Value Use Group M - Merchantile Facility’s Actual Value³ Use Group M - Merchantile Page 4 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 2 Combustible Storage 3 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 413 All combustible storage areas and rooms, as per applicable Building and Fire Codes. Identify all combustible stored materials, area and room dimensions, all required fire separations, and exit requirements. NA NA Hazardous Materials 414 All hazardous materials stored or used as per applicable Building and Fire Codes. Identify all combustible stored materials, area and room dimensions, all required fire separations, and exit requirements. NA NA 4 Hazardous Materials Control Areas 414.2 Provide additional information indicating number, size, materials stored, and quantity of each material. NA NA 5 Building Area & Height 501-507 Provide the building area & height Provide all calculations and cite applicable code sections for increased Building Area & Heights allowed per building code(s). Use Group M, construction type 3B = 4 stories/12,500 SF max. 1 story 6612 SF 6 Incidental Use Areas 508.2 Identify all Incidental Use Areas and required fire separation of occupancies on Building Plans. NA NA DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 5 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 7 Mixed Occupancies 8 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 508.3 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). Separation between Use M and Use S2 = 2 hour 2 hour min masonry wall Nonseparated Uses 508.3.2 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). NA NA 9 Separated Uses (Ratio < 1) 508.3.3 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). NA NA 10 Construction Classification 602 Provide Construction Classification per each building included in Application. Type 3B Type 3B 11 Fire Resistance Rating Reqm’t for Building Elements Table 601 Provide Fire Resistance Rating per each building element as per Table 601. Identify rating & elements on Building Plans. 2 hour exterior walls, 0 hour for all other elements 2 hour min masonry exterior walls DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 6 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 12 Exterior Wall FireResistance Rating 13 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ Table 602 Identify required fire resistance rating of exterior walls on Building Plan(s). 2 hour 2 hour min masonry wall Exterior Fire Separation Distance Table 602 Identify required fire separation distance of exterior walls between Buildings on Plan. 2 hour required for sep. distance of <= to 5' 2 hour min masonry wall 14 Fire Walls 705 Provide code information and identify all applicable required Fire Wall(s) and fire resistance requirement on Building Plans. NR NR 15 Fire Barriers 706 Provide code information and identify all applicable required Fire Barrier(s) and fire resistance requirement on Building Plans. 2 hour 2 hour min masonry wall 16 Shaft Enclosures 707 Provide code information and identify all applicable required Shaft Wall(s) and fire resistance requirement on Building Plans. NR NR 17 Fire Partitions 708 Provide code information and identify all applicable required Fire Partition(s) and fire resistance requirement on Building Plans. NR NR DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 7 of 13 NEW YORK Medical Marijuana Program Department STATE of Health Application for Registration as Appendix Architectural Program a Registered Organization No. Topic NYS Other Code? Minimum Information Required to be Required Code Value2 Facility?s Actual Value? Building (as Stated Identi?ed for this building/facility on the [Allowed Code Value Code Above) 8: Building or Site Plan(s) Section Section 18 Horizontal 711 Provide code information and identify all Assemblies applicable required Horizontal Assemblies and ?re resistance requirement on Building Plans. 19 Fire 903 Indicate Type of Sprinkler stem: Protection: DNFPA 13 NFPA 13 NFPA 130 NR NR Sprinkler Provide code information of all seCtlon 9032-6 and System applicable requirements for Automatic 903-2.9.1 Sprinkler Systems with code section cited. 20 Alt. Fire 904 Provide code information of all NR NR Extinguishing applicable requirements for Alternative system Automatic Fire-Extinguishing Systems with code section(s) cited. 21 Standpipe 905 Provide code information of all System applicable requirements for Standpipe Systems with code section(s) cited. 22 Fire Alarm 907 Provide code information of all . Detection applicable requirements for Fire Alarm NR for occupancy load less Smoke and heat detection to Systems System(s) with code section cited. than 500 (Section 9072.7) conform to code Indicate Type of Fire Alarm System DAddressable Hardwired (zoned) Smoke and heat detection if occupied by more than 100 requirements OOH-5146 (04/15) Page 8 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 23 Emergency Alarm System 24 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 908 Provide code information of all applicable requirements for Emergency Alarm Systems with code section cited. NR NR Fire Department Connections 912 Identify Fire Department connections in accordance with NFPA applicable standard. NR NR 25 Exits 1001.1 &2 Identify on the Building Plans and documents, per each door, the following information: door width, door height, direction of swing, type of construction, hourly rating, and door closures. 2 exits minimum As shown on the floor plan 26 Occupant Load 1004 & Table 1004.1.1 Identify the use/name of each room, dimensions of each room, and Occupant Loads per each room on the Building Plans. 1st fl = 30 SF gross/occup. Garage = 200 SF/occup. See Occupancy Analysis on drawings 27 Egress Width 1005 Provide egress widths & cite applicable code section(s) and requirement(s) on the Building Plans Stair = 0.3"/occup, other components = 0.2"/occup. No stairs, all doors = 36" 28 Accessible Means of Egress 1007.1 Provide accessible means of egress as per Section 1007 & cite applicable code section(s) and requirement(s) on the Building Plans. Section 1019.1 requires 2 means of egress for occup. of less than 500 All means of egress will be accessible. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 9 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 29 Doors, Gates, and Turnstiles 30 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1008 Means of egress doors shall meet the requirements of this section. 32" min All doors will be 36" Interior Stairs 1009 Identify the following information for each stairway on the Building Plan(s): the width of stairways; the height, width, depth and number of risers and treads; dimensions of landings; stairway construction type; and handrail height. NA NA 31 Ramps 1010.1 Identify the following information of each ramp, on the Building Plan(s): width; total vertical rise; length of ramp; and handrail height. NA NA 32 Common Path of Travel 1014.3 Identify on the Building Plan(s): the length of the “Common Path of Travel” per each room as per applicable building code requirements. 75' max 0' 33 Exit Doorway Arrangement 1015 Identify on the Building Plan(s): applicable building code requirements for all Exits and Exit Access Doorways per each room and required exits in all buildings. 34 Corridor Fire Rating 1017.1 Identify, on the Building Plan(s): all corridors with required fire resistance and the applicable fire rating. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Exits as shown on the plans meet the code requirements NR NR Page 10 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 35 Corridor Width 36 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1017.2 Identify on the Building Plan(s): the width of all corridors. Provide applicable code section(s) and requirement(s). 44" min. NA - No corridors Dead End Corridor 1017.3 Corridors shall not exceed the maximum dead end corridor length as per applicable code. 20' max NA - No Dead ends 37 Number of Exits and Continuity 1019 Identify on the Building Plan(s): required number of exits, continuity and arrangement as per the applicable code requirements. 1-500 occupants = 2 exits Exits as shown on the plans meet the code requirements 38 Vertical Exit Enclosures 1020 Identify on the Building Plan(s): all applicable code requirements for each Vertical Exit Enclosure. NA NA 39 Exit Passageways 1021 Identify on the Building Plan(s): all applicable code requirements for each Exit Passageway. NA NA 40 Horizontal Exits 1022 Identify on the Building Plan(s): all applicable code requirements for each Horizontal Exit. NA NA DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 11 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 41 Exterior Exit Ramps & Stairways 42 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1023 Identify on the Building Plan(s): all applicable code requirements for each exterior exit ramps and stairways. NA NA Exit Discharge 1024 Identify on the Building Plan(s): all applicable code requirements for each Exit Discharge. Exits shall discharge to exterior at grade All exits discharge to exterior at grade 43 Accessibility 1101.1 1110 & ICC/A117. 1(03) Identify on the Building Plan(s): all applicable code requirements such that the design and construction of each building/facility provides accessibility to physically disabled persons. All areas as shown on the floor plan conform to the accessibility requirements. 44 Energy Conservation 2010 NYS ECCC & IECC 2012 Identify the R-Value and U-Value of each construction component and assembly of the building envelope as required in the applicable energy and building code(s). All construction will conform to Energy Cons. code 45 Emergency & Standby Power 2702.1 Identify emergency & Standby Power locations and specifications of the system to be provided. New standby emergency generator to power facility 46 Smoke Control Systems 2702.2.2 Identify the Standby power for smoke control systems in accordance with Section 909.11 of NYS Building Code. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section NR NR Page 12 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 47 Plumbing Fixture Count 2902.1 48 Available Street Water Pressure 49 Fire Apparatus Access Road DOH-5146 (04/15) FC503.1 Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ Identify on the Building Plan(s): the minimum plumbing facilities as per applicable plumbing code(s). See Occupancy schedule on Plumbing fixture count meets plan or exceeds the requirements Provide the available street or well water pressure. NA Available water pressure is sufficient for proposed use Identify on the Site Plan: Fire Apparatus Road, Fire Lane and other Fire Service requirements per applicable Building and Fire Codes. Fire access road extends to within 150' of building sides Criteria is met at all sides of the building Page 13 of 13 15013 - Abany - DS - 150522.ph; DS-1 Site plan and notes; 100%; 61312015 10 48 AM Redacted pursuant to NY. Public Officers Law, Art. 6 the matenal on tlus page Is requested to be exempt trom under FOIL pursuant to Pubhc Ottlcers Law Sectlon 87(2) and/or would mtrastructlu?e mtonnatlon. Patrick M. Croke Architect 11 Com't Road . Box 758 AP Bedford Village, New York 10506 T: 914.234.6093 USGBC F: 914.234.0548 COPYRIGHT: ?2015 PATRICK M. CROKE, DRAWINGS AND SPECIFICATIONS, AS INSTRUMENTS OF PROFESSIONAL SERVICE, ARE AND SHALL REMAIN THE PROPERTY OF THE ARCHITECT. DOCUMENTS ARE NOT BE USED, IN WHOLE OR IN PART, FOR OTHER PROJECTS OR PURPOSES OR BY ANY OTHER PARTIES THAN THOSE AUTHORIZED BY CONTRACT WITHOUT THE SPECIFIC WRITTEN AUTHORIZATION OF THE ARCHITECT. CONTRACTORS MUST CHECKALL DIMENSIONS ON SITE. ONLY FIGURED DIMENSIONS ARE TO BE WORKED FROM. DISCREPANCIES MUST BE REPORTED IMMDIATELY TO THE ARCHITECT BEFORE PROCEEDING. DO NOT SCALE DRAWINGS ;\1Pro)eetfles\1501s Etanasoensavesu Avang as 150522.91" 2 NYS DOH submission 06/03/15 l2] 1 Client review 06/02/15 No: Description: Date: Revisions: Project Name: Etain Dispensarg Albanu. NY 402 N. Pearl St. Albang. NY Drawing Title: Site plan and notes Date: 05/2q/15 Revised as noted above . Project 1 501 5-02 Scale: A5 noted Drawing Number: 15013 - Abany - DS - 150522.9h; DS-1 Site plan and notes; 100%; 6130015 10 56 AM Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosru?e under FOIL pursuant to Public Of?cers Law Section 87(2) andfor would disclose critical in?'astructiu?e information. Patrick M. Croke Architect 11 Court Road LEED Box 758 AP Bedford Village. New York 10506 I: 914.234.6093 UM JID, F: 914.234.0548 NY info@pmcarchitect.com IOPYRIGHT: ?2015 PATRICK M. CROKE. DRAWINGS AND SPECIFICATIONS, AS INSTRUMENTS OF PROFESSIONAL SERVICE, ARE SHALL REMAIN THE PROPERTY OF THE ARCHITECT. DOCUMENTS ARE NOT BE JSED, IN WHOLE OR IN PART, FOR OTHER PROJECTS OR PURPOSES OR BY ANY OTHER THAN THOSE AUTHORIZED BY CONTRACT WITHOUT THE SPECIFIC WRITTEN OF THE ARCHITECT. ZONTRACTORS MUST CHECK ALL DIMENSIONS ON SITE. ONLY FIGURED DIMENSIONS TO BE WORKED FROM. DISCREPANCIES MUST BE REPORTED IMMDIATELY '0 THE ARCHITECT BEFORE PROCEEDING. DO NOT SCALE DRAWINGS ProJecl fles\1501s Etdl?l dlsoensw es\: Drawings\15013 A Dan; 05 1505219"! El El El El 2 NYE: OOH submission 06/03/15 1 Client review 06/02/15 io: Description: Date: Revisions: Project Name: Etain Dispensary Albang. NY 402 N. Pearl St. Albang. NY Drawing Title: Floor plan Date: 05/2q/15 Revised as noted above . 3roject 1 501 5-02 Scale: As noted Drawing Number: $53k Department STATE of Health Appendix B: Architectural Program A SEPARATE SHALL BE COMPLETED FOR EACH SEPARATE BUILDING FACILITY INCLUDED IN THE BUSINESS PLAN COMPANY INFORMATION Business Name: Etain LLC Manufacturing Facility Facility Type: Dispensing Facility Use and Occupancy Classi?cation: Use Group - Mercantile Building Construction Type and Classi?cation: 58 Facility Address: 445 State Route 28, Kingston, NY 12401 (914) 232-0902 (914) 232-0909 PART I - ARCHITECTURAL PROGRAM CONSTRUCTION TIMELINE: Applicant shall identify planning requirements, including but not limited to: TOWN BOARD APPROVAL PLANNING BOARD APPROVAL ZONING BOARD OF APPEALS APPROVAL Primary Contact Telephone number: Primary Contact Fax number: PREPARATION OF CONSTRUCTION DOCUMENTS BUILDING PERMIT BIDDING PHASE CONTRACT AWARD PHASE PER EACH APPLICABLE CONTRACTOR (Identify all that apply) COMMENCEMENT OF CONSTRUCTION COMPLETION OF CONSTRUCTION DOH-5146 (04/15) Medical Marijuana Program Application for Registration as a Registered Organization Page 1 of 13 Appendix B – Architectural Program PART II – SITE PLAN(S) Applicant shall provide the appropriate details for each of the following by identifying the location and dimension on the Site Plan attached to the application for each building location. ✔ ✔ ✔ ✔ ✔ Entrance and Exits Public Parking Spaces Staff Parking Spaces Accessible Parking Spaces Accessible Route(s) ✔ ✔ ✔ ✔ Fire Lane and/or Fire Apparatus Road Percentage of Green Space Location of Emergency Power Systems Loading & Unloading Security Gates & Fences PART III – ENERGY SOURCES & ENGINEERING SYSTEMS: Applicant shall provide the following minimum information to outline the specifications relating to the energy sources and engineering systems of each building included in the application. Energy Source: Natural Gas Solar Oil Other _______________ ✔ Electric Engineering Systems: RUUD 2.5 ton Existing Size_____________ Efficiency ___________, ✔ Heating System: Type ___________, Ventilation Requirements _____________________________________ RUUD 2.5 ton Existing ✔ Cooling System: Type ___________, Size_____________ Efficiency ___________, Ventilation Requirements _____________________________________ ✔ Ventilation & Humidification Systems: Type ___________, Size_____________ , Efficiency ___________, Existing system to remain Ventilation Requirements _____________________________________ 200 amp, single phase ✔ Electrical Distribution Available _________________________________ X ✔ Water Supply: Municipal Water Service _______ or Private Well Water ____________ X Municipal Sewer System _______ or Private Septic System ____________ ✔ Sewage: ✔ Emergency Power System: See plan Size_____________ Efficiency ___________, Type ___________, DOH-5146 (04/15) Page 2 of 13 Appendix B – Architectural Program PART IV – BUILDING CODE COMPLIANCE: (pages 3-13) CHECK ALL APPLICABLE CODES FOR THE FACILITY ✔ 2010 BUILDING CODE OF NYS ✔ 2010 FIRE CODE OF NYS ✔ 2010 PLUMBING CODE OF NYS ✔ 2010 MECHANICAL CODE OF NYS 2010 FUEL GAS CODE OF NYS 2010 PROPERTY MAINTENANCE CODE OF NYS ✔ 2010 ENERGY CONSERVATION CONSTRUCTION CODE OF NYS ✔ 2012 IECC COMMERCIAL PROVISIONS ✔ 2010 EXISTING BUILDING CODE OF NYS ✔ NEC NATIONAL ELECTRIC CODE, (Specify Applicable Version) 2014 NY CITY CONSTRUCTION CODE 2008 NY CITY CONSTRUCTION CODE 1968 NY CITY CONSTRUCTION CODE NFPA 101-06 LIFE SAFETY CODE ✔ ICC/ANSI A117.1-03 ACCESSIBLE AND USABLE BUILDINGS AND FACILITIES OTHER DOH-5146 (04/15) Page 3 of 13 Appendix B – Architectural Program Select Project Type: Check all that apply. Refer to the Existing Building Code for definitions. New Building Repair Alteration Level 1 Alteration Level 2 Select Work Involved: Check all that apply. ✔ General Construction Roofing Asbestos Abatement/Environmental Fire Alarm ✔ Alteration Level 3 Change of Occupancy Addition Historic Building ✔ ✔ ✔ ✔ Structural Mechanical Plumbing Electrical Demolition Chapter 3. Prescriptive Compliance Method Chapter 13. Performance Compliance Method ✔ Site Work Sprinkler Elevators Other:_____________________________ CODE COMPLIANCE REVIEW Applicant shall provide all applicable information in regards to the code topic and section listed below. 1 Code Compliance Review is based on the 2010 NY State Building Code for New Construction. If any other building code applies to the location or type of construction, provide applicable code and sections that most closely relates and references the code topic and information in the code sections listed below. Provide appropriate abbreviations for other applicable codes, such as: FC: Fire Code, PC: Plumbing Code, MC: Mechanical Code, FGC: Fuel Gas Code, ECCC: Energy Conservation Code. 2. Provide the Required standard for each applicable code section. (i.e.: area, quantity, classification type, materials, hourly separation, etc.). If section does not apply, indicate one of the following with explanation: NA: Not Applicable, NR: Not Required, NP: Not Permitted 3 Provide your facilities “Actual” value for each required standard as per applicable code section. No. Topic NYS Building Code Section 1 Use & Occupancy Classification 302.1 312 DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Use & occupancy of this facility. Identify all applicable materials, class and quantities regarding Table 307.1. Required Code Value² /Allowed Code Value Use Group M - Merchantile Facility’s Actual Value³ Use Group M - Merchantile Page 4 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 2 Combustible Storage 3 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 413 All combustible storage areas and rooms, as per applicable Building and Fire Codes. Identify all combustible stored materials, area and room dimensions, all required fire separations, and exit requirements. NA NA Hazardous Materials 414 All hazardous materials stored or used as per applicable Building and Fire Codes. Identify all combustible stored materials, area and room dimensions, all required fire separations, and exit requirements. NA NA 4 Hazardous Materials Control Areas 414.2 Provide additional information indicating number, size, materials stored, and quantity of each material. NA NA 5 Building Area & Height 501-507 Provide the building area & height Provide all calculations and cite applicable code sections for increased Building Area & Heights allowed per building code(s). Use Group M, construction type 5b = 1 story/9,000 SF max. 1 story 1873 SF 6 Incidental Use Areas 508.2 Identify all Incidental Use Areas and required fire separation of occupancies on Building Plans. NA NA DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 5 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 7 Mixed Occupancies 8 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 508.3 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). NA NA Nonseparated Uses 508.3.2 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). NA NA 9 Separated Uses (Ratio < 1) 508.3.3 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). NA NA 10 Construction Classification 602 Provide Construction Classification per each building included in Application. Type 5B Type 5B 11 Fire Resistance Rating Reqm’t for Building Elements Table 601 Provide Fire Resistance Rating per each building element as per Table 601. Identify rating & elements on Building Plans. 0 hour 0 hour DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 6 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 12 Exterior Wall FireResistance Rating 13 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ Table 602 Identify required fire resistance rating of exterior walls on Building Plan(s). 0 hour 0 hour Exterior Fire Separation Distance Table 602 Identify required fire separation distance of exterior walls between Buildings on Plan. 0 hour required for separation distance <= 30' 0 hour 14 Fire Walls 705 Provide code information and identify all applicable required Fire Wall(s) and fire resistance requirement on Building Plans. NR NR 15 Fire Barriers 706 Provide code information and identify all applicable required Fire Barrier(s) and fire resistance requirement on Building Plans. NR NR 16 Shaft Enclosures 707 Provide code information and identify all applicable required Shaft Wall(s) and fire resistance requirement on Building Plans. NR NR 17 Fire Partitions 708 Provide code information and identify all applicable required Fire Partition(s) and fire resistance requirement on Building Plans. NR NR DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 7 of 13 NEW YORK Medical Marijuana Program Department STATE of Health Application for Registration as Appendix Architectural Program a Registered Organization No. Topic NYS Other Code? Minimum Information Required to be Required Code Value2 Facility?s Actual Value? Building (as Stated Identi?ed for this building/facility on the [Anowed Code Value Code Above) 8: Building or Site Plan(s) Section Section 18 Horizontal 711 Provide code information and identify all Assemblies applicable required Horizontal Assemblies and ?re resistance requirement on Building Plans. 19 Fire 903 Indicate Type of Sprinkler stem: Protection: DNFPA 13 NFPA 13 NFPA 130 NR NR Sprinkler Provide code information of all seCtlon 903-2-6 System applicable requirements for Automatic Sprinkler Systems with code section cited. 20 Alt. Fire 904 Provide code information of all NR NR Extinguishing applicable requirements for Alternative system Automatic Fire-Extinguishing Systems with code section(s) cited. 21 Standpipe 905 Provide code information of all System applicable requirements for Standpipe Systems with code section(s) cited. 22 Fire Alarm 907 Provide code information of all Detection applicable requirements for Fire Alarm NR for occupancy load less NR Systems System(s) with code section cited. than 500 (Section 9072.7) Indicate Type of Fire Alarm System DAddressable Hardwired (zoned) OOH-5146 (04/15) Page 8 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 23 Emergency Alarm System 24 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 908 Provide code information of all applicable requirements for Emergency Alarm Systems with code section cited. NR NR Fire Department Connections 912 Identify Fire Department connections in accordance with NFPA applicable standard. NR NR 25 Exits 1001.1 &2 Identify on the Building Plans and documents, per each door, the following information: door width, door height, direction of swing, type of construction, hourly rating, and door closures. 2 exist minimum As shown on the floor plan 26 Occupant Load 1004 & Table 1004.1.1 Identify the use/name of each room, dimensions of each room, and Occupant Loads per each room on the Building Plans. 1st fl = 30 SF gross/occup. Sto/stock/ship=300 SF/occ. See Occupancy Analysis on drawings 27 Egress Width 1005 Provide egress widths & cite applicable code section(s) and requirement(s) on the Building Plans Stair = 0.3"/occup, other components = 0.2"/occup. No stairs, all doors= 36" 28 Accessible Means of Egress 1007.1 Provide accessible means of egress as per Section 1007 & cite applicable code section(s) and requirement(s) on the Building Plans. Section 1019.1 requires 2 means of egress for occup. of less than 500 All means of egress will be accessible. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 9 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 29 Doors, Gates, and Turnstiles 30 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1008 Means of egress doors shall meet the requirements of this section. 32" min All doors will be 36" Interior Stairs 1009 Identify the following information for each stairway on the Building Plan(s): the width of stairways; the height, width, depth and number of risers and treads; dimensions of landings; stairway construction type; and handrail height. NA NA 31 Ramps 1010.1 Identify the following information of each ramp, on the Building Plan(s): width; total vertical rise; length of ramp; and handrail height. NA NA 32 Common Path of Travel 1014.3 Identify on the Building Plan(s): the length of the “Common Path of Travel” per each room as per applicable building code requirements. 75' max 0' 33 Exit Doorway Arrangement 1015 Identify on the Building Plan(s): applicable building code requirements for all Exits and Exit Access Doorways per each room and required exits in all buildings. 34 Corridor Fire Rating 1017.1 Identify, on the Building Plan(s): all corridors with required fire resistance and the applicable fire rating. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Exits as shown on the plans meet the code requirements NR NR Page 10 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 35 Corridor Width 36 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1017.2 Identify on the Building Plan(s): the width of all corridors. Provide applicable code section(s) and requirement(s). 44" min. NA - No corridors Dead End Corridor 1017.3 Corridors shall not exceed the maximum dead end corridor length as per applicable code. 20' max NA - No Dead ends 37 Number of Exits and Continuity 1019 Identify on the Building Plan(s): required number of exits, continuity and arrangement as per the applicable code requirements. 1-500 occupants = 2 exits Exits as shown on the plans meet the code requirements 38 Vertical Exit Enclosures 1020 Identify on the Building Plan(s): all applicable code requirements for each Vertical Exit Enclosure. NA NA 39 Exit Passageways 1021 Identify on the Building Plan(s): all applicable code requirements for each Exit Passageway. NA NA 40 Horizontal Exits 1022 Identify on the Building Plan(s): all applicable code requirements for each Horizontal Exit. NA NA DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 11 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 41 Exterior Exit Ramps & Stairways 42 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1023 Identify on the Building Plan(s): all applicable code requirements for each exterior exit ramps and stairways. NA NA Exit Discharge 1024 Identify on the Building Plan(s): all applicable code requirements for each Exit Discharge. Exits shall discharge to exterior at grade All exits discharge to exterior at grade 43 Accessibility 1101.1 1110 & ICC/A117. 1(03) Identify on the Building Plan(s): all applicable code requirements such that the design and construction of each building/facility provides accessibility to physically disabled persons. All areas as shown on the floor plan conform to the accessibility requirements. 44 Energy Conservation 2010 NYS ECCC & IECC 2012 Identify the R-Value and U-Value of each construction component and assembly of the building envelope as required in the applicable energy and building code(s). All construction will conform to Energy Conserv. code 45 Emergency & Standby Power 2702.1 Identify emergency & Standby Power locations and specifications of the system to be provided. New standby emergency generator to power facility 46 Smoke Control Systems 2702.2.2 Identify the Standby power for smoke control systems in accordance with Section 909.11 of NYS Building Code. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section NR NR Page 12 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 47 Plumbing Fixture Count 2902.1 48 Available Street Water Pressure 49 Fire Apparatus Access Road DOH-5146 (04/15) FC503.1 Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ Identify on the Building Plan(s): the minimum plumbing facilities as per applicable plumbing code(s). See Occupancy schedule on Plumbing fixture count meets plan or exceeds the requirements Provide the available street or well water pressure. NA Available water pressure is sufficient for proposed use Identify on the Site Plan: Fire Apparatus Road, Fire Lane and other Fire Service requirements per applicable Building and Fire Codes. Fire access road extends to within 150' of building sides Criteria is met at all sides of the building Page 13 of 13 15013 - thston - DS.pln; Floor plans; 100%; 6130015 10 17 AM The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/ or would disclose critical infrastructure infomiation. Redacted pursuant to NY. Public Officers Law, Art. 6 Patrick M. Croke Architect 11 Com't Road . Box 758 AP Bedford Village, New York 10506 T: 914.234.6093 USGBC F: 914.234.0548 info@pmcarchitect.com COPYRIGHT: ?2015 PATRICK M. CROKE, DRAWINGS AND SPECIFICATIONS, AS INSTRUMENTS OF PROFESSIONAL SERVICE, ARE AND SHALL REMAIN THE PROPERTY OF THE ARCHITECT. DOCUMENTS ARE NOT BE USED, IN WHOLE OR IN PART, FOR OTHER PROJECTS OR PURPOSES OR BY ANY OTHER PARTIES THAN THOSE AUTHORIZED BY CONTRACT WITHOUT THE SPECIFIC WRITTEN AUTHORIZATION OF THE ARCHITECT. CONTRACTORS MUST CHECKALL DIMENSIONS ON SITE. ONLY FIGURED DIMENSIONS ARE TO BE WORKED FROM. DISCREPANCIES MUST BE REPORTED IMMDIATELY TO THE ARCHITECT BEFORE PROCEEDING. DO NOT SCALE DRAWINGS ;\1Pro)eetfies\1501s Etandisgensa'e?z Kingston Dspin 2 NYS DOH submission 06/03/15 l2] 1 Client review 06/02/15 No: Description: Date: Revisions: Project Name: Etain Dispensarg Kingston. NY 445 State Route 28 Kingston, NY Drawing Title: Site plan Date: 06/03/15 Revised as noted above . Project 1 501 5-01 Scale: A5 noted Drawing Number: 15013 - K?ngston - D$.pln; Floor plans; 100%;6131201510 19AM 111C U11 [111) P05: 1) 1CL1UCDICU U: CAC1111J1 1.1U111 U1DL1UDLHC 1111UC1 Plublld11l 1U 1' UU11L LOW OCL11U11 (1111.11 U1 U1DL1UDC Redacted pursuant to NY. Public Of?cers Law, Art. 6 Patrick M. Croke Architect 1 Court Road LEED 30x 758 AP 3edf01'd Village. New York 10506 ,3 7: 914.234.6093 UM JI), 914.234.0548 NY nfo@pmcarchitect.c0m OPYRIGHT: ?2015 PATRICK M. CROKE. RAWINGS AND SPECIFICATIONS, AS INSTRUMENTS OF PROFESSIONAL SERVICE, ARE ND SHALL REMAIN THE PROPERTY OF THE ARCHITECT. DOCUMENTS ARE NOT BE SED, IN WHOLE OR IN PART, FOR OTHER PROJECTS OR PURPOSES OR BY ANY OTHER ARTIES THAN THOSE AUTHORIZED BY CONTRACT WITHOUT THE SPECIFIC WRITTEN UTHORIZATION OF THE ARCHITECT. ONTRACTORS MUST CHECK ALL DIMENSIONS ON SITE. ONLY FIGURED DIMENSIONS RE TO BE WORKED FROM. DISCREPANCIES MUST BE REPORTED IMMDIATELY I) THE ARCHITECT BEFORE PROCEEDING. DO NOT SCALE DRAWINGS ?roJeclfles\1501S Emindisoensaresu D'swln95\15013 05pm 2 NYS DOH submission 06/05/15 1 Client review 06/02/15 3: Description: Date: 2evisions: Droject Name: Etain Dispensary Kingston. NY 445 State Route 28 Kingston, NY )rawing Title: Floor plans )ate: 06/05/15 Revised as noted above . ?roject 1 501 5-01 scale: As noted )rawing Number: $53k Department STATE of Health Appendix B: Architectural Program A SEPARATE SHALL BE COMPLETED FOR EACH SEPARATE BUILDING FACILITY INCLUDED IN THE BUSINESS PLAN COMPANY INFORMATION Business Name: Etain LLC Manufacturing Facility Dispensing Facility Use Group - Mercantile for main area, Use Group 82 at garage area Facility Type: Use and Occupancy Classi?cation: Building Construction Type and Classi?cation: 38 Facility Address: 2156 Erie East, Syracuse, NY 13224 (914) 232-0902 (914)-234-0909 PART I - ARCHITECTURAL PROGRAM CONSTRUCTION TIMELINE: Applicant shall identify planning requirements, including but not limited to: TOWN BOARD APPROVAL PLANNING BOARD APPROVAL ZONING BOARD OF APPEALS APPROVAL Primary Contact Telephone number: Primary Contact Fax number: PREPARATION OF CONSTRUCTION DOCUMENTS BUILDING PERMIT BIDDING PHASE CONTRACT AWARD PHASE PER EACH APPLICABLE CONTRACTOR (Identify all that apply) COMMENCEMENT OF CONSTRUCTION COMPLETION OF CONSTRUCTION DOH-5146 (04/15) Medical Marijuana Program Application for Registration as a Registered Organization Page 1 of 13 Appendix B – Architectural Program PART II – SITE PLAN(S) Applicant shall provide the appropriate details for each of the following by identifying the location and dimension on the Site Plan attached to the application for each building location. ✔ ✔ ✔ ✔ ✔ Entrance and Exits Public Parking Spaces Staff Parking Spaces Accessible Parking Spaces Accessible Route(s) ✔ ✔ ✔ ✔ Fire Lane and/or Fire Apparatus Road Percentage of Green Space Location of Emergency Power Systems Loading & Unloading Security Gates & Fences PART III – ENERGY SOURCES & ENGINEERING SYSTEMS: Applicant shall provide the following minimum information to outline the specifications relating to the energy sources and engineering systems of each building included in the application. Energy Source: ✔ Natural Gas Solar Oil Other _______________ ✔ Electric Engineering Systems: Roof top Size_____________ 5 ton Existing Efficiency ___________, ✔ Heating System: Type ___________, Ventilation Requirements _____________________________________ Roof top Size_____________ 5 ton Existing ✔ Cooling System: Type ___________, Efficiency ___________, Ventilation Requirements _____________________________________ ✔ Ventilation & Humidification Systems: Type ___________, Size_____________ , Efficiency ___________, Existing system to remain Ventilation Requirements _____________________________________ 200 amp, single phase ✔ Electrical Distribution Available _________________________________ X ✔ Water Supply: Municipal Water Service _______ or Private Well Water ____________ X Municipal Sewer System _______ or Private Septic System ____________ ✔ Sewage: ✔ Emergency Power System: See plan Size_____________ Efficiency ___________, Type ___________, DOH-5146 (04/15) Page 2 of 13 Appendix B – Architectural Program PART IV – BUILDING CODE COMPLIANCE: (pages 3-13) CHECK ALL APPLICABLE CODES FOR THE FACILITY ✔ 2010 BUILDING CODE OF NYS ✔ 2010 FIRE CODE OF NYS ✔ 2010 PLUMBING CODE OF NYS ✔ 2010 MECHANICAL CODE OF NYS 2010 FUEL GAS CODE OF NYS 2010 PROPERTY MAINTENANCE CODE OF NYS ✔ 2010 ENERGY CONSERVATION CONSTRUCTION CODE OF NYS ✔ 2012 IECC COMMERCIAL PROVISIONS ✔ 2010 EXISTING BUILDING CODE OF NYS ✔ NEC NATIONAL ELECTRIC CODE, (Specify Applicable Version) 2014 NY CITY CONSTRUCTION CODE 2008 NY CITY CONSTRUCTION CODE 1968 NY CITY CONSTRUCTION CODE NFPA 101-06 LIFE SAFETY CODE ✔ ICC/ANSI A117.1-03 ACCESSIBLE AND USABLE BUILDINGS AND FACILITIES OTHER DOH-5146 (04/15) Page 3 of 13 Appendix B – Architectural Program Select Project Type: Check all that apply. Refer to the Existing Building Code for definitions. New Building Repair Alteration Level 1 Alteration Level 2 Select Work Involved: Check all that apply. ✔ General Construction Roofing Asbestos Abatement/Environmental Fire Alarm ✔ Alteration Level 3 Change of Occupancy Addition Historic Building ✔ ✔ ✔ ✔ Structural Mechanical Plumbing Electrical Demolition Chapter 3. Prescriptive Compliance Method Chapter 13. Performance Compliance Method ✔ Site Work Sprinkler Elevators Other:_____________________________ CODE COMPLIANCE REVIEW Applicant shall provide all applicable information in regards to the code topic and section listed below. 1 Code Compliance Review is based on the 2010 NY State Building Code for New Construction. If any other building code applies to the location or type of construction, provide applicable code and sections that most closely relates and references the code topic and information in the code sections listed below. Provide appropriate abbreviations for other applicable codes, such as: FC: Fire Code, PC: Plumbing Code, MC: Mechanical Code, FGC: Fuel Gas Code, ECCC: Energy Conservation Code. 2. Provide the Required standard for each applicable code section. (i.e.: area, quantity, classification type, materials, hourly separation, etc.). If section does not apply, indicate one of the following with explanation: NA: Not Applicable, NR: Not Required, NP: Not Permitted 3 Provide your facilities “Actual” value for each required standard as per applicable code section. No. Topic NYS Building Code Section 1 Use & Occupancy Classification 302.1 312 DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Use & occupancy of this facility. Identify all applicable materials, class and quantities regarding Table 307.1. Required Code Value² /Allowed Code Value Use Group M - Merchantile Facility’s Actual Value³ Use Group M - Merchantile Page 4 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 2 Combustible Storage 3 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 413 All combustible storage areas and rooms, as per applicable Building and Fire Codes. Identify all combustible stored materials, area and room dimensions, all required fire separations, and exit requirements. NA NA Hazardous Materials 414 All hazardous materials stored or used as per applicable Building and Fire Codes. Identify all combustible stored materials, area and room dimensions, all required fire separations, and exit requirements. NA NA 4 Hazardous Materials Control Areas 414.2 Provide additional information indicating number, size, materials stored, and quantity of each material. NA NA 5 Building Area & Height 501-507 Provide the building area & height Provide all calculations and cite applicable code sections for increased Building Area & Heights allowed per building code(s). Use Group M, construction type 3B = 4 stories/12,500 SF max. 1 story 2972 SF 6 Incidental Use Areas 508.2 Identify all Incidental Use Areas and required fire separation of occupancies on Building Plans. NA NA DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 5 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 7 Mixed Occupancies 8 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 508.3 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). NA NA Nonseparated Uses 508.3.2 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). NA NA 9 Separated Uses (Ratio < 1) 508.3.3 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). NA NA 10 Construction Classification 602 Provide Construction Classification per each building included in Application. Type 3B Type 3B 11 Fire Resistance Rating Reqm’t for Building Elements Table 601 Provide Fire Resistance Rating per each building element as per Table 601. Identify rating & elements on Building Plans. 2 hour exterior walls, 0 hour for all other elements 2 hour min masonry exterior walls DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 6 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 12 Exterior Wall FireResistance Rating 13 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ Table 602 Identify required fire resistance rating of exterior walls on Building Plan(s). 2 hour 2 hour min masonry wall Exterior Fire Separation Distance Table 602 Identify required fire separation distance of exterior walls between Buildings on Plan. 2 hour required for sep. distance of <= to 5' 2 hour min masonry wall 14 Fire Walls 705 Provide code information and identify all applicable required Fire Wall(s) and fire resistance requirement on Building Plans. NR NR 15 Fire Barriers 706 Provide code information and identify all applicable required Fire Barrier(s) and fire resistance requirement on Building Plans. NR NR 16 Shaft Enclosures 707 Provide code information and identify all applicable required Shaft Wall(s) and fire resistance requirement on Building Plans. NR NR 17 Fire Partitions 708 Provide code information and identify all applicable required Fire Partition(s) and fire resistance requirement on Building Plans. NR NR DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 7 of 13 NEW YORK Medical Marijuana Program Department STATE of Health Application for Registration as Appendix Architectural Program a Registered Organization No. Topic NYS Other Code? Minimum Information Required to be Required Code Value2 Facility?s Actual Value? Building (as Stated Identi?ed for this building/facility on the [Allowed Code Value Code Above) 8: Building or Site Plan(s) Section Section 18 Horizontal 711 Provide code information and identify all Assemblies applicable required Horizontal Assemblies and ?re resistance requirement on Building Plans. 19 Fire 903 Indicate Type of Sprinkler stem: Protection: DNFPA 13 NFPA 13 NFPA 130 NR NR Sprinkler Provide code information of all seCtlon 903-2-6 System applicable requirements for Automatic Sprinkler Systems with code section cited. 20 Alt. Fire 904 Provide code information of all NR NR Extinguishing applicable requirements for Alternative system Automatic Fire-Extinguishing Systems with code section(s) cited. 21 Standpipe 905 Provide code information of all System applicable requirements for Standpipe Systems with code section(s) cited. 22 Fire Alarm 907 Provide code information of all . Detection applicable requirements for Fire Alarm NR for occupancy load less Smoke and heat detection to Systems System(s) with code section cited. than 500 (Section 9072.7) conform to code Indicate Type of Fire Alarm System DAddressable Hardwired (zoned) Smoke and heat detection if occupied by more than 100 requirements OOH-5146 (04/15) Page 8 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 23 Emergency Alarm System 24 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 908 Provide code information of all applicable requirements for Emergency Alarm Systems with code section cited. NR NR Fire Department Connections 912 Identify Fire Department connections in accordance with NFPA applicable standard. NR NR 25 Exits 1001.1 &2 Identify on the Building Plans and documents, per each door, the following information: door width, door height, direction of swing, type of construction, hourly rating, and door closures. 2 exits minimum As shown on the floor plan 26 Occupant Load 1004 & Table 1004.1.1 Identify the use/name of each room, dimensions of each room, and Occupant Loads per each room on the Building Plans. 1st fl = 30 SF gross/occup. Sto/stock/ship=300 SF/occ. See Occupancy Analysis on drawings 27 Egress Width 1005 Provide egress widths & cite applicable code section(s) and requirement(s) on the Building Plans Stair = 0.3"/occup, other components = 0.2"/occup. No stairs, all doors = 36" 28 Accessible Means of Egress 1007.1 Provide accessible means of egress as per Section 1007 & cite applicable code section(s) and requirement(s) on the Building Plans. Section 1019.1 requires 2 means of egress for occup. of less than 500 All means of egress will be accessible. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 9 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 29 Doors, Gates, and Turnstiles 30 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1008 Means of egress doors shall meet the requirements of this section. 32" min All doors will be 36" Interior Stairs 1009 Identify the following information for each stairway on the Building Plan(s): the width of stairways; the height, width, depth and number of risers and treads; dimensions of landings; stairway construction type; and handrail height. NA NA 31 Ramps 1010.1 Identify the following information of each ramp, on the Building Plan(s): width; total vertical rise; length of ramp; and handrail height. NA NA 32 Common Path of Travel 1014.3 Identify on the Building Plan(s): the length of the “Common Path of Travel” per each room as per applicable building code requirements. 75' max 0' 33 Exit Doorway Arrangement 1015 Identify on the Building Plan(s): applicable building code requirements for all Exits and Exit Access Doorways per each room and required exits in all buildings. 34 Corridor Fire Rating 1017.1 Identify, on the Building Plan(s): all corridors with required fire resistance and the applicable fire rating. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Exits as shown on the plans meet the code requirements NR NR Page 10 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 35 Corridor Width 36 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1017.2 Identify on the Building Plan(s): the width of all corridors. Provide applicable code section(s) and requirement(s). 44" min. NA - No corridors Dead End Corridor 1017.3 Corridors shall not exceed the maximum dead end corridor length as per applicable code. 20' max NA - No Dead ends 37 Number of Exits and Continuity 1019 Identify on the Building Plan(s): required number of exits, continuity and arrangement as per the applicable code requirements. 1-500 occupants = 2 exits Exits as shown on the plans meet the code requirements 38 Vertical Exit Enclosures 1020 Identify on the Building Plan(s): all applicable code requirements for each Vertical Exit Enclosure. NA NA 39 Exit Passageways 1021 Identify on the Building Plan(s): all applicable code requirements for each Exit Passageway. NA NA 40 Horizontal Exits 1022 Identify on the Building Plan(s): all applicable code requirements for each Horizontal Exit. NA NA DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 11 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 41 Exterior Exit Ramps & Stairways 42 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1023 Identify on the Building Plan(s): all applicable code requirements for each exterior exit ramps and stairways. NA NA Exit Discharge 1024 Identify on the Building Plan(s): all applicable code requirements for each Exit Discharge. Exits shall discharge to exterior at grade All exits discharge to exterior at grade 43 Accessibility 1101.1 1110 & ICC/A117. 1(03) Identify on the Building Plan(s): all applicable code requirements such that the design and construction of each building/facility provides accessibility to physically disabled persons. All areas as shown on the floor plan conform to the accessibility requirements. 44 Energy Conservation 2010 NYS ECCC & IECC 2012 Identify the R-Value and U-Value of each construction component and assembly of the building envelope as required in the applicable energy and building code(s). All construction will conform to Energy Cons. code 45 Emergency & Standby Power 2702.1 Identify emergency & Standby Power locations and specifications of the system to be provided. New standby emergency generator to power facility 46 Smoke Control Systems 2702.2.2 Identify the Standby power for smoke control systems in accordance with Section 909.11 of NYS Building Code. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section NR NR Page 12 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 47 Plumbing Fixture Count 2902.1 48 Available Street Water Pressure 49 Fire Apparatus Access Road DOH-5146 (04/15) FC503.1 Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ Identify on the Building Plan(s): the minimum plumbing facilities as per applicable plumbing code(s). See Occupancy schedule on Plumbing fixture count meets plan or exceeds the requirements Provide the available street or well water pressure. NA Available water pressure is sufficient for proposed use Identify on the Site Plan: Fire Apparatus Road, Fire Lane and other Fire Service requirements per applicable Building and Fire Codes. Fire access road extends to within 150' of building sides Criteria is met at all sides of the building Page 13 of 13 Redacted pursuant to NY. Public Officers Law, Art. 6 Patrick M. Croke Architect 11 Court Road LEED Box 758 AP Bedford Village. New York 10506 ,s T: 914.234.6093 UM JI), F: 914.234.0548 NY info@pmcarchitect.com COPYRIGHT: ?2015 PATRICK M. CROKE. DRAWINGS AND SPECIFICATIONS, AS INSTRUMENTS OF PROFESSIONAL SERVICE, ARE AND SHALL REMAIN THE PROPERTY OF THE ARCHITECT. DOCUMENTS ARE NOT BE USED, IN WHOLE OR IN PART, FOR OTHER PROJECTS OR PURPOSES OR BY ANY OTHER PARTIES THAN THOSE AUTHORIZED BY CONTRACT WITHOUT THE SPECIFIC WRITTEN AUTHORIZATION OF THE ARCHITECT. CONTRACTORS MUST CHECK ALL DIMENSIONS ON SITE. ONLY FIGURED DIMENSIONS ARE TO BE WORKED FROM. DISCREPANCIES MUST BE REPORTED IMMDIATELY TO THE ARCHITECT BEFORE PROCEEDING. NOTE: DO NOT SCALE DRAWINGS Project fles\1501s Etaln disoensw es\2 Drawings\15013 swxuse 05 1505189 I'l 2 NYE: 00H submission 06/03/15 1 Clientrevlew 06/02/15 No: Description: Date: Revisions: Project Name: Etain Dispensary sgrasuse. NY 2 1 56 Erie East Egracuse, NY Drawing Title: site plan Date: 06/03/15 Revised as noted above . Project 1 501 5-03 Scale: As noted Drawing Number: - The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0 and/or would disclose critical infrastructure information. 15013 - Syracuse - DS -150528.pln; DS-1 Site plan; 100%; 6/3/2015 9 51 AM 15013 - Syracuse - DS -150528.pln; DS-1 Site plan; 100%; 6/3/2015 9 54 AM Redacted pursuant to NY. Public Officers Law, Art. 6 ?l'he material on this page is requested to be exempt trom disclosure under pursuant to Public Utticers Law Section 87(2) and/or would disclose critical intrastructure intormation. Patrick M. Croke Architect 11 Court Road LEED Box 758 AP Bedford Village. New York 10506 ,0 T: 914.234.6093 UM JI) F: 914.234.0548 NY info@pmcarchitect.com COPYRIGHT: ?2015 PATRICK M. CROKE. DRAWINGS AND SPECIFICATIONS, AS INSTRUMENTS OF PROFESSIONAL SERVICE, ARE AND SHALL REMAIN THE PROPERTY OF THE ARCHITECT. DOCUMENTS ARE NOT BE USED, IN WHOLE OR IN PART, FOR OTHER PROJECTS OR PURPOSES OR BY ANY OTHER PARTIES THAN THOSE AUTHORIZED BY CONTRACT WITHOUT THE SPECIFIC WRITTEN AUTHORIZATION OF THE ARCHITECT. CONTRACTORS MUST CHECK ALL DIMENSIONS ON SITE. ONLY FIGURED DIMENSIONS ARE TO BE WORKED FROM. DISCREPANCIES MUST BE REPORTED IMMDIATELY TO THE ARCHITECT BEFORE PROCEEDING. NOTE: DO NOT SCALE DRAWINGS Project fles\1501s Etaln dlsoensw e-s\2 Drawings\15013 swxuse 05 1505189 I00H submission 06/03/15 1 Client review 06/02/15 No: Description: Date: Revisions: Project Name: Etain Dispensary agracuse. NY 2 1 56 Erie East Sgracuse, NY Drawing Title: Floor plans Date: 06/03/15 Revised as noted above . Project 1 501 5-03 Scale: As noted Drawing Number: $53k Department STATE of Health Appendix B: Architectural Program A SEPARATE SHALL BE COMPLETED FOR EACH SEPARATE BUILDING FACILITY INCLUDED IN THE BUSINESS PLAN COMPANY INFORMATION Business Name: Etain LLC Manufacturing Facility Facility Type: Dispensing Facility Use and Occupancy Classi?cation: Use Group - Mercantile Building Construction Type and Classi?cation: 38 Facility Address: 460 Nepperhan Ave, Yonkers, NY 10701 (914) 232-0902 (914)-234-0909 PART I - ARCHITECTURAL PROGRAM CONSTRUCTION TIMELINE: Applicant shall identify planning requirements, including but not limited to: TOWN BOARD APPROVAL PLANNING BOARD APPROVAL ZONING BOARD OF APPEALS APPROVAL Primary Contact Telephone number: Primary Contact Fax number: PREPARATION OF CONSTRUCTION DOCUMENTS BUILDING PERMIT BIDDING PHASE CONTRACT AWARD PHASE PER EACH APPLICABLE CONTRACTOR (Identify all that apply) COMMENCEMENT OF CONSTRUCTION COMPLETION OF CONSTRUCTION DOH-5146 (04/15) Medical Marijuana Program Application for Registration as a Registered Organization Page 1 of 13 Appendix B – Architectural Program PART II – SITE PLAN(S) Applicant shall provide the appropriate details for each of the following by identifying the location and dimension on the Site Plan attached to the application for each building location. ✔ ✔ ✔ ✔ ✔ Entrance and Exits Public Parking Spaces Staff Parking Spaces Accessible Parking Spaces Accessible Route(s) ✔ ✔ ✔ ✔ Fire Lane and/or Fire Apparatus Road Percentage of Green Space Location of Emergency Power Systems Loading & Unloading Security Gates & Fences PART III – ENERGY SOURCES & ENGINEERING SYSTEMS: Applicant shall provide the following minimum information to outline the specifications relating to the energy sources and engineering systems of each building included in the application. Energy Source: ✔ Natural Gas Solar Oil Other _______________ ✔ Electric Engineering Systems: Roof top Size_____________ 3 ton Existing Efficiency ___________, ✔ Heating System: Type ___________, Ventilation Requirements _____________________________________ Roof top Size_____________ 3 ton Existing ✔ Cooling System: Type ___________, Efficiency ___________, Ventilation Requirements _____________________________________ ✔ Ventilation & Humidification Systems: Type ___________, Size_____________ , Efficiency ___________, Existing system to remain Ventilation Requirements _____________________________________ ✔ Electrical Distribution Available _________________________________ X ✔ Water Supply: Municipal Water Service _______ or Private Well Water ____________ X Municipal Sewer System _______ or Private Septic System ____________ ✔ Sewage: ✔ Emergency Power System: See plan Size_____________ Efficiency ___________, Type ___________, DOH-5146 (04/15) Page 2 of 13 Appendix B – Architectural Program PART IV – BUILDING CODE COMPLIANCE: (pages 3-13) CHECK ALL APPLICABLE CODES FOR THE FACILITY ✔ 2010 BUILDING CODE OF NYS ✔ 2010 FIRE CODE OF NYS ✔ 2010 PLUMBING CODE OF NYS ✔ 2010 MECHANICAL CODE OF NYS 2010 FUEL GAS CODE OF NYS 2010 PROPERTY MAINTENANCE CODE OF NYS ✔ 2010 ENERGY CONSERVATION CONSTRUCTION CODE OF NYS ✔ 2012 IECC COMMERCIAL PROVISIONS ✔ 2010 EXISTING BUILDING CODE OF NYS ✔ NEC NATIONAL ELECTRIC CODE, (Specify Applicable Version) 2014 NY CITY CONSTRUCTION CODE 2008 NY CITY CONSTRUCTION CODE 1968 NY CITY CONSTRUCTION CODE NFPA 101-06 LIFE SAFETY CODE ✔ ICC/ANSI A117.1-03 ACCESSIBLE AND USABLE BUILDINGS AND FACILITIES OTHER DOH-5146 (04/15) Page 3 of 13 Appendix B – Architectural Program Select Project Type: Check all that apply. Refer to the Existing Building Code for definitions. New Building Repair Alteration Level 1 Alteration Level 2 Select Work Involved: Check all that apply. ✔ General Construction Roofing Asbestos Abatement/Environmental Fire Alarm ✔ Alteration Level 3 ✔ Change of Occupancy Addition Historic Building ✔ ✔ ✔ ✔ Structural Mechanical Plumbing Electrical Demolition Chapter 3. Prescriptive Compliance Method Chapter 13. Performance Compliance Method Site Work ✔ Sprinkler Elevators Other:_____________________________ CODE COMPLIANCE REVIEW Applicant shall provide all applicable information in regards to the code topic and section listed below. 1 Code Compliance Review is based on the 2010 NY State Building Code for New Construction. If any other building code applies to the location or type of construction, provide applicable code and sections that most closely relates and references the code topic and information in the code sections listed below. Provide appropriate abbreviations for other applicable codes, such as: FC: Fire Code, PC: Plumbing Code, MC: Mechanical Code, FGC: Fuel Gas Code, ECCC: Energy Conservation Code. 2. Provide the Required standard for each applicable code section. (i.e.: area, quantity, classification type, materials, hourly separation, etc.). If section does not apply, indicate one of the following with explanation: NA: Not Applicable, NR: Not Required, NP: Not Permitted 3 Provide your facilities “Actual” value for each required standard as per applicable code section. No. Topic NYS Building Code Section 1 Use & Occupancy Classification 302.1 312 DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Use & occupancy of this facility. Identify all applicable materials, class and quantities regarding Table 307.1. Required Code Value² /Allowed Code Value Use Group M - Merchantile Facility’s Actual Value³ Use Group M - Merchantile Page 4 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 2 Combustible Storage 3 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 413 All combustible storage areas and rooms, as per applicable Building and Fire Codes. Identify all combustible stored materials, area and room dimensions, all required fire separations, and exit requirements. NA NA Hazardous Materials 414 All hazardous materials stored or used as per applicable Building and Fire Codes. Identify all combustible stored materials, area and room dimensions, all required fire separations, and exit requirements. NA NA 4 Hazardous Materials Control Areas 414.2 Provide additional information indicating number, size, materials stored, and quantity of each material. NA NA 5 Building Area & Height 501-507 Provide the building area & height Provide all calculations and cite applicable code sections for increased Building Area & Heights allowed per building code(s). Use Group M, construction type 3B = 4 stories/50,000 SF max./story w/ sprinkler 1 story 25,000 SF 6 Incidental Use Areas 508.2 Identify all Incidental Use Areas and required fire separation of occupancies on Building Plans. NA NA DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 5 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 7 Mixed Occupancies 8 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 508.3 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). M with S1 with sprinkler = 1 hour separation 1 hour min masonry walls Nonseparated Uses 508.3.2 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). NA NA 9 Separated Uses (Ratio < 1) 508.3.3 Provide analysis with code cited, and required fire separation of occupancies. Identify required fire separation of occupancies on Building Plan(s). NA NA 10 Construction Classification 602 Provide Construction Classification per each building included in Application. Type 3B Type 3B 11 Fire Resistance Rating Reqm’t for Building Elements Table 601 Provide Fire Resistance Rating per each building element as per Table 601. Identify rating & elements on Building Plans. 2 hour exterior walls, 0 hour for all other elements 2 hour min masonry exterior walls DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 6 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 12 Exterior Wall FireResistance Rating 13 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ Table 602 Identify required fire resistance rating of exterior walls on Building Plan(s). 2 hour 2 hour min masonry wall Exterior Fire Separation Distance Table 602 Identify required fire separation distance of exterior walls between Buildings on Plan. 2 hour required for sep. distance of <= to 5' 2 hour min masonry wall 14 Fire Walls 705 Provide code information and identify all applicable required Fire Wall(s) and fire resistance requirement on Building Plans. NR NR 15 Fire Barriers 706 Provide code information and identify all applicable required Fire Barrier(s) and fire resistance requirement on Building Plans. NR NR 16 Shaft Enclosures 707 Provide code information and identify all applicable required Shaft Wall(s) and fire resistance requirement on Building Plans. NR NR 17 Fire Partitions 708 Provide code information and identify all applicable required Fire Partition(s) and fire resistance requirement on Building Plans. NR NR DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 7 of 13 NEW YORK Medical Marijuana Program Department STATE of Health Application for Registration as Appendix Architectural Program a Registered Organization No. Topic NYS Other Code? Minimum Information Required to be Required Code Value2 Facility?s Actual Value? Building (as Stated Identi?ed for this building/facility on the [Allowed Code Value Code Above) 8: Building or Site Plan(s) Section Section 18 Horizontal 711 Provide code information and identify all Assemblies applicable required Horizontal Assemblies and ?re resistance requirement on Building Plans. 19 Fire 903 Indicate Type of Sprinkler stem: - Protection: NFPA 13 El NFPA 13 NFPA 130 NFPA 13 as per Section NFPA 13 Sprinkler Provide code information of all 903-2-8 System applicable requirements for Automatic Sprinkler Systems with code section cited. 20 Alt. Fire 904 Provide code information of all NR NR Extinguishing applicable requirements for Alternative system Automatic Fire-Extinguishing Systems with code section(s) cited. 21 Standpipe 905 Provide code information of all System applicable requirements for Standpipe Systems with code section(s) cited. 22 Fire Alarm 907 Provide code information of all Detection applicable requirements for Fire Alarm NR for occupancy load less NR Systems System(s) with code section cited. than 500 (Section 9072.7) Indicate Type of Fire Alarm System DAddressable Hardwired (zoned) Smoke and heat detection if occupied by more than 100 OOH-5146 (04/15) Page 8 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 23 Emergency Alarm System 24 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 908 Provide code information of all applicable requirements for Emergency Alarm Systems with code section cited. NR NR Fire Department Connections 912 Identify Fire Department connections in accordance with NFPA applicable standard. NR NR 25 Exits 1001.1 &2 Identify on the Building Plans and documents, per each door, the following information: door width, door height, direction of swing, type of construction, hourly rating, and door closures. 2 exits minimum As shown on the floor plan 26 Occupant Load 1004 & Table 1004.1.1 Identify the use/name of each room, dimensions of each room, and Occupant Loads per each room on the Building Plans. 1st fl = 30 SF gross/occup. Sto/stock/ship=300 SF/occ. See Occupancy Analysis on drawings 27 Egress Width 1005 Provide egress widths & cite applicable code section(s) and requirement(s) on the Building Plans Stair = 0.3"/occup, other components = 0.2"/occup. No stairs, all doors = 36" 28 Accessible Means of Egress 1007.1 Provide accessible means of egress as per Section 1007 & cite applicable code section(s) and requirement(s) on the Building Plans. Section 1019.1 requires 2 means of egress for occup. of less than 500 All means of egress will be accessible. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 9 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 29 Doors, Gates, and Turnstiles 30 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1008 Means of egress doors shall meet the requirements of this section. 32" min All doors will be 36" Interior Stairs 1009 Identify the following information for each stairway on the Building Plan(s): the width of stairways; the height, width, depth and number of risers and treads; dimensions of landings; stairway construction type; and handrail height. NA NA 31 Ramps 1010.1 Identify the following information of each ramp, on the Building Plan(s): width; total vertical rise; length of ramp; and handrail height. NA NA 32 Common Path of Travel 1014.3 Identify on the Building Plan(s): the length of the “Common Path of Travel” per each room as per applicable building code requirements. 75' max 0' 33 Exit Doorway Arrangement 1015 Identify on the Building Plan(s): applicable building code requirements for all Exits and Exit Access Doorways per each room and required exits in all buildings. 34 Corridor Fire Rating 1017.1 Identify, on the Building Plan(s): all corridors with required fire resistance and the applicable fire rating. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Exits as shown on the plans meet the code requirements NR NR Page 10 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 35 Corridor Width 36 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1017.2 Identify on the Building Plan(s): the width of all corridors. Provide applicable code section(s) and requirement(s). 44" min. NA - No corridors Dead End Corridor 1017.3 Corridors shall not exceed the maximum dead end corridor length as per applicable code. 20' max NA - No Dead ends 37 Number of Exits and Continuity 1019 Identify on the Building Plan(s): required number of exits, continuity and arrangement as per the applicable code requirements. 1-500 occupants = 2 exits Exits as shown on the plans meet the code requirements 38 Vertical Exit Enclosures 1020 Identify on the Building Plan(s): all applicable code requirements for each Vertical Exit Enclosure. NA NA 39 Exit Passageways 1021 Identify on the Building Plan(s): all applicable code requirements for each Exit Passageway. NA NA 40 Horizontal Exits 1022 Identify on the Building Plan(s): all applicable code requirements for each Horizontal Exit. NA NA DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section Page 11 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 41 Exterior Exit Ramps & Stairways 42 Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ 1023 Identify on the Building Plan(s): all applicable code requirements for each exterior exit ramps and stairways. NA NA Exit Discharge 1024 Identify on the Building Plan(s): all applicable code requirements for each Exit Discharge. Exits shall discharge to exterior at grade All exits discharge to exterior at grade 43 Accessibility 1101.1 1110 & ICC/A117. 1(03) Identify on the Building Plan(s): all applicable code requirements such that the design and construction of each building/facility provides accessibility to physically disabled persons. All areas as shown on the floor plan conform to the accessibility requirements. 44 Energy Conservation 2010 NYS ECCC & IECC 2012 Identify the R-Value and U-Value of each construction component and assembly of the building envelope as required in the applicable energy and building code(s). All construction will conform to Energy Cons. code 45 Emergency & Standby Power 2702.1 Identify emergency & Standby Power locations and specifications of the system to be provided. New standby emergency generator to power facility 46 Smoke Control Systems 2702.2.2 Identify the Standby power for smoke control systems in accordance with Section 909.11 of NYS Building Code. DOH-5146 (04/15) Other Code¹ (as Stated Above) & Section NR NR Page 12 of 13 Appendix B – Architectural Program No. Topic NYS Building Code Section 47 Plumbing Fixture Count 2902.1 48 Available Street Water Pressure 49 Fire Apparatus Access Road DOH-5146 (04/15) FC503.1 Other Code¹ (as Stated Above) & Section Minimum Information Required to be Identified for this building/facility on the Building or Site Plan(s) Required Code Value² /Allowed Code Value Facility’s Actual Value³ Identify on the Building Plan(s): the minimum plumbing facilities as per applicable plumbing code(s). See Occupancy schedule on Plumbing fixture count meets plan or exceeds the requirements Provide the available street or well water pressure. NA Available water pressure is sufficient for proposed use Identify on the Site Plan: Fire Apparatus Road, Fire Lane and other Fire Service requirements per applicable Building and Fire Codes. Fire access road extends to within 150' of building sides Criteria is met at all sides of the building Page 13 of 13 15013 - Yonkers - DS - 150602.ph; Site plan and notes; 100%; 6/3/2015 11 08 AM Redacted pursuant to NY. Public Officers Law, Art. 6 1 [16 IIlalt'I'lal 011 [[115 page 15 requeswu l0 unuer pursuant to DCCUOII (C), anu/ 01' cnucal Patrick M. Croke Architect 11 Com't Road . Box 758 AP Bedford Village, New York 10506 T: 914.234.6093 USGBC F: 914.234.0548 COPYRIGHT: ?2015 PATRICK M. CROKE, DRAWINGS AND SPECIFICATIONS, AS INSTRUMENTS OF PROFESSIONAL SERVICE, ARE AND SHALL REMAIN THE PROPERTY OF THE ARCHITECT. DOCUMENTS ARE NOT BE USED, IN WHOLE OR IN PART, FOR OTHER PROJECTS OR PURPOSES OR BY ANY OTHER PARTIES THAN THOSE AUTHORIZED BY CONTRACT WITHOUT THE SPECIFIC WRITTEN AUTHORIZATION OF THE ARCHITECT. CONTRACTORS MUST CHECKALL DIMENSIONS ON SITE. ONLY FIGURED DIMENSIONS ARE TO BE WORKED FROM. DISCREPANCIES MUST BE REPORTED IMMDIATELY TO THE ARCHITECT BEFORE PROCEEDING. DO NOT SCALE DRAWINGS ;\1Pro)ectfies\1501s Etandlsoensa'e?z DrwingstOl: Yorkers 95 1506039In 2 NYS DOH submission 06/03/15 l2] 1 Client review 06/02/15 No: Description: Date: Revisions: Project Name: Etain Dispensarg Yonkers. NY 460 Nepperhan Ave. Yonkers, NY Drawing Title: site plan and notes Date: 06/02/15 Revised as noted above . Project 1 501 5-04 Scale: A5 noted Drawing Number: 15013 - Yonkers - DS - 150602.ph; Site plan and notes; 12AM Redacted pursuant to NY. Public Officers Law, Art. 6 he materlal on page 18 requested to be exempt Irom alsclosure under PUIL Pursuant to PuDllC Law bCCtIOl'l 357(2) (C), (I) and/or would Infrastructure 1nIormat10n. Patrick M. Croke Architect 11 Com't Road . Box 758 AP Bedford Village, New York 10506 T: 914.234.6093 USGBC F: 914.234.0548 COPYRIGHT: ?2015 PATRICK M. CROKE, DRAWINGS AND SPECIFICATIONS, AS INSTRUMENTS OF PROFESSIONAL SERVICE, ARE AND SHALL REMAIN THE PROPERTY OF THE ARCHITECT. DOCUMENTS ARE NOT BE USED, IN WHOLE OR IN PART, FOR OTHER PROJECTS OR PURPOSES OR BY ANY OTHER PARTIES THAN THOSE AUTHORIZED BY CONTRACT WITHOUT THE SPECIFIC WRITTEN AUTHORIZATION OF THE ARCHITECT. CONTRACTORS MUST CHECKALL DIMENSIONS ON SITE. ONLY FIGURED DIMENSIONS ARE TO BE WORKED FROM. DISCREPANCIES MUST BE REPORTED IMMDIATELY TO THE ARCHITECT BEFORE PROCEEDING. DO NOT SCALE DRAWINGS Etandlsoensa'e?z Yorkers 95 1506039In 2 NYs DOH submission 06/03/15 l2] 1 Client review 06/02/15 No: Description: Date: Revisions: Project Name: Etain Dispensarg Yonkers. NY 460 Nepperhan Ave. Yonkers, NY Drawing Title: Floor plan Date: 06/02/15 Revised as noted above . Project 1 501 5-04 Scale: A5 noted Drawing Number: Exhibit 1 to Attachment A Etain, LLC 6 Attachment A Identification of Real Property, Buildings and Facilities The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (629, 09 and/or would disclose critical infrastructure information. 6/3/2015 6152;33:9- G?oogle Mas 6032U.S.9 3nown,NY12817 . - -. 1 1: . 'u . Street View -?e'arch nearby ?sfMohegan K- v-oa . . wormM?f canton . Mup dd: @2015 Google 50 ml?__l (a Fm," mug w'nzwu i" i I 6 ZQOQWENQWAM Exhibit 2 to Attachment A Etain, LLC 7 Attachment A Identification of Real Property, Buildings and Facilities The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O??icers Law Section 8 7(2) (619, 09 and/or would disclose critical in?astructure information. 6132015 . . . . -. . 402NPeaI1x any,NY12207 w? i . Street View - Search nearby . . 1, I - EV EV g, .451 I . Falls' lag! Io A s" /r l? W91: ?Io~ ,9 . NatidnalFor'esx' - Wm?; -f-w - canton{1.102015 Googlo 50 1H .Cu (d Exhibit 3 to Attachment A Etain, LLC 8 Attachment A Identi?cation of Real Property, Buildings and Facilities The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 8 7(2) and/or would disclose critical in?astructure information. 6/3/2015 445 NY-284 on. NY12401 - . I Street View - Seard'n nearby 'o . .?KK?'gjka . h. i/MnsyWm?; if - i I. Maggy?!" am? . Mn dm02015 Googlo 50 Msz/vmg 1I1 - . .V m- - .- a zjaieay? ?12:17.4:3 . \r wmizumg: Q/x. Exhibit 4 to Attachment A Etain, LLC 9 Attachment A Identi?cation of Real Property, Buildings and Facilities The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/0r would disclose critical in?astructure information. 460M Aw- Google Mas A 6/32016 . I - \J?r 4 3 er. e,Yonkets,NYlo7m A . . a . g, Street View-Search nearb ,qv. . 0? . Shethtooke - . - .?IpKaw'anlja r' 0 4 . ?39% u, .., I ?r Belleville NariomIForesl . - 32F/fl" '5 a" -?W~7WheelmatForq-s2-1 \Washm Mm dm02015 Googlo so :m132b42990307f 1H 1 5 Cungii: Imagery Date: (331779.010 40556'3Cl.44" 7395311258" elev Exhibit 5 to Attachment A Etain, LLC 10 Attachinent A Identi?cation of Real Property, Buildings and Facilities The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 09 and/or would disclose critical in?astructure information. ?m5 maoajagxdE-Googlemps 1- a Pl I 2140 Erie yrawse-NY?3224 i . I . - Street 858:0muonusqest' A- i . sto?vn'tw" . I - m/ 3300umb?unmozmseoogle I 4'12! 18m1m.m1b71m 1I1 3 pm??l'?ng? 1% .- ATTACHMENT A – IDENTIFICATION OF REAL PROPERTY, BUILDINGS AND FACILITIES Manufacturing Facility 6030-6032 State Route 9 Chester, New York 12187 Warren County Leased by Etain, LLC; commencement upon award of medical marijuana license Not located on the same street or avenue and within one thousand (1,000) feet of a building occupied exclusively as a school, church, synagogue or other place of worship Located in close proximity to north/south and east/west highways for delivery to Etain dispensaries in Albany, Kingston, Yonkers and Syracuse Free-standing existing structure (secured) One story Sufficient on-site parking Dimensions – 100 feet x 30 feet, approximately twelve feet in height (plus slope of roof) Foundation – Concrete slab with crushed stone Construction material – Steel frame with corrugated metal siding; metal roof Restrooms Build-out to be constructed in accordance with site plan Four greenhouses to be constructed in accordance with site plan Dimensions – 100 feet x 30 feet, approximately twelve feet in height (plus slope of roof) Foundation – Concrete slab See “Exhibit 1” to Attachment A for a map and aerial photograph of the Etain manufacturing facility Etain, LLC  1  Attachment A Identification of Real Property, Buildings and Facilities The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.  Dispensing Facilities Dispensary 1 – Albany, New York 402 North Pearl Street Albany, New York 12207 Albany County Leased by Etain, LLC; commencement upon award of medical marijuana license Not located on the same street or avenue and within one thousand feet of a building occupied exclusively as a school, church, synagogue or other place of worship Located in close proximity to north/south and east/west highways for Certified Patient access in the Capital Region; in close proximity to Etain’s manufacturing facility in Chester, New York Secured first-floor store front Separate entry and exit with sufficient parking Approximately 4,800 square feet to be constructed in accordance with renovation plans Masonry exterior with wood frame Restrooms See “Exhibit 2” to Attachment A for a map and aerial photograph of Etain’s Albany dispensing facility Etain, LLC  2  Attachment A Identification of Real Property, Buildings and Facilities The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.  Dispensary 2 – Kingston, New York 445 State Route 28 Kingston, New York 12401 Ulster County  Leased by Etain, LLC; commencement upon award of medical marijuana license Not located on the same street or avenue and within one thousand feet of a building occupied exclusively as a school, church, synagogue or other place of worship Located in close proximity to north/south highways for Certified Patient access in the Hudson Valley region Free-standing existing structure (secured) One story Sufficient on-site parking Approximately 1,873 square feet Masonry exterior Restrooms Build-out to be constructed in accordance with renovation plans See “Exhibit 3” to Attachment A for a map and aerial photograph of Etain’s Kingston dispensing facility Etain, LLC  3  Attachment A Identification of Real Property, Buildings and Facilities The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.  Dispensary 3 – Yonkers, New York 460 Nepperhan Avenue Yonkers, New York 10701 Westchester County Leased by Etain, LLC; commencement upon award of medical marijuana license Not located on the same street or avenue and within one thousand feet of a building occupied exclusively as a school, church, synagogue or other place of worship Accessible to Certified Patients located near New York City by highway and public transit Existing structure (secured) One story Sufficient parking Approximately 3,000 square feet to be constructed in accordance with renovation plans Masonry exterior with wood frame and interior Restrooms See “Exhibit 4” to Attachment A for a map and aerial photograph of Etain’s Yonkers dispensing facility Etain, LLC  4  Attachment A Identification of Real Property, Buildings and Facilities The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.  Dispensary 4 – Syracuse, New York 2140 Erie Boulevard East Syracuse, New York 13224 Onondaga County Leased by Etain, LLC; commencement upon award of medical marijuana license Not located on the same street or avenue and within one thousand feet of a building occupied exclusively as a school, church, synagogue or other place of worship Located in close proximity to east/west highways for Certified Patient access in Central and Western New York Existing structure (secured) One story Sufficient on-site parking Approximately 2,972 square feet Masonry exterior with wood frame and interior Restrooms Build-out to be constructed in accordance with renovation plans See “Exhibit 5” to Attachment A for a map and aerial photograph of Etain’s Syracuse dispensing facility Etain, LLC  5  Attachment A Identification of Real Property, Buildings and Facilities The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.  Equipment List Item No. 1 2 3 4 5 6 7 Operating Unit Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation Qty 4 18 18 384 84 768 168 Item Name Chemical spill cabinet CO2 System Greenhouse Master Controller 1,000W DE Complete Fixture 1000W Digital Ballast MH GreenPower LED production Raptor Dual Reflector - 8 in. Flange AC 8 9 10 11 12 13 14 15 16 17 18 19 Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation 20 60 6 6 6 288 6 60 936 6 36 6 20 21 22 Cultivation Cultivation Cultivation 12 12 12 23 24 Cultivation Cultivation 12 12 25 26 27 Cultivation Cultivation Cultivation 12 12 12 28 Cultivation 12 29 30 31 Cultivation Cultivation Cultivation 12 12 12 Steel Secure Container- 24 Gallon Capacity 24-Hour Plug Timer Air Pump 6 Outlets Cabinet Humidifier Combo Meter Flood Tables Humidifier 13 Gal/Day Hygrometer Light Ratchet NTEP Certified Scale with 0.01g precision Submersible Pump Sump Pump 1 Roll 2.25 x 1.25 Direct Thermal Label for INVENTORY BARCODES 21.5 LED Monitor A & D FX 1200iN INTEGRATED SCALE APG Universal Cable - 320 MultiPRO Cable Kit Barcode Scanner Class 3 NTEP Approved Table Top High Precision Balance Scale HONEYWELL 1300 SCANNER with stand Label Printer Scale Connector - USB to RS232 Serial Converter SCALE CONNECTOR Scale Connector -DB9 Female to Female Gender Changer SCALE CONNECTOR Server - Dell Inspiron 3000 Desktop PC Tablet Item / Model No Manufacturer 19-034-968 Fisherbrand Argus Argus Gavita Pro Lumatek Phillips Raptor Description/Purpose Safety equipment Environmental control Environmental control Flowering phase Flowering phase Flowering phase Flowering phase T9F240712BK Global Industries Hydra BlueLab Various HydroFarm Hydra Taylor HydroFarm Mettler Toledo - General equipment General equipment General equipment General equipment General equipment General equipment General equipment General equipment General equipment General equipment General equipment General equipment Secured waste container Dell A&D Hardware Hardware Hardware BioTrackTHC Recommended Hardware BioTrackTHC Recommended Hardware BioTrackTHC Recommended Hardware APG Motorola Hardware Hardware BioTrackTHC Recommended Hardware A&D Honeywell Zebra Hardware Hardware Hardware BioTrackTHC Recommended Hardware BioTrackTHC Recommended Hardware - Hardware BioTrackTHC Recommended Hardware Dell Dell Hardware Hardware Hardware BioTrackTHC Recommended Hardware BioTrackTHC Recommended Hardware Special Consideration HVAC - negative pressure Electric load Electric load Electric load Electric load 32 33 Cultivation Cultivation 12 12 USB 2.0 to Serial 9-pin DB9 RS-232 Adapter Cable with Thumbscrews Waterproof Label Printer 34 35 36 37 38 39 Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation 18 18 6 6 12 60 Cloning system Heat Mat T5 4x4 Tube Fixture Chemical spill cabinet CO2 Detector Eye protection 40 41 42 43 44 Cultivation Cultivation Cultivation Cultivation Cultivation 6 6 1 2 6 Eye wash station Fixed Gas Monitoring Controller Flame proof storage cabinet Gas monitoring system Oxygen Sensor 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation Cultivation Laboratory Laboratory Laboratory Laboratory Laboratory Laboratory Laboratory 3 24 60 12 12 168 768 24 6 1 1 1 1 1 4 4 Ozone sterilization system Personal respirator Personal respirator filters BioTrack THC Software TriQ Crop Management Software 1,000W MH Lamp GreenPower LED production T5 4' Linear Fluorescent Lamp RO System Dispenser Dispenser Filter Pump Fluorometer Pump Stand Barcode Scanner Calibration Weights 61 62 63 64 Laboratory Laboratory Laboratory Laboratory 1 1 1 1 Centrifuge Digital Vortex Mixer Freezer Fume Hood 65 Laboratory 25 Gilson Pipetman 10µL 66 Laboratory 25 Gilson Pipetman 100µL FLP44 19-034-968 RI-215 Zebra General Hydroponics ViaGrow Phillips Fisherbrand RKI Industries Speakman SEWRB644988 580 GMA 200-MT GFG H-1564M-R Uline CC28 GFG EC30 GFG Ozilla Laboratory Sterilization #400110 System 6000 3M 4JG28 3M BioTrack THC TriQ Phillips Phillips Phillips GE 500-2.5uL SCILogex 5mL SCILogex Quantus Motorola ISO 17025 Thermo Fisher Scientific Benchmark Kenmore Cole Palmer Quasar Instruments Quasar Instruments Hardware Hardware Propagation phase Propagation phase Propagation phase Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Software Software Vegetative phase Vegetative phase Vegetative phase Water equipment Alfatoxin analysis Alfatoxin analysis Alfatoxin analysis Alfatoxin analysis Alfatoxin analysis General equipment General equipment General equipment General equipment General equipment General equipment General equipment General equipment BioTrackTHC Recommended Hardware Electric load Must be sufficient for area covered Electric load Electric load Electric load Plumbing 67 Laboratory 25 Gilson Pipetman 1000µL 68 Laboratory 25 Gilson Pipetman 200µL 69 70 Laboratory Laboratory 4 25 Hot Plate Infrared Thermometer 71 Laboratory 1 Lab Oven 72 73 74 75 76 77 78 Laboratory Laboratory Laboratory Laboratory Laboratory Laboratory Laboratory 1 1 1 1 1 2 1 Microcentrifuge Analytical Balance Analytical Balance pH Meter pH Probe Printer Refrigerator/Freezer 79 80 81 Laboratory Laboratory Laboratory 4 1 2 Ultrasonic Cleaner Ultrasonicator Vortex Mixer 82 83 84 85 86 87 Laboratory Laboratory Laboratory Laboratory Laboratory Laboratory 6 1 1 1 1 1 Steel Secure Container- 24 Gallon Capacity IPC-MS ACQUITY Advanced Polymer Analytical Balance Autoclave 2540 E-B/L Automated Nucleic Acid Extractor 88 Laboratory 1 Centrifuge 89 90 91 Laboratory Laboratory Laboratory 2 1 1 Incubator Isotemp Stir/Hot plate Laptop 92 93 Laboratory Laboratory 2 1 MaxiMix PCR Hood 94 Laboratory 1 Pipetfiller S1 95 Laboratory 1 Pipetfiller S2 96 Laboratory 1 Series A2 flow hood 97 Laboratory 1 Spectrophotometer NV212 NV1101 2700 93X21889 Quasar Instruments Quasar Instruments Thermo Fisher Scientific Taylor Precision Thermo Fisher Scientific Thermo Fisher Scientific Ohaus Ohaus Oakton Oakton HP Kenmore General equipment General equipment General equipment General equipment General equipment Electric load General equipment General equipment General equipment General equipment General equipment General equipment General equipment Electric load Electric load Northern Industrial General equipment Covaris General equipment Benchmark General equipment T9F240712BK Global Industries NexION 350 Perkin Elmer Waters MSA524P Sartorius Tuttnauer 771-886 Kingfisher Thermo Fisher Scientific Thermo Fisher Scientific Fisher Dell Thermo Fisher Scientific 140593261A Fisher Thermo Fisher 141188 Scientific Thermo Fisher 141191 Scientific Thermo Fisher 144667-1897 Scientific Thermo Fisher N241 Scientific General equipment Heavy metals analysis Micro analysis Micro analysis Micro analysis Micro analysis Secured waste container See site prep guide See site prep guide Micro analysis Electric load See site prep guide Micro analysis Micro analysis Micro analysis Micro analysis Micro analysis External venting required Micro analysis Micro analysis Micro analysis Micro analysis External venting required 98 99 Laboratory Laboratory 1 1 Vortex Mixer Water Activity Meter Benchmark AquaLab Micro analysis Micro analysis 100 101 102 103 Laboratory Laboratory Laboratory Laboratory 1 1 1 1 Computer Keybaord Monitor Mouse Dell Dell Dell Dell Victor Technologies Victor Technologies Waters Micro workstation Micro workstation Micro workstation Micro workstation 104 Laboratory 1 Argon Regulator 105 106 Laboratory Laboratory 1 1 Nitrogen Regulator Waters Acquity PDA Detector Pesticide instrument Pesticide instrument See site prep guide 107 108 109 Laboratory Laboratory Laboratory 1 1 1 Waters Acquity Quaternary Sample Manager H-Class Waters Acquity Sample Manager H-Class Waters Acquity TQ Detector H-Class Waters Waters Waters Pesticide instrument Pesticide instrument Pesticide instrument See site prep guide See site prep guide See site prep guide 110 111 112 113 114 115 116 Laboratory Laboratory Laboratory Laboratory Laboratory Laboratory Laboratory 1 1 1 1 1 1 1 Computer Keybaord Monitor Mouse Speakers Optiplex 9010 M-BAC-DEL5 REV A00 Vostro 400 H-Class H-Class Dell Dell Dell Dell Dell Waters Waters Pesticide workstation Pesticide workstation Pesticide workstation Pesticide workstation Pesticide workstation Potency instrument Potency instrument See site prep guide See site prep guide 117 Laboratory 1 α H-Class Waters Potency instrument See site prep guide 1 1 1 Waters Acquity Quaternary Solvent Manager β H-Class H-Class Waters Acquity Sample Manager α Waters Acquity Sample Manager β H-Class 118 119 120 Laboratory Laboratory Laboratory Waters Waters Waters Potency instrument Potency instrument Potency instrument See site prep guide See site prep guide See site prep guide 121 122 123 124 125 126 Laboratory Laboratory Laboratory Laboratory Laboratory Laboratory 1 1 1 1 1 1 Computer Keybaord Monitor Monitor Mouse Agilent GC Oven Potency workstation Potency workstation Potency workstation Potency workstation Potency workstation Residual solvent analysis Electric load 127 128 129 Laboratory Laboratory Laboratory 2 1 1 Air Regulator GC System Headspace Autosampler 130 Laboratory 1 Helium Regulator Waters Acquity PDA Detector α Waters Acquity PDA Detector β Waters Acquity Quaternary Solvent Manager Optiplex 9010 KB212-B 02GFKN MS111L HPT500/15/4 F/4F HPS500/80/4 F/4F H-Class Optiplex 9010 Dell M-BAC-DEL5 Dell RT7D50 Dell Dell Vostro 400 Dell 6890 Agilent HPT500/125/4 Victor F/4F Technologies 6890 Series Agilent 7000 Tekmar HPT500/125/4 Victor F/4F Technologies Pesticide instrument Residual solvent analysis Residual solvent analysis Residual solvent analysis Residual solvent analysis See site prep guide 131 Laboratory 1 Helium Regulator Y12-N145F HPT500/125/4 F/4F CB200/2 9D 350 Airgas Victor Technologies Residual solvent analysis 132 Laboratory 1 Hydrogen Regulator 133 134 Laboratory Laboratory 1 1 Hydrogen Regulator Sample Holder Airgas Tekmar Thermo Fisher Scientific Thermo Fisher Scientific Thermo Fisher Scientific Thermo Fisher Scientific Residual solvent analysis Residual solvent analysis 135 Laboratory 1 Thermo GC/FID Trace1300 136 Laboratory 1 Thermo GC/FID TriPlus RSH 137 Laboratory 1 Thermo GC/FID 138 Laboratory 1 Thermo GC/FID Mixer Sample Holder 139 Laboratory 2 Dell Computer Optiplex 9010 Dell Residual solvent workstation 140 Laboratory 2 Dell Keyboard KB212-B Dell Residual solvent workstation 141 Laboratory 2 Dell Monitor 02GFKN Dell Residual solvent workstation 142 143 144 145 Laboratory Laboratory Laboratory Laboratory 2 4 4 60 Dell Mouse Chemical spill cabinet CO2 Detector Eye protection MS111L 19-034-968 RI-215 Dell Fisherbrand RKI Industries Residual solvent workstation Safety equipment Safety equipment Safety equipment 146 147 Laboratory Laboratory 6 2 Eye wash station Fixed Gas Monitoring Controller 148 149 Laboratory Laboratory 4 2 Flame proof storage cabinet Oxygen Sensor 150 151 152 Laboratory Laboratory Laboratory 1 12 24 153 Laboratory 6 Ozone sterilization system Personal respirator Personal respirator filters LabWare LIMS and ELN Laboratory Management and Automation Software Speakman SEWRB644988 580 GMA 200-MT GFG Uline standard flame proof H-1564M-R storage EC30 GFG Ozilla Laboratory Sterilization #400110 System 3M #6000 3M 4JG28 3M LabWare 154 155 Laboratory Laboratory 1 1 GC Promixer AutoSpec Premier Dioxin System Waters V-Blender Torpac 156 Laboratory 1 Computer Optiplex 9010 Dell Residual solvent analysis Residual solvent analysis See site prep guide Residual solvent analysis See site prep guide Residual solvent analysis Residual solvent analysis Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Software Terpene analysis Terpene analysis Terpene workstation See site prep guide 168 Manufacturing 4 Monitor 1L vessel heater 5L vessel heater ABPR Purification CO2 extraction unit CO2 pump CO-solvent pump Mass flow meter Purification machine Relay module Relay module Rotary Evaporator, One Ascending Condenser, One 20L Evaporating Flask, One 10L Receiving Flask 169 Manufacturing 2 Air Compressor 170 171 172 Manufacturing Manufacturing Manufacturing 1 1 1 173 Manufacturing Centrifuge Circulating bath CNG temp control Food safe plastic storage bins for plant 112 material 174 175 176 Manufacturing Manufacturing Manufacturing 1 6 6 Freezer (locking door, set point security) Hot plate Hot Plate Stirrers 177 178 Manufacturing Manufacturing 24 1 Hot plate, stirring Manufacturing grinder 179 Manufacturing 2 Manufacturing scale 180 181 Manufacturing Manufacturing 15 2 Mobile shelving R&D benchtop herb grinder 182 183 184 Manufacturing Manufacturing Manufacturing 2 1 1 R&D benchtop scale Recycle chiller Refrigerated desiccator 185 Manufacturing 157 158 159 160 161 162 163 164 165 166 167 Laboratory Manufacturing Manufacturing Manufacturing Manufacturing Manufacturing Manufacturing Manufacturing Manufacturing Manufacturing Manufacturing 1 1 1 1 1 1 1 1 1 1 1 1 Refrigerator (locking door) REV A00 SFE p-200 p-50 100 RA 20RA Dell Waters Waters Waters Waters Waters Waters Waters Waters Waters Waters Hei-VAP 36072050 Industrial Campbell Hausfield Thermo Scientific Sorvall ST 8 Waters Waters Rubbermaid food safe storage Thermo Scientific Revco - 20C Lab UGL2320A Freezer HPA2240MQ Thermo Scientific 97042-754 VWR Thermo Scientific Cimarec Ceramic SP131325Q 7x7 4246 Hobart MS32001L #11145028 Mettler Toledo Metro 18" deep five tier 1872NK3 high density FP41 Hobart ML802E #11145303 Mettler Toledo Waters MR 49SSSARE-TS Terpene workstation Extraction equipment Extraction equipment Extraction equipment Extraction equipment Extraction equipment Extraction equipment Extraction equipment Extraction equipment Extraction equipment Extraction equipment See site prep guide See site prep guide See site prep guide See site prep guide See site prep guide Extraction equipment General equipment To power air actuated packaging units (piston fillers) General equipment General equipment General equipment General equipment General equipment General equipment General equipment Electric load General equipment General equipment General equipment General equipment General equipment General equipment General equipment General equipment Electric load Electric load Thermo Scientific GP Lab Refrigerator, 49 cu ft. General equipment Electric load 186 187 Manufacturing Manufacturing 24 1 Stainless steel solvent trap Utensil pan washer Custom UW50 188 Manufacturing 4 189 190 191 Manufacturing Manufacturing Manufacturing 18 18 18 192 Manufacturing 18 193 194 195 Manufacturing Manufacturing Manufacturing 18 18 18 196 Manufacturing 18 197 198 Manufacturing Manufacturing 18 18 199 Manufacturing 18 200 Manufacturing 18 201 Manufacturing 2 202 203 Manufacturing Manufacturing 1 3 Steel Secure Container- 24 Gallon Capacity T9F240712BK Global Industries 1 Roll 2.25 x 1.25 Direct Thermal Label for INVENTORY BARCODES 21.5 LED Monitor Dell A & D FX 1200iN INTEGRATED SCALE A&D APG Universal Cable - 320 MultiPRO Cable Kit APG Class 3 NTEP Approved Table Top High Precision Balance Scale A&D HONEYWELL 1300 SCANNER with stand Honeywell Magnetic Stripe Reader Scale Connector - USB to RS232 Serial Converter SCALE CONNECTOR Scale Connector -DB9 Female to Female Gender Changer SCALE CONNECTOR Server - Dell Inspiron 3000 Desktop PC Dell USB 2.0 to Serial 9-pin DB9 RS-232 Adapter Cable with Thumbscrews S4M00-2104Zebra Thermal Printer 0100D 12' (60–100 ft./minute Laboratory chemical hood capture) hydro diffusion MHDG microwave with gravity NuGenesis lab management software NuGenesis Hobart EQ02520-300- Bertin, Preccellys RD000.0 Evolution Waters APC Smart-UPS Alphapac Custom for pharmaceutical each form packaging line ST200 Apacks 204 205 206 Manufacturing Manufacturing Manufacturing 1 2 1 Tissue homogenizer UPLC UPS power supply 207 208 Manufacturing Manufacturing 1 1 209 Manufacturing 6 210 Manufacturing 1 Bottle to box packaging line Bottling Continuously Adjustable Repeater Pipette w/ disposable tip RxFill Labo-LIQFIL Counter / Bottler LABO 211 Manufacturing 1 Gel Capsule Filling Machine General equipment General equipment General equipment Secured waste container Hardware Hardware Hardware BioTrackTHC Recommended Hardware BioTrackTHC Recommended Hardware BioTrackTHC Recommended Hardware Hardware BioTrackTHC Recommended Hardware Hardware Hardware Hardware BioTrackTHC Recommended Hardware BioTrackTHC Recommended Hardware BioTrackTHC Recommended Hardware Hardware BioTrackTHC Recommended Hardware Hardware Hardware BioTrackTHC Recommended Hardware BioTrackTHC Recommended Hardware Hardware BioTrackTHC Recommended Hardware Hardware Laboratory Equipment Laboratory Equipment Laboratory Equipment Laboratory Equipment Laboratory Equipment Laboratory Equipment Packaging equipment Packaging equipment Gilson Packaging equipment BellatRx Packaging equipment FPV-1025-WZ Qualicaps External venting required Packaging equipment See site prep guide Electric load Piston Filler For Topical Formulations Filling Gel Caps (small scale, less than 500 units) and Vape Pen Cartridges Count and Bottle Gel Caps Highly Accurate Gel Cap Filling for large production batches (greater than 500) 212 Manufacturing 6 Piston Filler For Syringes 213 214 215 216 217 218 219 220 221 Manufacturing Manufacturing Manufacturing Manufacturing Manufacturing Manufacturing Manufacturing Manufacturing Manufacturing 1 1 1 1 1 5 5 3 5 Precision Fill and Seal Line Precision filling system Precision Form and Package Line Stick Packaging Machine 10' Laboratory Hood 48" Air curtain Chemical spill cabinet CO2 Detector Eye protection 222 223 Manufacturing Manufacturing 5 3 Eye wash station Fixed Gas Monitoring Controller 224 225 226 Manufacturing Manufacturing Manufacturing 5 5 5 Flame proof storage cabinet Gas monitoring system Oxygen Sensor 227 228 229 230 231 232 Manufacturing Manufacturing Manufacturing Manufacturing Manufacturing Dispensary 1 12 24 18 3 8 Ozone sterilization system Personal respirator Personal respirator filters BioTrack THC Software Instant GMP Server - Dell Inspiron 3000 Desktop PC 234 235 234 235 236 237 238 239 240 241 242 243 Dispensary Dispensary Dispensary Dispensary Dispensary Dispensary Dispensary Dispensary Dispensary Dispensary Dispensary Dispensary 8 8 4 8 8 8 8 8 8 8 8 1 Zebra Thermal Printer Zebra Printer Cable Futronic Finger Print Scanner LED Monitor Dell Magnetic Strip Reader Zebra Printer Motorola Barcode Scanner Motorola Barcode Scanner APG Series Cash Draw Universal Cable Star Thermal Receipt Printer Thermal Lables Distrimin w/ F164120 Distritips Custom Custom Custom CE7001 112036002 #PH1048 19-034-968 RI-215 Tridak Mystic Pharmasutical Packaging Robotanical Need info here. Viking Masek Labconco Mars Fisherbrand RKI Industries Speakman SEWRB644988 580 GMA 200-MT GFG Uline standard flame proof H-1564M-R storage CC28 GFG EC30 GFG Ozilla Laboratory Sterilization #400110 System 3M #6000 3M 4JG28 3M BioTrack THC InstantGMP Dell S4M00-21040100D Zebra ZB2.6 Zebra Futronic Samsung Dell LP2824 Zebra LS2280 Motorola LI4278 Motorola APG100 APG MP320 APG TSP143II Star Lableplus Packaging equipment Packaging equipment Packaging equipment Packaging equipment Packaging equipment Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Fill 5ml-30ml Syringes Package cannabis oils in to 1ml single unit dose packs Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Safety equipment Software Software Hardware Hardware Hardware Hardware Hardware Hardware Hardware Hardware Hardware Hardware Hardware Hardware Lables Must be sufficient for area covered 244 245 246 245 246 247 248 249 250 251 252 253 254 255 256 257 258 559 560 561 562 563 564 565 Security Security Security Security Security Security Security Security Security Security Security Security Security Security Security Security Security Security Security Security Security Security Security Security 1 5 5 5 5 5 5 200 15 5 200 50 56 8 1 52 200 1 200 5 16 4 4 6 Ford Armor Van Security Control Panel Key Pad Bux Extender Zone Expander Data Islolator Data Bux Splitter Door Strikes Interior Siren Panel Auxillary Power Supply Motion Detectors Fixed location panic buttons Personal panic buttons Outdoor Siren Telephone entry system Vandal resistant CCTV Camera Dome security camera Long range card reader Card Swipe Ouside guard station PC Led Monitor Dispensary Vault Narcotic Vault Secure Transport Cart E-350 DMPXR550 DMP-760 BUS780 BMP714 DMP708 DMP710 DMP009 DMP809 DMP770 DMP900 DMP909 DMP910 DMP107 CCDL01 CCDL90 CCDL88 GS880 SMT-3231 DS4 S2 Ford DMP DMP DMP DMP DMP DMP DMP DMP DMP DMP DMP DMP DMP DMP DMP DMP DMP DMP DMP Samsung Berry Safe Medixsafe Metromax Transportation Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Security hardware Vault Safe Transport etain ATTACHMENT PROPERTY AGREEMENTS DISPENSING FACILITY - ALBANY ATTACHMENT ETAIN PROPERTY AGREEMENTS DISPENSING FACILITY 402 North Pearl Street Albany? New York 12207 - Sumeease Agreement Lease Agreement Etain, LLC Attachment Property Agreements he material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O??icers Law Section 87(2) and/or would disclose critical infrastructure information. SUBLEASE AGREEMENT BETWEEN KDBF VENTURES, LLC as Sub-Landlord And ETAIN LLC as Sub-Tenant Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), (0 and/or would disclose critical infrastructure information. 402 NORTH PEARL, LLC As Landlord and KDBF VENTURES, LLC As Tenant Effective June 1, 2015 LEASE AGREEMENT Premises: 402 North Pearl Street, Albany, New York The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 8 7(2) and/or would disclose critical in??astructure information. I F. A A Redacted pursuant to NY. Public Of?cers Law, Art. 6 Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, An. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 1 he material on page is requeszea to 0e disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 material on page (S requeswu lu ue MKIIWLJI um disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 0) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), (c0, and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requeswa to ac Hemp?. disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or wonld disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 1 he material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0), (I) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?'astructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 1 ne material on page Is requesrea (0 0e exempijrom disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requestea to 0e exempt Jrum disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 me material on {ms page is requcswu m: mcmy. um disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 1 ne mwenw on page (S requestea to ac exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?'astructure information. I 2, .ul ?yn Redacted pursuant to NY. Public Of?cers Law, Art. 6 1 ac muwruu on page 1.9 requested to be exempt from disclosure under FOIL pursuant to Public Q??icers Law (4122. @4492: would d??glese?ri?ical. . . in?as?ucture 27:. . 9,14 HA I. .-, Redacted pursuant to NY. Public Officers Law, Art. 6 "navy: v" $10.9 BH6U I qu9059? GU U5 disclosure under FOIL pursuaht to Public O?icers Law Section 87(2) 0) and/or would disclose critical in?astructure information. . "m 1' hr. . v?v. ?v~w .. v. etam ATTACHMENT PROPERTY AGREEMENTS DISPENSING FACILITY - YONKERS ATTACHMENT ETAIN PROPERTY AGREEMENTS DISPENSING FACILITY 460 Nepperhan Avenue Yenkers.) New York 10701 Sub-=Lease Agreement Lease Agreement Etain, LLC Attachment Property Agreements The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O??icers Law Section 87(2) (0), 09 and/or would disclose critical in?astructure information. SUBLEASE AGREEMENT BETWEEN KDBF VENTURES, LLC as Sub-Landlord And ETAIN LLC as Sub-Tenant Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or would disclose critical infrastructure information. LEASE AGREEMENT BETWEEN ipark N-VALLEY SOUTH, LLC AND LLC Redacted pursuant to NY. Public Of?cers Law, Art. 6 I he material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), (7) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 I he material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?lcers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page IS requested to no exempt disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 I he material on page Is requeSIea to oe exempt Jrom disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Artdisclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Ike material on this page is requesiea to ye exam,? 1! um disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 disclosure under O-ILupursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 AIDV DWI .U 0V UV VII. disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 0) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 A. '59 lithile Dub VII h) I ogucuocu 5U UC disclosure under FOIL pursuant 'to Public O?icers Law Section 87(2) (7) and/or would disclose critical in?-astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 oiccloszircunder ?ILUpursua?nt to Public O?iceis 'Law ?Section 87(2) and/orwould disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or_would disclose critical infrasa'ucture information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 disclosure under FOIL pursuant to Public Ujjicers Law Section 87(2) (I) and/0r would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to exam} from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), (9 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 ATTACHMENT PROPERTY AGREEMENTS DISPENSING FACILITY - SYRACUSE ATTACHMENT ETAIN PROPERTY AGREEMENTS DISPENSING FACILITY 2146 Erie Boulevard East Syracuse, New York Sub-Lease Agreement Lease Agreement Etain, LLC Attachment Properly Agreements The material on this page is requested to be exempi?om disclosure under FOIL pursuant to Public O?cers Law Section 87(2) (0), and/or would disclose critical in?astructure information. SUBLEASE AGREEMENT BETWEEN KDBF VENTURES, LLC as Sub-Landlord And ETAIN LLC as Sub-Tenant Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or would disclose critical infrastructure information. LEASE AGREEMENT BETWEEN 2140 ERIE BLVD. EAST, LLC AND KDBF VENTURES LLC Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL putISuant to Public O?icers Law Section 87(2) (0), (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (6), (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. 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Public Of?cers Law, Art. 6 A an. an "no Fuss h) I equcotcu lU U6 exempt/rum disclosure under FOIL pursuant to Public Officers Law Section 87(2) (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), (9 and/or would disclose critical infrastructure information. 15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0 and/or would disclose critical infrastructure information. 17 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6   TABLE OF CONTENTS ATTACHMENT D -- OPERATING PLAN EXECUTIVE SUMMARY INTRODUCTION ETAIN’S MISSION AND VISION CORPORATE OBJECTIVES COMPETITIVE ADVANTAGES BUSINESS PLAN FACILITIES Chestertown Cultivation and Manufacturing Facility Dispensary Facilities Albany Dispensary Kingston Dispensary Westchester Dispensary Syracuse Dispensary OPERATING PLANS CONCLUSION SECTION 1: MANUFACTURING 1.0 INTRODUCTION 1.0.1 Etain’s Capabilities and Goals 1.0.2 Manufacturing Process and Departments  1.0.3 Efficacy and Safety 1.0.4 Pharmaceutical Standards 1.0.5 Genuine Patient Focus 1.1 MANUFACTURING PLAN OVERVIEW 1.1.1 Location and Ownership of Cultivation and Extraction Operations 1.1.2 Water Supply  1.1.3 Manufacturing Capabilities 1.1.4 Preventing Product Diversion Etain, LLC        i Attachment D  Table of Contents    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.     1.2 PRODUCT INFORMATION 1.2.1 Strains 1.2.2 Brands 1.2.2.1 Etain Forte (90:10 THC:CBD) 1.2.2.2 Etain Vivid (60:40 THC:CBD) 1.2.2.3 Etain Balance (50:50 THC:CBD) (§1004.11(c)(5)) 1.2.2.4 Etain Dolce (1:20 THC:CBD) (§1004.11(c)(4)) 1.2.2.5 Etain Avail (No THC: High CBD)  1.2.3 Forms 1.2.4 Dosages 1.2.5 Summary 1.3 1.4 Etain, LLC    DESCRIPTION OF MANUFACTURING PROCESSES 1.3.1 Cultivation 1.3.1.1 Plant propagation  1.3.1.2 Vegetative-Phase Plant Care  1.3.1.3 Flowering Plant Care  1.3.1.4 Harvesting  1.3.1.5 Separation  1.3.1.6 Drying/Curing  1.3.2 Production 1.3.2.1 In-House Testing 1.3.2.2 Extraction 1.3.2.3 Formulation 1.3.2.4 Final Product Assembly 1.3.2.5 Packaging 1.3.2.6 Labeling 1.3.2.7 Storage and Final Testing ETAIN ENVIRONMENTAL PLAN 1.4.1 Introduction 1.4.2 “Fitting Out” the Building 1.4.3 Ventilation 1.4.4 Find the Best Use for Excess Heat from Artificial Lighting 1.4.5 Cooling Strategies 1.4.6 Rainwater Collection (with approval from the NYSDOH) 1.4.7 Local Sourcing 1.4.8 Green Strategies Consultant 1.4.9 Integrated Pest Management 1.4.10 Organic Farming     ii Attachment D  Table of Contents    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.     SECTION 2: TRANSPORT AND DISTRIBUTION (§ 1004.5(b)(4)) 2.1 INTERDEPARTMENTAL TRANSPORT (PLANT TRANSFER) 2.1.1 Overview 2.1.2 Tracking 2.1.3 Transport within Manufacturing Facility 2.2 TRANSPORT FROM MANUFACTURING FACILITY TO OFF-SITE LOCATIONS 2.2.1 Transport of Final Product to Dispensary Locations 2.2.2.1 Initiation of Order 2.2.2.2 Product Transport 2.2.3 Transport to Testing Laboratories 2.2.3.1 Introduction 2.2.3.2 Product Transport 2.2.4 Transport of Medical Marijuana Waste to Off-Site Waste Disposal Facilities 2.2.4.1 Introduction 2.2.4.2 Waste Transport 2.3 TRANSPORT VEHICLES 2.3.1 Introduction 2.3.2 Vehicle Specifications SECTION 3: DISPENSING AND SALE (§ 1004.5(b)(4)) 3.0 INTRODUCTION 3.1 KEY DISPENSING AND SALES PERSONNEL 3.1.1 Board of Advisors Team Members 3.1.1.1 Rachel Wilenta Speegel, RN, MSN 3.1.1.2 Brian Saltzman, M.D. 3.1.2 Pharmacologists and Dispensary Staff 3.1.2.1 Experience Interacting with Patients 3.1.2.2 Experience Handling Confidential Information; HIPAA Modeling 3.1.2.3 Experience Gathering and Managing Data 3.2 ETAIN DISPENSARIES 3.2.1 Physical Characteristics 3.2.1.1 Geographic Location and Diversity 3.2.1.2 Dispensary Layouts 3.2.1.3 Dispensary Systems and Equipment 3.2.1.4 Signage Etain, LLC        iii Attachment D  Table of Contents    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.     3.2.1.5 Hours of Operation 3.3 DISPENSING POLICIES AND PROCEDURES; REGULATORY COMPLIANCE 3.3.1 Employee Screening, Training and Monitoring 3.3.2 Dispensing Policies 3.3.2.1 General Policies 3.3.2.2 Review of Patient’s or Designated Caregiver’s Registry Identification Card 3.3.2.3 Verification of Brand, Form and Dosage of Product to be Dispensed 3.3.2.4 Patient-Specific Labeling of the Product 3.3.2.5 Packaging 3.3.2.6 Package Insert 3.3.2.7 Sale of the Product 3.3.2.8 Patient Counseling 3.4 RECORDKEEPING AND REPORTING OF DISPENSED PRODUCTS 3.4.1 Recordkeeping Policies and Procedures 3.4.2 Reporting of Dispensed Products 3.4.2.1 Daily Reports 3.4.3.2 Zero Reports RECALL AND RETURN POLICIES 3.5 3.6 PLANS, POLICIES AND PROCEDURES FOR SAFE AND SECURE DISPENSING FACILITIES 3.6.1 Restrictions on Facility Access (§ 1004.12(g)) 3.6.1.1 Access Restricted to Etain Employees, Certified Patients and Caregivers 3.6.1.2 Waiver of Access Restriction 3.6.1.3 Visitor Log 3.6.1.4 Unforeseen Circumstances 3.6.2 Workplace Safety Program 3.6.3 Alcohol, Drug and Smoke Free Workplace Policy 3.7 POLICIES AND PROCEDURES RELATED TO ADVERTISING AND MARKETING (§1004.16). 3.7.1 Restrictions on Signage and Placement of Advertisements 3.7.2 Advertising Policies Etain, LLC        iv Attachment D  Table of Contents    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.     SECTION 4: DEVICES (§1004.5(b)(4)(i)) 4.0 INTRODUCTION 4.1 DELIVERY SYSTEMS 4.1.1 Overview 4.1.2 Sublingual Spray 4.1.3 Personal Vaporizer Pen 4.1.4 Medicated Capsules 4.1.5 Medicated Oral Solution SECTION 5: SECURITY AND CONTROL (§1004.5(b)(4)(ii)) 5.0 INTRODUCTION 5.1 SECURITY SYSTEM PROVIDERS AND EQUIPMENT MAINTENANCE 5.2 ACCESS CONTROL SYSTEM 5.2.1 Controlled Access Locations 5.2.2 Access Procedure 5.3 VIDEO SURVEILLANCE SYSTEM 5.3.1 Video Equipment and Recording Operation 5.3.2 Camera Locations 5.4 BURGLAR ALARM SYSTEM 5.5 LIGHTING 5.6 PERIMETER FENCING 5.7 SECURE STORAGE VAULT 5.8 INFORMATION SECURITY 5.9 SIGNAGE 5.10 INVENTORY CONTROL PLAN 5.11 INCIDENT RESPONSE 5.12 INTRUSION Etain, LLC        v Attachment D  Table of Contents    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.     5.13 TRANSPORTATION 5.13.1 Interdepartmental Transport (Plant Transfer) 5.13.1.1 Tracking. 5.13.1.2 Transport within Manufacturing Facility. 5.13.2 Transport from Manufacturing Facility to Off-Site Locations 5.13.2.1 Transport of Final Product to Dispensary Locations. 5.13.2.1.1 Initiation of Order. 5.13.2.1.2 Product Transport. 5.13.3 Transport of Medical Marijuana Waste to Off-Site Waste Disposal Facilities 5.13.3.1 Introduction. 5.13.3.2 Waste Transport. 5.13.4 Transport to Testing Laboratories 5.13.5 Transport Vehicles 5.13.5.1 Introduction. 5.13.5.2 Vehicle Specifications. 5.14 Security Procedures For Dispensing Operations 5.14.1 Dispensary Layouts. 5.14.2 Dispensary Systems and Equipment. 5.14.3 Employee Screening, Training and Monitoring 5.15 Department Waiver of Access Restriction 5.16 Visitor Log 5.16.1 Unforeseen Circumstances 5.17 Security Personnel 5.17.1 Security Guards 5.17.2 Guidance and Instruction 5.17.3 Required Training 5.17.4 Assessment 5.18 Non-Security Personnel 5.18.1 Employment 5.18.2 Training 5.18.3 Monitoring 5.19 Security Risk Assessments Etain, LLC        vi Attachment D  Table of Contents    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.     SECTION 6: STANDARD OPERATING PROCEDURES MANUAL (§ 1004.5(b)(4)(iii)) SECTION 7: QUALITY ASSURANCE PLANS (§ 1004.5(b)(4)) 7.0 INTRODUCTION 7.1 GOOD MANUFACTURING PRACTICES (GMP) 7.2 SANITATION AND HYGIENE (§1004.5(b)(18)(iv)) 7.2.1 Personal Hygiene Practices Required for Etain Personnel: 7.2.2 Sanitary Requirements for Etain Premises 7.2.2.1 All premises generally 7.2.2.2 Etain Quality Control Areas 7.3 QUALIFICATION AND VALIDATION 7.4 SELF-INSPECTION AND QUALITY AUDITS 7.4.1 Generally 7.4.2 Target Items for Self-inspection 7.4.3 Self-inspection Team 7.4.4 Frequency of Self-inspection 7.4.5 Self-inspection Report 7.4.6 Follow-up Action 7.4.7 Quality Audit 7.5 PERSONNEL 7.5.1 General 7.5.2 Key Personnel 7.5.2.1 Joint responsibilities of Cultivation Manager, Manufacturing Manager and Quality Assurance Officer 7.5.2.2 Cultivation Manager and Manufacturing Manager responsibilities 7.5.2.3 Quality Assurance Officer responsibilities 7.5.2.4 Chief Compliance Officer 7.6 TRAINING 7.7 EQUIPMENT PROTOCOL 7.8 MATERIALS HANDLING 7.8.1 General Requirements 7.8.2 Pre-processed Plant Matter Etain, LLC      vii   Attachment D  Table of Contents    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.     7.8.3 7.8.4 7.8.5 7.8.6 7.8.7 7.8.8 7.8.9 7.9 DOCUMENTATION 7.9.1 General Protocols 7.9.2 Required Documents 7.9.2.1 Labels 7.9.2.2 Specifications and testing procedures generally 7.9.2.3 Specifications for pre-processed Materials 7.9.2.4 Specifications for intermediate and bulk products 7.9.2.5 Specifications for finished products 7.9.2.6 Master formulae 7.9.2.7 Packaging Instructions 7.10 PRODUCTION 7.10.1 General Protocols 7.10.2 Extractions/Formulation Operations 7.10.3 Packaging Operations 7.11 QUALITY CONTROL 7.11.1 General Requirements 7.11.2 Quality Control for Sampling and Testing: Starting Materials and Intermediate, Bulk and Finished Products 7.11.2.1 Sampling 7.11.2.2 Test requirements 7.11.2.3 CBD to THC Ratio 7.11.2.4 Contaminants 7.11.3 Rejected Products 7.11.4 Batch Record Review 7.11.5 Retention of Samples 7.11.6 Stability Studies 7.12 PREVENTION, DETECTION AND IDENTIFICATION OF DISPENSING ERRORS 7.12.2 Dispensing Error Prevention 7.12.2.1 Dispensing Procedure 7.12.2.2 Storage Procedures 7.12.2.3 Ensuring an Organized and Sanitary Workplace 7.12.2.4 Dispensary Staff Training Sessions Etain, LLC    Packaging Materials Finished Products Rejected Materials Recalled Products Returned Goods Waste Materials Miscellaneous   viii   Attachment D  Table of Contents    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.     7.12.3 Dispensing Error Detection 7.12.4 Identifying, Documenting and Responding to Errors SECTION 8 -- Standard Operating Procedures (SOP) Returns, Complaints, Adverse Events, Voluntary & Involuntary Recalls 8.0 INTRODUCTION 8.1 ROUTINE RETURNS 8.2 ADVERSE EVENTS 8.3 RECALL PROTOCOLS 8.3.1 Scope 8.3.2 Recall Terms and Definitions 8.3.3 Recall Classification 8.3.4 Classifications of Recalls 8.3.5 Product Withdrawal (Voluntary/Involuntary Recall) 8.4 MOCK RECALL 8.5 RECALL TEAM 8.6 THE RECALL PROCESS 8.6.1 1st Stage – Consumer Complaint Procedure 8.6.1.1 Health Hazard Evaluation 8.6.1.2 Investigate the Customer Complaint 8.6.2 8.6.3 8.6.4 8.6.5 8.6.6 8.6.7 8.6.8 8.6.9 Etain, LLC    2nd Stage - Tracking of Product 8.6.2.1 Tracking Procedures 8.6.2.1.1 Finished Products 8.6.2.1.2 Work-In-Progress 8.6.2.1.3 Ingredient 8.6.2.1.4 Packaging Material 3rd Stage A – Product Recall 3rd Stage B - Product Withdrawal Recovery Procedure for Removal of Affected Product Recall Effectiveness Recall Termination Corrective Action Plan Recall Recordkeeping     ix Attachment D  Table of Contents    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.     8.6.10 List of Forms Required for Recall PRODUCT RECALL PROCEDURE STANDARD OPERATING PROCEDURE RECORD OF COMPLAINT INVESTIGATION OF COMPLAINT SECTION 9 – PRODUCT QUALITY ASSURANCE (1004.5(b)(4)(vi)) 9.0 INTRODUCTION 9.1 QUALITY ASSURANCE PROGRAM - PREVENTION Etain Prevention Policy Education/Training 9.2 RESPONSE 9.2.1 Documentation and Reporting of a Contamination Incident or Adverse Event 9.2.2 Investigation of the Source or Cause of the Contamination Incident or Adverse Event 9.2.3 Corrective Actions ETAIN QUALITY CONTAMINATION EVENT FORM Etain, LLC        x Attachment D  Table of Contents    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.     SECTION 10: RECORDKEEPING (§1004.5(b)(4)(vii)) 10.0 INTRODUCTION 10.1 BIOTRACKTHC OVERVIEW 10.1.1 Cultivation Records 10.1.2 Production Records 10.1.3 Dispensing Records 10.1.4 Disposal Records 10.1.5 Audits 10.1.6 Security 10.2 INVENTORY CONTROL PLAN 10.3 PREVENTING PRODUCT DIVERSION 10.4 VIDEO RECORDINGS 10.5 SECURITY TESTS 10.6 SHIPPING MANIFEST 10.7 RECORD TRACKING SYSTEM 10.8 CULTIVATION 10.9 EXTRACTION 10.10 PRODUCTION 10.11 RETAIL / DISPENSING 10.12 LABELING 10.13 WASTE DISPOSAL 10.14 AUDIT 10.15 DOCUMENTATION 10.16 PERSONNEL RECORDS 10.17 OFFSITE DATA STORAGE Etain, LLC        xi Attachment D  Table of Contents    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   ATTACHMENT D – ETAIN OPERATING PLAN EXECUTIVE SUMMARY Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC     1   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC     2   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC     3   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC     4   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC     5   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC     6   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC     7   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC     8   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC     9   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      10   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      11   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      12   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      13   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      14   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      15   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      16   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      17   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      18   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      19   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      20   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      21   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      22   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      23   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      24   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC      25   Attachment D  Executive Summary    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   ATTACHMENT D: OPERATING PLAN SECTION 1: MANUFACTURING Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC        1 Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC        2 Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC        3 Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC        4 Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC        5 Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC        6 Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC        7 Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC        8 Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC        9 Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    10     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    11     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    12     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    13     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    14     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    15     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    16     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    17     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    18     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    19     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    20     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    21     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    22     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    23     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    24     Attachment D – Section 1  Manufacturing    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   ATTACHMENT D – ETAIN OPERATING PLAN    SECTION 2: TRANSPORT AND DISTRIBUTION (§ 1004.5(b)(4))   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC        1 Attachment D – Section 2  Transport and Distribution    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Transport and Distribution    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Transport and Distribution    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Transport and Distribution    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Transport and Distribution    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Transport and Distribution    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   ATTACHMENT D – ETAIN OPERATING PLAN    SECTION 3: DISPENSING AND SALE (§ 1004.5(b)(4))   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  1     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  2     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  3     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  4     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  5     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  6     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  7     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  8     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  9     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  10     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  11     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  12     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  13     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  14     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  15     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  16     Attachment D – Section 3 Dispensing and Sale   The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   ATTACHMENT D – ETAIN OPERATING PLAN    SECTION 4: DEVICES (§1004.5(b)(4)(i))   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  1      Attachment D – Section 4 Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.   Redacted pursuant to N.Y. Public Officers Law, Art. 6     Devices    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information.     ATTACHMENT D – ETAIN OPERATING PLAN SECTION 5: SECURITY AND CONTROL (§1004.5(b)(4)(ii)) Redacted pursuant to N.Y. Public Officers Law, Art. 6         Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  2      Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  3      Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  4      Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  5      Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  6      Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  7      Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  8      Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC  9      Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    10     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    11     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 tain, LLC 12 Attachment Section 5 Security and Control The material on this page is requested to be erempt??om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    13     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    14     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    15     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    16     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    17     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    18     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    19     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    20     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 tain, LLC 21 Attachment Section 5 Security and Control The material on this page is requested to be erempt??om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 tain, LLC 22 Attachment Section 5 Security and Control The material on this page is requested to be erempt??om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    23     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    24     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    25     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    26     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    27     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    28     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC    29     Attachment D – Section 5 Security and Control  The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. ATTACHMENT D – ETAIN OPERATING PLAN    SECTION 6: STANDARD OPERATING PROCEDURES MANUAL (§ 1004.5(b)(4)(iii))   Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC        Attachment D – Section 6  Standard Operating Procedures    The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Good Agricultural Practices Standard Operating Procedures MANUAL Table of Contents Standard Operating Procedures ● ● ● ● ● ● ● ● ● ● ● Cleaning and Sanitizing Contact Surfaces Controlling Time and Temperature During Preparation Personal Hygiene Preventing Contamination of Marijuana Preventing Cross-Contamination During Storage and Preparation Receiving Deliveries Storing and Using Poisonous or Toxic Chemical Transporting Marijuana Using and Calibrating Thermometers Using Suitable Utensils Washing Hands Standard Operating Procedures Record Keeping ● Damaged or Discarded Product Log ● Contact Surfaces Cleaning and Sanitizing Log ● Production Log ________________________________________________________________________ Etain, LLC 1 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 2 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 3 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 4 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 5 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 6 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 7 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 8 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 9 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 10 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 11 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 12 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 13 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 14 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 15 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 16 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 17 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 18 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 19 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 20 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 21 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 22 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 23 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 24 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 25 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 26 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 tain, LLC 27 Attachment Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 0) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 tain, LLC 28 Attachment Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 0) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 tain, LLC 29 Attachment Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 0) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 tain, LLC 30 Attachment Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 0) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 tain, LLC 31 Attachment Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 0) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 32 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 33 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 34 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 tain, LLC 35 Attachment Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 0) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 tain, LLC 36 Attachment Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 0) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 37 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 38 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 39 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 40 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 41 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 42 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 43 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 44 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. Redacted pursuant to N.Y. Public Officers Law, Art. 6 Etain, LLC 45 Attachment D – Section 6 Good Agricultural Processes The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (c), (d), (f) and/or would disclose critical infrastructure information. EtainLLQ 29 Old Aspetong Road 4? Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: Licensed Operations Author: Version: 1.0 (Replaces Version: NIA) Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 blam- The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Of?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LIX The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Cultivation email: 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: General Operations Author Version 1.0 . Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elain. LLC The material on this page IS requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (0). and/or would disclose critical in?astructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Of?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Cultivation detain EM 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: Good Handling Practices Author Version 1 .0 (Rq?aces Version Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Redacted pursuant to NY. Public Of?cers Law, Art. 6 rug. 0. . 'u'u-Huluw n. uluvlvu?l .. "-Iv-vl . .. uv uvyllul' Public Of?cers law Section 87(2) (1) and/or would disclose critical infrastructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elain- LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) 0) and/or would disclose critical infrastructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elm"- LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. ultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page IS requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Officers Law Section 87(2) (1) and/or would disclose critical infrastructure information, Cultivation etain EtainLLQ 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: General Plant Care Author Version 1 .0 (Replaces Version Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Redacted pursuant to NY. Public Of?cers Law, Art. 6 mum. Ine material on [ms page is requestea to be exempt jrom disclosure under pursuant to Attachment 1) - Section 6 Public O?icers Law Section 87(2) (6). (I) and/or would disclose critical in?'astructure information. Cultivation Hh? Inuicrml on {hm pugv 1x 10 hr ?lmw'mun' mm'm' I) ?luv/1mm! I) Sm In?: (-- [aw \k?L?Hrln 87(3) um] wauhh Inn w'uu'u/ Hg/i'uxlrm'Iurv ('u/hl'unun Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (1) and/or would disclose critical infrastructure information. Cultivation 29 Old Aspetong Road ?4 Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: Infected Handler Guidelines Author: Version: 1.0 Version: NM) Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 510i". LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public 0Mcers Law Section 87(2) and/or would disclose critical infrastructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Q07cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 5mm. but. the material on this page IS requested to be exempt from disclosure under run. pursuant to Attacmnent I) - Section (5 Public O?icers law Section 87(2) (I) and/or would disclose critical infrastructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 Slain. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (1) and/or would disclose critical infrastructure information. Cultivation detain 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: Limited Access Areas Author Version 1.0 (Replaces Version Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Redacted pursuant to NY. Public Of?ce'rs Law, Art. 6 LIIC The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Attachment - Section 6 Public Omcers Law Section 87(2) (I) and/or would disclose critical in?astructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 me material on "113 page '3 requeszea (0 0e exempt/ram unaer pursuant IO mulcnmem - 0 Public O?icers Law Section 87(2) 0) and/or would disclose critical mformanon. ulnvau'on Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Cultivation etain ElainLLQ 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: Monitoring and Record Keeping Author Version 1.0 (Replaces Version 1 Effective Date 06/01/15 Redacted pursuant to .Y. Public Of?cers Law, Art. 6 5101'". Hf The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 (Slain. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. ultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 filam- LM l?he material on this page is requested to be exempt jrom disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. ultivation a: ElainLLC 29 Old Aspctong Road Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: Safety Author Version 1.0 (Replaces Version Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elm"- LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Sectron 6 Public O?h?ers Law Sectron 87(2) (1) and/or would disclose crmcal mfrastructure Information. ultivatron Redacted pursuant to NY. Public Officers Law, Art. 6 5101". LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Omcers Law Section 87(2) and/or would disclose Infrastructure mfonnan'on. ulttvanon Redacted pursuant to NY. Public Officers Law, Art. 6 Islam The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical information. Cultivation ElainLL? 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: Best Management Practice Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Redacted pursuant to NY. Public Of?cers Law, An. 6 5min. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Q?'icers Law Section 87(2) and/or would disclose critical infrastructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The matenal on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public 0?icers Law Section 87(2) and/or would disclose critical infrastructure information. ultivatton a: 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: Cultivation Methods Author Version 1.0 (Replaces Vasion:__) Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Islam. 14M. 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Public Of?cers Law, Art. 6 Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. ultt vation Redacted pursuant to NY. Public Of?cers Law, Art. 6 5mm- LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (1) and/or would disclose critical infrastructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 hlu?". ulak I rte Illulerlul ("15 W88 [5 requested UIJCIUJUTC MIME, pursuant lU HHULNIHCIU Decnon 0 Public Of?cers Law Section 8 7/2) (I) and/or would disclose critical m?'astrucmre information. Fultimtton detain EtainLLQ 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: Environmental Controls Author Version 1 .0 (Replaces Version Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Redacted pursuant to NY. Public Of?cers Law, Art. 6 mum. Ine matenat on (ms page ts requested to ac exempt from atsctosure under pursuant to Attacnmem - Section 0 Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The matenal on page ts requested to be exempt from under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (C). (I) and/or would crt'ttcal informatton. Cultivation etain ElainLL? 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: Fertilizer and Soil Management Author Version 1.0 (Replaces Version Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical irfrastructure information. Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 mum. but me material on [Ms page (S requested (0 De disclosure under pursuant lo Allacnmenl I) - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical in?aslruclure Information. ultivanon Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Cultivation I . I I 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: Nutrient Balance Author Version 1.0 (Replaces Version Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Public O?icers law Section 87(2) (I) and/or would disclose critical infrastructure information. Cultivation Redacted pursuant to NY. 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LLC The matertal on page IS requested to be exempt from disclosure under FOIL pursuant to Attachment I) - Section 6 Pub/to O?icers Law Section 87(2) (1) and/or would disclose critical infrastructure information. Cultivaaon e?ain ElainLLQ 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program} Cultivation Subject: Integrated Pest Management Author Version 1.0 Version Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Redacted pursuant to NY. Public Of?cers Law, Art. 6 "luch I?ll W6C IJ IU uc ulJLlUJt'lc ullucl I Ulh?lul Owl? IU Public O?icers Law Section 87(2) (1) and/or would disclose critical infrastruclure information. - .KLHUN Cultivation Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page ts requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (1) and/or would disclose critical information. Cultivation Redacted pursuant to NY. 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LLC 771a material on this page is requested to be disclosure under FOIL pursuant to Attachment - Section 6 Public Of?cer: Ixrw Section 87(2) and/or would disclose critical infrastructure information. Production Etain LLC 9 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Production Subject: Extraction Standard Operating Procedures Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public ()?icers Law Section 87(2) and/or would disclose critical in?-astructure information. Production Etain LLC a 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Extraction Subject: Operation of Extraction Equipment Author: Version: 1.0 (Replaces Version: Effective Date 06/01/ IS Redacted pursuant to NY. Public Of?cers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Elam, LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Q?iccrs Law Section 870) (1) and/or would disclose critical in?'astructure information. Production entain Etain LLC 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Extraction Subject: C02 Machine Cleaning Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 _T3{?dacted pursuant to NY. Public Of?cers Law, Art. 6 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt/font disclosure under FOIL pursuant to Attachment 1) - Section 0 Public O?icers Law Section 87(2) (1) and/or would dixclose critical in?-astructure information. Production eta,in 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Production Subject: Accessioning Trim, Quarantining, Testing Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Public O?iccrs Law Section 87(2) (0 and/or would disclose cn?lical infrastructure information. Production Redacted pursuant to NY. Public Of?cers Law, Art. 6 Eta/It. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment I.) - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure informatiort. Production Redacted pursuant to NY. Public Officers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt front disclosure under FOIL pursuant to Attachment - Section 6 Public Q?icers Law Section 8 7(2) (I) and/or would disclose critical in?'tmructure information. Production Redacted pursuant to NY. Public Of?cers Law, Art. 6 15mm. The material on [his page is requested to be exempt/mm disclosure under pursuant to Attachment - Section 6 Public ()?icers Law Suctim 8 7(2) (6). (0 and or would disclose critical information Production Redacted pursuant to NY. Public Officers Law, Art. 6 1510i". LLC The material on this page is requested to be exempt ?-om disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) and?or would disclose critical infrastructure information. Production e?ain Etain LL12 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Production Subject: Extraction and Mixing Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Omcers Law Section 87(2) and/or would disclose critical in?-astructure information. Attachment - Section 6 Production Redacted pursuant to NY. Public Officers Law, Art. 6 15min. LLC The malarial on (his page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical in?-aslruclure information. Production Redacted pursuant to NY. Public Officers Law, Art. 6 510i". LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Of?cers Law Section 87(2) (I) and/or would disclose critical in?astructure information. Production email: Etain LLC 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Production Subject: Tinctures and Infusions Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain. LLC 77m material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Oj?ccrs Law Section 87(2) (I) and/or would disclose critical in?'astrucmm information. Attachment - Section 6 Production Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt ??om disclosure under FOIL pursuant to Attaclmtent - Section 6 Public Oj?cer: Law Section 87(2) (I) and/or would disclose critical in?'astructure information. Production Redacted pursuant to NY. Public Officers Law, Art. 6 510i". LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical in?'astrucmre infonnation. Production Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt ?'om disclosure imder pursuant to Attachment - Section 6 Public 0?7cers Law Section 87(2) (0 and/or would disclose critical in?astructure information. Production Redacted pursuant to NY. Public Officers Law, Art. 6 Elditt LLC The material on this page is requested to be disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) 0) and/or would disclose critical tn?'astrucmre infonnation. Production 29 Old Aspetong Road e?a?n Katonah NY 10536 Standard Operating Procedures Program: Production Subject: Production Oral Spray Author . Redacted pursuant to NY. Public Officers Law, Art. 6 Elain. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Oj?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Production Redacted pursuant to NY. Public Of?cers Law, Art. 6 51001. 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Production - 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Production Subject: Production Capsules Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etaitt. LLC 771a material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical in?mtructure information. Production Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam, LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public chers [11w Section 87(2) (I) and/or would disclose critical infrastructum information. Production Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt ?'om disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 870) and/or would disclose critical in?'astructui'e information. Production Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The malerial on (his page is requesied to be exempt from disclosure under FOIL pursuant to Allaclimen! - Section 6 Public Of?cers Law Section 87(2) 0) and/or would disclose critical in?-aslruciurc infonnalion Production Redacted pursuant to NY. Public Of?cers Law, Art. 6 5101'". LLC The material on this page is requested to be exempt front disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical in?'astructute information. Production 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: QA Subject: General Quality Assurance Standard Operating Procedures Author: Version: Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Slain. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?lcers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 Elam. LLC The matertal on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Of?cers Law Section 87(2) (I) arid/or would disclose critical infrastructure information. Quality Anurance Redacted pursuant to NY. Public Officers Law, Art. 6 Elam. LLF The material on this page ts requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Pub/ac O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure mformauon. Quality Assurance etain? 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: QA Subject: Document Control System Author: Version: 1.0 (Replaces Version: NIA) Effective Date 06/01/15 btam. Redacted pursuant to NY. Public Officers Law, Art. 6 The material on this page is requested to be exempt from disclosure under 0/ l. pursuant to Public O?icers Law Section 87(2) (1) and/or would disclose critical infrastnicture information. Attachment - Section 6 Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 Elam LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Of?cers Law Section 87(2) (1) and/or would disclose critical infrastructure tnformatton. Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclomre under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment Section 6 Public O?icers Law Section 87(2) 0) and/or would disclose critical infrastructure information. Quality Assurance entails ElainLLC 29 Old Aspctong Road Katonah NY 10536 Standard Operating Procedures Program: QA Subject: Written Procedures Policy Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 Redacted pursuant to .Y. Public Of?cers Law, Art. blaln. The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Attachment - Section 6 Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain. LLC The material on page ts requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Of?cers Law Sectton 8 7(2) (6). (I) and/or would disclose crittcal in?'astructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 . my- .-. . 510i". LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Quality Assurance e?ai ElainJLC 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: QA Subject: Determination of Cannabinoid Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 Dull". Redacted pursuant to NY. Public Of?cers Law, Art. 6 me mater-tat on this page ts requested to be exempt from disclosure under run, pursuant to Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Attacnment - section 0 Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etam. LLC The matertal on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Publtc Of?cers Law Section 87(2) (0 and/or would disc/me critical infrastructure tnfomtation. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 510i". LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Qatcers Law Section 87(2) (I) and/or would disclose critical infrastructure mfonnation. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Slain. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?t?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (1) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt front disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (6). (1) and/or would disclose critical m?-aslmcIure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, An. 6 510i". The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etam. The matenal on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Oj?cers Law Section 8 7(2) (1) and/or would disclose critical Infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Officers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/0r would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Of?cers Law Section 87(2) (6). 0) and/or would disclose critical infrastructure infannalion. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 510i". LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public (207mm Law Section 87(2) (1) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 Slain. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical In?astructure information. Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 Elam. LLC The material on page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Of?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance emaim EtainLLC 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: QA Subject: Timer Calibration Author: Version: 1 .0 Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etairt. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Attachment - Section 6 Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 legal?mu Elam. LLC The matenal on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Of?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 I Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public ()?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 raga-tun 5111i". LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers [aw Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 ["590 Jul Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (6). 0) and/or would disclose critical infrastructure information Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 FGWUUIU Elam The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance etain 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: QA Subject: General Waste Disposal Procedures Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 Elam. LLC Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page IS requested to be exempt/ram disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Attachment - Section 6 Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 Elam. LLC The material on this page IS requested to be exempt ?om disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/0r would disclose critical in?aslruclure Information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain. The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure information Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 . Elain- LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical information. Quality Assurance ettai ?ainLL? 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: QA Subject: Quality Control Author: Version: 1 .0 (Replaces Version: Effective Date 06/01/15 Redacted pursuant to .Y. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (I) and/0r would disclose critical mfrastrucnwe mfonnatton. Attachment - Section 6 Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 main. LLC The material on this page is requested to be exemp! from disclosure under FOIL pursuant to Attachmen! - Section 6 Public Officers Law Section 87(2) (6). (I) and/or would disclose critical Infrastructure information. QualiryAssurance 0 29 Old Aspetong Road 3" Katonah NY 10536 EtainLLC Standard Operating Procedures Program: QA Subject: Manufacturing Operations Safety Guide Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 btain. Redacted pursuant to NY. Public Of?cers Law, Art. 6 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Attachment - Section 6 Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material an (IRS page (S requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Of?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance e?ai 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: QA Subject: Competency of Manufacturing Personnel Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 Redacted pursuant to NY. Public Of?cers Law, An; Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information Attachment Section 6 Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 510i". LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) and/or would disclose critical infrastnicture information. Quality Assurance e?ai EtainLLQ 29 Old Aspetong Road Katonah NY 10536 Standard Operating Procedures Program: Cultivation Subject: Thermometer Calibration Temperature Monitoring Author: Version: 1.0 (Replaces Version: Effective Date 06/01/15 Redacted pursuant to .Y. Public Of?cers Law, Art. 6 clam. The material on (his page Is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (I) and/or would disclose critical infrastructure infomtation Attachment - Section 6 Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page ts requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) and/or would disclose critical infrastnicture information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The matenal on this page ts requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical mfraslructure mformauon. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Officers Law Section 87(2) (6). (1) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Of?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?t?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page IS requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public 0?7cers Law Section 87(2) (1) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public Officers Law Section 87(2) 0) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 Efain. LLC The material on this page ts requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?h'ers Law Section 87(2) (6). (I) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 5101". 1.1.(7 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public OMcers Law Section 87(2) (0). (I) and/0r would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 510i". LLC The malenal on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?tcers Law Section 87(2) (1) and/or would disclose critical infrastructure information. Quality Assurance Redacted pursuant to NY. Public Of?cers Law, Art. 6 tram. The material on this page is requested to be exempt from disclosure under FOIL pursuant to Attachment - Section 6 Public O?icers Law Section 87(2) (I) and/or would disclose critical information. Quality Assurance Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 ATTACHMENT - ETAIN OPERATING PLAN Section 7: QUALITY ASSURANCE PLANS Redacted pursuant to NY. Public Officers Law, Art. 6 (I) Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 0) and/or would disclose critical 6' infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Attachment 1) Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (0), and/0r would disclose critical infrastructure information. Etain, LLC Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O??z?cers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Attachment Section 7 Quality Assurance Plans Etain, LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Attachment Section 7 Quality Assurance Plans Etain, LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O??icers Law Section 87(2) (av, (79 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Attachment - Section 7 Quality Assurance Plans Etain, LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Main, LLC Attachment 1) -- b'ection Quality Assurance Plans The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Islam, Attachment 1.) Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (0), and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section Quality Assurance Plans The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (aD, 6) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Etaz?n, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (a9, and/or would disclose critical . infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Attachment - Section 7 Quality Assurance Plans The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0), and/or would disclose critical infrastructure information. Etain, LLC Cg) Redacted pursuant to NY. Public Of?cers Law, Art. 6 Attachment Section 7 Quality Assurance Plans Etain, LLC The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical infrastructure information. L.-.) Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (9 and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public Wicers Law Section 87(2) (1) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. g) Redacted pursuant to NY. Public Officers Law, Art. 6 Attachment Section 7 Quality Assurance Plans Etain, LLC The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 0) and/or would disclose critical in?'astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. L.) Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment - Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. (t .) Redacted pursuant to NY. Public Of?cers Law, Art. 6 brain, LLC Attachment 1) b'ectzon 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment section Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (av, 09 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Attachment Section 7 Quality Assurance Plans Etain, LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (aD, 0) and/or would disclose critical infrastructure information. I Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment b?ection Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O??icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O??icers Law Section 87(2) (0), 09 and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Attachment Section 7 Quality Assurance Plans _Etain, The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public Officers Law Section 87(2) (7) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/0r would disclose critical infrastructure information. L) Redacted pursuant to NY. Public Officers Law, Art. 6 Etain, LLC Attachment Section Quality Assurance Plans The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O??icers Law Section 87(2) (0), and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Islam, LLC Attachment section Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O??icers Law Section 87(2) and/or would disclose critical infrastructure information. L.) Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (6), (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 7 Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant I to Public O?icers Law Section 87(2) (0), and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam, LLC Attachment Section Quality Assurance Plans The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 mam, Altacnmem 066110? Quality Assurance Plans The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), (619, and/or would disclose critical in?astructure information. ATTACHMENT ETAIN OPERATING PLAN SECTION 8: RETURNS, COMPLAINTS, ADVERSE EVENTS, RECALLS Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 1 Attachment - Section 8 Returns Complaints Adverse Effects Recalls A . The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 2 Attachment Section 8 Returns Complaints Adverse E?ects Recalls The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public Q?cers Law Section 87(2) (5 and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 3 Attachment Section 8 Returns Complaints Adverse Effects Recalls .1 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public L) Of?cers Law Section 87(2) (0), and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 4 Attachment Section 8 Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt ?-om disclosure under FOIL pursuant to Public O??icers Law Section 87(2) (0), (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 5 Attachment Section 8 Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Attachment Section 6 Returns Complaints Adverse Effects Recalls Etain, LLC 0 ?re material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment 1) Section 8 Returns Complaints Adverse E?ects Recalls The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public (Micers Law Section 87(2) (0), and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 btain, LLC 8 Attachment 1) Section Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Etain, LLC 9 Attachment Section 8 Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (0 and/or would disclose critical in?'astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Attachment Section 8 Returns Complaints Adverse Effects Recalls Etain, LLC 10 The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0), and/or would disclose critical infrastructure information. to) Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 1 1 Attachment Section 8 Returns Complaints Adverse E?ects Recalls The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public (?cers Law Section 87(2) (7) and/or would disclose critical infrastructure information. j) Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 12 Attachment Section 8 Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt?om disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Elam?LL21 ?13? mnm? "attachmentD?Section8 Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public @cers Law Section 87(2) (0 and/or would disclose critical in?astructw'e information. Redacted pursuant to NY. Public Of?cers Law, An. 6 Etain, LLC 14 Attachment 1) Section 6 Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt ?'om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, An. 6 Liam, LLC 13 Attachment Sect ion 6 Returns Complaints Adverse E?ects Recalls The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), (0 and/or would disclose critical infrastructure information. L.) Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 10 Attachment 1) Section 8 Returns Complaints Adverse E?ects Recalls The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, An. 6 ?101?, LLC 1 Attachment Sect to" 5 Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O??icers Law Section 87(2) (0), and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 12$ Attachment 1) Section 6 Returns Complaints Adverse E?ects Recalls Hie material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 19 Attachment Section 8 Returns Complaints Adverse Ejfects Recalls . The material on this page is requested to be exempt ??om disclosure under FOIL pursuant to Public Officers Law Section 87(2) (0 and/or would disclose critical infrastructure information. .l mam, Redacted pursuant to NY. Public Of?cers Law, Art. 6 AU Attacnment oecuon 6 Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. I Elam, LLC Redacted pursuant to NY. Public Of?cers Law, Art. 6 ?1 Attachment section 6 Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Qf'?cers Law Section 87(2) (I) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 22 Attachment Section 8 Returns Complaints Adverse E?ects Recalls I The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 23 Attachment 1) - Section 6 Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. j) Etain, LLC Redacted pursuant to NY. Public Of?cers Law, Art. 6 A4 Attachment b?ectzon 6 Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?'icers Law Section 87(2) (a9, and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Liam, z) Attacnment section 5 Returns Complaints Adverse E??ects Recalls The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (60, (79 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Alracnmem 060110? 0 Returns Complaints Adverse Effects Recalls Elam, 1.0 The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Mam, Attachment - 586110? Returns Complaints Adverse Effects Recalls The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (aD, and/or would disclose critical infrastructure information. A ATTACHMENT - OPERATING PLAN SECTION 9 PRODUCT QUALITY ASSURANCE Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 1 Attachment Section 9 Product Quality Assurance The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. 1/ L) Redacted pursuant to NY. Public Of?cers Law, Art. 6 brain, LLC 2 Attachment Section 9 Product Quality Assurance The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Liam, .5 Attachment b?ectzon 9 Product Qualin Assurance The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. RedaCted pursuant to NY. Public Of?cers Law, Art. 6 ?1le "t Ll 060140" 7 Product Quality Assurance The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Etain, LLC 5 Attachment Section 9 Product Quality Assurance The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. ATTACHMENT ETAIN OPERATING PLAN SECTION 10: Recordkeeping Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 10 1 Recordkeeping The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Q??icers Law Section 87(2) (0), and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Etain, LLC Attachment Section 1 0 2 Recordkeeping The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O??icers Law Section 87(2) (c0, and/or would disclose critical infrastructure information. . .4 Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 10 3 Recordkeeping The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0), (60, and/or would disclose critical in?astructure information. A C) Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 4 Attachment Section 10 Recordkeeping The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public Wen? Law Section 87(2) (0), and/or would disclose critical in?'astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 10 5 Recordkeeping The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or would disclose critical in?'astructure information. Redacted pursuant to Public Of?cers Law, Art. 6 Etain, LLC Attachment - Section 10 6 Recordkeeping The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0 and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 10 7 Recordkeeping The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 10 8 Recordkeeping The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public 1? O?icers Law Section 87(2) and/or would disclose critical in?astructw'e information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 10 9 Recordkeeping . The material on this page is requested to be exempt from disclosure under 01L pursuant to Public O??icers Law Section 87(2) (0), and/or would disclose critical in?astructw'e information. Redacted pursuant to NY. Public Of?cers Law; Art. 6 C) Eta?in, LLC Attachment - Section I 0 10 Recordkeeping I K. The material on this page is requested to be exempt ?'om disclosure under FOIL pursuant to Public O??icers Law Section 87(2) and/or would disclose critical in?astructw'e information (i Q) 4" Redacted pursuant to NY. Public Of?cers Law, Art. 6 ztain, 22C attacI-wment gectton 1 Recordkeeping The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0), and/or would disclose critical infrastructure information. Redacted pursUant to NY. Public Officers Law, Art. 6 <77. 0 Etain, LLC Attachment Section 10 12 Recordkeeping The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0 and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 10 13 Recordkeeping The material on this page is requested to be exempt ?'om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. {3 Redacted pursuant to NY. Public Officers Law, Art. 6 Etdin, LLC Attachment :S?ection 10 ?4 Recordkeeping . The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructw'e information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section. 1 0 15 Recordkeeping The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (6), (Q, 09 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public OffiCers Law, Art. 6 V's Etain, LLC Attachment - Section 10 16 Recordkeeping The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Q?cers Law Section 87(2) and/or would disclose critical in?'astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 C) Etain, LLC Attachment Section 10 ?7 Recordkeeping The material on this page is requested to be exempt ?'om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC Attachment Section 10 8 Recordkeeping The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (79 and/or would disclose critical infrastructure information. (or) Etain, LLC Redacted pursuant to NY. Public Of?cers Law, Art. 6 19 Attachment Section 10 Recordkeeping The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. RedaCted pursuant to NY. Public Officers Law, Art. 6 0 Etain, LLC Attachment Section 10 20 Recordkeeping .. The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (6), (0 and/or would disclose critical infrastructure information. ATTACHMENT ORGANIZATIONAL DOCUMENTS N. Y. S. DEPARTMENT OF STATE DIVISION OF CORPORATIONS AND STATE RECORDS ALBANY, NY 12231-0001 NENTITY NAME: ETAIN, LLC OCUMENT TYPE: ARTICLES OF ORGANIZATION (DOM COUNTY: WEST FILM #:141219000495 DOS FILER: EXIST DATE GARRY MCCORMACK 12/19/2014 29 OLD STONE CHURCH ROAD UPPER SADDLE NJ 07458 ADDRESS FOR PROCESS: THE LLC 29 ASPETONG ROAD KATONAH, NY 10536 REGISTERED AGENT: The limited liability company is required to file a Biennial Statement with the Department of State every two years pursuant to Limited Liability Company Law Section 301. Notification that the biennial statement is due will only be made via email. Please go to to provide an email address to receive an email notification when the Biennial Statement is due. SERVICE COMPANY: CORPORATION SERVICE COMPANY - 45 SERVICE CODE: 45 FEES 285.00 PAYMENTS 285.00 FILING 200.00 CASH 0.00 TAX 0.00 CHECK 0.00 ART 0.00 CHARGE 0.00 10.00 DRAWDOWN 285.00 HANDLING 75.00 OPAL 0.00 REFUND 0.00 427699KXK (04/2007) STATE OFNEW YORK DEPARTMENT OFSTATE I hereby certify that the annexed copy has been compared with the original document in the custody of the Secretary of State and that the same is a true copy of said original. WITNESS my hand and of?cial seal of- the Department of State, at the City of Albany, on December 22, 2014. 3.;ng I in; Anthony Giardina Executive Deputy Secretary of State Rev. 06/13 Dec 18_14 05:22}: Mccormack 2012380386 p.2? New York State 1 a 1 0 Division of Corporations. State 3' 4 and Uniform Commuciai Code One Comma-ea Plan, 99 Washington Avenue Albany, NY [22.3] gov (7721's must be printed or typed in black ink) . ARTICLES OF ORGANLZATION (3F ETAIN. LLC (Insert me af?nich Mobility Company) Under Section 203 of the Limited Liability Company Law FIRST: The name of the limited liability company is: ETAIN. LLC SECOND: The county within this state in which the office of the limited liability company is to be located is: County of Weatchester The Secretary of State is designatedas agent ofthe limited liability company upon whom process against it may be Served. The addtess within or without this state to which the Secretary of State shall mail a copy of any process limited liability company served upon him or her is: 29 Aspetong Road. Katmah. New York 10536 Garry P. McCormadt (simian atomizer) (pan! or typomtne ofoqonlw) DOS-1336 141219000495 Dec 18 14? 05:22? Mccormack 2012360886 P'a. ARTICLES OF ORGANIZATION (Insen name olem?chloblTio Company) Under Section 203 of the Limited Llability Company Law ?baby: Garry P.McCormack (Nauru) 29 Old Stone Church Road (Mallingaddress) Upper Saddle River. New Jersey 07458 (Glow, Stale and ZIP coder W. 900% HQWLOQQ KXK. NOTE: font: was prepated by the New York Sun Department of Stats for ?ling articles of otgnnizuicm I'm a domcsgic limited liability cempany. does not contain all optional provisions under the law. You are not required to use this form. You may dial! your om: form or use forms available at legal stationery Stores. The Depomnem of submitted will: a 8200 ?ling fee made payable to the Depanmem of State. State recommends that legal documents be prepared undo: Ihe guidance of an attorney. Thc'corti?cnc must be c: a mg 31'. (CL-la330 hill 003.1330 (Rev. 04114) 5mg hi EH 6 State of New York Department of State I hereby certify, that ETAIN, LLC a NEW YORK Limited Liability Company filed Articles of Organization pursuant to the Limited Liability Company Law on 12/19/2014, and that the Limited Liability Company is existing so far as shown by the records of the Department. ss: antes}: - Witness my hand and the o?icial seal of the Department of State at the City of Albany, this 21st day of May two thousand and ?fteen. Mae? 0' Anthony Giardina Executive Deputy Secretary of State f3?- 0 0" 3? 20 7505220009 45 OPERATING AGREEMENT OF ETAIN, LLC THIS OPERATING AGREEMENT, dated as of December 18, 2014 (this "Agreement"), is entered into by and between the following individuals (each a "Member" and collectively with any other Persons who may become members of the Company, the "Members"): HILLARY A. PECKHAM (?Hillary?), KEELEY M. PECKHAM (?Keeley?), JOHN D. PECKHAM and GREGORY D. PECKHAM, each residing at RECITALS A. The Members desire to form a limited liability company (the "Company") pursuant to the Limited Liability Company Law of the State of New York (as amended from time to time, the B. The Members desire to establish their respective rights and obligations pursuant to the LLCL in connection with forming such limited liability company. Accordingly, the Members hereby agree as follows: ARTICLE I CERTAIN DEFINITIONS 1.1 De?nitions. As used in this Agreement, the following terms shall have the meanings set forth below: "Adjusted Capital Account De?cit" means, with respect to any Member, the de?cit balance, if any, in such Member's Capital Account as of the end of the relevant Fiscal Year, after giving effect to the following adjustments: Credit to such Capital Account any amount which such Member is obligated to restore or is deemed obligated to restore pursuant to Treas. Reg. and 1.704- and Debit to such Capital Account the items described in Treas. Reg. ?1.704- (5) and "Articles of Organization" shall mean the Articles of Organization of the Company ?led December 18, 2014 with the New York Secretary of State, as the same may be amended from time to time. "Assumed Tax Rate" means the highest effective marginal combined federal, state and local income tax rate or the tax rate applicable to capital gains (to the extent that this de?nition is operative with respect to such gains) prescribed for an individual resident of Westchester County, New York, in a Fiscal Year (taking into account deductibility of the state and local income taxes for federal income tax purposes). "Capital Account" means, for each Member, the sum of such Member's Capital Contribution, if any, plus the Net Pro?ts and other items of Company income and gain allocated to such Member pursuant to Article V, minus (0) the aggregate amount of Distributions of cash made to such Member, minus the Net Losses and other items of Company loss and deduction allocated to such Member pursuant to Article VII, minus the Gross Asset Value of the allocable share of Company assets distributed to such Member in-kind, and otherwise adjusted in accordance with Treas. Reg. ?1.704-1. All such contributions, allocations and Distributions shall be credited or charged, as the case may be, to the appropriate Capital Accounts of the respective Members to whom they apply, as of the time -the contributions, allocations or Distributions are made. "Capital Contribution" shall mean any contribution by a Member to the capital of the Company in cash, property or services rendered, or a promissory note or other obligation to contribute cash or property or to render services (net of any liabilities of such Member that the Company is considered to assume or take subject to under Section 752 of the Code). "Cash Flow" means, for any given Fiscal Year or other period, the amount, if any, by which the sum, without duplication, of the actual gross cash receipts of the Company during such period from Whatever source derived and (ii) the reduction of any previously established reserves described in clause hereof to the extent such reduction exceeds the amount of expenses paid from such reserve, exceeds the sum, without duplication, of all operating expenses (including taxes, insurance, and debt service) actually paid during such periods and (ii) such reserves, if any, as the Managers determine are required to maintain reasonable reserves and working capital for operating expenses and capital expenditures of the Company, provided, however, that Cash Flow shall not be debited by expenses paid from reserves set aside in prior years. "Code" shall mean the Internal Revenue Code of 1986, as amended, or any superseding federal revenue statute. "Company" shall refer to ETAIN, LLC. "Company assets" shall mean any property real or personal, tangible or intangible (including goodwill), including money, and any legal or equitable interest in such property, but excluding services. "Distribution" shall mean any cash and other assets paid to a Member by the Company from the operations of the Company. "Fiscal Year" shall mean the taxable year of the Company, which shall be the calendar year or such other taxable year as is required by Section 706(b) of the Code. "Gross Asset Value" means, with respect to any Company asset, the adjusted basis of the Company asset for federal income tax purposes, except as follows: The initial Gross Asset Value of any Company asset contributed by a Member to the Company shall be the gross fair market value of such Company asset as of the date of such contribution, as determined in good faith by the Managers; The Gross Asset Value of each Company asset shall be adjusted to equal its respective gross fair market value, as determined in good faith by the Managers, as of the following times: the acquisition of an additional interest in the Company by any new or existing Member in exchange for more than a de minimis Capital Contribution; (ii) the distribution by the Company to a Member of more than a de minimis amount of Company assets (other than cash) as consideration of such Member's Membership Interest unless the Managers determine that such adjustment is not necessary to re?ect the relative economic interests of the Members in the Company; and the liquidation of the Company within the meaning of Treas. Reg. ?1.704? The Gross Asset Value of each Company asset shall be increased or decreased, as the case may be, to re?ect any adjustments to the adjusted basis of such Company asset pursuant to Section 734(b) or Section 743(b) of the Code, but only to the extent that such adjustments are taken into account in determining Capital Accounts pursuant to Treas. Reg. ?1.704- provided, however, that Gross Asset Values shall not be adjusted pursuant to this subparagraph to the extent that the Managers determine that an adjustment pursuant to subparagraph above is necessary or appropriate in conjunction with a transaction that would otherwise result in an adjustment pursuant to this subparagraph; and If the Gross Asset Value of a Company asset has been determined or adjusted pursuant to subparagraphs or above, such Gross Asset Value shall thereafter be adjusted to re?ect the depreciation or amortization taken into account with respect to such Company asset for purposes of computing Net Pro?ts and Net Losses. "Gross Income" shall mean for any Fiscal Year or fraction thereof, the gross income of the Company for such period as determined for federal income tax purposes. "Manager" shall mean, initially, each of Hillary and Keeley and any other person who shall, from time to time, be designated as a Manager pursuant to Article IV of this Agreement. "Membership Interest" shall mean a Member's aggregate rights in the Company, including: the Member's right to a share of the pro?ts and losses of the Company; (ii) the Member's right to receive Distributions from the Company; and the Member's right to vote 3 and participate in the management of the Company, and shall be equal to the ratio of the value of the Capital Contribution of the Member to the aggregate value of all Capital Contributions of all Members, as set forth on Schedule A. "Minimum Gain" means, with respect to each nonrecourse liability of the Company, the amount of gain (of Whatever character), if any, that would be realized by the Company if it disposed of (in a taxable transaction) the Company's property subject to such liability in full satisfaction thereof (and for no other consideration), and then aggregating the amounts so computed. A Member's share of Minimum Gain shall, at the end of any Fiscal year, equal the excess of the sum of the nonrecourse deductions allocated to such Member (and such Member's predecessors in interest) and the aggregate Distributions to such Member (and such Member's predecessor in interest) up to that time of proceeds of nonrecourse liabilities that are allocable to any increase in Minimum Gain over the sum of such Member's (and such Member's predecessors in interest) aggregate share of the net decreases in Minimum Gain up to that time and such Member's (and such Member's predecessors in interest) aggregate share of the decreases up to that time in Minimum Gain resulting from revaluations of Company property subject to one or more nonrecourse liabilities of the Company as computed in accordance with the provisions of Treas. Reg. "Net Pro?ts" or "Net Losses" means, for each Fiscal Year or other period, an amount equal to the Company's taxable income or loss for such Fiscal Year or other period, determined in accordance with Section 703(a) of the Code, which for this purpose shall include all items of income, gain, loss or deduction required to be stated separately pursuant to Section 703(a)(1) of the Code, with the following adjustments: Any income of the Company that is exempt from Federal income tax and not otherwise taken into account in computing Net Pro?ts or Net Losses pursuant to this defmition shall be added to such taxable income or loss; Any expenditures of the Company described in Section 705(a)(2)(B) of the Code or treated as expenditures under Section 705(a)(2)(B) of the Code pursuant to Treas. Reg. (other than expenses in respect of which an election is properly made under Section 709 of the Code), and not otherwise taken into account in computing Net Pro?ts of Net Losses pursuant to this de?nition shall be subtracted from such taxable income or loss; In the event the Gross Asset Value of any Company asset is adjusted pursuant to subparagraphs and of the de?nition of Gross Asset Value, the amount of such adjustment shall be taken into account as gain or loss from the disposition of such Company asset for purposes of computing Net Pro?ts or Net Losses; Gain or loss resulting from any disposition of any Company asset with respect to which gain or loss is recognized for federal income tax purposes shall be computed by reference to the Gross Asset Value of the Company asset disposed of, notwithstanding that the adjusted tax basis of such Company asset may differ ?om its Gross Asset Value; Depreciation with respect to any Company asset shall be computed by reference to the adjusted Gross Asset Value of such asset, notwithstanding that the adjusted tax basis of such Company asset differs from its Gross Asset Value; and Any item of income, gain, loss or deduction allocated under Section 7.3, 7.4, or 7.5 of this Agreement shall be excluded. "Person" shall mean any individual, corporation, governmental authority, limited liability company, partnership, trust, unincorporated association or other entity. "Quarterly Estimated Tax Amount" of a Member for any calendar quarter of a Fiscal Year means the excess, if any, of the product of a quarter in the case of the ?rst calendar quarter of the Fiscal Year, a half in the case of the second calendar quarter of the Fiscal Year, three quarters in the case of the third calendar quarter of the Fiscal Year, and one (1) in the case of the fourth calendar quarter of the Fiscal Year, and (ii) the amount estimated by the Managers to be the tax liability at the Assumed Tax Rate in respect of the Net Pro?ts (if any) of the Company allocatpd to such Member for such Fiscal Year over all Distributions previously made during such Fiscal Year to such Member. "Regulatory Allocations" shall have the meaning speci?ed in Section 7.5 of this Agreement. "Selling Member? shall mean a Member desiring to sell a Membership Interest. "Treasury Regulations" shall mean all proposed, temporary and ?nal regulations promulgated under the Code as from time to time in effect. ARTICLE II ORGANIZATION 2.1 Formation. One or more Persons has acted or will act as an organizer or organizers to form a limited liability company by preparing, executing and ?ling with the New York Secretary of State the Articles of Organization pursuant to the LLCL. 2.2 Name. The name of the Company is ETAIN, LLC. 2.3 Principal Place of Business. The principal place of business of the Company within the State of New York shall be 29 Old Aspetong Road, Katonah, New York 10536. The Company may establish any other places of business as the Managers may ?om time to time deem advisable. 2.4 Term. The term of the Company shall be perpetual, unless the Company is dissolved pursuant to this Agreement or the LLCL. 2.5 Purposes. The Company has been organized primarily to establish, engage in, operate, participate in and otherwise deal with and in the business of investment, development, siting, sourcing, cultivation, manufacture, processing, secure storage, delivery, transport and sale of marijuana for medical use and any ancillary activities permitted under applicable law including the LLCL. ARTICLE MEMBERS 3.1 Names and Address. The names and address of the initial Members are set forth in the ?rst paragraph of this Agreement. 3.2. Additional Members. A Person may be admitted as a member after the date of this Agreement upon the vote or written consent of Members holding at least a majority of the Membership Interests. 3.3 Limitation of Liability. No Member, Manager or agent of the Company (nor any Person acting in one or more of those capacities) shall be liable for any debts, obligations or liabilities of the Company or each other, whether arising in tort, contract or otherwise, solely by reason of being such a Member, Manager or agent or acting (or omitting to act) in such capacities or participating (as an employee, consultant, contractor or otherwise) in the conduct of the business of the Company. 3.4 Sale of All Assets. The Members shall have the right, by the vote or written consent of those Members holding at least a majority of all Membership Interests, to approve the sale, lease, exchange or other disposition of all or substantially all of the assets of the Company, or a merger or consolidation transaction in which the Company is a party. 3.5 Priority and Return of Capital. No Member shall have priority over any other Member to assets of the Company, whether for the return of a Capital Contribution, a Distribution or otherwise; provided, however, that this Section 3.5 shall not apply to payment of a loan or other indebtedness (as distinguished from a Capital Contribution) made by a Member to the Company. 3.6 Financial Adjustments. No Members admitted after the date of this Agreement shall be entitled to any retroactive allocation of losses, income or expense deductions realized or incurred by the Company. The Managers may, at the discretion of the Managers, at the time a Member is admitted, close the books and records of the Company (as though the Fiscal Year had ended) or make pro rata allocations of loss, income and expense deductions to such Member for that portion of the Fiscal Year in which such Member was admitted in accordance with applicable provisions of the Code. ARTICLE IV MANAGEMENT 4.1 Management. Management of the Company shall be vested solely inthe Managers. 4.2 Number, Tenure and Quali?cations of Managers. The Company shall initially have two Managers, Hillary A. Peckham and Keeley M. Peckham. Any vacancy in an office of Manager from time to time may be ?lled by the vote or written consent of Members holding at least a majority of all Membership Interests. Managers of the Company need not be residents of the State of New York or Members of the Company. 4.3 Powers of Managers. Except as set forth in this Agreement, the Managers, by action of a majority by vote or written consent of the Managers, shall have the exclusive power and authority, on behalf of the Company, to do all acts necessary or convenient for the Company's business activities, including to: purchase, lease or otherwise acquire any property from, or sell, lease or otherwise dispose of any property to any Person; open bank accounts and otherwise invest the funds of the Company; (0) purchase insurance on the business and assets of the Company; borrow money for proper Company purposes, and secure loans with assets of the Company; commence and defend lawsuits and other proceedings; enter into any agreement, instrument or other writing; retain accountants, attorneys or other agents; use, improve, convey, mortgage, pledge, exchange, lease, license or otherwise dispose of property, including Company assets; guaranty obligations and incur liabilities; lend money, invest and reinvest Company funds, including, without limitation, loans to Members; set compensation for agents of the Company, and pay agents (including employees); (I) participate in partnerships, joint ventures, other limited liability companies, corporations and other associations of any kind; (In) exercise any discretion of the Managers under ??liS Agreeman; or take any other lawful action that the Managers consider necessary, convenient or advisable in connection with any business of the Company. Any Manager may act on behalf of the Company in the exercise of such power and authority of the Managers as may have been delegated in writing to such Manager (whether by power of attorney or otherwise), solely to the extent and within the stated limitations of such delegation. 4.4 Meetings of the Managers. The Managers shall meet at the principal of?ce of the Company or at such other place (either within or outside the State of New York), and at such dates and times, as may be determined ?om time to time by the Managers. A special meeting of the Managers, for any purpose or purposes, may be called by any Manager on not less than ten (10) days? notice to the other Managers stating the date and time of the meeting and setting forth the purpose or purposes of the meeting. Meetings of the Managers may be held either in person or by means of telephone or video conference or other communications device that permits all Managers participating in the meeting to hear each other. A majority of the Managers shall constitute a quorum for the transaction of business. At all times when the Managers are conducting business at a meeting of the Managers, a quorum must be present at such meeting. If a quorum shall not be present at any meeting of the Managers, then the Managers present at the meeting may adjourn the meeting from time to time, without notice other than announcement at the meeting, until a quorum shall be present. Any Manager may participate in a meeting of the Managers by means of telephone or video conference or other communications device that permits all Managers participating in the meeting to hear each other, and participation in a meeting by such means shall constitute presence in person at such meeting. A Manager may vote or be present at a meeting either in person or by written proxy. The af?rmative vote of a majority of the Managers, at a meeting at which a quorum is present and acting, shall constitute the action of the Managers. 4.5 Action in Writing. Notwithstanding anything in this Agreement to the contrary, any action of the Managers may be taken without a meeting if a written consent of a majority of the Managers shall approve such action. Such consent shall have the same force and effect as a vote at a meeting where a quorum was present. 4.6 No Management by Members; Binding Authority. Except as otherwise expressly provided in this Agreement, no Member, other than the Managers in their capacity of Managers, shall take part in the day-to-day management, or the operation of the business and affairs, of the Company. No Person shall have any power or authority to bind the Company unless such Person has been authorized by the Managers to act on behalf of the Company in accordance with this Article IV. I 4.7 Liability for Certain Acts. A Manager shall not be personally liable to the Company or its Members for damages for any breach of duty as a Manager, except for any matter in respect to which such Manager shall be liable by reason that, in addition to any and all other requirements for such liability, there shall have been a judgment or other ?nal adjudication adverse to such Manager that establishes that such Manager's acts or omissions were in bad faith or involved intentional misconduct or a knowing violation of law or that such Manager personally gained in fact a ?nancial pro?t or other advantage to which such Manager was not legally entitled, or that with respect to a Distribution which is the subject of Section 508 of the LLCL, such Manager's acts were not performed in accordance with Section 409 of the LLCL. Neither the amendment nor the repeal of this Section 4.7 shall eliminate or reduce the effect of this Section 4.7 with respect to any matter occurring, or any cause of action, suit or claim that, but for this Section 4.7, would accrue or arise, prior to such amendment, repeal or adoption of an inconsistent provision. 4.8 No Exclusive Duty to Company. A Manager shall not be required to participate in the management of the Company as the Manager?s sole and exclusive and the Managers may each have other business interests and engage in other activities in addition to those relating to the Company, including trading and investing for her own or related accounts. Neither the Company nor any Member shall have any right pursuant to this Agreement to share or participate in such other business interests or activities or to the income or proceeds derived therefrom. A Manager shall not incur liability to the Company or any Member as a result of engaging in any other business interests or activities. 4.9 Indemni?cation. The Company shall indemnify and hold harmless each Manager and each Member, and may indemnify and hold harmless any agents (including employees) from and against all claims and demands to the maximum extent permitted under the LLCL. 4.10 Resignation. A Manager may resign at any time by giving written notice to the Company. The resignation of a Manager shall take effect upon receipt of such notice or at any later time speci?ed in such notice. Unless otherwise speci?ed in such notice, the acceptance of the resignation shall not be necessary to make it effective. The resignation of a Manager shall not affect the Manager's rights as a Member (if she is a Member) and shall not constitute the withdrawal of a Member. 4.11 Vacancies. Except as otherwise provided in this Article IV, any vacancy occuning for any reason with respect to the Manager may be ?lled by the vote or written consent of Members holding at least a majority of all the Membership Interests. 4.12 Fees, Salaries. etc. Except as otherwise agreed to by the Managers in accordance with Section 4.2, a Manager shall not, in her capacity as Manager, receive any salary or draw for services rendered on behalf of the Company; provided, however, that the Company shall reimburse each Manager for all reasonable and necessary out-of-pocket expenses incurred by her on behalf of the Company. ARTICLE MEETINGS OF NIEMBERS 5.1. Meetings. A meeting of the Members, for any purpose or purposes, may be called by the Managers or any Member or Members holding not less than ?fty percent of the Membership Interests. 5.2 Place of Meetings. Whenever the Members of the Company are required or permitted to take action by vote, a meeting of the Members may be held at any place, within or outside the State of New York, as may be designated in any notice of such meeting or, if not designated, shall be held at the principal of?ce of the Company. Members may participate in the meeting by means of telephone or video conference or other communications device that permits all Members participating in the meeting to hear each other, and participation in a meeting by such means shall constitute presence in person at such meeting. A Member may vote or be present at a meeting either in person or by written proxy. 5.3 Notice of Meeting. Written notice stating the place, day and hour of the meeting, indicating that it is being issued by or at the direction of the person or persons calling the meeting, stating the purpose or purposes for which the meeting is called, shall be delivered no fewer than ten nor more than sixty (60) days before the date of the meeting. 5.4 Record Date. For the purpose of determining the Members entitled to notice of or to vote at any meeting of Members or any adjournment of such meeting, or Members entitled to receive payment of any Distribution, or to make a determination of Members for 9 any other purpose, the date on which notice of the meeting is mailed or the date on which the resolution declaring such Distribution is adopted, as the case may be, shall be the record date for making such a determination. When a determination of Members entitled to vote at any meeting of Members has been made pursuant to this Section 5.4, the determination shall apply to any adjournment of the meeting. 5.5 Quorum. Members holding not less than a majority of all Membership Interests, represented in person or by written proxy, shall constitute a quorum at any meeting of Members. In the absence of a quorum at any meeting of Members, a majority of the Membership Interests so represented may adjourn the meeting from time to tifne for a period not to exceed sixty (60) days without further notice. However, if the adjournment is for more than sixty (60) days, or if after the adjournment a new record date is ?xed for the adjourned meeting, a notice of the adjourned meeting shall be given to' each Member of record entitled to vote at such meeting. At an adjourned meeting at which a quorum shall be present or represented, any business may be transacted that might have been transacted at the meeting as originally noticed. 5.6 Manner of Acting. If a quorum is present at any meeting, the vote or written consent of Members holding not less than a majority of Membership Interests of Members present at the meeting shall be the act of the Members, unless the vote of a greater proportion or number is otherwise required by the LLCL, the Articles of Organization or this Agreement. Members may vote by written proxy. 5.7 Action by Members Without a Meeting. Whenever the Members of the Company are required or permitted to take any action by vote, such action may be taken without a meeting, without prior notice and without a vote, if a consent or consents in writing, setting forth the action so taken shall be signed by the Members who hold the voting interests having not less than the minimum number of votes that would be necessary to authorize or take such action at a meeting at which all of the Members entitled to vote thereon were present and voting and shall be delivered to the principal of?ce of the Company or to the Manager. Delivery made to the principal of?ce of the Company shall be by hand or by certi?ed or registered mail, return receipt requested. Prompt notice of the taking of the action without a meeting by less than unanimous written consent shall be given to each Member who has not consented in writing but who would have been entitled to vote thereon had such action been taken at a meeting. 5.7 Waiver of Notice. Notice of a meeting need not be given to any Member who submits a signed waiver of notice, in person or by written proxy, whether before or after the meeting. The attendance of any Member at a meeting, in person or by written proxy, without protesting prior to the conclusion of the meeting the lack of notice of such meeting, shall constitute awaiver of notice by such Member. 10 ARTICLE VI CAPITAL CONTRIBUTIONS 6.1 Capital Contributions. Each Member has contributed, or shall contribute, capital in an amount proportionate to each member?s interest as set forth on Schedule A to this Agreement. 6.2 Additional Contributions. Except as set forth in Section 6.1 of this Agreement, no Member shall be required to make any additional Capital Contribution. 6.3 Capital Accounts. A Capital Account shall be maintained for each Member. Each Member's Capital Account shall be increased by the value of each Capital Contribution made by the Member. 6.4 De?cit Capital Account. Except as otherwise required in the LLCL or this Agreement, no Member shall have any liability to restore all or any portion of a de?cit balance in a Capital Account. 6.5 Withdrawal or Reduction of Capital Contributions. A Member shall not receive from the Company any portion of a Capital Contribution until all indebtedness, liabilities and obligations of the Company, except any indebtedness, liabilities and obligations to Members on account of their Capital Contributions, have been paid or there remains property of the Company suf?cient, in the discretion of the Managers, to pay them. A Member, irrespective of the nature of the Capital Contribution of such Member, has only the right to demand and receive cash in return for such Capital Contribution. ARTICLE VII ALLOCATIONS AND ELECTIONS 7. Allocations. After giving effect to the allocations described in Sections 7.2 through 7.5, Net Pro?ts for any Fiscal Year shall be allocated as follows: ?rst, to each Member pro rata, according to such Member's Membership Interest until the Net Pro?ts allocated to each Member under this Section equal the aggregate amount of Net Losses allocated to such Member under Section 7.1(b) of this Agreement in all prior periods (net of any prior allocations under this Section and (ii) thereafter, to each Member pro at a according to such Member's Membership Interest. After giving effect to the allocations described in Sections 7.2 through 7 .5, Net Losses for any Fiscal Year shall be allocated as follows: 11 ?rst, to each Member pro rata, according to such Member's Membership Interest until each Member has been allocated Net Losses equal to the Net Pro?ts allocated to such Member underiSection (net of any prior allocations under this Section and (ii) thereafter, to each Member pro rata, according to such Member's Membership Interest. 7.2 Certain Boole-Ups. To the extent an adjustment to the adjusted tax basis of any Company asset pursuant to Code Sections 734(b) or 743(b) is required or (ii) pursuant to Treas. Reg. is permitted to be taken into account in determining Capital Accounts, the amount of such adjustment to the Capital Accounts shall be treated, as provided in Treas. Reg. or Treas. Reg. respectively, as an item of Net Pro?t (if the adjustment increases the basis of the asset) or Net Loss (if the adjustment decreases such basis) and such Net Pro?t or Net Loss shall be speci?cally allocated to the Members in a manner consistent with the manner in which their Capital Accounts are required to be adjusted pursuant to such Sections of the Treasury Regulations. 7.3 Minimum Gain Charge-Back. Notwithstanding any other provision of this Article VII, if there is a net decrease in Minimum Gain during any Fiscal Year, each Member shall ?be specially allocated items of Company income and gain for such Fiscal Year (and, if necessary, subsequent Fiscal Years) in an amount equal to the greater of such Member's share of the net decrease in Minimum Gain or the Adjusted Capital Account De?cit of such Member (determined before any allocation of Company income, gain, loss deduction or Code Section 7 expenditure for such year). The items to be so allocated shall ?rst consist of gains recognized from the disposition of the Company?s assets subject to one or more nonrecourse liabilities of the Company to the extent of the decrease in Minimum Gain attributable to the disposition of such items of property and the remainder shall consist of a pro rata portion of the other items of Company income and gain for that year. 7.4 Quali?ed Income Offset. Notwithstanding anything in this Article VII to the contrary (other than Section 7.3 of this Agreement), in the event any Member unexpectedly receives any adjustments, allocations or distributions described in Treas. Reg. 1.704- (5) or (6), items of Company income and gain (including Gross Income) shall be specially allocated to such Member in an amount and manner suf?cient to eliminate the Adjusted Capital Account De?cit created by such adjustments, allocations or distributions as quickly as possible. This Section 7.4 is intended to comply with the quali?ed income offset requirement in Treas. Reg. and shall be interpreted consistently therewith. 7.5 Curative Allocations. The allocations set forth in Sections 7.2, 7.3 and 7.4 of this Agreement (the "Regulatory Allocations") are intended to comply with certain requirements of Treas. Reg. Notwithstanding any other provisions of this Article VII (other than the Regulatory Allocations), the Regulatory Allocations shall be taken into account in allocating other Net Pro?ts and Net Losses and items of income, gain, loss and 12 deduction among Members so that, to the extent possible, the net amount of such allocations of other Net Pro?ts and Net Losses and other items and the Regulatory Allocations to each Member shall be equal to the net amount that would have been allocated to such Member if the Regulatory Allocations had not occurred. 7.6 Allocations for Tax Purposes. In accordance with Section 704(c) of the Code and the Treasury Regulations thereunder, income, gain, loss, and deduction with respect to any property contributed to the capital of the Company shall, solely for tax purposes, be allocated among the Members so as to take account of any variation between the adjusted basis of such property to the Company for federal income tax purposes and its initial Gross Asset Value. In the event the Gross Asset Value of any Company asset is adjusted pursuant to Section 7.2 of this Agreement, subsequent allocations of income, gain, loss, and deduction with respect to such asset shall take account of any variation between the adjusted basis of such asset for federal income tax purposes and its Gross Asset Value in a manner determined by the Manager and permitted under Section 704(c) of the Code and the Treasury Regulations thereunder. Except as provided in Sections 7.6(a) and of this Agreement, for federal, state and local income tax purposes, the income, gains, losses and deductions of the Company shall, for each taxable period, be allocated among the Members in the same manner and in the same proportion that such items have been allocated among the Members' respective Capital Accounts. 7.7 Company Adjustments. In the event of a transfer of all or any part of the interest of a Member or the distribution of securities or other assets in-kind to a Member, the Managers shall, upon the request of the Member transferring her interest or? receiving a Distribution in- kind, or if no such request is made, the Manager may, but shall not be required to, cause the Company to elect to adjust the basis of the Company assets pursuant to Section 754 of the Code. ARTICLE DISTRIBUTIONS 8.1 Cash Flow Distributions. Cash Flow (including undistributed Cash Flow from prior Fiscal Years) may be distributed to any or all of the Members, and in such amounts (which may be non pro rata), as the Managers may determine, from time to time, in the discretion of the Managers, but consistent with the respective Membership Interests of the Members. 8.2 Tax Distributions. Subject to the Managers? sole discretion to retain amounts necessary to satisfy the Company's obligations, at least ?ve (5) days before each date prescribed by the Code for a calendar-year corporation to pay quarterly installments of estimated tax, the 13 Company shall use commercially reasonable efforts to distribute cash to each Member in proportion to and to the extent of such Member's Quarterly Estimated Tax Amount for the applicable calendar quarter. If the aggregate Distributions made to any Member for any Fiscal Year exceed the actual tax liability at the Assumed Tax Rate in respect of the Net Pro?ts (if any) of the Company allocated to such Member for such Fiscal Year, then, in the discretion of the Managers, such excess amount shall reduce subsequent Distributions that would be made to such Member pursuant to this Section 8.2. If, at any time after the ?nal Quarterly Estimated Tax Amount has been distributed pursuant to this Section 8.2 with respect to any Fiscal Year, the aggregate Distributions to any Member with respect to such Fiscal Year are less than actual tax liability at the Assumed Tax Rate in respect of the Net Pro?ts (if any) of the Company allocated to such Member for such Fiscal Year, the Company shall use commercially reasonable effOrts to distribute, before the 75th day of the next succeeding Fiscal Year, cash in proportion to and to the extent the amount of such Member's shortfall. 8.3 Liability of a Member for Distributions. A Member who receives a Distribution made by the Company in Violation of this Agreement or the LLCL, including a Distribution made when the Company's liabilities exceed its assets (after giving effect to such Distribution), shall be liable to the Company for the amount of such Distribution. ARTICLE IX TAXES 9.1 Tax Returns. The Managers shall cause to be prepared and ?led all necessary federal, state and local income tax returns for the Company. Each Member shall furnish to the Managers all pertinent information in her possession relating to Company operations that is necessary to enable the Company's income tax returns to be prepared and ?led. 9.2 Tax Elections. The Company shall make the following elections on the appropriate tax returns: To adopt the calendar year as the Fiscal Year. To adopt the cash method of accounting and keep the Company's books and records on the income tax method; If a distribution as described in Section 734 of the Code occurs or if a transfer of a Membership Interest described in Section 743 of the Code occurs, upon the written request of any Member, to elect to adjust the basis of the property of the Company pursuant to Section 754 of the Code; To elect to amortize the organizational expenses of the Company and the start- up expenditures of the Company under Section 195 of the Code ratably over a period of sixty months as permitted by Section 709(b) of the Code; and any other election that the Managers may deem appropriate and in the best interest of the Members. Neither the Company nor any Member may make an election for the Company to be excluded from the application of 14 Subchapter of Chapter lof Subtitle A of the Code or any similar provisions of applicable state law, and no provisions of this Agreement shall be interpreted to authorize any such election. ARTICLE TRAN SFERABILITY 10.1 General. Except as set forth in this Agreement, no Member shall gift, sell, assign, pledge, hypothecate, exchange or otherwise transfer to another Person (?Transfer?) any portion of a Membership Interest, provided, however, that any Member shall have the right freely to Transfer her Membership Interest, but only in its entirety, to her spouse, children, or descendants or a trust solely for the bene?t of any of the foregoing ("Family Transferees"). 102 Offer to Acquire. If a Member desires to sell a Membership Interest to another Person other than a Family Transferee, such Member shall obtain from such Person a bona ?de written offer to purchase such Membership Interest, stating the terms and conditions upon which the purchase is to be made. Such Member shall give written noti?cation to the other Members of her intention to sell such Membership Interest and a copy of such bona fide written offer. 103 Right of First Refusal. Each Member other than the Selling Member, on a basis pro rata to the Membership Interests of each Member exercising her right of ?rst refusal, or on any other basis acceptable to the Members entitled to exercise such right, shall have the right to purchase all (but not less than all) of the Membership Interest proposed to be sold by the Selling Member upon the same terms and conditions as stated in the bona ?de written offer by giving written noti?cation to the Selling Member of her intention to do so within sixty (60) days after receiving written notice from the Selling Member. The failure of the Members to so notify the Selling Member'within such sixty-day period of an election to exercise such right of ?rst refusal shall result in the termination of such right of ?rst refusal, and the Selling Member shall be entitled to consummate the sale of her Membership Interest to the Person making the offer to buy pursuant to the same terms set forth in the bona ?de written offer. If the Selling Member does not sell her Membership Interest within thirty (30) days after receiving the right to do so, her right to do so terminates and the terms and conditions of this Section shall again be in effect. 10.4 Closing. If any Member (or Members) gives timely written notice to the Selling Member of her desire to exercise such right of ?rst re?isal and to purchase all of the Selling Member's Membership Interest, offered for sale upon the same terms and conditions as are stated in the written offer, such Member(s) shall have the right to designate the time, date and place of closing within one hundred twenty (120) days after receipt of written noti?cation from the Selling Member of the bona ?de offer. 105 Transferee Not a Member. No Person acquiring a Membership Interest pursuant to this Article or otherwise, other than a Member, and other than a Family Transferee, shall become a Member, unless such Person is approved by the vote or written consent of Members holding at least a majority of Membership Interests. Any such approval may be subject to any terms and conditions imposed by such Members. If no such approval is obtained, such 15 Person's Membership Interest shall only entitle such Person to receive the Distributions and allocations of pro?ts and losses to which the Member from whom such Person received such Membership Interest would be entitled. Family Transferees shall be entitled to become Members, unless they are legally disquali?ed ?'om becoming Members. Any Person, other than a Member, acquiring a Membership Interest pursuant to this Article or otherwise must, as a condition to such acquisition, agree in writing, in form and substance satisfactory to the Managers, to be a party to and bound by the terms and conditions of this Agreement. 106 Effective Date. Any acquisition of a Membership Interest or admission of a Member pursuant to this Article 10 shall be deemed effective as of the last day of the calendar month in which such acquisition or admission occurs. 10.7 Maintaining MWBE Quali?cation. Notwithstanding any other provision of this Article X, no Transfer of any Membership Interest, in whole or in part, shall be authorized, consummated or deemed effective if such Transfer would cause the Company to cease to qualify as a minority- and/or women-owned business enterprise under Article 15-A of the Executive Law of the State of New York, unless the Members shall have unanimously consented to such Transfer in a writing acknowledging that the Company will (or may) cease to be quali?ed as a MWBE as a result of such Transfer. ARTICLE XI ACCOUNTING 11.1 Books. The Managers shall keep or cause to be kept full and true books of account and such additional records required to be maintained pursuant to Section 1102 of the LLCL. Such books of account shall at all times be maintained at the principal of?ce of the Company and shall be open to the inspection and examination of the Members, at reasonable intervals, upon reasonable notice and at reasonable hours of the business day for any purposes reasonably related to a Member's interest as a Member of the Company. 11.2 Annual Statements. Annual statements of the Company's gross receipts and operating expenses as prepared by the Company?s accountants within a reasonable period of time after the close of each Fiscal Year, shall be transmitted to each of the Members and a report shall be transmitted to each Member setting forth her share of the pro?t or loss of the Company for such year for income tax purposes. 11.3 Funds of the Company. All funds of the Company are to be deposited in the Company's name in such bank account or accounts as shall be designated by the Managers. Withdrawals from any such bank account or accounts shall be made upon such signature or signatures as the Managers may designate. anagers may be authorized signatories on such accounts. 16 ARTICLE XII DISSOLUTION 12.1 Dissolution. The Company shall be dissolved and its affairs shall be wound up upon the ?rst to occur of the following: The date on which the Company is required to dissolve under this Agreement or the or The vote or written consent of Members holding at least a majority of the Membership Interests of all Members; or The bankruptcy, death, dissolution, expulsion, incapacity or withdrawal of any Member or the occurrence of any other event that terminates the continued membership of any Member, unless within one hundred twenty (120) days after such event the Company is continued by the vote or written consent of Members holding a majority in Membership Interests of all of the remaining Members. 12.2 Winding Up. Upon the dissolution of the Company the Managers may, in the name of and for and on behalf of the Company, prosecute and defend suits, whether civil, criminal or administrative, sell or close the Company's business, dispose of and convey the Company's property, discharge the Company's liabilities and distribute to the Members any remaining assets of the Company, all without affecting the liability of Members. Upon winding up of the Company, the assets shall be distributed as follows: To creditors, including any Member who is a creditor, to the extent permitted by law, in satisfaction of liabilities of the Company, whether by payment or by establishment of adequate reserves, other than liabilities for distributions to Members under Section 507 or Section 509 of the To Members and former Members in satisfaction of liabilities for distributions under Section 507 or Section 509 of the and To Members pro rata in accordance with their respective Membership Interests. 12.3 Articles of Dissolution. ?Within ninety (90) days following the dissolution and the commencement of winding up of the Company, or at any other time there are no Members, articles of dissolution shall be ?led with the New York Secretary of State pursuant to the LLCL. 12.4 De?cit Capital Account. Upon a liquidation of the Company within the meaning of Section of the Treasury Regulations, if any Member has a De?cit Capital Account (after giving effect to all contributions, Distributions, allocations and other adjustments for all Fiscal Years, including the Fiscal Year in which such liquidation occurs),- 17 the Member shall have no obligation to make any Capital Contribution, and the negative balance of any Capital Account shall not be considered a debt owed by the Member to the Company or to any other Person for any purpose. 12.5 Nonrecourse to Other Members. Except as provided by applicable law or as expressly provided in this Agreement, upon dissolution, each Member shall receive areturn of her respective Capital Account solely from the assets of the Company. If the assets of the Company remaining after the payment or discharge of the debts and liabilities of the Company are insuf?cient to return the full value of the Capital Account of any Member, such Member shall have no recourse against any other Member. 12.6 Termination. Upon completion of the dissolution, winding up, liquidation, and distribution of the assets of the Company, the Company shall be deemed terminated. ARTICLE GENERAL PROVISIONS 13.1 Notices. Any notice, demand or other communication required or permitted to be given pursuant to this Agreement shall have been suf?ciently given for all purposes if delivered personally to the party or if not a natural person, to an executive of?cer of the party to whom such notice, demand or other communication is directed or sent by registered or certi?ed mail, postage prepaid, or by Federal Express, DHL, UPS or other recognized courier service addressed to the Member or the Company, as the case may be, at her or its address set forth in this Agreement. Except as otherwise provided in this Agreement, any such notice shall be deemed to be given when delivered, or if mailed, ?ve (5) business days after the date on which it was deposited in a regularly maintained receptacle for the deposit of United States mail, addressed and sent as set forth in this Section, or if by courier service, ten (10) days after delivery to such courier service. 13.2 Amendments. This Agreement contains the entire agreement among the Members with respect to the subject matter of this Agreement, and supersedes each course of conduct previously pursued or acquiesced in, and each oral agreement and representation previously made by the Members with respect thereto, whether or not relied or acted upon. No course of performance or other conduct subsequently pursued or acquiesced in, and no oral agreement or representation subsequently made, by the Members, whether or not relied or acted upon, and no usage of trade, whether or not relied or acted upon, shall amend this Agreement or impair or otherwise affect any Member's obligations pursuant to this Agreement or any rights and remedies of a Member pursuant to this Agreement. No amendment to this Agreement shall be effective unless made in a writing duly executed by all Members and speci?cally referring to each provision of this Agreement being amended. 13.3 Construction. Whenever the singular number is used in this Agreement and when required by the context, the same shall include the plural and vice versa, and the feminine gender shall include the masculine and neuter genders and vice versa. When used in this Agreement, the 18 words "include," "includes" and "including" shall be deemed to be followed by the words "without limitation." 13.4 Headings. The headings in this Agreement are for convenience only and shall not be used to interpret or construe any provision of this Agreement. 13.5 Waiver. No failure of a Member to exercise, and no delay by a Member in exercising, any right or remedy under this Agreement shall constitute a waiver of such right or remedy. No waiver by a Member of any such right or remedy under this Agreement shall be effective unless made in a writing duly executed by all Members and speci?cally referring to each such right or remedy being waived. 13.6 Severability. Whenever possible, each provision of this Agreement shall be interpreted insuch a manner as to be effective and valid under applicable law. However, if any provision of this Agreement shall be prohibited by or invalid under such law, it shall be deemed modi?ed to conform to the minimum requirements of such law or, if for any reason it is not deemed so modi?ed, it shall be prohibited or invalid only to the extent of such prohibition or invalidity without the remainder thereof or any other such provision being prohibited or invalid. 13.7 Binding. This Agreement shall be binding upon and inure to the bene?t of all Members, and each of the heirs, executors, administrators, personal representatives, successors or assigns of the Members, except that rights or obligations of a Member under this Agreement may not be assigned by such Member to another Person other than in connection with the Transfer, in whole or in part, of her Membership Interest in the Company. 13.8 Counterparts. This Agreement may be executed in several counterparts, each of which shall be deemed an original and all of which taken together shall constitute one and the same instrument. 13.9 Governing Law. This Agreement shall be governed by, and interpreted and construed in accordance with, the laws of the State of New York, without regard to principles of con?ict of laws. [Signature page follows] 19 EXECUTION IN WITNESS WHEREOF, the Members have executed this Agreement as of the date ?rst above written. 335?\ Jo . Peckham Gregory D. Peckham Keeley M. Peckham M932 Hillary Weckham 20 i?l'lUN IN the Members have this Agreement as or the dallc lirsl above written. John D. (irego . Keeley M. Hillary A. l?cckham 20 EXECUTION IN WITNESS WHEREOF, theMembers have executed this Agreement as of the date ?rst above written. John D. Peckham Gregory D. Peckham ??exNIgeeley M. Peckham Hillary A. Peckham 20 SCHEDULE A MEMBERS SCHEDULE Member Name Membership Interest HILLARY A.PECKHAM KEELEY M. PECKHAM JOHN D. PECKHAM GREGORY D. PECKHAM Total: 1 00% 21 .gov "em A4)pr for New EIN Exit 0 Your Progress: 0 1. Identity 0 2. Authenticate 3.Addresses 4. Details 0 5. EIN Con?rmation Congratulations! The EIN has been successfully assigned. EIN Assigned: Legal Name: ETAIN The con?rmation letter will be mailed to the applicant. This letter will be the applicant's of?cial IRS notice and will contain important information regarding the EIN. Allow up to 4 weeks for the letter to arrive by mail. We strongly recommend you print this page for your records. Click "Continue" to get additional information about using the new EIN. Continue Help Topics 0 Can the MN lieu?sod before the con?rmation letter is lit); 2m Lillie; ATTACHMENT LABOR PEACE AGREEMENT JACK CAFFEY JR. DEBRA BOLLBACH Executive Vice President Recorder Local 338 JOHN R. DURSO JOSEPH FONTANO President Secretory-Treasurer ?33 .l ansu/urcw Howard Zucker Commissioner New York State Department of Health Corning Tower Empire State Plaza Albany, New York 12237 May 26, 2015 Re: Labor Peace Agreement between Local 338, and ETAIN, LLC Dear Commissioner Zucker, Local 338, CW ("Local 338") is a labor organization, as de?ned in 29 U.S.C. 402(i) and 29 U.S.C. 152(5), representing close to 20,000 employees in New York State and its environs. The enclosed document entitled, Neutrality Agreement, is intended in part to satisfy and comply with the requirement, under the New York Public Health Law, that an applicant (ETAIN, LLC) seeking a license to conduct business relating to the use of medical marijuana in New York State submit proof that it has entered into a labor peace agreement with a bona??de labor organization that is actively engaged in representing or attempting to represent the applicant's employees. See Public Health Law 3360(14), and 3365(7). The Neutrality Agreement contains explicit language which protects the State's proprietary interests by prohibiting Local 338 from engaging in picketing, work stoppages, boycotts, and any other economic interference with the business of an entity licensed to engage in the business relating to the use of medical marijuana in New York State. Should any changes in the Neutrality Agreement be necessary for an applicant to comply with the Public Health Law, please feel free to communicate with us directly. Thank you for your consideration. Sincer ly, seph Fontano ecretary-Treasurer Our Mission: To Better The Lives Of Our Members And All Working People. 1505 Kellum Place - Mlneola, NY 11501 (516) 294-1338 0 NEUTRALITY AGREEMENT BY AND BETWEEN ETAIN LLC All LOCAL 338, By this Agreement dated Mayl 2015, Etain, LLC (the ?Employer?) and Local 338, 1505 Kellum Place, Mineola, New York (the ?Union?) (and collectively the ?parties?) hereby establish the following procedure to address the Union?s efforts to organize employees in any existing or new facility owned or operated by the Employer in which the employees are not represented by a labor organization: 1. The term, "employees," used herein shall include all full time and part-time employees, including, but not limited to, pharmacists, pharmacy technicians, dispensaries, consultants, drivers, growers, retail, manufacturers, trimmers, and anyone else performing work for or on behalf of the Employer, and shall exclude only those who are statutorily excluded by the National Labor Relations Act I 2. Within ten (10) days after receiving written notice of the Union?s intent to organize the employees, the Employer agrees to furnish the Union with a complete list of employees in the shop designated in the notice, including job classi?cations, departments, street addresses, telephone numbers and e-mail addresses. The Employer agrees to thereafter provide updated lists as reasonably requested. The Employer waives the right under the NLRA to ?le any petition with the National Labor Relations Board for any election in connection with the invocation of this Agreement and agrees to refrain from directly or indirectly supporting any such petition. 3. The Employer agrees to take a neutral approach to unionization of employees. Neutrality means that the Employer will neither help nor hinder the Union's organizing effort by, for example, directly or indirectly demeaning by word or deed the Union or its representatives, or directly or indirectly supporting or assisting in any way any person or group who may oppose the Union. The Employer agrees not to communicate to any employee that it disfavors the Union or the signing of authorization cards, or that they may suffer adverse consequences for supporting the Union or signing cards. The Employer also agrees that it, and its managers, supervisors and other representatives will refer to the Union by name and not as ?third party,? ?outsider? or in similar manner. The parties will conduct themselves with mutual respect for each other during any organizing effort. 4. During organizing efforts, the Employer?s managers, supervisors and other representatives will remain neutral and will refrain from communicating with employees about how they should respond to the Union. The Employer agrees to inform all of its managers, supervisors and representatives of this obligation and that the Employer has no objection to employees supporting the Union or engaging in union activities, including meeting with Union representatives or signing authorization cards. The Employer will take reasonable action to terminate any violation of this provision and immediately act to discourage any additional violation, including disciplining any manager or supervisor or including terminating {01055514} {01055514} 1 114106 its relationship with any independent contractor representative who violates it. For purposes of this paragraph, ?independent contractor representative? shall mean a manager, supervisor or of?cer of such contractor but shall not include any employee or laborer. The Employer agrees to take prompt action to mitigate the effects of any violation, including informing employees of the Employer's position on organizing and the rights of employees to organize. 5. The Employer agrees to permit Union representatives access to the workplace to communicate with employees, including through the distribution of materials. Union representatives will not disrupt the Employer's operations or unreasonably interfere with employee production. At no time will the Union hold group meetings (3 or more employees) during work hours without Employer?s consent. 6. The facility's highest level manager will meet with and tell employees that the Employer has no objection to employees meeting with Union representatives, supporting the Union or signing authorization cards. That manager will also tell employees that the Employer is neutral in their selection of union representation. 7. If the Union provides evidence in support of its claim that a majority of employees have designated the Union as their collective bargaining representative, the Employer will recognize the Union as such representative of the employees in the bargaining unit described in the Union's notice invoking this provision and will extend this Agreement to them. 8. If both the Union and the Employer mutually agree that additional Agreement provisions are necessary for the new unit or if the National Labor Relations Board or a court determines that the parties may not lawfully extend this Agreement to the unit, the parties agree to bargain in good faith over a collective bargaining agreement to cover the employees. The parties agree to commence bargaining within 20 business days from the date the neutral veri?es the Union's majority. If they are unable to agree to a collective bargaining agreement, the parties agree to submit all open provisions and issues to ?nal and binding interest arbitration. If they are unable to select an arbitrator, the parties shall select an arbitrator to set the open provisions and resolve any other issues in accordance with the procedures of this Agreement's arbitration 9. The parties agree to resolve any dispute over the interpretation of any prevision of this Agreement through expedited arbitration. The parties will invoke expedited arbitration by requesting an arbitrators list from the American Arbitration Association. Within 10 days of receiving arbitrators' list, the parties will submit their struck lists to the The parties agree that will follow its labor arbitration rules to select an arbitrator based on the list or lists the parties submit. The will strictly apply its rule requiring struck lists to be timely submitted in accordance with this provision. The arbitrator will hear the dispute on either the ?rst or second date the arbitrator is available and issue an award within 20 days thereafter. The parties will equally share the arbitrator's fees and costs. 10. The parties agree that the arbitrator has the authority to direct the breaching party to speci?cally perform its obligations under this provision. The arbitrator may award a penalty of up to $10,000 for willful breaches. A willful breach is one that clearly violates this Agreement {01055514} {01055514} 2 114106 and for which remediation was not undertaken within a reasonable period of time after the aggrieved party provided notice of it to the violating party. The parties consent to the entry of the arbitrator" award as the order of judgment of a United States District Court, without notice. 1 l. The Union and the Employer recognize that this Agreement is in their mutual best interests and therefore agree to prevent evasion of the terms of this Agreement through the use of contractors and/or subcontractors. To comply with the spirit of this Agreement, the Employer shall, as a condition of its relationship with any contractor and/or subcontractor require that: the contractor and/or subcontractor enter into a neutrality agreement with the Union; and immediately notify the Union when seeking to form a business relationship with the contractor and/or subcontractor. 12. Labor Peace Agreement: In the event that Local 338 attempts to organize the Employer?s employees or actually represents the Employer?s employees at any particular location, then Local 338 hereby promises that it will not at any time covered by this agreement engage in any picketing, work stoppages, boycotts or any other economic interference with the Employer?s business at that location, provided the employer has not violated any of the terms of this agreement. IN WITNESS WHEREOF, the parties have caused this Agreement to be executed this day of May, 2015, by their duly authorized representatives. ETAIN, LLC "1 A Date: ?Ll l5 Name: Joseph Fontano Name: Hillary Peckham Title: Secretary-Treasurer Title: Managing Member Witness: Witness: 4 . 46/: ?54?me 4844-1343-1324, v. 1 {01055514} {01055514} 3 114106 ATTACHMENT STATEMENT OF BUSINESS TRANSACTIONS ATTACHMENT STATEMENT OF BUSINESS TRANSACTIONS CONNECTED WITH THE APPLICATION This Statement of Business Transactions sets forth the elements and details of Etain, transactions connected with preparing its Registered Organization Application. Redacted pursuant to NY. Public Officers Law, Art. 6 Etain, LLC 1 Attachment Statement of Business Transactions The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 'E?tain, LLC 2 Attachment Statement of Business Transactions The material on this page is requested to be exempt ?'om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 3 Attachment Statement of Business Transactions The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (I) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Etain, LLC 4 Attachment Statement of Business Transactions The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 5 Attachment Statement of Business Transactions The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) 6) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 6 Attachment Statement of Business Transactions Hie material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 7 Attachment Statement of Business Transactions The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 8 Attachment Statement of Business Transactions The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (0 and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Officers Law, Art. 6 Etain, LLC 9 Attachment Statement of Business Transactions The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information ATTACHMENT SECURITY PLAN ATTACHMENT - ETAIN SECURITY PLAN Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain. LLC 1 Attachment Security Plan The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/0r would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 2 Attachment [1 Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 3 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (6), and/0r would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 4 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (9 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 5 Attachment Security Plan The material on this page is requested to be exempt ?'om disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 6 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 7 Attachment Security Plan The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 8 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 9 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 10 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) (0 and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 1 1 Attachment Securin Plan The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 12 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 13 Attachment Security Plan We material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public O?icers Law Section 87(2) (0 and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 14 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (0 and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 15 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical in?astructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain. LLC 16 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public O?icers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 17 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (I) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain. LLC 18 Attachment Security Plan The material on this page is requested to be exempt ??om disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 19 Attachment Security Plan The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public Of?cers Law Section 87(2) (7) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 20 Attachment Security Plan The material on this page is requested to be exempt ?om disclosure under FOIL pursuant to Public Officers Law Section 87(2) (0), and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, An. 6 Etain, LLC 21 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers Law Section 87(2) and/or would disclose critical infrastructure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 Etain, LLC 22 Attachment Security Plan The material on this page is requested to be exempt from disclosure under FOIL pursuant to Public Officers law Section 87(2) (0), and/or would disclose critical infrastructure information. ATTACHMENT I GAAP FINANCIALS ETAIN, LLC (A Limited Liability Company) Financial Statements and Independent Accountant's Compilation Report December 19, 2014 (Inception) through May 15, 2015 Elam LLC The material on this page is requested (a be exempt from disclosure under FOIL pursuant to AllaChmem 1 Public O?icers Law Section 87(2) and/0r would disclose critical in?'astructure information. GAAP FinanCialS Redacted pursuant to NY. Public Of?cers Law, Art. 6 E?am- LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to AllaChme?" I Public O?kers Law Section 87(2) (0). and/or would disclose critical infrasiniciure information. Redacted pursuant to NY. Public Of?cers Law, Art. 6 DM- lhe material on this page is requested to be exempt jrom disclosure under FOIL pursuant to Niammem I Public O?icers Law Section 87(2) and/or would disclose critical infrastructure idonnation, 01414 Finan?'ais Redacted pursuant to NY. Public Of?cers Law, Art. 6 Elam. LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Alfm?hme?" Public Of?cers Law Section 87(2) and/0r would disclose critical m?astructure GIMP F'l'llanc?ials Redacted pursuant to NY. Public Of?cers Law, Art. 6 ?am 144- The material on this page is requested to be exempt from disclosure under FOIL pursuant to AllaChmen! 1 Public Of?cers Law Section 87(2) (6). (1) and/or would disclose critical infrastructure information. GAAP Financials Redacted pursuant to NY. Public Of?cers Law, Art. 6 MA- the material on this page is requested to be exempt/ram disclosure under pursuant to Millwmem I Public O?i?cers Law Section 87(2) (I) and/0r would disclose Critical infrastructure information. (MAP Fmam?ia/S Redacted pursuant to NY. Public Of?cers Law, Art. 6 5mm LLC The material on this page is requested to be exempt from disclosure under FOIL pursuant to Allac?hmem I Public O?icers Law Section 87(2) (I) and/0r would disclose critical infrastructure information. 0AA Redacted pursuant to NY. Public Of?cers Law, Art. 6 r?ublu: Ujjlcers Law becllon am; (6). (I) and/0r would disclose crmcal infrastruclure mjormalion U/i?f? l?ma'lClaIS Redacted pursuant to NY. Public Of?cers Law, Art. 6 Publrc Ujjlcers Law .becllon 0) and/or would disclose critical mjormanon I'lmnc?lals Redacted pursuant to NY. Public Of?cers Law, Art. 6 I?ubnc (/jjrcers Law Secnon (1) and/or would critical Infrastructure mjormalron. I?l'lam?lals ATTACHMENT STAFFING PLAN ATTACHMENT - STAFFING PLAN INTRODUCTION PART 1- MANAGEMENT OVERVIEW Etain Board of Advisors (also referred to as Board of Directors) Executive Management Team PART II - MANAGEMENT STAFF Pharmaceutical Management Community Relations Management General Management Production/Manufacturing Management Cultivation Management Director of Security PART - EXISTING STAFF POSITIONS JOB DESCRIPTIONS Pharmacists Production Manufacturing Manager Quality Assurance Of?cer Master Marijuana Cultivator (Grower) Cultivation Manager Director of Security Customer Service and Community Relations Manager PART IV-PROPOSED STAFF JOB DESCRIPTIONS President Medical Director Inventory Agent Dispensary General Manager IT Manager HR Manager Dispensing Agent Laboratory Technician Sanitation and Waste Manager Sanitation Assistant Packers Mother/Clone/Vegetation Managers OR Mother/Clone/Manager Vegetation Manager Gardener Cultivation Assistants Etain, LLC 1 Attachment Star?ng Plan Extraction Specialist Laboratory Technician Trimming Manager Trimmers Manual Laborers Electrical/Mechanical/ System Engineers Order Ful?llment Director PART STAFFING TIMELINE PART VI- HIRING PROCESS Hiring Protocols Recordkeeping Training Performance Evaluations Disciplinary Actions Employment Contracts PART VII- HUMAN RESOURCES GENERAL POLICIES Recruitment and Hiring Labor Agreement Equal Employment Opportunity Harassment Policy Compensation Employee Bene?ts Performance Appraisals and Evaluations Fair and Ethical Conduct Open Door Policy Job Training PART ATTACHMENTS Etaz'n, LLC 2 Attachment Sur?ng Plan INTRODUCTION As required under Etain submits this staf?ng plan, which outlines all positions that will be involved in activities related to the cultivation, manufacturing, and dispensing of medical marijuana, or having oversight thereof. Please also refer to the Etain LLC Organizational Chart provided herein. As directed by NYSDOH, Etain has identi?ed positions already staffed as well as currently vacant positions which are staff that will be hired if Etain is granted a registration by NYSDOH. As required under Etain affirmatively states that: 0 all Etain staff will be twenty-one (21) years of age or older, 0 all staff involved in manufacturing will be trained in and conform to good general sanitary practices, and 0 at no time shall Etain employ anyone who would come into contact with or handle medical marijuana who has been convicted of any felony of sale or possession of drugs, narcotics or controlled substances in accordance with NY State law. Pursuant to Etain identi?es Underwood as its senior staff member, who has over 15 years of experience in good agricultural practices Pursuant to Etain identi?es Crispin Ginn as its quality assurance of?cer with over 20 years of experience who shall exercise oversight of Etian?s practices and procedures. Below are brief biographies of Etain?s Board members, management and senior staff members. Job descriptions for existing managers, senior staff and for anticipated hires are found in Parts and IV of this Staf?ng Plan. Also included herein is Etain?s staffing timeline, training requirements, and human resource policies. While not speci?cally required to be submitted, Etain is also providing with this Application, its Employee Manual and Employee Code of Conduct in the Supplemental Exhibits. Etain, LLC 3 Attachment Staf?ng Plan PART I - MANAGEMENT OVERVIEW Etain Board of Advisors (also referred to as Board of Directors) The following are members of Etain?s Board of Advisors, who will be responsible for overseeing and guiding Etain?s Executive Management Team. Brian Saltzman, M.D. Brian R. Saltzman MD. is an internist in private practice in Manhattan, with a subspecialty in Infectious Diseases, and additional training in Medical Oncology. A Dr. Saltzman was at the epicenter of the AIDS epidemic in 1981 when he graduated medical school from New York University. During his residency and fellowship in Infectious Diseases at Monte?ore Medical Center in the Bronx, he published seminal research, in collaboration with the National Centers for Disease Control, on the lack of household transmission of HIV, heterosexual transmission of HIV, and clinical and survival differences among different demographic and risk populations. He has also been involved in clinical drug trials. In the early 2000's, Saltzman Dr. Saltzman's experience in the use of medical marijuana has been with the pharmaceutical preparation known as dronabinol (a man-made form of marijuana), used in patients with AIDS- related anorexia and wasting, and for treatment of chemotherapy-induced nausea and vomiting. As a pioneer in AIDS research, Dr. Saltzman learned to conduct clinical research on a limited budget, and sees many similarities between the early years of the AIDS epidemic and the emerging use of medical marijuana. He recognizes that, while there is anecdotal evidence of the bene?ts of medical marijuana, there is a need for continuing well-designed prospective scienti?c trials evaluating its use. Dr. Saltzman will continue his research in overseeing the design and conduct of rigorous clinical and epidemiologic research in the emerging ?eld of medical marijuana use. Sandy Choi, Esq. Sandy Choi will direct regulatory compliance and training for Etain employees. Sandy Choi attended the State University of New York at Binghamton where she received a Bachelor of Arts in English Literature. She has also earned a Juris Doctor from Pace Law School. She has spent Etain, 4 i mAilachmem S'Iq?ing Plan the majority of her life - and working in New York and is an attorney licensed to practice in New York and New Jersey. She is currently employed by ?a her are as an attorney for of the she investigates and evaluates potential exposure under commercial general liability policies for various commercial entities. Her strong analytical and organizational skills along with excellent communication, negotiation and investigation skills are valuable and germane to all facets of Etain?s business plan, particularly risk management and compliance. Jazmin Hupp Jazmin Hupp is the and _a ?saa is also the af? Because of her work in the marijuana industry, Ms. Hupp has recently been awarded by Forbes Magazine the title as one of the ?Leading Women in the Marijuana Industry.? Prior to entering the marijuana industry, Ms. Ilupp launched in - During her tenure, the brand expanded its reach from the I Flam. 1,11" 3 7 I Plan Benjamin Blum Benjamin Blum has over ?ve years of experience in the biotech and pharmaceutical industries, and is actively involved in the development of protein therapeutics. While working for - Mr. Blum authored CMC sections of submissions to the FDA, supervised technology transfer for the GMP production of biologics, and performed research on the engineering and analysis of several protein therapeutic candidates, spanning multiple technology platforms. Mr. Blum also worked on implementing data tracking systems, is an inventor of two patent applications, and has general management experience for a local not-for-pro?t organization. Charles Yurgalevitch Charles Yurgalevitch, Director at the School of Professional Horticulture at the New York Botanical Gardens will guide Etain on the best cultivation methods and training resources for employees. As Team Leader of the Mobile Irrigation Lab, Mr. Yurgalevitch led the Mobile Irrigation Labs around the State to standardize how irrigation evaluations were to be conducted and reported. At the University of Florida?s Miami-Dade Cooperative Extension Service, Mr. Yurgalevitch was the ?rst extension agent in the State to create and teach workshops to landscape architects about plants. Mr. Yurgalevitch is a highly competent, motivated and enthusiastic administrator with experience in working as part of a team in a busy of?ce enviromnent. Besides being responsible for the day-to-day operations of the School of Professional Horticulture, he guides students with special group projects, plant studies, reviews, and ?eld trips. He also coordinates with the School's Advisory Board, which is comprised of instructors, education and horticulture staff, and representatives from horticultural businesses, to periodically meet and review school policies and curriculum. Additionally he is responsible for compliance with NY State Education Department's Bureau of Proprietary School Supervision, the Accrediting Council for Continuing Education Training, the US. Department of Veterans Affairs, and serves as the School's Primary Designated Of?cial (PDO) with the US. Department of Education and the US. Department of Homeland Security. His international experience includes working with grain and vegetable farmers in M?xico and working on a vineyard in Tuscany, Italy. Monica Lombardo, MBA Monica Lombardo is currently a Etain, I I 6 luA/lachmge-hrJ? Staffing Plan bring her ?nancial acumen and human resources experience to Etain?s management team. Rachel Speegle, R.N., MSN Rachel Speeglc manages the medical marijuana dispensary operations of the a Ms. Speegle?s medical background allows her to also provide patient guidance for the safe use of medical marijuana. Ms. Speeglc holds a Bachelor?s Degree in chemistry and, together with her managerial and educational experience, she has been an invaluable asset to the - For example, she developed an exclusive inventory tracking system, and implemented Quality Control measures in the production process Ms. Speegle also lobbies for public health causes and health-care reform, an example of her personal passion and commitment to the health industry Beyond Ms. Speegle?s commitment to patient care, she is a generous supporter and volunteer to numerous organizations providing emergency care, such as providing massage therapy for women in shelters who were victims of sexual abuse. She brings scienti?c and medical experience, in addition to her personal commitment to compassionate care into the emerging field of medical marijuana, and will effectively guide Etain in its business development. Main, 7 A {luchmeln .1 Staf?ng I?lun Executive Management Team Collectively, the Executive Management Team will oversee all Corporate Governance responsibilities including: Etain?s day-to?day operations, either directly or through subordinates; Operational strategies and policies; Fiduciary matters; Human resources; Information technology; and Corporate compliance. Reporting to the Board of Directors is Etain?s Executive Management Team: Amy K. Peckham, Chief Executive Of?cer (CEO) Richard R. Levine, CPA, Chief Financial Officer (CFO) Keeley M. Peckham, Chief Horticulture Of?cer (CHO) Hillary Anne Peckham, Chief Operations Of?cer (COO) Joseph Stevens, Chief Compliance Of?cer (CCO) Chief Executive Of?cer Amy K. Peckham (CEO) is speci?cally charged with overseeing Etain, LLC and will speci?cally focus day-to-day concerns for Community Relations and Marketing. Ms. Peckham attended Catholic University in Washington, DC, and received her bachelor?s degree from Iona College, in New Rochelle, New York. Her extensive experience includes 15 years as a paralegal, and homing and responsibilities in _s where she is responsible for policy, strategic planning and strategic plan implementation; oversight and management of land use, public relations, ?nancing, capitalization, regulatory compliance, crisis management and succession planning activities. She holds similar corporate and management positions with Ms. Peckham will direct a unique program in Etain, where employees will be offered the opportunity to join the Foundation Grants committee so that they will be able to choose and direct gifting to community programs. Etain. I I 8 AllachmenlJ Staling Plan Chief Financial Of?cer Richard R. Levine, CPA (CFO), received his master?s degree in accounting from SUNY Albany. He is a certi?ed public accountant licensed with the New York State Department of Education. He has 29 years of experience as an accountant, and is a partner with- As cro, Mr. Levine will develop and implement strategies, practices and policies to address the ?nancial and accounting requirements for Etain. He will perform highly specialized accounting operations, functional analyses and ?nancial reporting, and summarizing and evaluating the output and analyses of accounting professionals in developing consolidated views of ?nancial results/position. This will entail preparing and reviewing consolidated ?nancial statements and accompanying analyses in accordance with IRS regulations and GAAP. In addition, he will analyze trends, provide ?nancial forecasts and identify potential problems and performance exposures. He will conduct thorough research and work with external accountants, as needed. In his position, he will be resolving technical accounting issues, as well as formulating accounting practices and standard procedures. Among his other duties are designing and preparing required consolidated disclosures as well as developing and recommending necessary changes to schedules, notes and other disclosures consistent with changes in business operations. Chief Horticulture Of?cer Keeley M. Peckham (CHO), is a NYBG Certi?ed Horticultural Therapist with formal business training from Tulane University. She will direct all aspects of cultivation, including plant inventory. Ms. Peckham will oversee all cultivation activities, following all seed-to-harvest protocols. Together with premier horticultural experts like Charles Yurglavich, Director of Horticultural Education at the NYBG, Lee Mandell, hydroponic systems expert and educator, and Master Grower Michael Leigh, the Etain team will implement leading proprietary methodologies for cultivation and revolutionary horticultural technology within Etain?s operations. These efforts will be enhanced through professional relationships with noted physicist William ohn-Pier Duhe. MS- Peckham is a? Through that experience she has acute awareness of the rigors of regulatory compliance in a Against this backdrop, Ms. Peckham together with the Etain executive team, are committed to the mission and vision of making new marijuana-based therapies available to those suffering from debilitating diseases. All Etain staff will employ this philosophy to produce the best plants and products possible, starting with Etain's ?Green Team.? Under Ms. Keeley?s leadership, Etain will set the standard for medical-grade marijuana product uniformity, quality and safety. HailiLC 7 Aliza/1mm] Staf?ng Plan Chief Operations Officer Hillary Anne Peckham (COO) will supervise Human Resources, Dispensary Operations, Patient Education, Extraction, Formulation, and Production. Utilizing her business administration education and hands-on experience, Ms. Peckham has established relationships with premier marijuana experts such as Scott Van Rixel, CEO of the Jazmin Hupp and Melissa Meyer of and Rachel Speegle, COO of the She has been at the forefront of evolving Etain's strategic planning efforts, and leveraging marijuana- industry relationships to secure Etain's exclusive access to proprietary best practices and top talent. She has further spearheaded Etain's community outreach efforts by advancing the company's vision and mission throughout the State and obtaining endorsements from municipal officials where Etain intends to locate facilities. Her involvement in her that has been in existence for nearly a century, and has been recognized for its commitment to excellence, has galvanized her corresponding commitment to make new marijuana therapies available in New York State through innovation and industry-speci?c competitive advantages. Chief Compliance Officer Joseph Stevens (CCO) will be responsible for Security, Regulatory Compliance, and Inventory. Mr. Stevens is a pioneer in the east coast medical marijuana industry. Mr. Stevens single handedly navigated through highly complex and restrictive Compassionate Use of Medicinal Marijuana Act (- Marijuana Act) and its implementing regulations, opening in December 2012, the ?rst operational facility in the state. He worked hand in hand with the. Department of Health and Senior Services to meet the stringent state compliance requirements that included security, inventory management, risk assessment, personnel management, cultivation procedures, and safe patient access. He assisted the Department of Health in establishing laboratory testing including the development of protocol for isolating and identifying quantities of THC, HC-A and which set the standard for the remaining licensees to meet in order to become fully approved and operational. Mr. Stevens is regarded for his vigorous leadership on behalf of the industry in challenging the . elected of?cials and agency leaders to develop and implement the I Marijuana Act program, making him highly sought out by applicants in other states wishing to open similar facilities. Joseph consulted fo? to assist with their marijuana production pomp application. -wos oo_? Etain. I 10 Aflachmenl .8741}ng Plan in January 2014. He has also provided consulting services in for - Mr. Stevens has donated countless hours to working with parents of children with autism and seizure disorders who are interested in CBD treatment. He has also consulted with many elected of?cials and regulatory personnel in New York, Delaware, and Oregon to provide insight into the application processes, development of rules and regulations, and compliance matters as they relate to the introduction of state marijuana programs. PART II - MANAGEMENT STAFF PHARMACEUTICAL MANAGEMENT The Pharmacists will oversee dispensing medical marijuana to patients and caregivers, and will review daily inventory reports to ensure product sales and current inventories reconcile with the inventory control system. They will also actively engage in research regarding the efficacy of medical marijuana. Etain has engaged three pharmacists to manage each of our dispensaries upon award of the registration. Our pharmacists include: Sang Choi, Erika Fallon, and Kevin King. Etain pharmacists will also act as the Dispensary Managers, who will provide oversight of all day-to-day dispensary operations. Sang Choi, B.S. Pharmacy Sang Choi, a licensed pharmacist for 15 years in New York, specializes in issues related to oncology and transplants, and will coordinate community relations for Etain. She holds a BS. in Pharmacy from the Arnold and Marie Schwartz College of Pharmacy at Long Island University. She worked as specialty pharmacist from the onset of his career, with roles ranging from staff pharmacist to managing pharmacist. She regularly sees and cancer patients that suffer from wasting As studies have shown that medical marijuana helps relieve pain and stimulate appetite, she is encouraged that the medical marijuana program will assist those patients she sees on a daily basis. She looks forward to contributing his experiences and expertise to Etain in this emerging ?eld and groundbreaking business. Etain. LLC 11 Attachment Staf?ng Plan Erika Fallon, PharmD Erika Fallon is a Doctor of Pharmacy (PharmD) and registered as a pharmacist in the State of New York. She has 5 years? experience as supervising pharmacist at? At Erika primarily serves the community by providing customized compounded medications and creating unique solutions to patients' needs that are not otherwise met by traditional medications. It is this experience that will allow Ms. Fallon to greatly enhance the lives of medical marijuana patients. Similar to compound pharmaceutical applications, medical marijuana is on the cutting edge of 21St century medical treatment to improve the quality of life to those intended to be served under the Compassionate Care Act, Indeed, Ms. Fallon has with the bene?ts of appropriate and regulated use of medical marijuana. A who resides in - and - from - is and has been under a lawful and appropriately prescribed medical marijuana protocol that has had distinct bene?ts in the quality of life of that She has also participated in programs where medical marijuana was lawfully and appropriately prescribed to patients that once again produced similar quality of life bene?ts. Kevin King, PharmD Kevin King received his Doctor of Pharmacy from the Albany College of Pharmacy, and is a licensed pharmacist in New York. He was the pharmacy supervisor at - where he provided guidance and recommendations to patients concerning dietary and lifestyle, in addition to developing, preparing and dispensing custom-fonnula compound medications. Elam, AlluchmenlJ .S'Irifiilig Plan GENERAL MANAGEMENT Community Relations Coordinator Martha MeDermott, MSW, will hold the position of community relations coordinator for Etain, in which she will lead company outreach efforts in the areas of substance abuse, compassionate needs, environmental awareness, and patient medical access. Ms. McDermott successfully completed training as an approved mediator in New York State through the? She enjoys working with people who are experiencing challenges in their lives. Ms. MeDermott is well-trained to serve in a communications position, having professional training and education that emphasizes listening, compassionate communication. As the medical marijuana industry evolves, Ms. McDermott hopes to develop a specialty in the field of agricultural mediation, with particular emphasis on the medical marijuana industry. With her MSW and mediator?s training, Ms. McDermott can contribute to the resolution of professional, as well as personal con?ict or question, without the burden of litigation. Ms. McDermott also looks forward to working within the communities that Etain will service, as well as in the State on a greater level, to educate, inform and allay any fear or concern that may arise for the general population. Marketing Manager Diane Meier, a principal of- will manage Etain?s marketing program. Diane Meier opened Since then, her work on behalf of an extensive roster of exclusive clients won her numerous top prizes offered in the advertising and marketing industries for strategy, copywriting, graphics and design. Her clients included among many others. Ms Meier was also for she during its formative and most active years in the 19703. Meier?s professional work is particularly focused on issues for and about women. She was formerly? with special senses to and mentor to is She is features is the book authored by Barbara Love, ?The Feminists Who Changed America, 1963? 1975?. liluin. 13 A {lac/imam .S'Iaffing Plan CULTIVATION MANAGEMENT Cultivation Manager Etain identi?es Underwood, as its senior staff member who has a minimum of one year experience in good agricultural practices (GAP). Underwood has owned and operated _rowing organic produce for over 14 years. Ms. Underwood is knowledgeable in all aspects of both cultivation and business development. Holding a bachelor?s degree in business from Skidmore College, she also has undertaken management consulting for the past ten years, applying her skills in ?nancial management, procurement, cost control and pro?t improvement, sales and marketing, and design and development of food label packaging. Having grown and sold organic vegetables year-round in Washington County, Ms. Underwood is fully familiar with the physical, environmental and economic challenges that Etain?s proposed Chestertown cultivation site may encounter. Cultivation Training Manager Lee Mandell is the - and a hydroponic research, design, and education company based in Astoria, Queens. He brings to Etain over 20 years? experience in developing systems matched to programmatic goals and available resources, applied across the ?elds of computer programming, visual arts, theater production, community organizing, and urban farming. Mr. Mandell is working to challenge the hydroponics status quo, seeking to maximize both productivity and the beauty of functional design. Lee has designed and developed highly ef?cient hydroponic grow rooms for a variety of clients throughout the New York City area, including CAMBA, Los Sures Southside United HDFC, the Child Development Support Corporation, and others. His expertise in hydroponics, together with his extensive experience in education (both through 12, and adult) makes him well-suited to act as Etain?s cultivation training manager. Mr. Mandell is recognized by his peers in the ?eld of hydroponics, and has been invited to serve as an advisor for a variety of organizations including Agritecture, the NYBG, The Horticultural Society, and The Brooklyn Food Coalition, among others. At Mr. Mandell leads one of the country?s only Hydroponics Certi?cation programs. Master Marijuana Cultivator (Grower) Michael Leigh, is a seasoned marijuana cultivator and entrepreneur in the marijuana industry. His career in commercial cultivation started when he co-founded and operated Etain, 14 Attachment .1 Staf?ng Plan together with hi- This company, later rebranded as The enterprise is a nationally-recognized operation known for high quality marijuana and also for patient education. Mr. Leigh has dedicated himself to improving marijuana cultivation through diligent research and experimentation. By re?ning the environment and ecosystem of the plant, he developed strategic scienti?c protocols and created his own brand of superior products that consistently test high in purity and potency. His cultivation techniques and methodologies are integral to producing maximum yields of product that are free from pollutants or toxins commonly found in cormnercialized marijuana. His cultivation protocols have been adopted by a national marijuana branding company, _Most recently, Mr. Leigh was engaged by several Denver, Colorado operations to convert them to pesticide-free systems after the State issued general quarantines on marijuana containing unlawful pesticide residuals. Matthew Bickel spent the past nine years in Colorado managing and assisting dispensary and cultivation operations. His work is centered solely on the cultivation aspect of the business, pursuing strain-speci?c processes that provide continuously high-quality cannabis yields that test high in purity and potency. A tenured researcher and educator in the cultivation ?eld, he has studied the diversity and bene?ts of the marijuana plant for over a decade, both domestically and internationally. Mr. Bickel established his cultivation knowledge through practicing self-taught scienti?c techniques, and also as a student of the Cannabis College in Amsterdam. Mr. Bickel has been instrumental in leading the industry-wide transition to cultivation through simple, ef?cient, and compliant procedures using organic hydroponic traditional growing methods. Mr. Bickel devotes his time to educate entrepreneurs in the ?eld by simplifying repetitive processes and developing highly effective protocols without compromising the quality of the yields produced. He has provided exceptional cultivation advise and services to his customers. As a Baylor graduate with a degree in education, Matt excels in training individuals in both cultivation and compliance protocols. He has built a reputation for developing revenue generating businesses using his ?quality-over-monetary? incentive models. MANAGEMENT Manufacturing Manager Alfonso Lui brings over 25 years as a senior manager in a cross functional/matrix organization with experience in all facets of medical device, bio-tech multi-global manufacturing sites and ?An'acme'n?f Staffing Plan amine 15' operations, including new product research and development. He is skilled in project management and task management at all levels. He is experienced in consolidating business operation sites, new product introduction and transfer, scheduling, and budgeting. He also has extensive experience in developing and implementing regional and nationwide product automation, product development, Lean Manufacturing, Six Sigma, ISO, FDA and Quality systems, and relocation programs. He is? Quality Assurance Of?cer Cris Ginn has been employed for over 20 years in continuous manufacturing environments, acquiring and utilizing quality standard skills. He has considerable experience with both FDA and ISO quality systems as well as Good Manufacturing Practices (GMPs) and he will be tasked with initiating, developing, and maintaining GMPs, which will serve Etain?s customers by delivering standardization, consistency, and quality product output, including prevention of and mitigation of microbial risks to the plants. In addition, Mr. Ginn is a machinist, fabricator, and welder. He will be actively involved in the development and implementation of the extraction process, both in setting processing procedures and standards as well as overseeing and troubleshooting the day-to-day functioning of the extraction equipment to assure consistent quality coordination from harvest to product. Formulation Chemist (to be hired) Etain will hire a formulation chemist pursuant to the terms of its agreement with the Bhang Corporation. The terms of the agreement sets forth the training requirements for the formulation chemist and Etain will hire and train him or her according to those terms. iEtain.LLC A l6 AttachmemJ Staffing Plan Director of Security Michael Rego, a recently-retired law enforcement detective who holds an MS in Administration of Justice, will be Etain?s Director of Security. He is an expert in crisis/emergency management and negotiations, and has testi?ed extensively on forensics in state and federal courts. In addition, Mr. Rego taught in as well as a teaching drug recognition for law enforcement professionals. He provides experienced, principle-based competencies and is a proven leader, organizer and collaborator in several municipality-focused education ?elds. Most recently, Mr. Rego was a co-founder of one of Rhode Island?s ?rst medical marijuana dispensaries. He has also been providing unique consulting services though in the medical marijuana industry, focusing on security, establishment of law enforcement liaison programs, and general public information. Etain, LLC 17 i i AltachmentJ .S'Ia?ing Plan PART - EXISTING STAFF POSITIONS JOB DESCRIPTIONS Pharmacists Names: Sang Choi, Erika Fallon, Kevin King. Basic Function and Scope of Responsibilities: Pharmaceutical Management Directors will develop and implement Etain?s overall medical and clinical strategies. They will be responsible for the scienti?c and medical capability (intellectual assets) of the business and will lead development of products and technologies. The Pharmaceutical Management Directors will ensure patient well-being is at forefront of organization?s objectives. Education Requirements: New York State Pharmacy License Essential Duties: Lead medical/clinical evaluation and development of new marijuana derivative products and routes of administration Develop policies and procedures to ensure safety and monitoring of products, including processes to address product issues, recalls, and product complaints Lead adverse event investigation and response Coordinate with Medical Director to interface with physicians and/or patients related to medical inquiries associated with products Develop and maintain relationships with key opinion leaders Participate in executive strategic planning Assist with the development and implementation of in-house laboratory testing protocols Assist in responding to regulatory inquiries related to medical matters or patient safety Assist in recruiting, hiring, and evaluating the performance of personnel involved in patient consultation, patient safety, and patient education and product testing Other Quali?cation Requirements: Unrestricted pharmacy licensure in at least one US. state High level of medical competence Experience understanding good manufacturing practices and good laboratory practices Solid track record of interaction with regulatory agencies Good leadership skills and collaborative mindset Good communication skills and experience in patient consultation and education Etain, LLC 18 Attachment Staf?ng Plan Manufacturing Manager Name: Alfonso Lui Education Requirements: Bachelor?s Degree Basic Function and Scope of Responsibilities: The production manager will have oversight of the inventory control system of the marijuana derivative product-manufacturing environment. Essential duties: Maintain employee scheduling Plan, organize and direct the extraction derivative marijuana product manufacturing and production operations Oversee destruction of marijuana derivative products Initiate, plan, process and minimize manufacturing costs through effective utilization of manpower, equipment, facilities, materials, and capital Assure attainment of business objectives and production schedules while insuring product standards that exceeds customers? expectations Implement manufacturing strategies and action plans to ensure that the facility supports the company?s strategic initiatives Establish group and individual accountabilities throughout assigned departments for problem solving and cost reduction, both on a permanent and ad-hoc basis, depending on need Encourage use of new techniques and focus on fact-based problem solving Improve manpower utilization within existing departments and processes Schedule stability that allows for maximum return on productivity Manage spending against budget, controlling spending in relation to changes in production volume Control inventory of the marijuana derivative product Handle batch tracking and record keeping Be familiar with provisions of New York law and regulations and current Good Manufacturing Practices Satisfy licensed dispensary organization application requirements and obtain security clearance Experience Requirements: Manufacturing oversight of a commercial facility. The job requires a Bachelor?s Degree, ten years of work?related experience with strong process/product knowledge. Strong communication and team leadership skills may be substituted in lieu of degree. Etal'n, LLC 19 Attachment Staf?ng Plan Quality Assurance Of?cer Name: Crispin Ginn Education: Bachelor?s Degree Basic Function and Scope of Responsibilities: Manage quality systems to assure their effective implementation throughout the company and provide management information to facilitate continuous improvement Essential Duties: Develop, maintain and direct quality assurance programs Review production records to assure that no errors have occurred or, if errors have occurred, that they have been fully investigated and resolved 0 Directly involve with customers as required by external audits, root cause analysis of complaints and/or returns 0 Supervise workers engaged in inspection and testing activities to ensure high productivity and high technical integrity 0 Ensure production, packaging, labeling, and storage of marijuana indoors and in accordance with the Site Security Plan 0 Design, develop and implement quality control assurance programs through written procedures 0 Prepare annual reports to management regarding Corrective and Preventive Actions (CAPAS) 0 Communicate proactively and interactively with production management to maximize product reliability and minimize costs 0 Provide and oversee inspection activity for product throughout production cycle with ?ill rejection authority over product and procedure affecting product Perform other duties as required by company management or changing regulations Ensure microbial and chemical contaminants of dried marijuana stay within generally accepted tolerance limits for products for human consumption Experience Requirements: Minimum of ?ve years? experience in quality assurance for dietary supplement or pharmaceutical industry Etain, LLC 20 Attachment Stqu?ing Plan Master Marijuana Cultivators Names: Michael Leigh and Mathew Bickel Basic Function and Scope of Responsibilities: To manage all operations of the manufacturing facility and supervise/oversee all personnel working in the manufacturing facility Education Requirements: High school diploma Essential Duties: Monitor all environmental systems of the manufacturing facility Manage the performance of the cultivators/ growers and assistants, including conducting regular employee performance evaluations on an annual basis Monitor stock of cultivation supplies and equipment, and order replacement supplies and equipment when necessary Develop informational tools to monitor actual production and all things that in?uence production on a batch-by-batch basis, as well as a room-by-room basis Administer to the needs of the plants regarding illumination, watering, nutrients, pruning, training, and pest and disease control Manage efforts required for the germination and cloning of plants Direct and assist with the harvesting, drying, and curing of medicinal marijuana Perform regular physical inventory reconciliations to inventory records Keep the facility in a clean and orderly manner at all times Prepare reports for management Assist with preparation of Operating budgets as required Experience Requirements: Must have at least ?ve years of experience as a cultivator in the commercial marijuana cultivation industry, with a majority of that experience in the indoor growing arena. Must have experience directing and monitoring the performance of up to ?ve employees working directly under the position. Must be computer literate, with basic skills in Microsoft Word and Excel software. Etal'n, LLC 21 Attachment Sta?ing Plan Cultivation Manager Name: Underwood Basic Function and Scope of Responsibilities: Hands-on position working with Master Cultivator and cultivation staff to ensure overall health of marijuana plants and maintenance of propagation facilities, workspaces, and equipment Education Requirements: Bachelor?s Degree Essential Duties: Oversee maintenance, improvement, and repair of propagation facilities, workspaces, and equipment Oversee horticultural maintenance tasks, including planting, pruning, fertilizing, thinning, watering, and harvesting of plants Assist with recruitment, training, supervision, and evaluation of cultivation staff Oversee development and implementation of policies and procedures for cultivation of marijuana plants Lead implementation of cutting edge modern growing practices, techniques, and equipment Coordinates growing activities with Master Cultivator and production department Maintain proper records and reporting of data Ensure implementation and adherence to quality, health, and safety procedures Ensure organization and proper storage of all tools and equipment parts Oversee and ensure proper irrigation and drainage Assist with response to regulatory inquiries and attends any inspections Assist with recalls Experience Requirements: High level of practical experience cultivating produce for human consumption, experience with product tracing and recalls, experience with regulatory compliance, leadership ability, and strong communication skills Etal'n, LLC 22 Attachment Staf?ng Plan Director of Security Name: Michael Rego Basic Function and Scope of Responsibilities: Responsible for both physical site safety and security, as well as for information security. Maintain safe and secure environment for patients and employees by monitoring premises and personnel. Responsible for activities related to availability, integrity, privacy, and security of patient, employee and business information. The Director of Security will be stationed primarily at the manufacturing facility and will travel regularly to check on all aspects of security, from cultivation through dispensing. Education Requirements: High school diploma Essential Duties: Experience Requirements: Implement and oversee security system implemented by ADT and Mahoney Alarms, Inc. Monitor surveillance equipment and set building and equipment controls Report irregularities, inform violators of policy and procedures, restrain trespassers Maintain records of surveillance activities and occurrences Follow manufacturer or vendor instructions with respect to operation and maintenance of equipment Assist in development and implementation of workplace safety protocols Assist in development and implementation of information security policies and procedures Assist in implementation and monitoring of technical information security controls Lead response to privacy and security incidents Oversee compliance by personnel with workplace safety protocols and information security policies and procedures, including HIPAA policies and procedures Oversee training of workforce on workplace safety and information security, including HIPAA training Coordinate development and implementation of business continuity processes Experience with information security standards in the industry. Knowledge of network infrastructure and database applications. Professionalism. Elam, LLC 23 Attachment Stq??in Plan Customer Service and Community Relations Manager Name: Martha McDerrnott Basic Function and Scope of Responsibilities: The Community Relations Coordinator will work with the CEO in projects related to partnerships with Companies, medical facilities, community groups, and similar organizations. The Community Relations Coordinator will help build new partnership and maintain existing ones. This will be achieved by actively engaging potential partners through various means of communication. Education: Bachelor?s Degree Essential Duties and Responsibilities: 0 Research companies and organizations for possible partnerships 0 Assist with the planning and marketing of organizational events 0 Assist with special projects as needed 0 Public speaking at events 0 Utilize and be active on social media to promote One Day?s Wages (Facebook, Twitter) 0 Assist CEO as company partnerships liaison 0 Draft blogs, campaign pages, and other web material Experience Requirements: Retail experience (at least two years). Experience in a complex, fast faced environment. Two or more years of management experience, de?ned as follows: direct supervision of ?ve or more employees; responsible for training and developing teams; coach employees and planning for succession of a team; responsible for scheduling hours or controlling overtime. One or more years of experience training employees to comply with policies, rules, guidelines and standards. Good organization and planning skills, with strong operational skills in a customer-service environment. Supervisory and team-building skills. Ability to cormnunicate clearly and concisely, both orally and in writing. Ability to build relationships, and handle con?dential and sensitive information. Working knowledge of business processes and system development Etain, LLC 24 Attachment Surfing Plan PART STAFF JOB DESCRIPTIONS (To be hired upon granting of registration) Medical Director Basic Function and Scope of Responsibilities: Oversee and manage policies and procedures related to patient safety, sanitation, emergency response, compliance, privacy, quality assurance, and testing. Report to President. Education Requirements: Pharmaceutical or Medical Degree Essential Duties: Assist with the development and implementation of policies and procedures related to emergency response, sanitation, compliance with regulations regarding privacy, quality assurance, disease prevention, and proper testing procedures for potency and contamination of marijuana products Oversee protocols related to patient safety and use of marijuana derivative products Oversee quality assurance protocols throughout the cultivation, processing, and dispensing processes, as well as decisions related to adverse events and recalls Handle clinical complaints Respond to all communications from Department of Health and local municipalities regarding compliance with rules and regulations and community health and public safety concerns Assist in the development of training Etain?s principals at least annually to assure compliance with the Compassionate Care Act of 2014 and the rules and regulations promulgated thereunder by the Department of Health Conduct compliance inspections Provide training to all Etain staff members regarding administration, use, and risks of marijuana derivative products, patient consultation Develop and assist in the implementation of a patient education program Assist with the development and implementation of in-house laboratory testing protocols Experience Requirements: Unrestricted medical licensure in the State of New York, high level of medical competence, experience understanding good manufacturing practices and good laboratory practices, good leadership skills and collaborative mindset, good communication skills and experience in patient consultation and education Etain, LLC 25 Attachment Sur?ng Plan Inventory Supervisor Basic Function and Scope of Responsibilities: Responsible for maintaining accountability of all raw materials, ?nished products, and any by-products. Responsible for acquisition of necessary supplies and equipment, and ensuring optimum levels of inventory that meet quality standards are maintained. Education Requirements: Bachelor?s Degree Essential Duties: Prepare purchase orders, receiving, storing, and managing stock levels Maintain computerized inventory records that track plants from seed to sale and any returns or recalls Oversee employees that conduct supply inventories, plant inventories, and ?nished product inventories 0 Take action with respect to inventory discrepancies to identify errors and implement corrective actions Conduct inventory audits Account for supply invoices and purchase orders Assist with identi?cation of sources of supply Experience Requirements: Experience with inventory management, accounting, project management, logistics or similar work. Demonstrate a collaborative work style and strong leadership skills. Ability to make decisions and take proper action in dif?cult situations. Good communication, organization, planning, and clerical skills. Etain, LLC 26 Attachment Staf?ng Plan Dispensary General Manager Basic Function and Scope of Responsibilities: Managing the dispensary, hire and train dispensary employees, prepare reports, and set specific department goals. Education Requirements: New York State Pharmacy License Essential Duties: Acquire tools and set objectives for the dispensary Develop schedules and ensure they are adhered by the dispensary Participate in developing speci?c policies and procedures Manage dispensary staff Hire, train, and terminate workers as needed Attend and preside over meetings Maintain employee records Manage and direct overall dispensary operations Set goals for the dispensary Clearly communicate goals to board members Measure the success of the dispensary Delegate responsibilities Generate and present reports to the board on how goals are being met Participate in seminars and conferences related to the continuing education of work duties Motivate and encourage dispensary employees Ensure high quality for the dispensary Ensure the dispensary inventory is stocked with high-quality products, which are regularly replenished to guarantee uninterrupted ?ow of necessary goods required for operations Etain, LLC 27 Attachment Stq?pmg Plan IT Director Basic Function and Scope of Responsibilities: Directs and coordinates activities of workers engaged in computer operations by performing the following duties personally or through subordinate supervisors. Directly supervises one employee in the IT Department. Carries out supervisory responsibilities in accordance with the organization's policies and applicable laws. Responsibilities include interviewing, hiring, and training employees; planning, assigning, and directing work; appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems. Education and/ or Experience Requirements: Master's degree, or equivalent; or four to ten years related experience and/or training; or equivalent combination of education and experience. Essential Duties: 0 Monitor sanitation performance as needed to verify guidelines and procedures costing speci?cations and system data 0 Plan and develop policies and procedures for carrying out computer operations 0 Meet with subordinate to discuss progress of work, resolve problems, and ensure that standards for quality and quantity of work are met 0 Adjust hours of work, priorities, and staff assignments to ensure ef?cient operation, based on work load 0 Review daily logs and reports to detect recurring slowdowns or errors. 0 Consult with software and hardware vendors and other establishment workers to solve problems impeding computer processing 0 Meet with users to determine quality of service and identify needs 0 Meet with personnel of the organization to determine impact of proposed changes in hardware or software on computer operations and service to users 0 Evaluate new software and hardware to determine usefulness and compatibility with existing software and hardware 0 Evaluate proposed data processing projects to assess adequacy of existing hardware, and recommend purchase of equipment 0 Develop budget and monitor expenditures. 0 Direct and coordinate activities of storage library Etain, LLC 28 AttachmentJ Staf?ng Plan Human Resources Director Basic Function and Scope of Responsibilities: Plans and administers policies relating to all phases of human resources activity by performing the following duties personally or through subordinate supervisors. Education and/or Experience Requirements: Bachelor's degree or four to ?ve years related experience and/or training; or equivalent combination of education and experience. Essential Duties: 0 Direct and coordinate activities of storage library Identify legal requirements and government reporting regulations affecting human resources functions and ensure policies, procedures, and reporting are in compliance 0 Recruit, interview, test, and select employees to ?ll vacant positions; conduct new employee orientation. 0 Keep records of bene?ts plans participation such as insurance and pension plan, personnel transactions such as hires, promotions, transfers, performance reviews, and terminations, and employee statistics for government reporting 0 Coordinate management training in interviewing, hiring, terminations, promotions, performance review, safety, and sexual harassment Advise management in appropriate resolution of employee relations issues 0 Administer performance review program to ensure effectiveness, compliance, and equity within organization 0 Administer salary administration program to ensure compliance and equity within organization 0 Administer bene?ts programs such as life, health, dental and disability insurances, pension plans, vacation, sick leave, leave of absence, and employee assistance 0 Investigate accidents and prepare reports for insurance carrier, and represent organization at personnel-related hearings and investigations 0 Conduct wage surveys; prepare budget of human resources operations. 0 Prepare employee separation notices and related documentation; conduct exit interviews, prepare reports and recommend procedures. Etaz?n, LLC 29 Attachment Staf?ng Plan Dispensing Agent Basic Function and Scope of Responsibilities: Take and complete orders from quali?ed patients and caregivers without exceeding legal limits. Assist with selection of support merchandise. Assist with maintenance of retail space. Education Requirements: High school diploma Essential Duties: Verify client identity, place of residence, and shipping address and registration of client on Compassionate Care Registry. Verify medical document is provided by a licensed physician authorized to prescribe marijuana Receive orders Ensure patient or caregiver does not exceed possession limit when leaving the dispensary, and enter the required information into electronic veri?cation system Process sales Label and complete transactions Assist General Manager with, or accomplish, opening and closing of the facility Maintain display inventory Assist General Manager with the performance of physical inventory reconciliations to inventory records Maintain the facility in a clean and orderly manner at all times Assist with the tracking of marijuana derivative products and support merchandise inventory into and out of the dispensary Operate computer using sales and customer tracking software Experience Requirements: Retail experience desirable. Must be computer literate with basic computer skills. Must be personable and able to interface with customer base. Etaz'n, LLC 30 Attachment Staf?ng Plan Laboratory Technician Basic Function and Scope of Responsibilities: Performs laboratory tests to determine chemical and physical characteristics or composition of solid, liquid, or gaseous materials for such purposes as quality control, process control, or product development by performing the following duties. Education Requirements: Bachelor's Degree Essential Duties: Set up, adjust and operate laboratory equipment and instruments such as microscopes, centrifuge, agitators, viscosimeter, chemical balance scales, spectrophotometer, gas chromatograph, colorimeter, and other equipment Test materials used as ingredients in the production or marijuana related products Test materials for presence and content of elements or substances such as mycotoxins, cannabinoid levels, heavy metal and related contaminates Test samples of manufactured products to verify conformity to speci?cations. Record test results on standardized forms and write test reports describing procedures used. Prepare graphs and charts Clean and sterilize laboratory equipment Calibrate laboratory instruments Prepare chemical solutions according to standard formulas Add chemicals or raw materials to process solutions or product batches to correct or establish formulation required to meet speci?cations. Experience Requirements: One to two years related experience and/or training or equivalent combination of education and experience. Etain, LLC 31 Attachment Staffin Plan Sanitation and Waste Manager Basic Function and Scope of Responsibilities: The Sanitation Manager will be responsible for supervising the cleaning and sanitizing of manufacturing facilities and equipment in a timely manner in accordance with all Etain and regulatory requirements. He/she will confer with multiple extraction and production departments to schedule sanitizing and cleaning assignments in response to reports of problems or issues. He/she will supervise on a daily basis all activities necessary for the cleaning and sanitizing of extraction and production packaging storage areas and equipment while ensuring that all duties are performed in accordance with Etain policies and procedures and (current Good Manufacturing Practices). Essential duties: Monitor sanitation performance as needed to verify guidelines and procedures costing specifications and system data Prepare and compile mandatory company and government reports within required deadlines and retain for audits Investigate ways to reduce waste, increase efficiency, and improve equipment in a continuous effort to improve systems Manage and lead sanitation employees Interview employees Ensure employees receive proper training in sanitation Conduct performance appraisals and administer disciplinary and termination action when necessary Effectively utilize employee?s skills Develop housekeeping safety utilization of required personal protective equipment policy Schedule cost control and coordinate crew?s sanitation activities in facilities Adjust daily work schedule as needed to meet sanitation requirements Ensure all company and regulatory USDA requirements are met Conduct business in a manner consistent with company mission values code of ethics policies and other standards of conduct Experience Requirements: Experience in industrial sanitation or clean room sanitation Etain, LLC 32 Attachment Staf?ng Plan Sanitation Assistant Basic Function and Scone of Responsibilities: The Sanitation Assistant will be responsible for cleaning and sanitizing of manufacturing facilities and equipment in a timely manner in accordance with all Sanitation Manager, Company, and compliance regulations. Clean and sanitize production packaging storage areas, and production equipment, on a daily basis. All duties must be performed in accordance with Etain policies and procedures and (current Good Manufacturing Practices). Essential Duties: 0 Monitor sanitation needs and maintain cleanliness of facility Retain production and food safety audits required in food manufacturing Investigate ways to reduce waste, increase ef?ciency, and improve equipment in a continuous effort to improve systems Assist in the managing and leading of sanitation employees Help Sanitation Manager ensure employees receive proper training Effectively utilize employee skill development Adjust daily work schedule as needed to meet sanitation requirements Conduct himself or herself in a manner consistent with company mission, values, code of ethics policies and other standards of conduct Experience Requirements: Prior sanitation experience is not required. Etain, LLC 33 Attachment Staffing Plan Packaging Personnel Basic Function and Scope of Responsibilities: The Packers will package ?nished product either manually or with machines for distribution or transport. Essential Duties: Take care of the whole packing process, both manual and machine related tasks Cover and pack the ready products in child?resistant and tamperproof packaging such that no single unit contains more than appropriate supply of marijuana Ensure proper labeling Take care of all the packaging materials. Any container must protect the contents from contamination and must not impart any toxic or deleterious substance to the usable marijuana or marijuana product. Maintain inventory for the packed products Be able to move, lift heavy packages Experience Requirements: Prior packing experience is not required. Etain, LLC 34 Attachment Staf?ng Plan Mother/Clone/Vegetation Manager OR Mother/Clone/Manager Basic Function and Scope of Responsibilities: Responsible for coordinating and implementing activities related to mother, clone or vegetation stages of plant life. Plan, organize and lead gardening team by identifying goals, objectives, methods, resources, scheduling, and routes of communication needed to carry out responsibilities. Organize resources to achieve goals in optimal fashion. Establish effective communications and guide project members to accomplish objectives. Education Requirements: Level II Gardener Essential Duties: Acquire tools and set objectives for the Mother/Clone department Develop schedules and ensure they are adhered to by the Mother/Clone department Participate in developing speci?c policies and procedures Manage Mother/ Clone staff Hire, train, and terminate workers as needed Attend and preside over meetings Maintain employee records Manage and direct overall Mother/ Clone operations Set goals for the Mother/Clone department Clearly communicate goals to Board members Measure the success of the Mother/ Clone department Delegate responsibilities Generate and present reports to the Board on how goals are being met Participate in seminars and conferences related to the continuing education of work duties Motivate and encourage Mother/Clone employees Ensure high quality for the Mother/ Clone department Ensure the Mother/Clone department inventory is stocked with high-quality products, which are regularly replenished to guarantee uninterrupted ?ow of goods necessary for operations Experience Requirements: Minimum of ?ve years? experience in marijuana or similar plant cultivation Etain, LLC 35 Attachment .1 Staf?ng Plan Vegetation Manager Basic Function and Scope of Responsibilities: Responsible for coordinating and implementing activities related to the vegetation stages of plant life. The Vegetation Manager will be responsible for managing the Vegetation department within the facility. The Vegetation Manager will also hire and train Vegetation employees, prepare reports, and set speci?c department goals. Education Requirements: Gardener Essential Duties: Experience Requirements: Acquire tools and set objectives for the Vegetation department Develop schedules and ensure they are adhered by the Vegetation department staff Participate in developing speci?c policies and procedures Manage Vegetation staff Hire, train, and terminate workers as needed Attend and preside over meetings Maintain employee records Manage and direct overall Vegetation operations Set goals for the Vegetation department Clearly communicate goals to Board members Measure the success of the Vegetation department Delegate reSponsibilities Generate and present reports to the Board on how goals are being met Participate in seminars and conferences related to the continuing education of work duties Motivate and encourage Vegetation employees Ensure high quality for the Vegetation department Ensure the Vegetation department inventory is stocked with high-quality products, which are regularly replenished to guarantee uninterrupted ?ow of necessary goods required for operations Minimum of ?ve years? experience in marijuana or similar plant cultivation Etain, LLC 36 Attachment Staf?ng Plan Gardener Cultivation Assistants Basic Function and Scope of Responsibilities: Implement activities related to the production of marijuana as directed by production facility managers Education: Gardener Essential Duties: Abide by all policies and procedures set forth by production managers Attend and preside over meetings Maintain production records Participate in production activities at all stages of plant growth Be responsible for implementing actions to achieve production goals Ensure the production department inventory is stocked with high-quality products, which are regularly replenished to guarantee uninterrupted ?ow of necessary goods required for operations Experience Requirements: Minimum of ten (10) harvest cycles Etain, LLC 37 Attachment Staf?ng Plan Extraction Specialist Basic Function and Scope of Responsibilities: Directs, plans, and organizes activities of profound ideas connected to pharmaceutical production, and consumption. Education Requirements: Degree in Pharmacy, Chemistry or related ?eld Essential Duties: Manage and direct overall Trimming operations and staff Responsible for all projects, operations and staff consisting specialists and experts in the area of formulation, analytical development and technology. Other duties may be assigned 0 Advise and assist business development in the multi-year development plan of new products, to be proposed and approved by top management 0 Ensure that department meets the timelines and managing delays as well as negotiating delivery time 0 Work in close cooperation with other departments quality, regulatory) and management as well as external partners Ensure proper risk management and improve effectiveness of all processes on site Manage budget and assessment of needs in terms of both infrastructure investment and human resources Experience Requirements: Minimum 10 years? experience in Pharmaceutical including minimum ?ve years of team management experience; experience in development of generic drugs, including modi?ed release solids and experience in managing high volume of projects; knowledge of GMP standards in Pharmaceutical industry Etain, LC 38 Attachment Staf?ng Plan Trimming Manager Basic Function and Scope of Responsibilities: Responsible for managing the Trimming department within the facility. The Trimming Manger also hires and trains employees, prepares reports, and sets speci?c department goals. Education Requirements: Level II Gardener, Bachelor?s Degree or Experience Requirements: Minimum of ?ve years? experience in marijuana or similar plant cultivation Essential Duties: Manage and direct overall Trimming operations and staff Acquire tools and set objectives for the Trimming department Develop schedules and ensure they are adhered by the Trimming department Hire, motivate, train, and terminate workers as needed Attend and preside over meetings Maintain employee records Communicate goals to board members Delegate responsibilities Generate and create reports to present how goals are being met Ensure high quality for the Trimming department Etaz?n, LLC 39 Attachment Staf?ng Plan Trimming Assistants Basic Function and Scope of Responsibilities: Trimming the ?nished product at every harvest Education: Degree Not Required Essential Duties: Report to Trimming Manager to ensure all trimming goals are met Be ?exible in scheduling to accommodate varying plant harvest schedules 0 Adjust to Company-adopted production procedures as necessary to ensure ef?ciency and compliance Experience: Prior experience is not required. Etaz'n, LLC 40 Attachment Staf?ng Plan Manual Laborers Basic Function and Scope of Responsibilities: Manual Laborers will be responsible for assisting staff in completing their assigned tasks. They will be expected to assist with the delivery of water and collection of garbage, assist with cleaning equipment and tools, and provide manual labor services as needed. Essential Duties: Operate equipment in a safe and ef?cient way according to policies and procedures Clean equipment as scheduled or required Ensure equipment is safely and securely stored Clean water tank and nutrient reservoirs as necessary Pick up refuse in areas as required Dispose of garbage according to compliant procedures Experience Requirements: Prior experience is not required. Etaz'n. LLC 41 Attachment Stq?ing Plan Additional Production Facility Roles Electrical/Mechanical/System Engineers Education: Bachelor?s Degree Essential Duties: 0 Maintain electrical system 0 Maintain and upgrade all equipment 0 Manage the lighting 0 Manage the HVAC Experience Requirements: Minimum of ?ve years? experience in engineering Order Ful?llment Director Education: Bachelor?s Degree Essential Duties: Train and develop Ful?llment team Schedule hours and control overtime Use organization and planning skills to operate in a customer-service environment Communicate clearly and concisely, both orally and in writing Build relationships Handle con?dential and sensitive information Experience Requirements: Five or more years of retail and management experience. Experience analyzing ?nancial reports. Experience working in a complex, fast-paced environment. Emin, LC 42 Attachment Staf?ng Plan PART V- STAFFING TIMELINE Phase I {Weeks 1-10]: Phase I outlines the staff required after the build-out of the Etain facilities has been completed. The following team will be required for weeks 1-10: Senior Management CEO, CFO, COO, CHO, CCO Cultivation Manager Security Officer Manufacturing Manager IT Manager Phase 11 (Weeks 10- 24): Phase II adds additional staff to process the finished product. The following team will be required for weeks 10-24: Master Cultivator Inventory Agent Sanitation Agent Quality Assurance Team Extraction Assistants Trimmers Packers Security Drivers Cultivation Assistants Dispensary General Managers Dispensing Agents Pharmacists Etain, LLC 43 Attachment .1 Plan PART VI- HIRING PROCESS Hiring Protocols The COO, Hillary Anne Peckham, will be responsible for all employee supervision at Etain. There will be three intermediary managers: Master Cultivator, Extraction Manager, and the Dispensary General Manager (the ?Managers?). All cultivation employees will report to the Master Cultivator; all extraction employees will report to the Extraction Manager; and all dispensary employees will report to the Dispensary General Manager. The COO will be responsible for staff planning and hiring according to the Hiring Protocol below. Recruitments provide opportunities to departments such as aligning staff skill sets to initiatives and goals, and planning for departmental and individual growth. Although there is work involved in the hiring process, proper planning and evaluation of needs lead to hiring the right person for the role and team. Newly Created Position When it is determined a new position is needed, it is important to: 0 Understand and take into consideration strategic goals for the business and/or department; 0 Conduct an analysis of core competencies, skills missing from a department and those which may be needed in the future 0 Conduct a job analysis for new departmental positions Replacement When attrition occurs, replacing the role is typically the logical step to take. Before advertising the position, however, consider the following: 0 As with a newly created position, it may be helpful to conduct a job analysis in order to tailor the position to what is currently required and to ensure proper classi?cation 0 Review the role and decide if there are changes required as certain tasks and the new person may not perform responsibilities performed by the previous person 0 Carefully evaluate any changes needed for the following: 0 Skill level required to perform these tasks; determine appropriate classi?cations; 0 Tasks carried out by the previous employee; Etain, LC 44 Attachment Staffing Plan Tasks to be removed or added if any of the work will be transferred within department; 0 Supervisory or lead responsibility; 0 Budget responsibility (if any); 0 Work hours. Develogg an Adequate Candidate Pool A job description is the core of a successful recruitment process as interview questions, interview evaluations, and reference check questions will be developed from this description. A well-written job description: 0 Creates a ?rst and often, lasting impression of Etain to the candidate; 0 Clearly articulates responsibilities and quali?cations to attract the best-suited candidates; 0 Improves retention as turnover is highest with newly hired employees. Employees tend to be dissatis?ed when they are performing duties they were not originally hired to perform; 0 Provides an opportunity to clearly articulate the value proposition for the role; 0 Optimizes search engine results by ensuring job postings rank highly in candidate online search results; 0 Serves as documentation to help prevent, or defend against, discrimination complaints by providing written evidence that employment decisions were based on rational business needs; 0 Identi?es tasks, workflow and accountability, enabling the department to plan how it will operate and grow; 0 Assists in establishing performance objectives; 0 A proper position overview is used for career planning and training by providing clear distinctions between levels of responsibilities and competencies required. A well-written job description can be used as a benchmark to ensure internal and external equity. Hiring_Action Steps A hiring committee will be established and will be responsible for the following: Etain, LLC 45 Attachment Staffing Plan Determining availability of funds for new position for current and next ?scal year; Con?rming availability of ?inds with the Executive Team and Human Resources; Developing relevant hiring criteria communication skills, computing skills, technology, problem?solving, direct experience with gardening or documentation writing); 0 Developing a draft job description by revisiting prior descriptions and revising in light of current needs; Reviewing draft job description with incumbent, when applicable; Reviewing and identifying new tasks; Reviewing and identifying educational/training requirements; Reviewing and identifying experience/skills; Sending ?nal draft job description to Human Resources and Executive Team; Obtaining necessary documentation Once job funding and description is approved, HR will internally post an employment opportunity to Etain staff for a minimum of ?ve days. If there are no internal responses received after ?ve days, or if the internal applicants are not suitable, the hiring supervisor will consult with HR to determine appropriate means of advertising externally. Upon receiving quali?ed applications, HR will: 0 Conduct interviews; 0 Meet to consider interviewees and assess which best met established job criteria; and 0 Check references of ?nal candidate prior to making offer. Background Screening Etain believes that hiring quali?ed individuals contributes to our overall strategic success. Background checks serve as an important part of the selection process. The information we collect will help Etain promote a safe work environment for our current and future employees as well as for our customers. In addition, New York law requires that all owners and managers of Etain successfully pass background screening. Background checks also help us obtain information necessary to determine an applicant?s overall employability and to ensure the protection of Etain?s physical property, proprietary information and other assets. Etain complies with all applicable federal, state and local laws, including fair employment practices and equal employment opportunity, when conducting background checks. Etain will conduct background checks on all job applicants applying for sensitive positions. These include positions involving security and ?nancial responsibilities, as well as other positions determined by Etain to be sensitive. Etain will use a third party agency to conduct Etain, LC 46 Attachment Staf?ng Plan background checks to verify the accuracy of the information provided by the applicants during the selection process. For required screening pursuant to NYSDOH regulations for owners and managers, background checks will be conducted by Director of Security or one of Etain?s approved vendors, and the report will be sent directly to the NYSDOH. Information collected by the third party agency will include past employment, education, character, and ?nances. Etain will ensure that all background checks are conducted in compliance with all applicable federal and state statutes, such as the Fair Credit Reporting Act and the Americans with Disabilities Act. The information that can be collected from previous employers and other sources will be limited to that which is job-related and pertains to the quality and quantity of work performed by the applicant and to the applicant?s attendance record, education and other lawful, work-related inquiries. The CFO will be primarily responsible for the background check process. Information that may be collected includes: 0 Arrest and conviction records I Etain may check criminal arrest and conviction records as part of the applicant selection process. In accord with the Equal Employment Opportunity Commission?s current interpretation of Title VII of the Civil Rights Act of 1964, this information cannot be used as a basis for denying employment, unless it is determined to be job-related and consistent with business necessity. 0 Credit reports 0 Etain may collect applicant credit information consistent with the guidelines set forth by the federal FCRA. The FCRA requires organizations to obtain a candidate?s written authorization before obtaining a credit report. When doing this, the employer must: I Certify to the consumer-reporting agency that the employer is in compliance with the FCRA and will not misuse the information it receives I Disclose to the applicant or employee, on a separate form, its plans to obtain a consumer or investigative consumer report and that the information received will be used solely for employment purposes, I Inform the individual of his or her right to request additional information on the nature of the report and the means through which such information may be obtained, I Inform the applicant that the report will include information about the individual?s character, general reputation and personal characteristics, and Etain, LLC 47 Attachment Staf?ng Plan I Provide the individual with a summary of his or her rights under the FCRA. If the results of the credit check are negative, Etain will inform the applicant before taking adverse action based on the results, provide the applicant with a Statement of Consumer Rights from the Federal Trade Commission, offer the applicant the opportunity to review a copy of the credit report, and advise the applicant of his or her rights to dispute inaccurate information. Applicants will be granted reasonable time to dispute the information (approximately three to five days). Recordkeeping Etain assures applicants that all information obtained from the background check process will only be used as part of the employment process and will be kept strictly confidential. Etain human resources will maintain a log that will include the position the applicant applies for, his/her name and the date of the background check. Only the CFO and C00 and appropriate Etain human resource personnel will have access to this information. Etain complies with all federal and state laws regarding the collection, storing and disposal of applicant information, such as the Fair and Accurate Credit Transactions Act Training In addition to the programs and experts brought in to support employee education, managers will conduct in-person and hands-on training for all new employees upon hire and for all current employees no less than annually. Such training will cover no less than two (2) hours of instruction and will be documented with sign-in and sign-out sheets for every employee that indicate the time, date, place, and substance of such training. Training topics will include: Employee handbook and job descriptions Employment laws and employee rights HIPAA and privacy and security of patient information Operations and administration (This will differ for cultivation staff, production staff, and dispensary staff) 0 For dispensary staff, product safety, patient education and data collection will be included as part of the training Performance Evaluations Etain, LC 48 Attachment Staffing Plan The Managers will conduct in-person employee performance evaluations for all new employees after six months of employment and for all current employees no less than annually. Disciplinary Actions Etain managers will be responsible for taking disciplinary actions against any employees and will follow the guidelines in Etain?s Progressive Discipline Policy when doing so. They will document disciplinary action according to the requirements of the Progressive Discipline Policy. Employment Contracts Etain will not utilize written employment contracts with any of its employees. All of the employees will be employed under verbal, at-will contracts, subject to the terms and conditions of Etain?s Employee Handbook. Etaz'n, LLC 49 Attachment Staf?ng Plan PART VII- HUMAN RESOURCES GENERAL POLICIES Recruitment and Hiring Etain is committed to recruiting and hiring local top-quality employees whose background and experience match each position?s requirements per the job descriptions. Etain will recruit candidates via a wide variety of resources including, but not limited to, industry associations and the New York State Career Centers, while remaining focused on empowering women entering or re-entering the workforce. Etain will not consider applicants with industry experience unless such experience was gained by working in legalized organizations. All potential candidates for Etain employment will submit to an extensive background check, which includes: criminal background investigations, obtaining reference checks on previous employment, verifying educational history, conducting drug testing, verifying eligibility for lawful employment in the US, and obtaining motor vehicle records when applicable. Any applicant?s refusal to submit to drug screening will immediately eliminate their candidacy. Labor Agreement Etain has entered into a labor peace agreement with Local #338 (see Attachment to this Application). In the event that Local #338 organizes and is elected to represent Etain employees, Etain will be fully committed to cooperating with the union to adopt a collective bargaining agreement with fair wages, bene?ts, and employment practices for all members. Equal Employment Opportunity Etain considers employees as one of our most valuable resources. Etain is committed to the principles of equal employment opportunity, af?rmative action and compliance with all federal, state and local laws concerning employment discrimination. To this end, Etain ensures equal opportunity to all employees and applicants regardless of race, color, religion, age, sex, sexual orientation, gender identity, marital status, national origin or ancestry, citizenship, lawful alien status, physical/mental disability, veteran status or service in the US. Armed Forces or any other basis protected by federal, state, or local law or ordinance or regulation. The policy of equal opportunity will be observed with respect to all employment practices, including, without limitation, recruiting, hiring (or failure to hire or refusal to hire), transfer, Etain, LLC 50 Attachment Staf?ng Plan termination, compensation, bene?ts, facility?sponsored training, education and tuition assistance, and other working conditions, obligations and privileges of employment. Etain believes equal opportunity is not only consistent with good business practices, but more importantly, is a moral concern and obligation for each of us. Throughout every department, Etain will remain particularly focused on empowering women entering or re-entering the work force. Harassment Policy Etain will attempt to maintain a cooperative and professional working environment where all employees are treated with respect and dignity. Etain will not tolerate or condone behavior that may be construed as harassment of any employee on the basis of any of the protected classi?cations listed in the equal opportunity policy. In particular, Etain prohibits all harassment, which includes, but is not limited to, verbal harassment (epithets, derogatory statements, slurs), physical harassment (assault, physical interference with normal work or movement), visual harassment (posters, cartoons, drawings), or sexual harassment (unwanted sexual statements or advances). Compensation Etain?s compensation philosophy is to pay at or above market wages for all positions. Etain will also provide bonus-incentives for meeting production goals. The reason for this is threefold: To retain top quality employees, To maintain morale and productivity, and To deter any economic reason for employee diversion of products. To incentivize performance and give employees empowerment to increase their wages Etain will regularly survey market wages and make adjustments as necessary. Each non-union position at Etain will have a salary range. Based upon quali?cations and experience, newly hired employees will be placed in the appropriate area of the pre-established range. Employee Benefits Etain will establish a variety of employee bene?t programs designed to assist employees and their eligible dependents in meeting the ?nancial burdens that can result from illness and disability, and to help plan for retirement. In addition to statutory worker?s compensation coverage, Etain will establish and contribute toward employee health and welfare to assist employees with securing comprehensive medical insurance. As our organization expands, we intend to offer a comprehensive bene?ts package including: medical, dental and vision programs, Etain, LLC 51 Attachment Surfing Plan short-term disability insurance, life insurance, and a retirement savings program. (See Etain?s Employee Manual contained in the Supplemental Exhibits to the Application in Appendix C) Etain believes that the skills and knowledge of its employees are critical to the success of the organization. Etain will offer educational assistance to eligible employees who are interested in job advancement. Etain believes that people need time off from work for rest and relaxation in order to be alert and enthusiastic on the job. Thus, it is Etain?s policy to provide paid time off for holidays, vacation, sick, and personal leave to eligible employees based on length of service. If called for jury duty, Etain will provide a limited paid leave to employees. A military leave of absence will be granted to employees who are absent from work because of service in the US. uniformed services in accordance with the Uniformed Services Employment and Reemployment Rights Act Performance Appraisals and Evaluations Company-wide performance appraisals for employees will be conducted annually. Nonetheless, managers and employees will be strongly encouraged to discuss job performance and goals on an informal, day-to-day basis. Additional formal performance evaluations may be conducted to provide both managers and employees the opportunity to discuss job tasks, identify and correct weaknesses, encourage and recognize and discuss positive, purposeful approaches for meeting goals. Fair and Ethical C_01_1duct Etain?s successful business operation and reputation will be built upon the principles of fair dealing and ethical conduct of our employees. Our reputation for integrity and excellence requires careful observance of the spirit and letter of all applicable laws and regulations, as well as a scrupulous regard for the highest standards of conduct and personal integrity. Every employee will be educated with the Employee Code of Business Conduct and Ethics prior to commencing work. (See Etain?s Code of Conduct attached in the Supplemental Exhibits to this Application) The continued success of Etain will be dependent upon our patients' trust, and we are dedicated to preserving that trust. Employees owe a duty to Etain and its patients to act in a way that will merit the continued trust and con?dence of the public. Serve Safe TM and Sell Safe TM classes and certi?cations will be required for all employees interacting with any customers and will be provided by Marijuana Trainer?s Maureen McNamara. Etain, LLC 52 Attachment Stq?ing Plan Etain will comply with all applicable laws and regulations and expects its directors, of?cers, and employees to conduct business in accordance with the letter, spirit, and intent of all relevant laws and to re?ain from any illegal, dishonest, or unethical conduct. In the interest of keeping Etain a company in which the employees enjoy working for, and all of our patients enjoy visiting, certain types of conduct are prohibited. Generally, Etain expects employees to conduct themselves in a professional and business-like manner. Failure to abide by this standard and to exercise good business judgment, among other things, may result in corrective action up to and including immediate termination of employment, depending on the circumstances, at the discretion of the Company. Open Door Policy One of the advantages of being a ?start-up? company is the opportunity Etain offers for personal acquaintance and attention. Etain will maintain an ?open door? policy to our employees throughout the company for discussion of any business-related concerns. Employees should feel free to discuss any business related matter with their managers, or with any other member of management. Etain welcomes the opportunity to respond to employee suggestions or problems. For that reason, it encourages employees to ?speak up?. Job Training All Etain employees will be given the proper tools and training to become successful on the job. Training will be provided upon hire, and all Etain employees will receive refresher training on an annual basis. In the event that an employee is failing to perform adequately in any of the training areas, he or she will receive refresher training immediately. Training will be conducted by Etain management, outside vendors, and through online offerings. Successful completion of training will be documented and maintained in personnel ?les. At a minimum, each employee will be trained on the following: 0 Compliance 0 In addition to Etain?s Business Code of Conduct and Ethics, Etain will operate in regulatory compliance with all state and local rules and regulations including MGL 369, An Act for the Humanitarian Use of Marijuana for Medical Purposes; con?dentiality and preservation of business information (including medical records) and information systems; workplace conduct and employment practices including con?ict of interest, diversity, harassment, health and safety, and Etain, LLC 53 Attachment Srq?ng Plan personal use of business resources; marketing practices; environmental compliance; and business courtesies. 0 Etain will provide education to employees modeled after HIPAA: HIPAA law; Protected Health Information Notice of Privacy Practices; patient authorization and disclosure; handling incidental disclosures or other potential breaches; information security and sensitive data; and penalties for violations. 0 Medical Marijuana Education 0 Etain will have quarterly staff meetings to share current research and developments in the ?elds of medicinal marijuana including regulatory developments and medicinal research. Members of the medical community, on an as-needed basis, will be invited to provide presentations to employees. Etaz'n, LLC 54 Attachment Star?ng Plan PART ATTACHMENTS 1. Employee Manual (see Supplemental Exhibits to Application) 2. Code of Business Conduct and Ethics (see Supplemental Exhibits to Application) 3. Workplace Safety Program Guidelines (see Supplemental Exhibits to Application) 4. Security (see Attachment D, Section 5) 5. Seed to Sale Tracking (see Attachment D, Section 10) Etain, LLC 55 Attachment Staffing Plan ATTACHMENT PROOF OF INTERNET SERVICE ATTACHMENT PROOF OF INTERNET CONNECTIVITY MANUFACTURING FACILITY 6032 State Route 9 Chester, New York Continuation of High Speed Internet Connectivity ?'om Time Warner Cable Etain, LLC Attachment Proof of Internet Connectivity Account Executive: Briana Powell Phone: .(866) 967-7510 ext1721534 Phone: .: (704) 973-6343 Email: TTME WARNER CABLE Busmess Class Order 5893078 Etain, LLC Tax Exempt Status Federal Tax ID Billing Address Attention To: 6032 State Route 9 Chestertown NY 12817 Customer Type: Tax Exempt Certificate it Account Number Billing Contact Billing Contact Phone Billing Contact Email Address Matt Webb (914) 949-2000 mwebb@peckham.com Authorized Contact Authorized Contact Phone Authorized Contact Email Address Matt Webb (93) 949-2000 mwebb@peckham.com Technical Contact "chnical Contact Phone Technical Contact Email Address lntemet and Video Order Information For 870 State Route 9 Queensbury NY 12804 Service Type High Speed lntemet (HSD) New and Revised Services and Charges At 402 Pearl St Albany NY 12207 Montth Description Quantity Sales Price Recurringlotal Contract Term 02 2015 Acq - 10M 1M 1 $69.99 $69.99 36 Months *Tntal $69.99 . 3 do not include taxes and fees. Page 1 of4 TIME WARNER CABLE . Busmess Class New and Revised Services and Montth Charges At 6032 State Route 9 . Chestertown NY 12817 Description . Quantity Sales Price Recurring Total Contract Term Q2 2015 Acg- 10M 1M 1 $69.99 $69.99 36 Months *Total $69.99 *Prices do not Include taxes and fees. New and Revised Services and Charges At 870 State Route 9 Queensbury NY 12804 Description Quantity Sales Price Recurring Total Contract Term 02 2015 Acq- 10M 1M 1 $69.99 $69.99 36 Months *Total $69.99 'Prices do not include taxes and fees. New and Revised Services and Montth Charges At 445 State Route 28 Kingston NY 12401 Description Quantity Sales Price Recurring Total Contract Term Q2 2015 Aoq - 7M 768K 1 $49.99 $49.99 36 Months *Total $49.99- *Prices do not include taxes and fees. New and Revised Services and Montth Charges At 4671 Onondaga Syracuse NY 13219 Montth Description Quantity Sales Price Recurrim Total Contract Tenn 02 2015 A09 - 7M 768K 1 $49.99 $49.99 36 Months "otal $49.99 ices do not include taxes and fees. One Time fees At 402 Pearl St Albany NY 12207 Description Quantity Sales Price Total HSD Installation Discount 1 ($150.05) ($150.05) HSD installation Play 1 $200.00 $200.00 Total $49.95 *Prices do not include taxes and fees. One Time fees At 445 State Route 28 . Kingston NY 12401 Description Quantity Sales Price Total Install Single Play 1YR 1 $200.00 $200.00 HSD Installation Discount 1 ($150.05) ($150.05) Total $49.95 *Prices do not include taxes and fees. One Time fees At 4671 Onondaga Syracuse NY 13219 Description Quantity Sales Price Total HSD Installation Discount 1 ($150.05 4$150.05) HSD Installation Single Play 1 $200.00 $200.00 $49.95 Ila: F3433 do not include taxes and fees. Page 2 of 4 i. TIME WARNER CABLE Business Class One Time fees At 870 State Route 9 . Queensbury NY 12804 Description - Sales Ptlce Total installation Discount ($150.05) HSD Installation Singlg Play $200.00 $200.00 Total $49.95 ?Pn'ces do not include taxes and fees. One Time foes At 6032 State Route 9 ,Chestertown NY 12817 Description Quantity Sales Price Total HSD Installation Discount ($150.05) 6150.05) HSD Installation Single Play $200.00 $200.00 Total 1 $49.95 *Prioes do not Include taxes and fees. Page 3 0:4 TIME CABLE Busmess Class . Special Terms Electronic Signature Disclosure By signing and accepting below you are acknowledging that you have read and agree to the terms and ooncitions outlined in this document. Authorhed Styletune for Time Wemer Cable Entetpmee Authorhed Sign-tum for Customer Printed Item and Tilt. Printed Name and Title ?an: Signed Date Signed Page4of4 5 . - TIME Service Agreement Business. Class This Tine Warner Cable Business Class Service Agreement ("Service Agreement?) in addition to the Time Warner Cable Business Class Terms and Conditions (?Terms and Conditions?) and any Time Warner Cable Business Class Service Orders (each, a ?Service Order"), constitute the Master Agreement by and between customer identified below ("Customer") and Time Warner Cable or "Operator") and is effective as of the date last signed below. Time Warner Cable Information Time Warner Cable Enterprises LLC Street: Contact; Briana Powell City: 866 967-7510 State: Telephone 1721534 Zip Code: Facsimile: (704) 973.5343 Customer Information Custom er Name (Exact Legal Name): Federal ID N03 Etain, LLC Billing Address: Suite; City State: Zip Code: 6032 State Route 9 Chestertown NY 12817 Billing Contact Name: phone; Email; Matt Webb (914) 949-2000 mwebb@peckham.com Authorized Contact Name: phone: an; Matt Webb (914) 949-2000 mwebb@peckham.com THIS SERVICE AGREEMENT HEREBY INCORPORATES BY REFERENCE THE TERMS AND CONDITIONS (AVAILABLE AT A COPY OF WHICH WILL BE PROVIDED TO CUSTOMER UPON REQUEST. BY EXECUTING THIS SERVICE AGREEMENT BELOW, CUSTOMER ACKNOWLEDGES THAT: ACCEPTS AND AGREES TO BE BOUND BY THE TERMS AND CONDITIONS, INCLUDING SECTION 21 THEREOF, WHICH PROVIDES THAT THE PARTIES DESIRE TO RESOLVE DISPUTES RELATINGTO THE TIME WARNER CABLE BUSINESS CLASS SERVICES AGREEMENT THROUGH AND (2) BY AGREEING TO ARBITRATION, CUSTOMER IS GIVING UP VARIOUS RIGHTS, INCLUDING THE RIGHT TO TRIAL BY JURY. By signing and accepting below you are acknowledgingthat you have read and agree to the terms and conditions outlined in this document. Electronic Signature Disclosure LLC Authorized Signature for Customer By: I BY wime (printed): Name (printed): . .Je: Title: Date: Date: ATTACHMENT PROOF OF INTERNET CONNECTIVITY DISPENSING FACILITY 402 North Pearl Street Albany, New York 12207 Con?rmation of High Speed Internet Connectivity from Time Warner Cable. Etain, LLC Attachment Proof of Internet Connectivity Account Executive: Briana Powell Phone: .(866) 967-7510 extz1721534 Phone: (704) 973-6343 Email: briana.powell@twcable.oom TIME YIARNER CABLE Busrness Class Order 5893078 Business Name Federal Tax ID Etaln. LLC Tax Exempt Status Billing Address Attention To: 6032 State Route 9 Chestertown NY 12817 Billing Contact Customer Type: Tax Exempt Certi?cate Account Number Billing Contact Phone Billing Contact Email Address Matt Webb (914) 949-2000 meeckhamcom Authorized Contact Authorized Contact Phone Authorized Contact Email Address Matt Webb (9141949-2000 mwebb@peckham.com Technical Contact :hnicai Contact Phone Technical Contact Email Address lntemet and Video Order Information For 870 State Route 9 Queensbury NY 12804 Service Type High Speed lntemet (HSD) New and Revised Services and Montiin Charges At 402 Pearl St Albany NY 12207 Montth Description Quantity Sales Price Recurrirg Total Contract Tenn 02 2015 Aoq - 10M 1M 1 $69.99 $69.99 36 Months $69.99 5 do not Include taxes and fees. Page 1 of4 . TIME WARNER CABLE . Busmess Class New and Revised Services and Charges At 6032 State Route 9 Chestertown NY 12817 Montth Description QuantitgL Sales Price Recurrin?otal Contract Term Q2 2015 Acg- 10M 1M 1 $69.99 $69.99 36 Months ?Total 599.99 *Prices do not include taxes and fees. New and Revised Services and Charges At 870 State Route 9 . Queensbury NY 12804 . Description Sales Price Recurrin?otel Contract Term 02 2015 Ach- 10M 1M 1 $69.99 $69.99 36 Months *Total . 599.99 ?Prices do not include taxes and fees. New and Revised Services and Charges At 445 State Route 28 Kingston NY 12401 Description Quantity_ Sales Price Recurring Total Contract Term 02 2015 Acq - 7M 768K .1 $49.99 $49.99 36 Months 'Total $49.99- ?Prices do not include taxes and fees. New and Revised Services and Charges At 4671 Onondaga Syracuse NY 13219 09800900" Quantity Sales Price Contract Term Q2 2015 Acq 7M 768K 1 5:19.99 $49.99 36 Months ital - $49.99 Hrices do not include taxes and fees. 4 One Time fees At 402 Pearl St .Albany NY 12207 Description Quantity Sales Price Total HSD Installation Discount - 1 ($150.05) ($150.05 HSD Installation Me Play 1 $200.00 $200.00 Total $49.95 *Prlces do not include taxes and fees. One Time fees At 445 State Route 28 Kingston NY 12401 Deseljiltion QuantitgL Sales Price Total install Single Plgy1YR 1 $200.00 $200.00 HSD Installation Discount 1 ($150.05) ($150.05 Total $49.95 ?Prices do not include taxes and fees. One Time fees At 4671 Onondaga . Syracuse NY 13219 Description Sales Price Total HSD Installation Discount 1 (?150.05) ($150.05) HSD Installation Pig) 1 $200.00 $200.00 $49.95 w: 33 do not include taxes and fees. Page 2 of 4 TIME WARNER CABLE Class One Time fees At 870 State Route 9 Queensbury NY 12804 Description - Quantitl Sales Price Total HSD Installation Discount 45150.05) ($150.05) HSD Installation Single Play $200.00 $200.00 Total $49.95 *Prices do not include taxes and fees. One Time fees At 6032 State Route 9 Chestertown NY 12817 Description . QuantitL Sales Price Total HSD Installation Discount ($150.05) ($150.05) HSD Installation Single Play $200.00 $200.00 Total $49.95 *Prices do not include taxes and fees. Page 3 of 4 TIME . Business Class Special Terms Electronic Signature Disclosure By signing and accepting below you are acknowledging that you have read and agree to the terms and conditions outlined in this document. Authorized 8mm: for Time Wamr Cabin Authoring! Slanature for Guam Printed Hans and 1m: Printed Ham and Ti}? ?0 Sign?! - Data Sign-d Page 4 of4 . - ,4 TIME WARNERCABLE. Service Agreement Business Class This Time Warner Cable Business Class Service Agreement (?Service Agreement?) in addition to the Time Warner Cable Business Class Terms and Conditions (?Terms and Conditions") and any Time Warner Cable Business Class Service Orders (each, a ?Service Order?), constitute the Master Agreement by and between customer identi?ed below ("Customer") and Time Warner Cable or "Operator") and is effective as of the date last signed below. Time Warner Cable Information Time Wamer Cable Enterprises LLC Street: Contact; Briana Powell City: I State: Telephone. (866) 967-7510 1721534 Zip Code: Facsimile: (704) 973-6343 Customer Information Custom er Name (Exact Legal Name): FaderaI ID N03 Etain. LLC Billing Address: Suite; City. State: Zip Code: 6032 State Route 9 Chestertown NY 12817 Billing Contact Name: phone; Email; Matt Webb (914) 949-2000 mwebb@peckham.com Authorized Contact Name: phone; Email; Matt Webb (914) 949-2000 rnwebb@peckham.com THIS SERVICE AGREEMENT HEREBY INCORPORATES BY REFERENCE THE TERMS AND CONDITIONS (AVAILABLE AT A COPY OF WHICH WILL BE PROVIDED TO CUSTOMER UPON REQUEST. BY EXECUTING THIS SERVICE AGREEMENT BELOW, CUSTOMER ACKNOWLEDGES THAT: (1) CUSTOMER ACCEPTS AND AGREES TO BE BOUND BY THE TERMS AND CONDITIONS. INCLUDING SECTION 21 THEREOF. WHICH PROVIDES THAT THE PARTIES DESIRE TO RESOLVE DISPUTES RELATINGTO THE TIME ARNER CABLE BUSINESS CLASS SERVICES AGREEMENT THROUGH AND (2) BY AGREEING TO ARBITRATION, CUSTOMER IS GIVING UP VARIOUS RIGHTS. INCLUDING THE RIGHT TO TRIAL BY JURY. By signing and accepting below you are acknowledging that you have read and agree to the terms and conditions outlined in this document. Electronic Signature Disclosure LLC Authorized Signature for Customer Bt? I By: Fagin?? (Printed): Name (printed): . .Je: Title: Date: Date: ATTACHMENT PROOF OF INTERNET CONNECTIVITY DISPENSING FACILITY 445 State Route 28 Kingston, New York 12401 Con?rmation of High Speed Internet Connectivity from Time Warner Cable. Etain, LLC Attachment Proof of Internet Connectivity TIME WARNER CABLE Business Class Acoount Executive: Briana Powell one: .(866) 967-7510 extz1721534 .l Phone: Fax: (704) 973-6343 Email: briana.powell@twcable.oom Order 5893078 Business Name Etaln, LLC Customer Type: Federal Tax ID Tax Exempt Status Tax Exempt Certi?cate 11 Billing Address Attention To: Account Number 6032 State Route 9 Chestertown NY 12817 Billing Contact Billing Contact Phone Billing Contact Email Address Matt Webb Q14) 949-2000 mwebepeckhamcom Authorized Contact Authorized Contact Phone Authorized Contact Email Address Matt Webb (9&949-2000 mwebepeckhamcom Technical Contact Contact Phone Technical Contact Email Address lntemet and Video Order Information For 870 State Route 9 Queensbury NY 12804 Service Type High Speed Internet (HSD) New and Revised Services and Charges At 402 Pearl St . Albany NY 12207 Montth Description Quantity Sales Price Recurring Total Contract Term 02 2015 Aoq - 10M 1M 1 $69.99 $69.99 36 Months *Tntal $59.99 I ?g do not Include taxes and fees. Page 1 of4 11MB WARNER CABLE Business Class New and Revised Services and Charges At 6032 State Route 9 Chestertown NY 12817 Description . Quantity Sales Price Recurring Total Contract Term Q2 2015 AcLloM 1M 1 $69.99 $69.99 36 Months ?l'otal $69.99 'Prices do not Include taxes and fees. New and Revised Services and Charges At 870 State Route 9 . Queensbury NY 12804 Montth Description Quantity Sales Price Recurring Total Contract Term 02 2015 Aqth 1M 1 $69.99 $69.99 36 Months ?Total $69.99 ?Prices do not include taxes and fees. New and Revised Services and Charges At 445 State Route 28 . Kingston NY 12401 Montth Description Quantity Sales Price Recurring Total Contract Term 02 2015 Acq - 7M 768K .1 $49.99 $49.99 36 Months ?Total $49.99- *Prices do not Include taxes and fees. New and Revised Services and Montth Charges At 4671 Onondaga Syracuse NY 13219 Description Quantity Sales Price Recurrianotal Contract Term 2015 A09 - 7M 768K 1 $49.99 $49.99 36 Months otal $49.99 ?Prices do not include taxes and fees. One Time fees At 402 Pearl St .Albany NY 12207 DOW?Ptlon Quantity Sales Price Total HSD Installation Discount 1 ($150.05) ($150.05) HSD Installation 8% Play 1 $200.00 $200.00 Total $49.95 'Prices do not include taxes and fees. One Time fees At 445 State Route 28 Kingston NY 12401 Description Quantity Sales Price Total Install SingliPlay 1YR 1 $200.00 $200.00 HSD Installation Discount 1 ($150.05) ($150.05) Total $49.95 *Prices do not include taxes and fees. 6 One Time fees At 4671 Onondaga Syracuse NY 13219 Description Quantity Sales Price Total HSD Installation Discount 1 ($150.05) ($150.05) HSD Installation Single Play 1 $200.00 $200.00 Isl-Fg $49.95 53 do not include taxes and fees. Page 2 of 4 TIME WARNER CABLE Business Class One Time foes At 870 State Route 9 .Queensbury NY 12804 Description Quantity Sales Price Total HSD installation Discount ($150.05 ($150.05) HSD Installation Single Play $200.00 $200.00 Total $49.95 *Prices do not include taxes and fees. One Time fees At 6032 State Route 9 .Chestertown NY 12817 Description Quantity Sales Price Total HSD Installation Discount ($150.05) ($150.05) HSD Installation Slmle Play $200.00 $200.00 Total $49.95 ?Prices do not include taxes and fees. Page 3 of 4 . r. . Busmess Class . I ?oecial Term octronlc Signature Disclosure By and accepting below you are acknowledging that you have read and agree to the tenns and oondilions outlined In this document. Authorized Slgnalure for Time Warner Cable Enterprises LLC Authorized Signatulo for Customer um and PrintedName and Tie Signed - Date Signed Page 4 of4 I . CABLE Service Agreement BuSInE?ss This Time Warner Cable Business Class Service Agreement (?Service Agreement") in addition to the Time Warner Cable Business Class Terms and Conditions (?Terms and Conditions") and any Time Warner Cable Business Class Service Orders (each, a 'Servlce Order?), constitute the Master Agreement by and between customer identi?ed below ("Customer") and Time Warner Cable or "Operator?) and is effective as of the date last signed below. Time Warner Cable Information Time Warner Cable Enterprises LLC Street: Contact; Briana Powell City: Ie (866) 967 7510 1721534 one: - State: Zip Code: Facsimile: (704) 973-6343 Customer information Custom er Name (Exact Legal Name): I Federa' ID N03 Etain, LLC Billing Address: suite; City State: Zip Code: 6032 State Route. 9 Chestertown NY 12817 Billing Contact Name: phone; Email; Matt Webb (914) 949-2000 mwebb@peckham.com Authorized Contact Name: phone; Ema"; Matt Webb (914) 949-2000 mwebb@peckham.com Agreement . THIS SERVICE AGREEMENT HEREBY INCORPORATES BY REFERENCE THE TERMS AND CONDITIONS (AVAILABLE AT A COPY OF WHICH WILL BE PROVIDED TO CUSTOMER UPON REQUEST. BY EXECUTING THIS SERVICE AGREEMENT BELOW, CUSTOMER ACKNOWLEDGES THAT: (1) CUSTOMER ACCEPTS AND AGREES TO BE BOUND BY THE TERMS AND CONDITIONS, INCLUDING SECTION 21 THEREOF, WHICH PROVIDES THAT THE PARTIES DESIRE TO RESOLVE DISPUTES RELATINGTO THE TIME WARNER CABLE BUSINESS CLASS SERVICES AGREEMENT THROUGH AND (2) BY AGREEING TO ARBITRATION, CUSTOMER IS GIVING UP VARIOUS RIGHTS, INCLUDING THE RIGHT TO TRIAL BY JURY. By signing and accepting below you are acknowledging that you have read and agree to the terms and conditions outlined in this document. Electronic Signature Disclosure Authorized SI nature for Authorized Signature for Customer Time Warner Cab 9 Enterprises LLC BY: . By: rm!- - - g, 7' (Printed): Name (printed): . .Je: Title; Date: Date: ATTACHMENT PROOF OF INTERNET CONNECTIVITY DISPENSING FACILITY 460 Nepperhan Avenue Yonkers, New York 10701 Con?rmation of High Speed Internet Connectivity from Verizon FIOS. Erain, LLC Attachment Proof of Internet Connectivity To: Purchase Summary Dear Valued Business Customer, Jun 01, 2015 Thank you for your recent order with Verizon. Below is a summary of your order, along with your approximate charges. Please note that your first bill may be higher due to partial month prorated charges. An estimate is included below in the What to Expect on Your Next Bill section. For additional information regarding the status of your order, please visit our What's Next website which will provide you with a description of your services, list of assigned telephone number(s) and important updates on your installation process. If you have further questions, please contact us at 888-756-7244. To track your order on What's Next, you will need your Order Number and Zip Code for the location needing service installation. Your Order Number is: NY00260720269 Order Due Date is: Jul 01, 2015 Address 460 NEPPERHAN AV. YONKERS. NY. 10701 ATTACHMENT PROOF OF INTERNET CONNECTIVITY DISPENSING FACILITY 2146 Erie Boulevard East Syracuse, New York Proof of Dedicated Internet Connection from Northland Communications. Etain, LLC Attachment Proof of Internet Connectivity Etain LLC TELECOMMUNICATIONS SOLUTION Proposed by Northlon Stephany Dlugozima, Senior Account Executive: 315.671.6255 June 2, 2015 Northland Communications is pleased to submit the following proposal for Etain LLC. Voice services are an integral part of your business--employee call management, bill review and service troubleshooting are not. Using Northland Communications? highly reliable fiber optic network and the newest technologies, Northland provides an unlimited local and long distance calling solution coupled with high speed internet bandwidth for customers that want to keep it simple. VOICE AND DATA BUNDLED SERVICES Business Simple Business Simple is a traditional service providing a minimum of 3 business (POTS) lines over a fiber optic network, ensuring exceptional clear voice communications quality. This is combined with Northland?s high?speed, symmetrical Internet bandwidth ranging from 10M to 50M. Business telephone lines include all local and long distance calls within US. One static IP address is provided and additional IP addresses are available for a nominal fee. PRICING OPTIONS: 2146 Erie Boulevard East, Syracuse NY OPTION 1 - Lines Internet g1 Description 3 Business Lines: including ALL Local and Outbound Long Distance Usage 10 10 Dedicated Internet Connection 1 Static IP Address Business Simple package: $221.22* per month (plus applicable taxes) and CAC charges have been included in this quote OPTION 2 - Internet Only 911 Description 10 10 Dedicated internet Connection Recurring Charges: $300.00* per month (plus applicable taxes) Etain LLC Pricing based upon a Three Year Agreement with installation of $200. 00 per location. Pricing is valid until July 1, 2015. Taxes and surcharges are not included in this proposal. A lead time of 90 days will be required from contract execution to cutover/conversion Any private network circuits with Northland or any other provider require a 30 day written noti?cation to cancel the circuits to the appropriate provider. Pricing is subject to change without the bundled services of North/and Communications which may include local usage, long distance, dedicated lntemet, communications equipment and/or data services. OPTIONAL INTERNET UPGRADE PRICING: At any point during the contract term. Internet bandwidth can be increased to the following increments for the additional fee listed: 10M to 25M $1OOImonth 25M to 50M $1OOImonth Taxes and surcharges are not included in this proposal. A lead time of 30 days will be required from order to upgrade. A $70 one-time upgrade fee will apply. Northland Communications Page 2 Northland COMMUNICATIONS Etain LLC Installation and Support Details Northland will provide: - Pre-planning services such as site survey of communication room/space. scheduling of installation with designated staff, coordination with other carriers, if required - Extensive testing after cutover to include local, long distance and International inbound and outbound calling, as well as faxing - Access to web-based Internet graphs - Customer portal that provides online bill access Customer will provide: - For installation during business hours (8am to 4pm, Monday - Friday). If conversion is required outside of normal business hours, a $500 fee will apply - Minimum of 2?x2? wall space at each location for mounting equipment - Management and support of all equipment required beyond Ethernet hand-off of Internet service Conversion Process: - Operations technicians perform a detailed customer premise Site Survey for voice requirements and compare these ?ndings with the Customer Service Records from your existing carriers. In the event there are discrepancies, these are relayed back to the Sales/ Customer Relations representatives in order to proactively resolve prior to the conversion. - Cut-over dates are coordinated through our Network Operations Center with your current carrier to ensure a smooth transfer of services. I Northland?s Network Operations Center coordinates with you to determine the proper date and time for conversion of service. Conversion can take place during business hours (recommended to ensure proper testing can take place) or after-hours should your organization prefer. (There is a $500.00 fee for scheduled conversions outside Northland's business hours of 8am to 4pm, Monday - Friday.) Northland Communications Page 3 ATTACHMENT START-UP TIMELINE Etain, LLC Attachment L: Start-Up Timeline Etain?s estimated timeline for construction, growing marijuana, and production of a ?nished product is set forth in the following table. To upon issuance of registration, Etain is prepared to immediately commence construction activities. The general contractor will complete primary cultivation areas ?rst so that horticultural activities can begin while construction in other areas is ongoing. It is anticipated that, by approximately 90 days post-award, construction activities will be sufficiently complete so that plantings can begin. By approximately 160 days post-award, Etain anticipates that harvesting, extraction and product formulation and testing will be complete. Final product will be ready for sale 172 days post-award. The table below sets forth operational milestone (the most signi?cant construction and horticultural benchmarks) and expected dates of achievement for each. Operational Milestone Days Post-Award of Registration New York State Awards Medical Marijuana Day 0 Permits Construction Phase Days 1 5 Connecting Corridor and Mechanical Room Days 6 72 Existing Building Renovations Days 9 86 First Plantings Day 86 First Harvest (45 Days) Day 130 Second Harvest (60 Days) Day 146 Extraction Days 138 141 Product Formulation Days 142 148 Product Packaging Days 150 156 Product Testing Day 157 163 Product Delivery to Dispensaries Day 170 Final Product Ready for Sale Day 172 Etain, LLC Attachment Start? Up Timeline ATTACHMENT STATEMENT OF COMPLIANCE WITH LAWS ATTACHMENT STATEMENT OF COMPLIANCE As documented in the Application Materials submitted by Etain herewith, including any and all forms, attachments, exhibits, appendices, contracts, plans, speci?cations, statements and other documents, Etain is able to comply with all state and local laws and regulations pertaining to the activities Etain intends to engage in pursuant to the registration. Etain, LLC 1 Attachment Statement of Compliance with Laws . SUPPLEMENTAL EXHIBITS T0 APPLICATION LETTERS 0F SUPPORT ANDREA STEWART-COUSINS I DEMOCRATIC CONFERENCE LEADER . i; THE SENATOR STATE OF NEW YORK May 29, 2015 Howard Zucker, Commissioner New York State Department of Health ALBANY OFFICES: 907 OFFICE ALBANY. NEW YORK 12247 (518) 455-2555 FAX (513)42515311 315 ALBANY. NEW YORK 17247 (513) 455-2715 FAX (513) 426-6844 DISTRICT OFFICE: 28 WELLS AVENUE. EUILDING 3 YONKERS, NEW YORK 10701 (914) 4234031 FAX (914) 42341979 NYC omen- 250 BROADWAY. sum-2 1930 NEW YORK. NEW YORK 10007 (212) 298-5585 Corning Tower FAxtzumassm Empire State Plaza Albany, NY l2247 Dear Commissioner Zucker: Please accept this letter in support of Etain application to establish and operate a medical marijuana dispensary in New York State. Etain is a New York-based, women-owned business whose mission is to optimize quality of life for patients by providing medical cannabis to those in need. The company is run by the Peckham Family which is known in the Hudson Valley for their construction company Peckham Industries. Amy, Keeley and Hillary Peckham launched Etain as a separate entity. Nevertheless, the Peckham family has decades of experience working in a highly-regulated and vertically-integrated industry. They are also outstanding community partners, having undertaken signi?cant philanthropic work in Westchester County. In competing for a New York State medical marijuana license, Etain not only hopes to help New York State Open a new market, generate tax revenue, and create jobs, but they also hope to provide much-needed relief to the patients they will serve. As New York State embarks on this important medical marijuana initiative, please consider Etain?s application for a license. Should you have any questions, please do not hesitate to contact me at 9 4-423-403 l. Sincerely, Andrea Stewart?Cousins New York State Senate, 35th District Senate Democratic Leader RES100 101 102 103 104 105 EMA Inf VOTE ROLL CALL ROLL CALL MARCH 20, 2015 BOARD MEETING mm DESCRIPTION MAKING SUPPLEMENTAL APPROPRIATIONS AMENDING WARREN COUNTY BUDGET FOR 2015 FOR VARIOUS DEPARTMENTS WITHIN WARREN COUNTY AUTHORIZING AGREEMENT WITH BENCHMARK INTERNET GROUP BENCHMARK EMAIL FOR A 9-MONTH SUBSCRIPTION FOR EMAIL BLAST SOFTWARE FOR WARREN COUNTY TOURISM RESOLUTION IN SUPPORT OF PLACEMENT OF SIGNAGE FOR THE FESTIVAL SPACE ON INTERSTATE 87 BY THE NEW YORK STATE DEPARTMENT OF TRANSPORTATION APPOINTING MEMBERS OF THE TRAFFIC SAFETY BOARD APPOINTING MEMBER OF THE COUNTIES OF WARREN AND WASHINGTON INDUSTRIAL DEVELOPMENT AGENCY AND CIVIC DEVELOPMENT CORPORATION ALLOCATING FUNDING EARMARKED FOR COMBATING AQUATIC INVASIVE SPECIES IN PUBLICLY ACCESSIBLE WATER BODIES IN WARREN COUNTY OTHER THAN LAKE GEORGE AND AUTHORIZING INTERMUNICIPALAGREEMENTS FOR THE YEAR 201 5 AUTHORIZING WARREN COUNTY TO PARTICIPATE IN THE MEMORANDUM OF UNDERSTANDING AMONG PUBLIC AND PRIVATE ORGANIZATIONS REGARDING AQUATIC INVASIVE SPECIES PREVENTION IN THE ADIRONDACK REGION AWARDING PROPOSAL AND AUTHORIZING AGREEMENTWITH GROSS ELECTRIC, INC. FOR PERIODIC ELECTRICAL REPAIR, INSTALLATION AND UPGRADE SERVICES FOR WARREN COUNTY (WC 7-15) AUTHORIZING THE SUPERINTENDENT OF THE DEPARTMENT OF PUBLIC WORKS TO ESTABLISH ANNUALLY RECURRING PREMIUM PARKING PROCEDURES AND RATES FOR THE ADIRONDACK HOT AIR BALLOON FESTIVAL AT THE FLOYD BENNETT MEMORIAL AIRPORT AWARDING PROPOSAL AND AUTHORIZING AGREEMENT WITH T. P. MONAHAN, INC. FOR FLOYD BENNETT MEMORIAL AIRPORT ROOF INSTALLATION AT TWO LOCATIONS (WC 2-15) RES. NO. 106 107 108 109 110 111 112 113 114 115 Warm {[1111me 33mm 1111f Swm?v??m VOTE MARCH 20, 2015 BOARD MEETING mm DESCRIPTION AUTHORIZING AGREEMENT WITH ADIRONDACK HOT AIR BALLOON FESTIVAL, INC. AND AUTHORIZING USE OF FLOYD BENNETT MEMORIAL AIRPORT - WARREN COUNTY, NEW YORK FOR 2015 ADIRONDACK HOT AIR BALLOON FESTIVAL CANCELLING OR CORRECTING OF ASSESSMENTS AND REFUNDS OF TAXES DELETING TAXES ON TOWN OF HAGUE TAX MAP PARCEL NO. 25.4-1 -22 AUTHORIZING ISSUANCE OFA QUITCLAIM DEED TO KATHARINA SCHAFFRANIETZ FOR TOWN OF HAGUE TAX MAP PARCEL NO. 25.4-1-22 AND WAIVING WARREN RECORDING FEES WITH THE COST OF THE NEW YORK STATE FILING FEES BEING PAID BY THE REAL PROPERTY TAX SERVICES DEPARTMENT AUTHORIZING THE DIRECTOR OF REAL PROPERTY SERVICES TO CHARGEBACK TO WARREN COUNTY MUNICIPALITIES FIFTY PERCENT OF ANNUAL LICENSING FEES CHARGED BY NEW YORK STATE SUPPORTING THE APPLICATION OF AMY, HILARY AND KEELEY PECKHAM (ETAIN) TO OBTAIN ONE OF FIVE LICENSES TO BE ISSUED BY NEW YORK STATE TO BUILD A MEDICAL MARIJUANA OPERATION IN THE TOWN OF CHESTER AUTHORIZING THE CHAIRMAN OF THE BOARD OF SUPERVISORS TO SIGN A HIPAA BUSINESS ASSOCIATE AGREEMENT WITH ADIRONDACK HEALTH INSTITUTE, INC. AS REQUIRED BY THE NEW YORK STATE DEPARTMENT OF HEALTH OFFICE OF EALTH INSURANCE PROGRAMS TO ALLOW THE OFFICE OF COMMUNITY SERVICES TO PARTNER IN THE DELIVERY SYSTEM REFORM INCENTIVE PROGRAM AUTHORIZING AN AGREEMENT WITH MERIAL, INC. TO ALLOW THE URCHASE OF VACCINE FOR USE OF ANIMAL VACCINATIONS AT THE RABIES CLINIC AUTHORIZING AGREEMENTWITH NEW YORK STATE DEPARTMENT OF HEALTH FOR CHILDREN WITH SPECIAL HEALTH CARE NEEDS PROGRAM AUTHORIZING THE CHAIRMAN OF THE BOARD OF SUPERVISORS TO SIGN A HIPAA BUSINESS ASSOCIATE AGREEMENT WITH ADIRONDACK HEALTH INSTITUTE, INC. AS REQUIRED BY THE NEW YORK STATE DEPARTMENT OF HEALTH OFFICE OF HEALTH INSURANCE PROGRAMS TO ALLOW THE WARREN COUNTY HEALTH SERVICES DEPARTMENT TO PARTNER IN THE DELIVERY SYSTEM REFORM INCENTIVE PROGRAM -2- 117 118 119 120 121 122 123 124 125 126 211mm @Immihg (EMMA Mi? Sww?mw MARCH 20 2015 BOARD MEETING ESCRIPTION AUTHORIZING AGREEMENT WITH THE NEW YORK STATE DEPARTMENT OF HEALTH TO PERMIT THE ACCEPTANCE OF FUNDING FOR THE EBOLA PREPAREDNESS AND RESPONSE ACTIVITIES AUTHORIZING PARTICIPATING PROVIDER AGREEMENT WITH PRIME HEALTH CHOICE, LLC TO PROVIDE CERTAIN MEDICAL AND HEALTH RELATED SERVICES AND AUTHORIZING REIMBURSEMENT TO THE WARREN COUNTY HEALTH SERVICES DEPARTMENT AUTHORIZING AGREEMENT WITH DEBBIE L. WAY, RRT, TO PROVIDE RESPIRATORY THERAPY SERVICES FOR THE HEALTH SERVICES DEPARTMENT APPOINTING MEMBERS OF WARREN COUNTY FIRE ADVISORY BOARD FOR THE OFFICE OF EMERGENCY SERVICES APPROVING THE REVISED COMPREHENSIVE EMERGENCY MANAGEMENT PLAN FOR WARREN COUNTY FOR OFFICE OF EMERGENCY SERVICES AMENDING SOURCE OF FUNDING IN RESOLUTION NO. 590 OF 2014; AUTHORIZING AGREEMENT WITH BENDER (FORMERLY KNOWN AS LEXIS PUBLISHING) TO PROVIDE A MANDATED LAW LIBRARY SYSTEM FOR INMATES AT THE WARREN COUNTY CORRECTIONAL FACILITY AUTHORIZING CONTRACT WITH SIMPLEXGRINNELL LP FOR INTERNAL OBSTRUCTION INSPECTION OF THE FIRE SPRINKLER SYSTEM AT THE PUBLIC SAFETY BUILDING AUTHORIZING AGREEMENT WITH GREATER ADIRONDACK HOME AIDES TO PROVIDE CASE MANAGEMENT SERVICES FOR THE OFFICE FOR THE AGING AUTHORIZING AGREEMENT WITH HAMILTON COUNTY DEPARTMENT OF SOCIAL SERVICES TO PROVIDE CASE MANAGEMENT SERVICES FOR THE OFFICE FOR THE AGING AUTHORIZING COMMUNITY SERVICES FOR THE ELDERLY (CSE) AGREEMENT WITH HAMILTON COUNTY DEPARTMENT OF SOCIAL SERVICES TO PROVIDE CASE MANAGEMENT SERVICES FOR THE OFFICE FOR THE AGING AUTHORIZING COMMUNITY SERVICES FOR THE ELDERLY (CSE) AGREEMENT WITH WARREN COUNTY PUBLIC HEALTH TO PROVIDE HEALTH PROMOTION SERVICES FOR THE OFFICE FOR THE AGING NOIJ.VJ.S M3380 H.L8ON 3HJ. OJ. .LN3OVPCIV BNIGTIHE 3HJ. NI WOO8HJ.V8 M3N 3HJ. 803 08.338 30 CINV 3H.L 803 BHHEISNHOP 3O 3HJ. OJ. J.N3W3SV3 3O .LNV8E) ?3Nl" 3H.L S3Ili'lleOianN 83HJ.0 CINV N388VM 3O 3H.L 3O 3HJ. 30 338.00 CINV 3HJ. CINV CINV HJ.NI8OO 3HJ. OJ. NI 3HJ. GNV Oi?lElnd 3HJ. O.L .LOV THE GNV TIIS 3J.VN3S 3O 3H.L 803 N388VM AEI 1830038 3108 3WOH N388VM 803 9108 3H.L 3ONVITIV 883M0c 3HJ. 3O 838W3W SV MNHOO N388VM 83.LSI93H OJ. .LN39V N388VM BNIZIHOHJIIV UNV 803 HJJM NV BNJZIHOHJIIV (g L-g om) NOLLOV aunsmoaaod NEIHHVM EIHJ. HJJM NouoaNNoo NI saomaas snouam ?Asva aovw mawaauav GNV DNIBV 3H.L 803 30i33O 3H.L 803 S3OIA83S MINHWWOO 3H.L NOJJIWVH CINV N388VM NIHJJM A183Cl?la 3HJ. 803 S3OIA83S 803 SJ.N3W3389V BNIBV 3H.L 803 EIOI33C) 3H1 803 wvu-aoad dasa uaGNn sauNnoo GNV NEIHHVM NIHJJM wvuooud magma EIHJ. 803 saomuas aon-NI 803 smawaauav 3H.L 803 3OI33O 3HJ. 803 3HJ. NOJJIINVH NIHJJM 3H.L 803 S3OIA83S 3WOH-NI 803 38VO HJJM .LN3W3389V BNEZI8OHJIIV oNlov 3HJ. EIOI33O ElHi 803 saomuas Nouowoud anaH aamoad 01 onand (also) maacna EIHJ. 803 saomaas NOlidl8083G ONIL33W GHVOE SLOZ OZ HOHVW 3J.O 3pm mme 98L 98L 178!- 881 88!- LSL 08!- 63]- 88!- ABI- 'saa RES. NO. 137 138 139 140 141 142 143 144 145 146 147 148 149 MEIWIEII (EMMA ?mme?n??m VOTE ROLL CALL ROLL CALL MARCH 20 2015 BOARD MEETING INDEX 9m AWARDING PROPOSAL AND AUTHORIZING AGREEMENT WITH CALLANAN INDUSTRIES, INC. FOR COLD MILLING SERVICES (WC 9?15) AUTHORIZING AGREEMENTS BETWEEN WARREN COUNTY AND THETOWNS OF WARREN COUNTY INCLUDING THE CITY OF GLENS FALLS FOR REIMBURSEMENT OF A PORTION OF THE COSTS FOR RECREATIONAL PROGRAMS AWARDING BID AND AUTHORIZING AGREEMENT WITH LOWEST RESPONSIBLE BIDDER FOR LAKE GEORGE ENVIRONMENTAL PARK AT THE CHARLES R. WOOD PARK CONTRACT NO. 9 (WC 19-15) - FESTIVAL SPACE PERIMETER FENCE AND MASONRY COLUMN ENTRANCE FEATURE AUTHORIZING REIMBURSEMENT TO THE VILLAGE OF LAKE GEORGE FOR TURF MANAGEMENT EXPENSES AT THE FESTIVAL SPACE AT THE CHARLES R. WOOD PARK RESOLUTION IN SUPPORT OF STATE ASSEMBLY BILL NO. 3558 REGARDING REDEFINITION OF SECTION 60 OF THE GENERAL CONSTRUCTION LAW OPPOSING EXECUTIVE 2015-16 STATE BUDGET PROPOSAL CONCERNING THE UPSTATE REVITALIZATION ACCOUNT OPPOSING PART OF GOVERNOR PROPOSED 2015 BUDGET SUPPORTING THE STATES PROPOSAL TO RAISE THE AGE OF CRIMINAL RESPONSIBILITY FROM 16 YEARS TO 18 YEARS CONTINGENT ON 100% FUNDING BEING PROVIDED BY NEW YORK STATE AMENDING TABLE OF ORGANIZATION AND WARREN COUNTY SALARY AND COMPENSATION PLAN FOR 2015 AUTHORIZING THE CLERK OF THE BOARD OF SUPERVISORS TO FILL THE VACANT POSITION OF LEGISLATIVE OFFICE SPECIALIST #4 DUE TO CREATION RETAINING TEMPORARY POSITION OF GIS TECHNICIAN AMENDING RESOLUTION NO. 113 OF 2014 - AUTHORIZING AN INCENTIVE COMPENSATION PROGRAM WITH REGARD TO PER DIEM AND AT WESTMOUNT HEALTH FACILITY AUTHORIZING AGREEMENT WITH COMPUTER SERVICES, INC. TO PROVIDE COMPUTER SERVICES AT WESTMOUNT HEALTH FACILITY 150 151 152 153 154 155 156 157 158 (TENN Swer?rt?mm VOTE ROLL CALL ROLL CALL ROLL CALL ROLL CALL ROLL CALL ROLL CALL MARCH 20 2015 BOARD MEETING mm QEMDLON RATIFYING ACTIONS OF THE ADMINISTRATOR OF WESTMOUNT HEALTH FACILITY IN HIRING A TEMPORARY FISCAL SUPPORT EMPLOYEE AMENDING RESOLUTION NO. 471 OF2O1 2 - AUTHORIZING AGREEMENT WITH MEDICAL STAFFING NETWORK HEALTHCARE, LLC MEDICAL STAFFING NETWORK TO PROVIDE EMERGENCY TEMPORARY NURSING AND CERTIFIED NURSES AID COVERAGE AT WESTMOUNT HEALTH FACILITY AUTHORIZING RENEWAL OF AGREEMENT WITH WARREN COUNTY SOCIETY FOR THE PREVENTION OF CRUELTY TO ANIMALS, INC. AUTHORIZING INTERFUND ADVANCE TO WESTMOUNT HEALTH FACILITY TO COVER CASH FLOW AUTHORIZING THE COUNTY TREASURER TO TRANSFER FUNDS FROM THE AIRPORT REPAIR PROJECTS RESERVE ACCOUNT TO BUDGET CODE A.9950 910 TRANSFERS-CAPITAL PROJECTS, INTERFUND TRANSFERS TO INCREASE AIRPORT CAPITAL PROJECT NO. H306.9550 280 LAN EASEMENT - FOREST ENTERPRISES PARCEL ANDAMENDING 2015 WARREN COUNTY BUDGET INCREASING CAPITAL PROJECT NO. H306.9550 280 EASEMENT - FOREST ENTERPRISES AUTHORIZING TRANSFER OF FUNDS AND AMENDING WARREN COUNTY BUDGET FOR 2015 ESTABLISHING CAPITAL PROJECT NO. H358.9550 280 HAZARD MITIGATION GRANT AUTHORIZING TRANSFER OF FUNDS AND AMENDING WARREN COUNTY BUDGET FOR 2015 APPROVING PHASE II PRELIMINARY ASSESSMENTS BY CLARK PATTERSON LEE ON PROPERTIES LOCATED IN THE TOWN OF HAGUE, TAX MAP PARCEL NO. 25.1 ?1 -8, TOWN OF JOHNSBURG, MAP PARCEL NO. 133.8-1-27 AND TOWN OFQUEENSBURY, MAP PARCEL NO. 302.8-1 FUNDS FROM THE ENVIRONMENTAL TESTING FUND RESERVE TO THE REAL PROPERTY SERVICES AMENDING THE 2015 WARREN COUNTY BUDGET AUTHORIZING THE APPROPRIATION OF FUNDS FROM THE OCCUPANCY TAX RESERVE TO THE TOURISM BUDGET FOR THE PERFORMANCE STAGE CONCEPTUAL PLANNING STUDY AT THE CHARLES R. WOOD AMENDING 2015 WARREN COUNTY BUDGET EIJVJS EIHJ WOEH JNEIWEIEIHOV JNVHE) EIHJ AJJNFIWINOO ?8 NEIHHVM EIHJ. :iO NI JVHEINEIE) EIHJ EIONVACIV 9 L03 80:! JEIOGFIS NEIHHVM ONIGNEIWV CINV :iO HEHSNVELL HEIJEIWIHEICI CIOOM SEHHVHO 083 099619 SH QNIHSIJEIVJSS EIONVAEIANOO EIHJ GNV EIHJ. EIHJ. OJ. V330 HJIM SNOIJVLLOOEIN EIHJ. DNIGHVOEIH NEIHHVM OJ. OJ. 'O'd ?9 .LHVMEIJS ?:l:llJ.NOd EIHJ. NIVJEIH OJ. JNEIWEIEIHOV ?1.03 :10 88A ONIGNEIWV HJJVEIH EIHJ EIHJ OJ. TVEIH 80:! 'O'd ?8 JHVMEIJS ?dleNOd WOEH Henna NEIHHVM 9 L03 DNICINEIWV fAunesmaano EIHJ. NI 6 ainoa NO CIEINMO :10 5 va TVIJNEIJOCI EIHJ. 01 >4qu 80:! 33000 JEIEJCIHS (AEINHOJJV cm 3003 139mg samnous) )9 OJ. EIHJ =10 uaaswai EIHJ. omzmomnv 301330 91qu onand =10 EIHJ. NI dngegaw SASOSS vuw vuaoom asoaand-mnw 00V OJ. 011 madns )9 .LNawcunoa ssaNisna TVNOIJVN HJIM mawaauav JNEIINCINEIWV NEIHHVM 91.03 ONIGNEIINV OJ. OJ EIAHEISEIH EHOIHEIA EIHJ. EIHJ. JEIOGFIS NEIHHVM 9 ONIGNEIWV CINV EIHVMJAOS CINV EISVHOHFICI EIHJ. 80:! JEIOGFIS OJ. EIAHEISEIH EIHJ. HEHSNVELL OJ. EIHJ. XECINI BNLLEEIN CIHVOEI SLOZ OZ HOHVW TWO WOH TIVQ TIOH 1101:] TIOH WTVO TIOH g?ggw?mg 3pm magi 11mm 131E 99l- 99!. 179]. 891- 39l- L9l- 09l- 69 (EMMA MARCH 20 2015 BOARD MEETING RES. NO. VOTE DESCRIPTION 167 INTRODUCING PROPOSED LOCAL NO. 3 OF 2015 AND AUTHORIZING PUBLIC HEARING A LOCAL LAW ENTITLED LOCAL FOR COMMON, SAFE ITEMS TO BE EXCLUDED FROM THE DANGEROUS FIREWORKS DEFINITION AS PERMITTED BY NEW YORK STATE PENAL LAW SECTION 405. 168 INTRODUCING PROPOSED LOCAL NO. 4 OF 2015 AND AUTHORIZING PUBLIC HEARING A LOCAL LAW ENTITLED LOCAL LOCAL LAWNO. 3 OF201 1 - DELETINGAND REPLACING SECTION 4 IMPOSITION 0F FEES FOR 618 AND E-911 ADDRESSING SERVICES PROVIDED BY THE WARREN COUNTY PLANNING 169 AUTHORIZING ACQUISITION OF PROPERTY AND PAYMENT OF JUST COMPENSATION TO INDIVIDUAL PROPERTY OWNERS FOR LAND NECESSARY FOR THE BLAIR ROAD OVER MILL BROOK BRIDGE REPLACEMENT PROJECT (PIN 1759.13) IN THE TOWN OF AUTHORIZING CHAIRMAN TO EXECUTE ANY AND ALL NECESSARY DOCUMENTS Special Meeting March 02, 2015 Page 1 Special meeting of the Town of Chester Town Board was held on March 2, 2015 at 7:00 pm at the Town Hall, 6307 State Route 9, Chestertown, NY. Roll Call: Mike Packer, Edna Wells, Karen DuRose, Frederick H. Monroe, and Steve Durkish. The purpose of the Special meeting was to discuss a tentative plan to pursue a Medical Marijuana growing and processing license in the Town of Chester by the Peckham Family. Peter Simoneau, Vice President of Peckham Industries, began the presentation by stating that Peckham had been striving to grow its business, located on the west side of Route 9 in the Town of Chester, but due to limitations of the APA regulatory and permit issues, the quarry operations have been restricted. A few years ago, Peckham had acquired property across Route 9, the former Ross Farm, which was designated during Zoning changes to the Town, as an Industrial Zone. It is currently occupied by a log storage operation. Mr. Simoneau continued that a marijuana operation would involve erection of a new structure (warehouse), located in front of the former horse barn. Other ventures proposed for the property are a wood pellet processing plant, and possible solar farm. Mr. Simoneau explained that the Marijuana project could not be a subsidiary of another group. The project would need to be up and running by January 1? of 2016, so they want to begin the regulatory process now. In attendance for the presentation of the Medical Marijuana project were Amy Peckham, and daughter Hillary Peckham, along with Joe Stevens, a project consultant. Amy Peckham, along with daughters Hillary and Keeley, are partners in a business that is separate from Peckham Industries, known as ?Etain, With Amy Peckham having Gaelic roots, the new company is named for a legendary Gaelic woman, who embodyed multiple roles at the same time. (A true multi-tasker!) ?Etain? is vying for one of five licenses to be issued in this State sometime later in the year. The project would require Planning and Zoning approval. Hillary Peckham did an outstanding job offering a Power Point presentation to the Board and attending guests. She began by ex laining that ?Etain? is a totally Women owned business. Her ?5 venture due to Hillar ex lained tha Special Meeting March 02, 2015 Page 2 she had for abou- -her ?by Her had tried to entice her into using medical marijuana to alleviate her pain, but she refused. She was a law abiding citizen, Hillary explained, with her worst offense being speeding. When laughter from the audience erupted, Hillary was quick to explain that she would sometimes exceed the speed limit. - that can cause up Medical marijuana cannot cure such a disease, or any other, but it could go a long way in controlling some of the for a better quality of life. Benefits of Medical Cannabis, with support from the NE Journal of Medicine, The American Nurses Association, and the American Academy of Family Physicians, and others, prove it relieves muscle spasms from neurological disorders, alleviates nausea from Chemotherapy, and aids patients with chronic and debilitating pain associated with Cancer, AIDS, and MS, to name a few. Some of the other diseases which would benefit are ALS, Parkinson's, Spinal Cord injuries with spasticity, Epilepsy, Neuropathy, Huntington?s Disease, and Inflammatory Bowel Disease. She co 'nued that she has a Any patient seeking to use Medical Cannabis must have one of these diseases with such as wasting (because they cannot eat), pain resulting in limitation of function, severe nausea, seizures, or severe muscle spasms. Doctor?s must be licensed to prescribe Medical Cannabis, having to complete a 4 hour certification course, and are restricted to prescribing only a 30 day supply. State Law mandates that Medical Cannabis cannot be produced in a smokeable form, but will be extracted pill form, or tincture. The State is granting only five licenses, but each can be affiliated with 4 dispensaries, which gives a total of 20 dispensaries within the State. Each dispensary must be staffed with a State licensed Pharmacist and must be in a location separate from the processing plant. Extraction is regulated. Some in the current industry rely on use of dangerous organic solvents like Butane, which extract unwanted materials, and leave trace amounts of toxins in the finished product. It is also highly explosive, and NY State regulations prohibit the use of Butane for extraction. Instead, a complicated C02 system will be utilized. Every plant is tracked and accounted for. The processing plant would have security guards and surveillance cameras for protection. Distribution would be done by armored vehicles. Special Meeting March 02, 2015 Page 3 There are also tax advantages for the regions where Medical Marijuana is processed and dispensed. 7% excise tax goes to the Commissioner of Taxation and Finance. Of that 7% revenue, .22.5% goes to the counties in NY State where Medical Marijuana is manufactured. .22.5% goes to the counties in NY State where Medical Marijuana is dispensed, goes to the Division of Criminal Justice Services, and goes to the Office of Alcoholism and Substance Abuse Services for prevention, counseling and treatment. The rest goes to the State. ?Etain? would also qualify for tax breaks on improvements made to the property. Initially, the new construction would be assessed at 50% for the first five years, and then increase at a rate of 5% per year until it reaches 100%. There is an initial expectation of between 20 and 30 jobs, with approximately 1,900 patients being served. These highly skilled, living wage jobs would include construction, security, transportation, property management, horticultural, culinary, chemical engineering, pharmaceutical, and administrative. Hillary stated that this will create a new Industry and a new set of jobs in an undeveloped area. The family is hOping that in the next few years, the State will amend legislation to add other conditions for which the drug can be prescribed. Some of these would include posttraumatic stress disorder, rheumatoid arthritis, depression, anxiety and chronic pain. They also hope the state will allow for wholesale distribution throughout the state, and that the Federal Government will decriminalize marijuana which could expand the number of potential patients to 5,000. Obviously as the business grows, the more jobs can be added. The state has not yet finished drafting the regulations, so she is not sure when the review process will start. They are supposed to start producing plants by January of 2016, so they would need to begin planting in October of this year. The Governor and the Commissioner of Health will make the decision on who receives the licenses, based on points for quality of submission, and moral character of the applicant. They want to be sure that applicants are going into this venture for the right reasons, and giving back to the community. The company is working with a Real Estate Agent to find suitable locations for dispensaries. Each dispensary has to be located at least 1,000 feet from schools, places of worship, and public parks. It should be stated that all product is sent to a laboratory for testing to be sure of the quality and that each patient is given a consistent dose of medication. Special Meeting March 02, 2015 Page Ii The audience was extremely receptive to the concept, and the Board reviewed and approved the draft resolution for a Medical Marijuana cultivation?manufacturing Facility. RESOLUTION #27: APPROVE DRAFT RESOLUTION FOR VOTE FOR MEDICAL MARIJUANA EACILITY: Introduced by Mr. Monroe, seconded by Mr. Packer, approve the draft resolution for vote for Medical Marijuana Cultivation? Manufacturing Facility: contingent on review by Attorney for the Town: WHEREAS, on July 5, 2014, Governor Cuomo signed into law the New York Medical Marijuana Law; and WHEREAS, the New York State Department of Health has established specific regulation under which businesses are licensed as Registered Organizations for medical marijuana cultivation, production and sale; and WHEREAS, there is ample evidence that marijuana is beneficial to people suffering from the chronic and debilitating pain associated with cancer, AIDS and multiple sclerosis, and has also proven effective in alleviating nausea associated with chemotherapy, and muscle spasms from neurological disorders; and WHEREAS, the American Nurses Association, American Academy of Family Physicians, Foundation of America, American Preventive Medical Association, American Public Health Association, Gray Panthers, and the New England Journal of Medicine have endorsed the medical use of marijuana; and WHEREAS, a 2014 Quinnipiac University poll found that 88 percent of all New Yorkers think allowing medical marijuana at the recommendation of a doctor is a good idea with strong support amongst all groups; and WHEREAS, New York State Licensed Registered Organizations provide high skill and living wage jobs and operate under Labor Peace Agreements with labor unions; and WHEREAS, Local innovators and entrepreneurs in the medical marijuana industry seek to drive local economic growth; and WHEREAS, the Town Board has a vested interest in ensuring that Town of Chester residents have access to all viable medical options that could address associated with chronic, painful, or terminal diseases; and Special Meeting March 02, 2015 Page 5 NOW THEREFORE BE IT RESOLVED: In accordance with the request therefore, the Town Board supports New York Assembly Bill 6357 signed into law by Governor Andrew Cuomo on July 5, 2014; and it is further RESOLVED that the Town of Chester welcomes and encourages appropriately licensed, registered and regulated medical marijuana businesses, including cultivation, processing facilities and dispensaries; and it is further RESOLVED that the Town of Chester current laws and codes do not prohibit medical marijuana businesses, including cultivation, processing facilities and dispensaries. ROLL CALL VOTE: Steve Durkish AYE Edna Wells AYE Michael Packer AYE Frederick Monroe AYE Karen DuRose AYE MEmorandnm of Understanding. A memorandum of understanding regarding aquatic invasive species prevention was brought to the Governor back in January, but was unsigned by municipalities and lake associations at that time, because they were waiting for input from DEC. Revisions were then made by DEC, and they will sign it, and get the Dept. of State to sign, along with APA and maybe Dept. of TranSportation. Mr. Monroe brought it to Warren County this morning, where the committee for invasive species passed it. He then received an email this afternoon from the Deputy DEC Commissioner for Natural Resources who said that DEC Commissioner Joe Martens and this Executive Deputy Commissioner are encouraging the Governor to do a press conference saying that this is being done, and being signed by municipalities and lake associations all over the Adirondacks. We would like to have it signed as added ammunition when the press conference is given. It is a non? binding resolution and is an Adirondack wide prevention plan. Basically it states that we realize there is a problem, and we will work together to solve it. RESOLUTION #28: APPROVE AND AUTHORIZE SIGNING OF MDU REGARDING AQUATIC INVASIVE SPECIES PREVENTION IN THE ADIRONDACK REGION. Special Meeting March 02, 2015 Page 6 Introduced by Mrs. Wells, seconded by Mr. Durkish, approve and authorize signing of the Memorandum of Understanding among public and private Organizations regarding aquatic invasive species prevention in the Adirondack Region. 5 NO 0 On a motion by Mr. Monroe, seconded by Mrs. DuRose, meeting adjourned at 8:55 pm. ?Respectfully submitted, Town Clerk CITY OF ALBANY OFFICE OF THE MAYOR 24 EAGLE STREET ALBANY, NEW YORK 12207 TELEPHONE (518)434-5100 .ALBAIIYNY. ORG KATHY MAYOR June 2, 2015 Howard Zucker, Commissioner New York State Department of Health Corning Tower Empire State Plaza Albany, NY 12247 Re: Mull?LC Dear Commissioner Zucker: Please accept this letter in support of Etain, LLC (Etain) establishing and operating a medical marijuana dispensary in the City of Albany. Etain not only hopes to help open a new market, generate tax revenue, and create jobs, but they also hope to provide much-needed relief to the patients they will serve. Etain has demonstrated its willingness to work with my of?ce towards balancing its own needs with the interests of our community. Etain has shown a desire to cooperate with the city, by proposing to place its diSpensary in the warehouse district of North Albany, recognizing the city?s effort to revitalize that portion of the city. Once Etain has secured its license to establish and operate a medical marijuana dispensary, they will work with local of?cials and police to ensure that Etain occupies a suitable location that complies with the New York Compassionate Care Act (the the Medicinal Marijuana Program Rules implementing the Act, and the City of Albany?s code and ordinances. My office will work closely with Etain to assist them in selecting a location that is an appropriate distance from all schools and child-rialated facilities, has easy access for patients, and is best secured from crime-related activity. I appreciate Etain considering the City of Albany as a site for this resource and support their application. Sincerely, Kathy M. Sheehan Mayor, City of Albany ULSTER COUNTY EXECUTIVE 244 Fair St, PO. Box 1800, Kingston, New York 12402 Telephone: 845-340-3800 Fax: 845-334-5724 MICHAEL P. HEIN ROBERT SUDLOW CountyEx'ecucive Deputy County/Executive ADELE B. REITER KENNETH CRANNELL Deputy County EXecucive February 5, 2015 To Whom It May Concern: Please accept this letter in support of Etain LLC establishing and operating a medical marijuana dispensary in Ulster County. Once Etain has secured its permit to establish and operate a medical marijuana dispensary, the Ulster County Office of Economic Development will assist Etain in every way possible so that Etain can ensure it occupies a suitable location that complies with the New York Compassionate Care Act (the the Medicinal Marijuana Program Rules implementing the Act, and Ulster County?s local codes and ordinances. The Office of Economic Development will work closely with Etain, so that Etain can ensure that its location is at an appropriate distance from all schools and child-related facilities. has easy access for patients, and is best secured from crime-related activity. Etain appears to have a strong business plan and I am impressed with the relationship it has established within our community. Etain has demonstrated its willingness to work cooperatively with Ulster County towards balancing its needs with the interests of our community. Please feel free to contact my office if you need additional information. Very truly yours, Michael P. Hein County Executive Ulster County Website: ulstercomujmy. gov OFFICE OF THE MAYOR MIKE SPANO May 29, 2015 New York State Department of Health Bureau of Narcotic Enforcement Medical Marijuana Program 150 Broadway Albany, NY 12204 Commissioner: On behalf of the City of Yonkers, please accept this letter as my support of ETAIN, application to open and operate a medical marihuana dispensary in the City of Yonkers. As Mayor I support ETAIN, proposed operation in Yonkers and believe it will advance Governor Cuomo?s goal of implementing a comprehensive, safe and effective medical marihuana program that meets the needs of New Yorkers with serious health conditions, while simultaneously promoting new industry andjob creation. For the foregoing reasons I hereby support ETAIN, application and thank you for your consideration. Sincerel GEL ?3 MIKE SPANO Mayor City HALL - 40 SOUTH YONKERS, NY 10701 - TEL. 914.377.6300 AX 914.377.6048 - EMAIL: County of Cnondaga Of?ce of the County Executive John H. Mulroy Civic Center, 14th Floor New 3202 Ann Rooney 421 Montgom ry treet, Syracuse, Yorkt Mm Beth Prime Deputy County Executive, Human Services Phone: 315.435.3515 Fax: 315.435.8582 Deputy Corina/Executive. Physical Services June 4, 2015 NY State Department of Health Corning Tower Empire State Plaza Albany, New York 12237 To Whom It May Concern: Please accept this letter in support of the application from Etain, LLC (?Etain?) to establish and operate a licensed dispensary at 2156 Erie Boulevard East, Syracuse, in the County of Onondaga and State of New York. The leadership team of Etain has reached out to our community, we believe that Etain has our best interests in mind by siting and operating a dispensary in Central New York. Etain?s plan to establish and operate a medical marijuana dispensary indicate they will work with all necessary municipal of?cials, boards, and law enforcement to ensure that the proposed facility complies with the New York Compassionate Care Act, the Medicinal Marijuana Program regulations and all local law. Thank you for your consideration of their application. Sincerely, Wt. e: anneM.Mahoney Onondaga County Executive SUPPLEMENTAL EXHIBITS T0 APPLICATION PRO ORMA FINANCIAL PROJECTIONS Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 Redacted pursuant to NY. Public Officers Law, Art. 6 SUPPLEMENTAL EXHIBITS T0 APPLICATION EMPLOYMENT MANUAL At-Will Disclaimer To answer some of the questions you may have concerning Etain, LLC, its subsidiaries and af?liates (hereinafter ?Etain? or the ?Company?) and their policies, we have produced this Employee Manual. Please read it thoroughly. The policies stated in this manual are guidelines only and are subject to change at the sole discretion of Etain, as are all other policies, procedures, bene?ts and other programs of Etain. From time to time, you may receive updated information concerning changes in policy. If you have any questions, please ask/ igupendsor or refer directly to this manual. if} This manual is not a contract, expressed or implied, guarante, ent for any speci?c duration. Although we hope that your employment relations/lg you or Etain may terminate this relationship at any time, ,hr?ason, w1 notice. Please understand that no supervisor, manager {repreisentative of than the CEO, has the authority to enter into any agreeme yoti?it or employment? F?any speci?c period of time or to make any promises or co the forego' Further, any 'thout cause or employment agreement entered into by the CEO sh written agreement and signed by both you and the CEO 0 supervisor, manager, or other of Etain ?33; 7 ?lgt'ity to make any verbal promises, commitments, or statement of procedures or any Please note this employee mual applies of Etain, LLC, as well as the -- gates. in thissimanual, including the preparation and Etain er?des, or Etain, administrative role as a or reduces giggetindependent corporate status of each of the th?iyispeci?c Etain entity which employed you, and use of a common In paymaster for the Etain entities. Yo?i?e no other parent, subsidi Page 1 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Foreword Keeping you fully informed about our policies, procedures, practices and bene?ts promotes fair treatment of all employees. This manual is intended to provide you with basic information to let you know what you can expect from us, as your employer, and what we can expect from you, the employee. believe in keeping 1ts, what employees can Etain or one of its Etain, LLC (?Etain?) reserves the right to interpret all policies in this employees fully informed about our policies, procedures, practices, expect from the Company, and the obligations assumed as an subsidiaries/af?liates. This practice is designed to provide fair tIe are expected to become familiar with the policies, procedure; and? manual is intended to provide employees with basic policies . in this manual re?ect a great deal of concern for the successful . . . its employees. Department. All employment at Etain is at will. ?At will? terminate employment at any - with or van 'tice, and with or without cause. No one other than the Preside - i fhe auth?fity to alter this agreement, to enter into ci?ed peri?gd of time, or to make any agreement contrary to be in must be signed by the CEO of Etain. insurance are summaries only and you should able) for the details of these bene?ts. Should the In the event of any? i'between the provisions of this manual and the provisions in any applicable Collective Bargainin eement, the Collective Bargaining Agreement shall govern in all cases with respect to employees?covered by such agreement. Page 2 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Management Philosophy Etain?s employees and their welfare are very irnportant to the success of our Company. Our long- range objective is the con?nuous development of a growing and prospering business through which both the employees and the Company will bene?t. Every employee is considered a member of our Company team. Our success as a Company is built on the recognition of the skills and efforts made by each employee. It is our policy to work with all members of our team in a and friendly manner and to treat each team member with dignity and respect. The management of Etain will work continually for the bene?g?? sent and prospective customers as well as our employees to improve the competitive enable us to provide excellent jobs for our team membep 3 cleanliness, and employee accommodations will be evalan 1" and Will always Strive to compare favorably with good with any employee to discuss suggested improvements such as safety, improvement we work, and to be viewed as a tain will work continuously to shall devote our best effort to handling any ts or concern "quickly and with the utmost courtesy. We will devote our best effort to conducting siness within which will prevail an atmosphere of harmony wi is 'ty for all e?g?loyees ogEtain. Sincerely, Amy K. Peckham, CEO I Etain, LLC Page 3 of 96 Etain, LLC Supplemental Exhibits [0 Application Employment Manual De?nitions Throughout this Manual you will see the terms ?Etain,? the ?Company? and ?Senior Management.? Their meanings are listed below: ETAIN and COMPANY - Etain, LLC, its subsidiaries and af?liates. The list of entities which constitute the subsidiaries and af?liates of Etain, LLC is subject to change wi notice. Chief Financial Of?cer. Page 4 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 1 Employment 1.1 APPLICATION FOR EMPLOYMENT All candidates for employment with Etain must fully complete, date, and sign the Company?s standard employment application form. (A resume will not be accepted in lieu of a. I pleted employment application.) months and reviewed as suitable openings 1.2 EQUAL EMPLOYMENT OPPOR In order for the Company to ly with ?d . regulations regarding its practice to it is for die Company to compile and maintain for emplicment and those who are hired. To capture this te? .r ?s gender, race, ,disability status, and veteran?s i; detailed information on information, which in status including service" self-identi?cation forms. citizens and aliens who are authorized to work in the United scrirriinate on the basis of citizenship or national origin. and in compliance with the Federal Immigration and Reform Control i i ended, each new employee, upon hire and no later than the ?rst day of employment, must plete an Employment Eligibility Veri?cation form (Form I-9) and present documents that estainsh identity and employment eligibility. Identity can be established by providing documentation such as a current state issued driver?s license, a state-issued identi?cation card, or similar document such as a school ID. with photograph, voter?s registration card, or military service record. Employment eligibility documents include a Social Security card, a birth certi?cate, or an immigration document. Page 5 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Documents which can be used to satisfy both identity and eligibility requirements include a US. passport, Permanent Resident Card, and unexpired Employment Authorization Document that contains a photograph. Other acceptable documents are listed on the 1?9 form. DOCuments used must not be expired. If proper identity and employment eligibility documents are not provided by the third day of employment, an employee will not be allowed to continue employment. 1 1.4 BACKGROUND CHECKS owineg employ To ensure that Etain is in compliance with State and Federal Laws do and as required ineligible individuals, a series of background checks will be thereafter. revii?gtz Applicants for?fgositions within All new applicants will be subject to application inte I the Department of Motor Etain that have driving requirements will have theff Vehicles Database. Driver?s licenses must be Valid. 1.4.1 CRIMINAL BACKGRO al Background Check law will also need to be ?ngerprinted and their fngerp New York State and FBI criminal record databases. New York State regulatig?slreq?? if to request criminal history information on all prospective ent, Etain wreceive ongoing noti?cations of arrests for any registriig?on veri?ed through The New York State Department of will check the status of all professional licenses and registrations on an LISTS No individual who is listed on a federal health care program exclusion list (the List of Excluded Individuals and Entities maintained by the Of?ce of Inspector General of the Department of Health and Human Services, the United States General Services Administration Excluded Parties List System, or the exclusion list maintained by the New York Of?ce of Medicaid Inspector General) is eligible for employment at Etain. All new hires are screened against the exclusion lists prior to commencement of employment, and all employees are screened thereafter. If a current employee is found to be excluded by a federal health care program, such employee with be Page 6 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual terminated. It is Etain?s policy not to employ, or contract with, any individual or entity that has been excluded from any government program. 1.5 MEDICAL EXAMINATION To help ensure that employees are able to perform their duties safely, me i ".--.exarninations may be required. Applicants to Whom conditional offers of employment have may be required to undergo medical examinations that are job-related and consistent I The medical examination will be conducted at the Comp Will be Conditional pending the receipt of a satisfactory pg! Current employees may also be required to undergo exams Will evaluate an employee?s ability to perform the es cttons of the position or need for all employees in the same job All such exams will be conducted at the Co 5 e. All medical records will be maintained as con?dential and stored by the Human Resaprc . employees? personnel files. '1 1.6 DRUG TESTING Etain is committed-5?? should be directed to the Etain Human Resources Department. INQUIRY Employees may be to drive Company vehicles or personal vehicles on Company business and must provide Elie Company with current and acceptable motor vehicle driving information, including but not limited to evidence of insurance of private vehicles in an amount acceptable to Etain. Employment and/or assignment will be conditional pending the receipt of a satisfactory report from the department of motor vehicles or other service providing the similar information. A DMV inquiry is made on all new drivers. Annual inquiries are conducted for all current Company drivers. Page 7 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 1.8 CREDIT CHECK The Company reserves the right to request and obtain reports from Credit Reporting Agencies (such as TRVV) for employees and applicants in selected positions. Upon the request, an employee or applicant will be informed whether a report was requested and, if so, will be told the name and address of the consumer reporting agency that furnished the consumer report. If a report is obtained and information contained in that report is deemed unsatisfactory, the will so advise the employee or applicant, orally, in writing, or electronically. Speci?cally, th, ?gmpi?ay will make a copy of the report available to the employee and provide the employee wi ,e of the employee?s right to dispute the accuracy or completeness of any information in I ort and to obtain an additional free report from the company that supplied the credit ther und information to Etain if requested within 60 days. 1.9 EEO POLICY Etain was built upon teamwork and equal opportunity. are treated fairly and allowed to advance and achieve their . we extend equal employment opportunities to all quali?ed without regard to race, color, religion, sex?E marital status, sexual orientation, political to be successful when people ntial. We are proud of the fact that and applicants for employment . mental disability, creed, All phases of employment; promotion, demotion, of employment, layod sponsored activities-5"? opportunity policy. Etain shall continu base decisions on employment so as to further the principles of equal employment opportrmity by hiring and employing qualified, reliable, productive employees without regard to race, color, religion, sex, age, national origin, physical or mental disability, creed, marital status, sexual orientation, political activities, military status, and any other protected status under local, state, or federal antidiscrirnination laws. In order to implement this policy, the Company has adopted an af?rmative action program. Page 8 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Etain will cooperate with federal, state, or local government agencies that have the responsibility of observing our actual compliance with various laws relating to employment. The Company will furnish such reports, records, and other matters as requested in order to foster the program of equal opportunity for all persons. The Company has designated the Af?rmative Action Of?cer as its Equal Employment Opportunity Of?cer. The Equal Employment Opportunity Of?cer is responsible for coordinating all aspects of the Equal Employment Opportunity process to assure non-discrimination compliance with all applicable orders and guidelines. Questions and/or complaints con. opportunity should be directed to the Company?s Equal Employment 1.11 ACCOMMODATION OF INDIVIDUALS WITH DIS Etain is committed to complying with all applicable Americans isabilities Act and disability discrimination provisions of th York Human Rights It is Etain?s policy not to discriminate against any qug - or applicant mig'regard to any terms or conditions of employment because of 8117:6111: al'f: ?bility, perceived disability, or record of disability so long as the employee can perform entiali?tfunctions of the job with or without reasonable accommodation. Consistent with this Etain will provide reasonable accommodations to a quali?ed individual ?licable law, who has made Etain aware of his or her disability, providec'f? accommod . oes not constitute an undue hardship. Employees with a disability who believe they geeQa le accommodation to perform the essential functions of their a contact R??ources Department. Etain encourages individuals with disabiliti ard and request reasonable accommodation. federal and state wage and hour law guidelines. Employees paid ?nerally are Non-Exempt. Salaried employees, not entitled to emp ployees, non-exempt and exempt are grouped into one of ose?nf compensation and bene?t eligibility. All Company policies yees hired full time (thirty (30) or more hours) on a full work week basis for a con inde?nite period of time are considered fulltime employees for all compensation; bene?t purposes. 0 Employees whose work schedule is less than full time (less than thirty (30) hours) on a full work week basis for a continuous and inde?nite period are considered part- time employees for all compensation and bene?t purposes. Part-time employees are eligible for some bene?ts by speci?c reference only. 0 UNION Full-time employees who are members of a union and subject to a Collective Bargaining Agreement. Any bene?ts offered are administered through the union and pursuant to the terms of the Collective Bargaining Agreement unless speci?cally noted otherwise. Page 9 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 0 TEMPORARY Employees hired as temporary replacements for full~time or part-time employees, or for short and de?ned periods of employment having beginning and ending dates to ful?ll a speci?c assignment, are considered temporary employees. Employment ends upon (or before) the completion of the assignment. Temporary employees are not eligible for bene?ts regardless of the number of hours or weeks worked other than those mandated by New York State or other applicable law. 1.13 PROFESSIONAL PRACTICES Some Etain employees, including pharmacists, are required to main certi?cation or registration and follow the code of ethics of ?le Additionally, the Company maintains all state and federal licenses: activities. ent professional license, ssional organization. ,law for its business Employees must: 0 Provide professional services only if he or sh? ed license, certi?cation or registration; I 0 Keep required, professional certi?cations up?to-d?? credentialing; 0 Notify their supervisor if his or her regulatory agency has taken any acting ability to practice. performing duties requiring evoked or or if a state or federal an?: tivelyalfect the employee?s license or 1.14 BENEFIT ELIGIB A, Within this manual, A in SECTION 3 - Bene?ts refers to full-time employee(s) unless Othe loyee will be advised of the status of their position when they are hired. Following the acceptance of employment, the immediate supervisor or manager will discuss job duties and areas of responsibility, as well as provide an overview of Company policies and procedures with the new employee. The new employee will be provided with a copy of this Employee Manual, as well as other relevant Company policies, procedures and bene?ts. AFTER REVIEWING THE HANDBOOK AND ITS ASSOCIATED DOCUMENTS AND POLICIES, EACH NEW EMPLOYEE MUST EXECUTE THE FOLLOWING FORMS: Page 10 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 0 Acknowledgement of Receipt and Understanding of Manual; 0 Acknowledgement of Receipt and Understanding of Drug-Free Workplace Policy; and 0 Acknowledgement of Receipt and Understanding of HIPAA Policies and Training. 1.16 HEALTH INSURANCE PORTABILITY AND ACCOUNTABILITY ACT (HIPAA) The Health Insurance Portability and Accountability Act, as amender the HITECH Act, safeguards protected health information Etain?s Board of Direct supports compliance with Employees will be trained at orientation in how eguar?x?protected health. ation 0 Employees will be asked to sign an acknowle 0 As a condition of employment, each employee is with all Etain policies and ealth information. 1.17 ORIENTATION PERIOD During the first 90 days of employment, Etain a an opportunity to evaluate whether the employiigent ?x this 90-day period, the emp. be ev (ted. During the evaluation period, an employee may volun mploymei? without notice, or if the performance of the ed by employee may be released with or without ninety days at the sole discretion of Etain, if necessary to establish ce or until all conditions of orientation are met. Upon hire, each new employee will be given federal and state tax forms, along with insurance forms, to complete. The completed forms and information regarding starting pay, starting date and any other pay or benefit information will be forwarded to the Human Resources Department. 1.19 CONTINUOUS SERVICE DATE Page 11 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual So that the Company can maintain a record of the bene?ts for each employee, a continuous service date will be established for each employee. The continuous service date will be the employee?s ?rst day of employment and will continue uninterrupted as long as the employee remains an employee of Etain. 1.20 EMPLOYEE IDENTIFICATION BADGES AND CARDS a ployees to identify them Employees will Eidenti?cation cards ,or card shall be and cards to Some projects require special identi?cation badges and/or cards for to third parties and as a way to further identify the employee as be issued identi?cation badges and/or cards when they are nece and badges are considered property of Etain. Any person required to pay a replacement fee. Employees must their Etain I their supervisor or the Human Resources Department 0 {heir last day of work. 1.21 EMPLOYMENT OF RELATIVES :for employment as long as such Etain permits the consideration of quali?ed relatives of em - ived con?icts of interest. employment does not, in the sole opinion create actual 1.22 EMPLOYMENT OF MINORS In compliance with the NY Compassionate it is uirement that all staff be twenty-one (21) years of age or older. a ts may be'?quired ta furnish proof of birth date as proof of meeting the minimum ?1 following a'eonditional offer of employment. We hope th 1 'od employment at Etain will be a rewarding experience, however, I - es ?change with the passage of lime and that some employees may 50; to leave the Company for other reasons. Other 3' emp, operational needs of the Company or changed circumstances may reduce opportunities, which may result in involuntary terminations. We sincerely none fese situations occur, but realistically we have to acknowledge that the possibility the right of the employee or the Company to terminate the employment rela' will is recognized and af?rmed as a condition of employment. At will means that both ""ees and Etain have the right to terminate employment at any time for any reason, without notice? and with or without cause. 1.24 EMPLOYEE INFORMATION Employees are asked to help keep the Company informed about any major change that may affect their employment status. Each employee is responsible for keeping the Company updated of Page 12 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual important changes in personnel data, which should be reported to the Human Resources Department. Examples of relevant data includes changes in: 0 Name Address Home telephone number Marital status Number of dependents Emergency telephone numbers and whom to notify in case of Change of bene?ciary Driving record Authorized payroll deductions Additional education and special training courses if. a 1.25 PERSONNEL FILES Etain will maintain a ?le for each employee. The perso Resources Department. An employee?s personnel ?le the completed employment application form. From time to time, rmation will be? this personnel ?le regarding an individual?s employment status with the Personnel rare the property of Etain and will be treated the same as any other con?deni A hall lie maintained by the Human their eco ?lmy do so by contacting the Human to viewig,?l?i?e ?le. A?ditors or representatives of government se of may be granted access to personnel ?le 'ompany, ?onse to a request, legal subpoena, or court Active employees wishing to reg; Employee I ?les include the following: Original tapplication Performance Wraisal reports Disciplinary action notices Special commendation information Educational achievement records (1) Status changes affecting employee?s work and salary history -. ?3 {a g) Employee?s resume (if submitted) h) Other relevant documents as determined by the Human Resources Department or Etain Management Page 13 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Any information regarding the medical condition or history of an employee retained by Etain will be kept in a separate ?le with restricted access in conformance with federal law. 1.27 REVIEW OF PERSONNEL FILES All information in employee personnel ?les is considered col available to the Human Resources Department, the empl?gg/?e? supervisors or managers who are responsible for the em Wee. tion will only be rsonnel, and Any violation of this policy is considered a very serioiis Notwithstanding the foregoing, the supervisor of the dep ?rm which an employee is being transferred will be allowed to review the Department and the employee?s immediate Page 14 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 2 Working Hours and Pay 2.1 COLLECTIVE BARGAIN ING AGREEMENTS Many of our Employees are union members and their work rules and working hours are set forth as part of their respective Collective Bargaing Agreements, and to the that the Collective Bargaining Agreements con?ict with these provisions, the Agreements sh 4 'pplliitto such employees. Employees who are not covered by a Collective Bargaining Agreeme subject to the guidelines outlined in this section. 2.2 PREVAILIN WAGE RATES non-union employees are paid according to the pos - ailingz'?gourly wage rate the particular ggccessmg the New York State pr at labor. state.ny.us. 2.4 MEAL BREAKS hours, hours extending over the noon day meal ragga break of no more than one (1) hour but at least een the hours of 12:00 pm. and 2:00 pm. No .lunch break. Employees are expected back at their workstation Employees working work may be ready to but no later than i .- in (24) hours after the end of the affected shift. 2.5 OVERTIME Employees may be scheduled to work overtime when operating requirements or other needs cannot be met during regular working hours. Whenever possible, advance noti?cation will be provided. If determined necessary, overtime work will be authorized by management beyond an employee?s standard work week (typically forty (40) hours per work week). Non-exempt hourly-paid employees will be paid overtime compensation in accordance with federal and state wage and hour provisions. Page 15 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Overtime pay is based on actual hours worked. Time off for vacation leave, sick leave, a Company- observed holiday, or any leave of absence will not be considered as hours worked when computing overtime. Any employee who fails to work scheduled overtime or works overtime without plior authorization from management will be subject to disciplinary action up to and including termination of employment. 2.6 PAY PERIODS AND PAYMENT 2.6.1 HOURLY PERSONNEL The pay week begins on Monday at 12:00 am. and ends on i 7 ,1259 pm. Each pay period consists of a fourteen consecutive calendar day @105 with includg, 2.7 RECORDING TIME WORKED Am- Government regulations require employees in order to 2 employee or their supe working in locations at the Company I, - .. and benei?j, Time ,?ards will be maintained either by the employ?gs under their responsibility. Hourly employees clocks are to punch in on their time cards when they ?nish. a? 7 must also punch in and punch out at meal breaks. If a time z. a loyee?s responsibility to sign his/her time record to certify the accurac, it for processing. Failure to submit time sheets 7 containal within this policy may result in a delay in processing an employe 3 action for falsi?cation of records. Supervisors, modi?cations are the accuracy of the desgglee, will review signed time cards for accuracy. If corrections or "idle time record, both the employee and his or her supervisor must verify ge by initialing the time record. It is a violation of Company policy for one employee to sign another employee?s time card or alter another employee?s time card, punch in or out, or alter his/her own time card without permission. Ifan employee has a question concerning his/her time card, they should discuss the matter with their supervisor. Page 16 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 2.8 ATTENDANCE Regular and on?time attendance is expected for efficient operations at Etain. Employees are expected to be prepared, ready and able to begin work no later than their scheduled start times. Excessive absenteeism and tardiness is not only inconvenient but also causes costl oblems. While it is recognized that an occasional illness or extenuating personal circumstanc 'ay an unavoidable absence from work or tardiness, regular on-time attendance is required ntinued employment. of any absence or is unacceptable. galateness pnor Employees are expected to personally make the effort to notifgiq tardiness. Having a friend or relative notify the Company on?? . Employees should contact their supervisor or manager to their starting time so that arrangements may be made _,_uld notify another employee If the supervisor or manager is not available, then?lh? nt, ofithe absence or lateness and working at that location, or the Etain Human Resources diSCip?naly action, up to and inCIUdjng ed absen??r or tardiness may affect future promotions and/or salary increases. 7 three (Slighsecutive?days without informing their supervisor mployee resigned and employment will be terminated as yee. Em terminated for this reason are generally exceptjg?in is ganted by Human Resources or Senior 2.8.3 TARDINESS Tardiness applies to returning from lunch and/or break periods as well as the beginning of the workday. Disciplinary actions (up to and including termination of employment) may result from tardiness. Page 17 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 2.8.4 FAMILY EMERGENCIES In the event the Company receives word of an emergency related to a member of an employee?s family, the employee will be noti?ed as soon as possible. Should the employee be at a location away from the normal workplace, arrangements will be made to contact the employee, and if necessary, arrange for the employee to return home immediately. 2.8.5 SEVERE WEATHER CONDITIONS failure, ?ooding or early closing, late the discretion Occasionally, severe weather or emergency situations, such as earthquakes, can disrupt Company operations and 11 opening, or cancellation of work. A determination on ope ciasing of Senior Management. ploygfes of the closing. ouncements When a closing occurs, the Company will attempt to generally communicated to regarding closings, delayed openings or abbrevidg employees using one or more of the following methods; r5 or in person. Unless otherwise noti?ed, employees are ex": leaves early, or otherwise alters his/her employees. In additio annually by management? evaluation co, g; '55 an employee?s on-the-job performance. The ,rformance Review Form discussed at a personal interview during Etain demonstrates commitment and dedication to employee retention by supporting quali?ed employees in their pursuit of advancement within the Company. We want employees to have the opportunity for promotion to higher paying positions within the Company. Where appropriate, and in the Company?s sole discretion, the Company will make an effort to ?ll open or new positions in the Company by promoting current Company employees. Page 18 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Any such promotion will be based on such factors as quality and quantity of work, prior job performance, experience, educational background, attendance record, safety record, the ability to work well with others and any other factors determined to be relevant to the functions of the position and the business needs of the Company. It important to note that applying for a position does not automatically qualify an internal candidate to the position as there may be other more quali?ed candidates from inside or from outside of the Company. 2.10 PAYROLL DEDUCTIONS FROM GROSS PAY Payroll deductions may include any of the following: Federal, state and local income taxes Social Security and Medicare taxes Past due taxes Gamishrnents (including child support) or other c; . Employee?s portion of group insurance premiums wage deductions 11 eligible dependents mm?ons Retirement Savings Plan con 0 Charitable contributions 0 Employee?s participation in Company-sppm?? 1. .hmurance programs 211;"? must be authorized by the employee. 401(k) ess an emt?oyee submits the Opt-Out form. During the ?rst tions will unless Speci?cally authorized in writing by employee?s paycheck stub. ctiorgg?have been made. If an employee believes that an error has occurred, the i Payroll Department The Company will investigate such reported errors. If rmed, the Company will make every attempt to adjust the error no later than the employee?s nextr?i?egular pay period. In the event an employee?s paycheck is lost, the employee must notify the Payroll Department as soon as possible. 2.10.2 DIRECT DEPOSIT Etain urges employees to take advantage of our direct deposit program. Employees can choose to have their paycheck, or a portion of it, deposited into one or more bank accounts. Employees will Page 19 0f 96 Etain, LLC Supplemental Exhibits to Application Employment Manual receive a Deposit Advice from the Payroll Department detailing their gross pay and an itemized list of deductions and withholdings. Employees requesting direct deposit must submit a written request to the Human Resources Department. Bene?ts of Direct Deposit Cash available on payday. No waiting on long bank lines. Eliminates the possibility of lost or stolen checks. Saves trips to the bank. Paycheck is deposited even when employee is unable to pick al check vacation, sick, working at a different location). 2.10.3 AUTHORIZED CHECK PICKUP If an employee is absent on payday and instructs some a. to pickup his/her paych note signed by the employee authorizing the person must be . 'i A person picking up the paycheck must show proper iden protects both the employee and the Company. 2.10.4 ADVANCES AND Etain will not advance money to employees or the Company loan money to employees. Page 20 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 3 Bene?ts The Company provides a well-balanced program of bene?ts designed to meet the needs of employees and provide protection from ?nancial hardship. These bene?ts will be reviewed periodically to assure that they keep pace with industry and area practice. The information contained in this manual regarding employee bene?ts is: (it"atcontract to provide these bene?ts to any employee. The eligibility requirements of thes) "?ts are described in the summary plan documents and/or bene?ts booklets. Full-time employees are eligible for bene?ts provided by requirements. At the present time, Etain pays for most of the cost, 2= and/or insurance claim information should be directi?ii a i?tisources Department. by the insurer(s) or Etain. 3.1 HUNIAN RESOURCES DEPAR Etain maintains a Human Resources insurers, to assist employees in understang q?Co' payroll. bene?ts and policies and to process 3.2 VACATIONS a I ed in the schedule below (in days and equivalent full?tune employees not governed by a Collective Bargaining - roved by Senior Management. Full-time employees are e! hours). This Veste? Vacation Equivalent Vacation (Days) (Hours) None 0 1 year 10 80 5 years 15 120 15 years and greater - 20 160 Vacation time accrues annually on January 1 each year. If, however, an employee reaches year of service which entitles him/her to additional vacation time, that time will become available on the anniversary date (based on original hire date). Vacations may be taken throughout the calendar year. All vacation requests must be cleared with the employee?s immediate supervisor and be made enough in advance to provide adequate time for temporary coverage to be arranged if necessary. Page 21 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Vacation lime cannot be accumulated from year to year, nor is there any reimbursement for unused vacation lime if vacation time is not used; it is lost. When vacations are taken during a period in which a holiday falls, the normal vacation period may be extended an extra day, or the extra day may be taken at some other time during the year. 3.2.1 BREAKIN SERVICE If an employee is terminated by the Company for anything other than re-hired Within (1) year, his/her years of service prior to termination will be included purpose of calculating annual vacation days. e' If an employee voluntarily terminates and is hired back by months, his/her nual vacation After six (6) months of employment payment for accrued vacation time employee?s employment relationship 'th a Mowefezieino?ce before terminating employment. ,ve cause the employee to forfeit any accrued Vacation requests should be made at least one (1) month prior to the desired vacation time. Vacation may be taken after eligibility with the following provisions: 0 Employees are expected to take their paid vacation time as a means of rest and diversion for themselves and their families. Page 22 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 0 Vacation must be requested and approved in advance by the immediate supervisor or manager. 0 Unused vacation time may not be carried over into the next calendar year. 0 If vacation days are not used by the end of each year, they Will be forfeited. 0 Vacation time must be taken in minimum increments of one-half day. However, employees should minimize ?long weekends? and management reserves the right to disallow excessive use of one-half and one day vacations. A holiday observed by the Company that falls during the vacation py' be considered as a paid holiday and not vacation time. This day of vacation ma taken at another time as approved. 1 0 An employee must work the regularly scheduled workdays: period in order to be eligible to receive vacation pay. 0 Pay for vacation time will be at the 0 Paid vacation time will not be consf overtime. 3.2.5 OBSERVED gha?days; however, the Company may decide to The Company norm work on a holiday (fep December for the coming . ?ange at any time. Holiday schedules may differ to conform to day sc various facilities or pursuant to any Collective Bargaining Christmas Day A recognized holiday that falls on a Saturday generally will be observed on the preceding Friday. A recognized holiday that falls on a Sunday generally will be observed on the following Monday. Management reserves the right to alter weekend holiday Observances in its sole discretion. Paid holiday time will not be considered as time worked for-the purpose of computing overtime. Page 23 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 3.3 MEDICAL BENEFIT PACKAGE Group health, dental and vision coverage is available to all full-time, non-union employees. Coverage becomes effective the ninetieth day of employment The Company pays for a majority of the premiums for the above-me employees are asked to pay a certain percentage through payroll def a: ?3 costs continue to rise, the Company reserves the right to changer": by employees for such insurance premiums with or without notice. If." insurance coverage and The respective insurance carriers will provide eligible with a detaile a insurance coverage provided. For questions about expe?: gm?. 1-: ents may. continue coverage under the a account of certain circumstances Covered employees, their spouses and co Company?s group health plans if there is a (known as ?qualifying events?) including i hours af?employment, divorce, death, or loss of of Rights is provided to covered employees and dependent status. their covered depend in, information. A COBRA and as -. I i employee who is out on a military leave of absence vvill coverima 2 the ?rst 31 days of uniformed service. Employees out on For detailed 'on o?5i'i1ueslions pertaining to COBRA, employees are referred to the Human Resources Dep i 3.5 GROUP INSURANCE ACCIDENTAL DEATH AND DISMEMBERNIENT INSURANCE Group Life Insurance and Accidental Death and Dismemberment Insurance are provided to all full? time, non-union employees. Premiums for these plans are paid in full by the Company. Coverage becomes effective at the same time as the Group Health Insurance. The Group Life Insurance Page 24 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual program provides life insurance equal to two-and-one-half (21/2 times) base salary, rounded to the nearest one hundred ($100.00) dollars to a maximum volume of $100,000. The Internal Revenue Service has determined that the amount of the life insurance bene?t exceeding $50,000 is imputed income and is taxable. The taxable bene?t is calculated based on IRS premium tables and, is reported on the employee?s W-2 form at the end of the year. Accidental Death and Dismemberment Insurance covers an employee uffers an irreversible covered loss due to a non-work related accident that occurs while employee death should be the result of a non-work related accident, the bene?ciary eive, in addition to the Group Life Insurance amount, an Accidental Death and Dism bene?t equal to the The amount of life insurance available, and the full ccr?ental Death 7 emberment Insurance, for a plan member of age 70 or over, who ?the above amounts reduced by 50% upon the attainment of age, 7 canisurance plan summary, which is available via Human Resources. i i 1 Upon termination of employment, all life insurance and tal death and dismemberment insurance coverage shall cease unless the yee converts his life policy as follows: at any age before retirement, and within 31 days .Etain an em may convert his/her Group Life Insurance policy to an individual policy . of insumbility. 3.6 FLEXIBLE SPENDINGA COUNTS Through the FSA progr account The -- de?ned in the plan, but generally include many medical, dental and not gf?vered by health insurance. Such plans can also be used for most dependent care I: as childcare or elder care programs. The FSA plan year expires on December 31 of each year. Employees must reenroll in writing in each of their Reimbursement Accounts each year during Open Enrollment prior to January 1. The Company cannot continue account contributions through payroll deductions from one year to the next without a new enrollment form every year. Use it or lose it. IRS regulations state that if you have money left over in your Medical Care or Dependent Care accounts after you have submitted all your claims for the Plan Year, you lose the Page 25 of 96 . Etain, LLC Supplemental Exhibits to Application Employment Manual amount that is left over unless the Plan allows for a rollover bene?t subject to IRS limitations. Be careful when calculating how much to contribute. 3.7 SHORT-TERM DISABILITY are payable tional accident or illness All employees are covered under the Company?s Short-Term Disability for a maximum of twenty-six (26) weeks of disability due to a non during ?fty-two (52) consecutive weeks. Bene?t rights begin on the e; 6 For more information, including procedures for Department. 3.8 LON G-TERM DISABILITY iunion employees who have Ll) year ofimore. A covered employee work for 180 days due to disability. The plan covers 60% of an emloyee?s curreiigt provided the disability meets plan ?item- Bene?ts are inte Short 4 Disability. In most cases, if an employee has and hasifbeen disabled 180 days, the claim is automatically PLANS full-time, non-union employees who meet the eligibility I articip? in these plans at their own expense. Premiums on such ough authorized payroll deductions and provide the employee the cost 3.10 EDUCATIONAL ASSISTANCE The Company encourages all full-time employees to be more effective on the job and to increase their career potential within the Company by participation in job-related classes, continuing education programs and/or professional seminars outside regular working hours. The Company feels employee development is advantageous to both the Company and the employee. The employee is required to receive written approval from his/her immediate supervisor before enrolling in such class or seminar. Page 26 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual With prior written approval from Senior Management, the Company will reimburse a percentage to eligible employees with two (2) or more years of continuous service for the cost ofjob-related classes towards the completion of either an undergraduate or post graduate degree upon successful completion according to the follong schedule: Final Grade Eligible Reimbursement A 100% 100% 0% 0% 0% (such ?6 pass/fail or seminars) A an amount to by Senior requires an overnight stay, ccordiing to previously established ort are required at the time the Courses that do not receive a ?nal grade as described a shall be compensated for only with the express, Management. If an employee attends a job-related reimbursement for lodging and/or meal expenses will be guidelines. Receipts along with a properly completed Expew reimbursement is requested. :5 Employees requesting educational assistance 0 The employee must Resources scheduled time, . the employee must submit all receipts for books, copy of the ?nal grade received to their Senior 0 Upon successful co? tultlo 0 Final written val for all educational assistance must be given by Senior Management prior to any enrollr?i?z?nt that is covered under this policy for reimbursement Any special cases or situations not listed above will be at the discretion of Senior Management. 3.11 BREASTFEEDING The Company shall not discriminate in any way against an employee who chooses to express breast milk or breastfeed at the workplace. The Company shall provide reasonable unpaid break time each Page 27 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual day to allow the employee to express breast milk for her nursing child for up to three (3) years following the child?s birth. The Company shall make reasonable efforts to provide a room or other location (other than a bathroom stall) in close proximity to the work area where an employee may express breast milk in private. Employees Wishing to take advantage of this bene?t are encouraged to contact the Human Resources Department 3.12 DUTY When an employee is required to serve as a juror or is subpoenaed to se as a i?mess, time off with . pay will be granted as follows: 0 The employee must immediately notify his/her supervi ,upon receipt of a summons or subpoena so that arrangements can be the employee?s absence, if necessary. 0 The employee is required to provide a copy supelvlsor or manager. 0 Veri?cation of an employee being seated on ldetained in a jury pool, or subpoenaed as a Witness is required. I i 0 If the court dismisses the jury early, 3? f? ?to return to work as soon as possible. yith the Conip/be v1 to its operation, the Company may ask Should the employee?s wor 1 . the court to excuse the a on Company business, or in connection with ??loyee will be paid for all time off which is in If the employee is employee?s employment" If the eng?oyee 1s juror, or is subpoenaed to serve as a witness for any reason sted all remaining paid time off, additional leave will be granted Without 't ?k?not harmful to the Company?s business operations. The Company will "penalize any employee who exercises his or her right to serve as a witness or a juror in any court proceeding. 3.13 VOTING The Company encourages its employees to vote in every election. In general, the Company provides employees suf?cient time off to vote outside of their working hours for national, state, or local elections. Page 28 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Pursuant to New York State Election Law, Etain will consider requests for time off from work to accommodate an employee?s need or desire to vote only in the event that the employee does not have four consecutive hours before or after work to vote. Additionally, the employee must demonstrate that he or she is unable to vote due to scheduled work hours. Requests must be made by the employee in writing to their supervisor no more than ten days and no less than two days, prior to Election Day. When such requests are made, the following guidelines will be followed: off to vote must be taken at the beginning or end of the person?s work period unless othei??sie mmua?y agreed upon between the employee and Etain. Of the time taken off to vote, up to .Jurs may be taken without loss of pay. a i 3 3.14 FUNERALLEAVE the employee El?a??owed time In the event of a death in a regular employee?s according I the following off with pay in order to assist with arrangements or schedule: Familial Relationship of Deceased owed To Employee Spouse/Domestic Partier 5 Parent/Stepparent 5 Child/ Stepchild ?j 5 Brother/Stepbro er/Sister/Stepsister 4 . 8 Grandparentl dparent . For the purpose of policy, ?Domestic Partner? includes same-sex committed partners (those who are ?nancially and emotionally interdependent in a manner commonly presumed of spouses) as well as others who qualify under the guidelines that are used to determine eligibility for other bene?ts, such as Health and Dental Insurance. For the purpose of this policy, domestic partiers can be members of 1 Of spouse or domestic partner. 2 Of spouse or domestic partner. 3 Of spouse or domestic partner. Page 29 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual the same or opposite sex. More information regarding domestic partner eligibility can be obtained by contacting a Human Resources Department The Company reserves the right to request substantiation of any death in an employee?s immediate family and/or con?rmation of an employee?s attendance at a funeral. 3.15 DAYS For full-time, non-union employees who have a minimum of six (6) continuous employment speci?c and limited purposes explained below, and not as circumstances. Absences for any reason within the first six paid. Absences will only be deemed as paid met: the follo nirements are 0 Upon completion of six (6) months of continuou use of a sick/personal day. 0 Sick/personal days must be taken in minimum increme ,ligible employees can request ,e-half day. at sick/personal days or any ?2 r; 0 Management reserves the right to .w excessive use other abuses of the sick/personal leav: 0 Sick/personal days are calculated on . that begins when the employee starts to s1 "eneflts). Eligible employees ac personal rate ?of three (3) days per bene?t year. 0 Sick/personal days?; ated basediion the employee?s base rate of pay at the time of the absence de any forms of compensation such as incentives, commissions, entials. Sick/personal days before the of his/her scheduled workday Unless this is done, forfeiture of regular pay may result. Until medical certi?cation is received, this should be done every day prior to the employee?s normal start time so that necessary arrangements may be made to redistribute work. 0 Sick/personal days may not be converted to vacation days. 0 Any abuse of the Company?s sick/personal leave policy may result in disciplinary action up to and including termination of employment. Page 30 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 3.16 EXTENDED MEDICAL ABSENCES The Company reserves the right to request an medical certi?cation from the employee?s licensed physician or dentist should an absence extend beyond the third (3rd) consecutive working day due to a non-job-related illness or injury, stating that the employee was absent from work for medical reasons and is ?t to return to work, either with or without a reasonable accommodation. nsectrtive working days, ?ll the position in the When an employee is absent from work for more than three (3), management will review the situation to determine if there is a individual?s absence. 3.16.1 LEAVE The Family and Medical Leave Act provid unpaid job-protected leave for certain family and me 15 A employee may use is either 12 or 26 workweeks reasons for the leave. employee would have worked but for his or: ?1 1,250 hours for FMIA eligibility. i Questions concerning Human Resources Depag??ent. 12 leave within a single 12-month period following reasons: the birth or adoption of a child, to care for not i'experiencing a serious health condition (as de?ned by the ,ployee. own serious health condition that causes the employee to be of the essential functions of his or her job. The 12-month ?5 is and is measured backward from the date an employee uses any FMLA leave. FMLA leave for or placement of a child must be concluded within 12 weeks of the birth or placement. Service Member Family and Medical Leave: Page 81 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Under the FMLA, eligible employees may take up to 12 or 26 weeks of unpaid, job-protected leave for speci?c circumstances relating to a covered family member?s service in the Armed Forces, National Guard, or Reserves (?Service member Service member FMLA provides eligible employees unpaid leave for any one, or for a combination of the following reasons: 1. A ?qualifying exigency? arising out of a covered family member?s or call to active duty in the Armed Forces, National Guard, or Reserves in sup bra contingency plan; and/or 2 To care for a covered family member who has incurred an ss in the line of active duty that may render the family member medically un?t I'perfo the member?s of?ce, grade, rank or rating. This also includes who are _rgoing medical treatment, recuperation, or therapy for a serious ori?lness that the line of duty while on active duty. i Under the FMLA, a ?covered service member? is a'spo serves as a current member of the Armed Forces, National ter, parent, or next of kin who Reserves. Duration of Service member ble?employee may take up to 12 - ,xbe combined with leave for other exceed 12 weeks in any single 12- eriod is 12 months and is measured backward from 1. When Leave is due to a ?Qu workweeks of leave during any FMLA?qualifying reason but the month period. The the date an emplog??e uses 2. A..or Member: An eligible employee may take 12-month period to care for the service member. or 111 service member, when combined with other in a single 12-month period. The rolling 12-month Service memb?? concurrently with other leave entitlements provided under federal, state and local law. Employee Responsibilities Relating to the FNILA: Employees must provide 30 days? advance notice for foreseeable leaves or planned treatments. When 30 days? notice is not possible, the employee must provide notice as soon as practicable and generally must comply with Etain?s normal call-in procedures. When leave is needed to care for an immediate family member or your own serious health condition, and is for planned medical treatment, you must try to schedule treatment so as not to unduly disrupt operations. Page 32 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Calling in ?sick? without providing the reason for the needed leave will not be considered suf?cient notice for MLA leave under this policy. Employees must provide suf?cient information for Etain to determine if the leave may qualify for FMLA protection and the anticipated timing and duration of the leave, which may include that the employee is unable to perform job functions, the need for hospitalization or continuing treatment by a health care provider, or circumstances supporting the need for family leave. Employees must respond to Etain?s questions to determine if absena??g areik'potentially FMLA- ,is for a reason for which .ed to provide medical FMLA leave was previously taken or certi?ed. Employees may al certi?cation, re-certi?cation, and periodic reports during leave. Failure to provide timely notice or submit a properly ce a ay result in delay or denial of the MLA leave and the employee subject to discipline ?dance with Etain?s absence and leave policies. Providing false or misleading information or omitling in connection with a on leave. The employee must also continue tolpay 6 ortion of the bene?ts which may be made by payroll deductions!f plicable) check Wluch must be submitted to the Human Resources department e??l?ipay If an employ?eg, a of absence due to medical reasons, the employee must provide a physician?s state to work. Upon return from FMLA leave, most employees will be returned to the same or equivalent position with equivalent pay, bene?ts and other employment terms as they existed prior to the FMLA leave, provided that medical documentation requirements have been met. Page 83 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual If you are returning from family and medical leave taken for your own serious health condition, but you require a reasonable accommodation in order to perform the essential functions of your job because of a physical or mental disability, Etain will attempt to reasonably accommodate you. Should the need for leave continue past the 12-week period, please contact the Human Resources Department. Additional FMLA Information: Please contact the Human Resource? forms and any additional information or clari?cation pertaining to the partment for FMLA Etain and applicable law prohibit any interference with, restraint, or a right provided under FMLA and prohibit discrimination against any person for opp any I FMLA or for Involvement 111 any proceedings under or relating 3.16.2 MILITARY LEAVE A spouse of a member of the United States (Guard, or Reserves who has alter or combat zone of operations is Social Security provide retirement, hospitalization death at any Etain insures 6mm, injuries incurred on the job. An employee who is disabled (or dies) as a result of an injury 0 ess which is work related, (or their bene?ciary in the event of death) may be eligible to receive cash payments in lieu of lost wages and/or medical and hospital expenses. 0 cash bene?ts are paid for the ?rst seven (7) days of a work-related disability unless the disability extends beyond fourteen (14) days. In that event, the employee may be due cash bene?ts from the ?rst day off the job. The employee is paid for the remainder of the scheduled shift on the day of the injury. Once the employee returns to work, the seven (7) day waiting period begins again and is applied to any further time off in connection with absences for that same incident. The injured Page 34 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual worker who is eligible for Workers Compensation is entitled to all necessary medical care as the nature of the injury or the process of recovery may require. An injured employee may choose any medical provider authorized by the Workers Compensation Board to render medical care. The employee should tell the provider that it is a work-related injury so the employee will not be billed for medical services. ANY accident or injury incurred on the job must be reported to a supez,_ or immediately. The Human Resources Department must also be noti?ed in writing within 1'of the onset of any work related illness or injury. If any outside medical treatment is so elated to the accident or injury or there is a loss of any days from work in connection with er at the time or later on, this must also be immediately reported to the Human Speci?c bene?ts and conditions are established by State lags! ins tracts. The entire cost of Workers Compensation insurance is paid For more including procedures for ?ling a claim, please contact your supef; an Resources EEpartment. 3.18 UNEMPLOYMENT COMPENSATION Unemployment compensation is another hof insurance oyees are covered for loss of Page 35 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 4 Etain, LLC Deferred Compensation Pro?t Sharing Thrift Plan (401-K) OVERVIEW "?ees?'aecum111ate ?nancial their salary they want to The Company provides a 401(k) Retirement Savings Plan to help em I a resources for retirement. The Plan allows employees to elect how . f; contribute to the Plan and to direct the investment of their funds. Full-time non-union employees are eligible to participate (6) months of employment. Employees who contribute o?tltheir base those contributions matched by the Company. Employ 'are not limited to contrl encouraged to take full advantage of this bene?t by?; as as possible to? retirement. Limits on the amount that can be contributed are setby Plan. Contact the 401(k) plan provider for the current year?s limits. At the end of ?ve years of employment, employee is irrithe Company?s matching ?utions and entitled to those AS W?th other bene?ts Provided by the 5mm Plan Description . .v itself 4.1 AUTOMATIC I in the Company?s 40l(k)plan unless an opt~out ed salary deferrals) begin at 3% of the employee?s base salary month following the eligibility date. Each year contributions will increase not to exceed 10%. 401(k) Plan provider at any time to change the contribution amount 0 Promotes active participation in saving for the future. Employees are urged to take control of saving for their retirement. 0 The decision to start now rather that later can have a substantial impact on the amount of retirement funds available when ready to collect. 0 Contributions are pre-tax. They are deducted before income taxes, so taxable income is reduced. Page 36 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 4.2 CATCH UP CONTRIBUTIONS If an employee is age 50 or over by the end of the calendar year and has reached the annual contribution limiL he/she may make additional contributions according the guidelines set by the IRS each year. 4.3 OPT-OUT 1(k) plan, he/she must The form should If an employee does not Wish to be automatically enrolled in the comp submit the 401(k) Plan Opt-Out Form included in the new hire ?if; then be signed and sent to the Human Resources Department contribute, he/she must oll DWent. If an employee is already enrolled and no longer wants Administrator; the Administrator Will then notify Page 37 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 5 Transfer of Employees, Separation From Employment and Leave of Absence 5.1 TRANSFER OF EMPLOYEES Transfer of employees from one department to another or from one (aimmer may be made to meet Company requirements. A request for transfer should be writing and submitted to the supervisor. A transfer may be made if management detemlirrge 1E3 r. the best interest of the Company and the employee. I 5.2 TERMINATION BY ETAIN While the decision to commence employment is co. time comes to end the employment relationship. end the employment relationship at any time, with or with is not alwaysatrue when the - er, Etain reserves the right to Gear, 11-1: I or nohce. Senior Management will advise the Resources Depi immediately of the date and reason for terminating an employee. All Company property in the employee?s possessrofi ed to the Company immediately upon separation from employment. ce notice as requested, the employee will not be eligible for ifcrued vacation pay. (See Section 3.3.) who leave the Company to participate in an exit interview with the ent to gain valuable data and feedback for improving working conditions, i?identifying any compliance concerns that the employee may have upon their retaining employees: departure from Etain affords all employees the opportunity to participate in an exit interview. This interview may be an actual face to face interview, phone conference or completed questionnaire returned by mail. These interviews, regardless of form, are treated as con?dential and names are not required on any exit interview form. Interviews are at the will of the employee and may be concluded at any time and there is no obligation or pressure for departing employees to take part. Page 38 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Any ?ndings from an exit interview that relate to corporate compliance concerns are immediately reported to the Corporate Compliance Of?cer. 5.5 PAY AT TIME OF SEPARATION FROM EMPLOYMENT Upon completion of a full accounting of the employee?s and the Company?s accounts (as determined by the Company), a ?nal pay check for time worked will be issued to the em {e in accordance with applicable federal and state law, but in no event later than the next re request, the ?nal paycheck may be mailed to the employee '7 check will include the calendar will notify the employee of the (?Eloyee bene?ts connected with the employee of options Upon resignation or termination, the Human Reso exact date of termination as well as the exact date oF?c return prom v- and all Company property tools, ys, safety equipment manuals, grnpany property). Any employee terminating employment is e: in his/her possession Company credit 7_ vehicles, ID cards/badges, computers, cellular h?comes necessary, employees over and above *meded. perform the available work will be terminated. consideration will be given to the quality of each position held by the employee and, with all other of each employee. the number determin . In determining those em" employee?s past ?ted (unless otherwise required by federal, state or local law), will be given a notice prior to the anticipated reduction of workforce. (A will be paid in full and any insurance bene?ts required to be offered, will be communicated and reviewed with the employee. 5.7 EXTENDED LEAVES OF ABSENCE Leave of absence will be granted to employees in a non-discriminatory manner in accordance with applicable law and Company policy. However, extended leave of absence, especially those of inde?nite duration, are detrimental to the Company?s ability to conduct its business operations. Accordingly, employees on leave of absence for more than 180 days except as otherwise provided Page 39 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual herein may be subject to termination of employment and bene?ts, subject to the requirements of applicable law. Page 40 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 6 Work Policies and Regulations 6.1 CARE OF EQUIPNIENT AND FACILITIES Employees should be concerned with the care and safe use of Company-owned/leased equipment, machinery and facilities. Employees are expected to follovv all operating instructions, safety standards and guidelines. Good housekeeping is expected of every employee. Igbe damaged, defective, or supervisor. Prompt of equipment and reporting of damages, defects, and the need for repairs could pre possible injury to employees or others. Unsafe, destructive, careless, negligent, or improper equipment, machinery or vehicles may result in disci I ctlon? to and including? elimination of employment. Failure by an employee to report zgaccidentally caused to such equipment, machinery, vehicles or facilities may result A ?action up to and including termination of employment. operation of Com ed/leased 6.2 PERSONAL Personal appearance, proper hygiene and apprapn?at customers gauge the quality of our Company m6?? attire. . manner. Every emp?fo hours. Appropriate attire The goal of a 'ree Etain is to improve the health of its employees by promoting a safe and healthy environment: Therefore, this policy is designed to include all tobacco products and applies to staff, individuals and visitors. Using tobacco products in any form creates signi?cant health hazards. Based on this information, New York State has passed the Clean Indoor Air Act. To comply with this legislation and to further protect the health of our employees, Etain adheres to a tobacco-free environment. For the purpose of Page 41 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual this policy tobacco products are considered to be cigarettes, cigars, pipes, smokeless tobacco, snus or any other products containing tobacco. 1. Tobacco products are prohibited inside any facility that is owned or operated by the Company. 2. Tobacco products are not allowed in any Company-owned, rented or leased vehicle, regardless if the operator is alone or with passengers. Employees shall also refrain from using tobacco when operating their personal vehicle during the normal course of business if they are transporting program participants. i These areas will be moking is prohibited. Tobacco use is permitted ONLY in approved designated smoking: designated by Senior Management. If no areas have been designwfa?? I Employees are encouraged to speak with their Supervisor Department if interested in assistance with a smoking cessation progr 6.4 PERSONAL BELONGINGS Etain recognizes an employee?s desire to display mementos: personal items. While Etain can take no gsibility for the .I 3? a to his/her family or other pf these items, it welcomes 0 Safety Comes First - management. 0 Nothing can be any person org Objects that with safety equipment if it is a requirement for a particular job. if the equipment is shown to be defective. Employees who wor: certain trade positions are required to provide their own tools to perform job assignments. The immediate supervisor or manager will advise employees of the tools required and will make sure that each employee obtains the required tools. The Company discourages employees from lending or borrowng tools. Employees are responsible for maintaining and the safekeeping of all tools. Lost tools will only be replaced at the discretion of each Facility Manager. Page 42 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 6.7 COMPANY TOOLS AND EQUIPMENT The Company will furnish all necessaiy equipment to complete job assignments. Each employee is reminded that all items purchased by the Company are the property of Etain and represent a very valuable asset of the Company. It is the responsibility of the employee to "'E?Wtools and equipment are assigned to maintain and safeguard these assets as if they were the "byee?sypersonal property. An inventory of tools and equipment will be made periodically. eaving a work area, it is required that all tools be placed back in designated storage areas or, om the work area and secured in locked storage where available. x. 6.8 BREAK AREA The Company may provide a break area for the "nce encouraged to use the break area for their schedulede fellow employees to keep the break area neat and clean. our employees. EEIHPIOYCCS are solicitation: 1. Non-empl i not be permitted on Etain property to solicit or distribute written material to employees any purpose. 2. No employee is permitted to solicit another employee or promote support for any cause or organization during his/her working time or during the working time of the employee(s) at whom the activity is directed. 3. No employee is permitted to distribute or circulate any written or printed material at any time, for any purpose, in work areas. To avoid interfering with or interrupting ongoing operations, Page 43 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual staff are prohibited from remaining at or returning to work areas during their off-duty hours unless they are participating in a Company-sponsored activity or initiative. 4. As used in this policy, "working time" includes all time for which an employee is paid and/or is scheduled to be performing services for the Company; it does not include break periods, meal periods, or periods in which an employee is not, and is not scheduled to be, performing services or work for Etain. 5. Employees are not permitted to use employer-provided facilitiqge momection with any solicrtation or literature distribution act1v1tres. This shall in but not be limited to telephones, E-Mail, fax machines, interoffice mail, voice mail, ?nd photocopiers. 6.11 SECURITY All doors, files, desks, gates, and any other equipment not in direct use and at the end of each day. Locks should should be kept locked at all times when i in use. Lost k? Manager immediately. Any concerns about the Human Resources Department. 6.12 BULLETIN BOARD The Company interest. Important info legal notices. Employe ids to keep employees informed of current items of general on is posted in addition to required State and Federal quards to post notices with the written permission of '1 'd check the bulletin boards regularly. its employees as fully employed as possible and at a competitive rate on the job, this means that 100% of his/her effort is required. If an ide of his/her job and the outside employment competes with what is arrf'mployee of Etain, opportunities for promotion and advancement with decision. expected of Etain may be lirm If management feelsthat outside employment prevents an employee from ful?lling his/her obligations to the Company, the employee will be asked to resign from Etain or to leave his/her outside employment. All management and supervisory personnel are expected to enforce this policy and, by example, refrain from engaging in conflicting outside employment. Page 44 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 6.14 TELEPHONE USE Each time an employee makes or receives a telephone call he/she represents Etain. The manner in which a call is handled determines how Etain is judged by our customers and neighbors. We have a limited number of telephone lines at the Company and it is essential that those lines open for C3115 Pertaining to Etain business. Personal use of the telephone should be: 6.15 PERSONAL MAIL AT THE WORK PLACE The mail system is reserved for primarily for business purposw and frequency of personal mail sent from or received at place. Corresp employees at their work address will be routed, sorted opened in accordance. practice. addressed to ?rmal of?ce 6.16 PERSONAL E-MAIL AT THE WORK PLACE The Company?s e-mail system is designed Computer Use Policy (SECTION 14) for system. 6.17 TWO-WAY RADIOS the prt?iyfj?ggiions of the Drug-Free Workplace Act of 1988. All employees must yd conditions of this policy while employed by Etain. In this regard, the policy and inten ?l?ollow the policy. Any employee who reports for work or who is at work is subject to chemical screening and/or blood/alcohol testing to determine the presence of unauthorized drugs in the body. This policy is described in SECTION 12, Drug Free Workplace Policy. 6.19 POLICY AGAINST HARASSMENT Etain is committed to providing a work environment that is free from all forms of discrimination and harassment, including sexual harassment. In keeping with this commitment, the Company will not Page 45 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual tolerate any form of harassment of its employees by anyone, including any supervisor, co-worker, vendor, client, or customer. Harassment consists of unwelcome conduct, whether verbal, physical, or visual, that is based upon a person?s protected status, such as sex, sexual orientation, color, race, ancesz, religion, national origin, age, physical handicap, medical condition, disability, marital status, veteran status, citizenship status, genetic information, predisposition or carrier status, domestic violence victim status, or any other protected individual or group status covered under applicable state or law. Etaiu will not tolerate conduct that interferes unreasonably with an individual?s work pe anbe or that creates an intimidating, hostile, or offensive working environment. While sexual harassment is not the only form of harassment, it harassment includes unwelcome sexual advances, requests 1 favors-aim? verbal or physical conduct. Sexual harassment may inc, actions as' ?ented verbal kidding or teasing jokes or comments; foul or obscene age or gestures; subtlew for sexual - another?s bodyyabr requests for ,Qnduct is either an explicit or oil/{the conduct is used as a basis i unreasonably interferes with an i as ive working environment. i Other Types Of Harassment Prohibited. a ?the of race, color, national origin, ancestry, religion, physical or mental disab' .u uage, or any other protected basis, includes behavior similar to segywal harassmen?, as. conduct such as threats, epithets, derogatory commentS, 0r Conduct as derf?igatory posters, photographs, cartoons, it such asiifassault, unwanted touching, or blocking normal drawings, or gestures; I ?fj??ireatening to report harassment. movement; and retali sment and, discrimination is legally and morally take prompt and appropriate action, including termination of Etaiu recognizes that false allegations of harassment can cause harm to the accused. Investigations will be conducted confidentially, and impam'ally to protect the rights of all the parties involved. The outcome of the ?ndings will be shared with the person that made the allegation. Any employee that observes an instance of harassment and/or receives a report about harassment and fails to take action in accordance with this policy are themselves subject to disciplinary action, Page 46 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual including termination if warranted. Etain also prohibits independent subcontractors and others from harassing Etain employees whom they encounter, and we will take appropriate action in such cases. In the event the person making an allegation is unsatis?ed with the investigation results, he/ she must notify the Director of Human Resources in writing of his/her request to have a review of the investigation. Human Resources will issue a determination which will be deemed ?nal. Prohibition of Retaliation. Etain will not tolerate retaliation of any kind ganyone who opposes a discriminatory practice, makes a good faith complaint about an?iiylor discrimination, a complaint, requests a 'cies, or noti?es Etain management of on-the?job drug use or safety violations. .onduct, whether or not workplace or employment-related, directed at somegg Eacause discriminatory practice, made a complaint of participated in which might deter a reasonable worker from making, supporting a charge; discrimination. ,investigation, sment or Allegations of retaliation should be reported using the discrimination. Retaliation is unlawful and will not be tole i Liability For Discrimination, Hamssment and engaged in discrimination ent will b??g?ibject to..?isciplinary action, up to and including discharge from employment. mployee engages in prohibited harassment and any supervisor or manage, knew 7 the disc "on or harassment but took no action to stop it, may be held per-so ,ot consider conduct in violation of this policy to be within the course and scop Accordingly comgigrhnent, Etain has adopted the following policy as it relates to workplace examples of conduct or actions that will not be tolerated on Company ess of who is engaging in the conduct. violence. Listed property or time - rt? Intentionally causing physical injury to another employee; Making threatening remarks to or about another employee; Acting aggressively or exhibiting hostile behavior that creates a reasonable fear of injury to another person or subjects another employee or individual to emotional distress; 4. Intentionally damaging Company property or the property of another employee, visitor, or program participant while at work; Page 47 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 5. Discussing or using a weapon against another employee or visitor; 6. Canying a weapon or an object that can be construed as a weapon that was not issued or approved by the Company into the workplace or a work-related setting. This policy applies to all employees, all non-employees including customers/clients, visitors, suppliers, vendors, contractors, temporary workers, and other individuals with whom Etain employees come into contact while conducting their job functions. Any of these individuals may be a victim or a violator under this Company policy. It is expected that employees immediately report potentially dangerous tions or occurrences to a person in a supervisory capacity or a Human Resource representagigpe. ees may also use the Company Hotline to anonymously report incidents. safety of the employee or others, such mom hould be given. 'ge, cooperate and follow the instructions given. '7 Retaliation of any kind against anyone that reports 2 ees'workplace violence will be strictly prohibited. 6.21 SOCML MEDIA 1e, Etain employees? online conduct must comply crimination, anti-harassment, con?dentiality, and products or website, social networking site, blog, or other social media, you must employee. If you disclose your ?filiation or relationship with the Company, for example in your online pro?le, you must use an appropriate disclaimer to make clear that you are speaking only on behalf of yourself and not on behalf of or as an agent of Etain. An example of an appropriate disclaimer follows: ?The opinions and viewpoints expressed are those of the author and do not necessarily represent the position or opinion of the author?s employer.? Page 48 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual So long as this ?disclaimer? is posted in a permanent section of your social networking pro?le, an employee is not required to re-post the language every time a post is made on social media. To ensure continuity of the Company?s message, employees may not represent themselves to be speaking on behalf of the Company unless expressly authorized to do so. Your online presence is a re?ection on Etain and you are therefore expected to refrain from posting content or material that is offensive, obscene, vulgar, threatening, intimida or harassing or that would otherwise violate Etain?s policies against discrimination, harassme 'ty on account of age, race, religion, sex, ethnicity, nationality, disability, or othee class, status, or characteristics. Social media changes rapidly and there will likely be events a. ddressed in this policy. If, at any time, you are uncertain about the applicatig?o the appropriate use of social media arises that is not by this policy, guidance of the appropriate person before posting 'se online. When in doubt, employees always should ask for guidance ?rst becatfsie, ration is online, it can never be deleted. Violations of this policy may result in disci 5 action up to 'ng: termination. 6.22 DISTRACTED DRIVING As a company, Etain is ?rmly committed to mployees. Etain will do everything possible to prevent workpla 9 and is cor??itted to providing a safe working environment for all employees. Employees are proliib" including a cell phone, operating a ad, iPod or other communication device while sonal vehicle on Company business. This prohibition applies to Mobile hand in, ding cell phones, smart phones, iPod and tablets, cannot be used while requires the use of the hands and/or the full attention of the employee, contractor, or visitor watch, equipment operator, operating a valve, etc.). Mobile hand held units must be turned off in any area containing ?ammable/combustible vapors, e.g. turpentine system, methanol system, fueling stations, oil and propane storage tanks, ?ammable/combustible material storage areas. Mobile hand held units must be turned off in designated ?No Mobile Hand Held Unit Areas?. Page 49 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Mobile hand held unit use for non-business purposes shall be limited to brief and reasonable use noti?cation of work schedule changes, contact regarding family emergencies, etc.). Otherwise, placing or receiving calls by a mobile hand held unit during scheduled work hours should be avoided. To avoid workplace distractions, mobile hand held units used for non-business purposes must be conducted in a manner that avoids disruption to others (for example, during meetings, in training classes, etc). Facility management has discretion to implement suicter guidelines as. by their facilities operations as to safe mobile hand-held unit use. 6.24 INFORMATION Con?dential information includes sensitive information ligaCompany I business, or Company clients. Con?dential informati ?j'g?tnust lie safeguarded fr disclosure by anyone who does not need it in order to a fi??on of their ass ss, use, or job duties. Etain is committed, in principle and in all operations, in the con?dentiality of the individuals we serve. Special protections apply to Protected urse of his or? duties, whether or not the must the con?dentiality of that continues after termination of Every employee who has access to PHI employee is directly involved in providing a: information. The responsibility to safeguard employment. . Protected Health Infonng??on 1n? -:.verbal infoi'?irnation, service records, consultant reports, billing info on that relates to: the past, present, or future tor a ?ospective client; the provision of health care to a physical or mental he client; or the past, present,? client. the minimum if to perform those duties. When PHI must be shared with others for i if (I ent or other health care operations, it must be shared in such a manner to minimize the risk of disclosure beyond those individuals with whom it is shared for the mtend?d purpose. Employees may not in any way divulge, copy, transfer, alter, or destroy any PHI in any form, or remove PHI in any form from Etain or company premises, except when speci?cally authorized by a supervisor for a necessary and appropriate purpose, and in compliance with security safeguards. Page 50 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Employees must safeguard any authorization that Etain gives them to access PHI, including keys and computer passwords. Employees have no right of ownership in any PHI or in any access authorizations, keys, or passwords that Etain may grant. An employee who becomes aware of an activity by an individual or an entity that may jeopardize the con?dentiality of PHI must report that activity to a supervisor, or to the Privacy Of?cer. Any violation of these responsibilities may subject the employee to discipline, up to and including termination. 6.25 COMPLIANCE STANDARDS Etain is committed to complying with all of the federal, state and laws ations that govern our operations. Corporate Compliance is a formal program that I ent and de?nes a code of conduct that all employees must follow. i 7 - Etain has established, by this manual, its Code compliance plan that encompasses the following eight .1 Written Policies and Procedures Compliance Program Oversight Training and education Effective and con?dential communicati?fafr Enforcement of compliance standards As part of the corporate a procedures to with aware a potential compliance concern, such as inaccurate billing or 'ded, or any other impropriety by an employee, contractor, or agent of Etain must {he concm to his or her supervisor or to the Compliance Of?cer. a? All employees are: conform to Etain?s compliance policies and procedures and its ethical standards. Failure i, ?7?30, including failure to report non-compliance, will subject an employee to discipline, up to and mcluding termination. 6.26 REPORTING COMPLIANCE CONCERNS As a condition of employment, Etain employees who have knowledge of any infraction of Etain?s compliance policies, including but not limited to fraud or improper billing, must immediately report the concern. For convenience there are multiple means of reporting concerns, including anonymous means. Page 51 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 0 Reporting to a supervisor. An employee may report a compliance concern directly to his or her supervisor. 0 Reporting to the Compliance Officer, Jennifer K. Harvey, Esq. at (518) 320-3418, or via email at jharvey@couchwhite.com. 0 Reporting to the Corporate Compliance Hotline at (518) 320-3418. 6.27 WHISTLEBLOWER POLICY taken by fellow ,yer interests by 7' ,for speedy This policy is created to encourage employees to disclose employees Without fear of retaliation. This policy also saf (ts/iiegitimateti encouraging complaints to be made ?rst to the ammunstr?on, a process a dispute resolution. Key De?nitions: 7 en in the performance of the [,y?slcope of the employee's local law 6? policy, or is fraudulent i complaints, promotions, IMPROPER ACTION - Any action by an employee's official duties, whether or i employment, and in violation of any fede?: ?Improper actions? do not include perso reassignment, for example). 'on directe an employee for disclosing improper conduct or worker frorigiEdisclosing improper conduct or action. RETALIATORY v2;. action that would dissu EMERGENCY and/or property. attention of his/her supervisor (if non-involved) in writing, stating in imployee's belief that an improper action has occurred. This should be thefgaanployee becomes aware of the improper action. 3 "ee believes the improper action involves his/her supervisor, the employee may raise the gaue directly with the Compliance Officer. 3) The Corporate Compliance Officer or his/her designee, as the case may be, will investigate the report of improper action. After the investigation is completed (within thirty (30) days of the employee's report), the employee will be advised of the results of the investigation, except that personnel actions taken as a result of the investigation may be kept con?dential. Protection against Retaliation: Etain will not permit any employee or supervisor to take retaliatory action because an employee, in good faith, provided information that improper action occurred. Page 52 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Employees who believe they have been retaliated against for reporting an improper action should follow this procedure: 1) Employees must provide a written complaint to the Human Resources Director and/or Compliance Of?cer within thirty (30) days of the occurrence of the alleged retaliatory action. The written charge will specify the alleged retaliatory action and the relief requested. 2) The Human Resources Director and Compliance Of?cer will investigate and review all findings of the complaint and respond in writing within thirty (30) daysv??i?receipt of the written charge. Violations of this policy and these procedures may result in approprige' any action, up to and including dismissal. p, Page 53 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 7 Con?icts of Interest Employees shall avoid outside employment, activities, investments, and other interests that involve obligations which may compete with or be in con?ict with the interests of the Company. A con?ict of interest can arise in dealings with anyone that Etain transacts business: customers, clients, owners, buyers, suppliers, banks, insurance companies, and people in other or ,tions with whom we contact and make agreements. Con?icts of interest should be avoided and may include the following: 13 0 Working for any group mentioned above for personal . 0 Engaging in a part-time activity for pro?t or gain in which the If". 0 Borrowing from, or lending money to, indi i 5 representing organizzi business dealings are conducted. approval the Compliance Of?cer before serving as a ,Att?ibusiness or for a non-pro?t entity if the employee An employee must director, board member, A will be compensated for I non-pro?t, Etain. . egal payments to or from any individual or entity with whom or which we conduct bu" aggr?form and for any purpose) are prohibited. Any employee who violates this Section will . to disciplinary action, up to and including termination of employment. Note that the com trait inherent in each under-the-table offer is that money - in the form of cash, vacations, and more It is important to know how our business palmers conduct themselves. Company management should be made aware of all they can to help maintain an even playing ?eld in the buyer-seller relationship. A declined or unreported offer could be made to someone else in the organization. Remember, the offer was made to gain favor with Company and for no other reason. Page 54 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Violation of this policy, including the employee?s obligation to report such activity, is grounds for immediate dismissal. 7.3 GIFTS AND BUSINESS ENTERTAINMENT The Company does not permit employees to accept gifts of any amount from an individual or entity with which Etain does business. An employee offered a gift should politely decline to accept it and explain that Etain?s policy will not allow the employee to ac gift. If it would be impractical to decline the gift (for example, because it was deliver i?iy a third-party delivery service), the employee should forward the gift to the Compliance 0 who will arrange for it to be donated to a charitable organization. The employee shou, (k the individual or entity that provided the gift, explain Etain?s policy against acceptgag/giltj ,te that the gift was provided to charity. it should always be viewed as courtesies. Employees not acagpt any entertaiIi that could in?uence or be perceived to in?uence Etain?s we rocess. Emplc?r?ees may give and accept meals or other modest forms of entertaln ?Nappropriate?to the occasion and are not provided on a regular or frequent basis. rt?ainment must always be in lntertainmeI-?gf?tgg?m those doing business with Etain, and must so violate a law or policy applicable to the other )tertfainment to individuals af?liated with the government, "t or entertainment complies with the ?Interacting with interests of the however, such contacts should be infrequent. Under no circumstances should invitations be?o cited and, if such social contacts are at the invitation of a Etain employee, the cost should not be borne by the supplier or customer. 7.4 BUSINESS OPPORTUNITIES A ?business opportunity? is any opportunity to engage in an activity that may generate a pro?t for Etain. Employees may not take advantage of business opportunities that they learn about through their Page 55 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual work with Etain or direct those opportunities to a third party unless the Compliance Of?cer approves the arrangement in writing. 7.5 POLITICAL ACTIVITIES Employees must keep personal political activities separate from their and must never use the Company?s resources (including time, property, or equipment) ance a political cause. An employee may not seek or hold public of?ce (regardles . 2" of?ce is elected, appointed, paid, or unpaid) without prior written approval i applicable law gives an employee the right to so without member owns or works for Etain, for a competitor, or for! .. Such situations are not prohibited but reqm?re panicular attenti are avoided. a family member to their manager, the Human Resources Department, fife . liance Of?cer. Directors or of?cers should also report the po a: 'ct to the of Directors. The Compliance Of?cer will inform the employee whe?er me are necessity to avoid or resolve the con?ict. Page 56 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 8 Personal Conduct Standards It is the policy of Etain to expect all employees to abide by certain work rules of general conduct and performance at all times. The regulations governing employee conduct and responsibilities have been established in the best interest of the Company, its employees, and its customers. Accordingly, a violation of these regulations constitutes misconduct on the I) of the employee and appropriate disciplinary action will be initiated. These rules are and are not all- inclusive. Disciplinary action may include, but is not limited to, ver primand, written notice, suspension from work without pay, and immediate termination; 1 7 ent. Management reserves the right to terminate or discipline any employee as the 'scretion, considers necessary in individual circumstances. In the event an employee is suspended from work for dis?iilinaryreasons, bene?ts accrue nor will bene?ts be recoverable during the suspension pe 8.1 PERSONAL CONDUCT AND EXAMPLES OF The Company expects that all of its empf'; associated with their positions, fellow empl always use good judgment and discretion :3 es will conduct tomers and conduct by associates on the Comp ployee improper conduct will be subject to 'on Employment. ompany premises, claims for any bene?ts provided by the Company, 5 or ?cords including but not limited to personnel and production records. ?ting on job sites or Company property. 0 Unethical conduct or selious con?icts of interest. 0 Failure to comply with the Etain Antitrust Compliance Policy. 0 Concealing defective work. 0 Stealing the Company?s property, a customer?s property or the property of any employee; hiding, concealing or misappropriation of Company property or the property of other employees or customers; sabotage or willful damage to Company property, or the property of other employees or customers. Page 57 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Unauthorized use or sale of any Company-owned property, salvage material or equipment 0 Reporting to work under the in?uence of alcohol or illegal drugs; possession, sale or use of illegal drugs or chemicals or consumption of alcohol while working on job sites, in the o?ice or in Company vehicles. 0 Gross negligence or willful acts in the performance of duties resulting in damage to Company property or injury to others. 0 Gross insubordination - a willful and deliberate refusal to follow reasonable orders by a member of management. Violation of the Company?s equal opportunity or sexual harassmeg? olicies. 0 Serious safety violation resulting in injury or damage to Comp; ,2 ent or property. Failure to follow a reasonable order, to perform work 01E safety rules. if 0 Violation of Company policies. 0 Misuse of Company equipment. 0 Gaining unauthorized access to Company rec Speeding or reckless driving or unauthorizedi/use '1 0 Use of threatening, profane or abusive language. If your performance, work habits, overall attituilge, c, the judgment of Etain, based ??le aboveror of any other Etain policies, rules or regulations, you will be Sui; up to and including dismissal. This statement of .1 Either you or Etain may without cause or without no not or limit Etain's policy of employment at will. "it relationship at any time for any reason, with or Page 58 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 9 Safety Etain is committed to the safety of its employees and its property and equipment. To this end, we will utilize a safety program in our daily activities. It is necessary that the Company establish safety rules and regulations to be observed by all employees at all times. Any employee who disregards any Company safety rule and/or regulatim'f stibject to disciplinary action up to and including termination of employment. OVERVIEW OF SAFETY POLICY With regard to these rules, the following will be considered?jhf? 0 Comply with all federal, state, and local rules 0 Observe all Company rules related to the safe pe' 0 Integrate safety into each job function. 0 Only perform jobs that you have be 0 Use requ1red personal protective eq 0 Report or correct unsafe practices and 0 Report any accidents or near misses that a the Company?s Director of Human Resog'qrcesg It is management?s responji?a ty? 1, 1 that everiig;_employee at Etain is provided with safe working bserved and employees use good common sense to protect themselves as well suspend all work activity all operations follow proper Company safety policies and procedures, ?i (any Safety Plan. The Safety Plan is kept at all Etain facilities. 1? 9.2 FIRE SAFETY It is the responsibility of each employee to familiarize himself or herself with emergency ?re exits, the location of ?re extinguishers, the local ?re department telephone number, as well as emergency telephone numbers of the local or State Police, the nearest hospital and/or alternate medical service. Page 59 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual It is also the responsibility of each employee to have at their telephone the emergency telephone numbers of the local or State Police, the ?re department, the nearest hospital and/or alternate medical service. 9.3 HAZARDOUS MATERIALS The Environmental Protection Agency has grouped certain chemicals and chemical groups into categories that have been de?ned as toxic. This means that in concentrated": _s or by accumulating and combining With other chemicals (even the air) these chemicals can be, a} to human health if exposure occurs. 1 From time to time in the normal course of their jobs, employees classi?ed as hazardous by the standards of the Occupatiw regl?a?ons' employees will receive 11811111. '15; 1? communication program. Etain?s program includes pl matenal safety data Sheets (SD38) for hazardous ma ?r must also describe in a written program how it will [rite-ct of the each area. Hazardous materials that are received from our suppliers I (MSDS) or labels which state the of the co to do if exposure occurs. ve Material Safety Data Sheets reeautions to take, and what Employees will be instructed on how to contro?ghaz and what to do if they are exposed to hazardous materials. If any employee suspects?i?ihat terials or wastes he/she may encounter as an employee are hazardous (whether of; '7 Company Director 0 yer possible, we will choose materials which have been judged as non prope ,fl-ose of hazardous materials if used. Also, we will not the environment at any time. AND ACCIDENTS Any accident, ?ness that occurs while an employee is at work must be reported to management or the 'pany Director of Human Resources as soon as possible regardless of the nature or severity. reserves the right to require employees to undergo appropriate tests designed to detect the presence of alcohol, illegal drugs, or other controlled substances whenever an employee(s) is involved in any accident, injury or illness that occurs during that employee?s working hours if such accident, injury or illness results in: Property damage; Filing of workers compensation from; or Page 60 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Employee missing more than one (1) day of work. The Company will provide the proper forms for reporting job-related accidents, injuries and illnesses. Any employee failing to report such occurrences will be subject to disciplinary action. In the event of a vehicular accident involving a Company-owned/leased vehicle or while on Company business, the employee must make every effort to immediately notify the police, Senior Management and/or the Director of Human Resources. At the accident scene, DO NO- ADMIT FAULT OR LIABILITY. Do not make any assumptions regarding the cause of the; id'e??t to anyone except appropriate Etain personnel, but provide the police with any facts that ay request. Page 61 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 10 Transportation and Travel Expenses 10.1 COMPANY VEHICLES The Company maintains a ?eet of owned/leased vehicles for use by employees for business purposes only. All travel in Company vehicles other than for Company business must authorized in advance by Senior Management. The following are speci?c policies related . Company-owned/leased vehicles: Company-owned/leased vehicles will be driven only as nee . Company-owned/leased vehicles will be driven only fonms?ortation mom destinations as speci?ed. a I Company-owned/leased vehicles will not be drive have been authorized in advance. Only the driver assigned to the vehicle is autho In some cases, employees are expected to use Co and/or maintain appropriate records of mileage driven. Alcoholic beverages or illegal drugs ?a hemicals will not any time. No driver who has been drinking alc chemicals will be allowed to drive a Corr?gpany No one, other than an thorized 01ine, oil, etc. ovide'd gasoline cards and to enter any Company vehicle at es or is raider the in?uence of drugs or ?vehicle. . is permitted to operate or ride in a Company-owned/le - Vehicles must prope tained aeeording to the manufacturer?s schedule. Such maintenance a aid by", Company. (1) Any employee? s-owned/leased vehicle will be subject to discipline, up to use a Company vehicle based upon their driving history clude but is not limited to the following: whoagihs been convicted of Driving While Intoxicated (DWI) or Driving While Al), or has a pending arrest or charge against him or her with regard to shall immediately notify the Director of Human Resources and shall surrender the vehicle. 0 Any person whose driving license is suspended. If license suspension occurs for any reason, the employee shall immediately notify the Director of Human Resources of the suspension and surrender the vehicle. 0 Any person who, in the sole Opinion of the Company, is determined to have a history or pattern of accidents or a poor safety record. Page 62 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 10.3 PERSONAL VEHICLES Employees may be required to use their personal vehicle on official Company business. 10.3.1 VEHICLE EXPENSE REIMBURSEMENT PROGRAM Employees required to travel for business regularly on behalf of the are eligible for Department of Motor Vehicle driving record review. The pr' jthe employee using his/her personal vehicle for business with both a ?xed and ii??itmburse ount dependent upon a number of different factors. Provided the empwf? ?e in co the various provisions of the Program, such expense reimbursemen? to the For more information on the Vehicle Expense Reimburseme ase contact the 'ef Financ1al Officer. 10.3.2 MILEAGE REIMBURSEMENT On occasion, employees not enrolled in required to use their personal vehicle to accordingly. A mileage rate based on acceptableari ra Revenue Service regulations will be paid to an employee who his/her personal, ve n= official Company business. The employee should receive i Um his/her immediate ?fnanager or supervisor pIior to using a personal vehicle for Company bu? le Expense a ursement Program may be any bus?iess and will be a reimbursed Page 63 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 11 Expense Reimbursement GENERAL RULES Employees required to travel and/or incur business-related expenses regularly on behalf of the Company must use the Expense Program to request reimbursement. All temployees requesting occasional reimbursement for travel and/or business-related expenses sfabmit such request manually by ?lling out an Expense Voucher available through the Accog? 11.1 EXPENSE REPORTS All employees who regularly incur business-related expensgesi? miijstacomplete I later than thirty (30) days after the expense was incurr The ,Expense Report .1 y. Valid business expenses mung Coriipany business. i payments are discouraged and should be kept to an absolute divided two sections. The upper section is used to Report relates to expenses associated atendors; L'Expenses incurred in this regard must include with the name and corporate af?liation of the carat?: pts. Receipts should be intact and not altered in any way. i not-acceptable forms of proof. (See Sec. 11.2 for Acceptable Forms 11.2 ACCEPTAB RMS OF PROOF The Company may reject any request for reimbursement if adequate evidence of a valid expense is not supplied; tear off strips are unacceptable. Acceptable forms include: An original invoice A credit card receipt A cash register receipt Page 64 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Expense reports must identify the customer(s) attending and the general nature of the business purpose of the entertainment. 11.3 POLITICAL CONTRIBUTIONS POLITICAL CONTRIBUTIONS OF ANY TYPE CANNOT, AND WILL NOT, BE 11.4 WHAT ARE VALID The Company does not wish to impose strict detailed rules below a few basic guidelines, which should be respected. havega policy on the . 1? hotels and cost Please Tour Company any. Accommodation and Meals: - While Etain does restaurants that should be chosen, everyone contacts in the area to obtain the best rates avail . Telephone calls: - Use Company-issued cell ph re gassible. Hotel ?charge calls? (made directly from a room) and airline ?air phones .shibitively expensive and should only be used in exceptional circums Air fares: - Whenever possible, air gs should advance and include a Saturday night can offer cheaper fares compared ?keep? any Frequent Fly miles that majrzbeaccru coach class fares. (A "'de at least seven (7) days in etter rates. Some Internet sites (ErCompany allows the employee to .- Company shall only reimburse for 11.4.1 ?clients and to promote business. the Company?s expense, and gratuities of ?fteen Expens accounts *?ployees attend the same business function, the Senior POLICY FOR EMPLOYEES TO BE REIMBURSED FOR THE OTHER EMPLOYEES. EXPENSES Expenses relating tothe operation of a Company vehicle (such as gas, oil, etc.) should be charged to the Company credit card. Except for those employees eligible to participate in the Vehicle Expense Reimbursement Program as outlined in SECTION 10, business-related mileage and other expenses (such as gas, oil, etc.) incurred by the employee on behalf of the Company will be reimbursed at the standard Internal Revenue Service rate in effect at the time. Page 65 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 12 Drug Free Workplace Policy PURPOSE Our organization is fully committed to the philosophy of keeping controlled substances out of the workplace and has adopted this Drug-Free Workplace Policy. The welfare and success of Etain depends on the physical and employees. The abuse of drugs and alcohol poses a serious employees. It is the responsibility of both the Company an healthful, and ef?cient working environment. '1 K) logical health of all its ,the Company and its Consistent with our efforts to promote health and safety pretect the interests 1' customers, and the Company, we cannot allow use ossess, distributg; manufacture, purchase, sell, or be under the in?uence of alcoho: A intoxicant?s, or controlled IL Company business or in Company vehicles and on Company business. Accordingly, of alcohol and the illegal use of Company business is strictly prohibited termination. PROHIBITED ACTS I ?Company?owned or ?occupied premises; on Company business while under the in?uence of alcohol or an edsubstance; g, or purchasing - or attempting to distribute, sell, I - drug, intoxicant, or controlled substance. uired or requested drug or alcohol test or screen; a ?3 or to release information regarding a required or requested drug or Violating I rule or policy regarding alcohol and drug use. controlled substance during wor "ours or while on Company-owned or?occupied premises; Refusing to a statement to abide by the Etain Drug-Free Workplace Policy. Violating any Company rule or policy regarding alcohol and drug use. This policy covers all Etain employees. However, those employees (CDL drivers for example) covered by the Department of Transportation Workplace Drug Testing Procedures are subject to Federal guidelines for disciplinary action. Page 66 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 12.1 DRUG REE POLICIES No prescription drug issued by a licensed medical practitioner will be consumed on Company premises by any person other than the one for whom it is prescribed and for the purpose for which it is prescribed. An employee undergoing prescribed medical treatment with any drug, which may alter their ability to perform the duties of their job assignment, must report this treatment to their immediate supervisor. The supervisor will then determine whether a ?fforary change in the employee?s job assignment during the period of treatment is warranted. The purpose of the policy set forth above is: to establish and maintain a safe, healthy working envirow, to reduce the number of acadental to persoggand praperty; to reduce absenteeism and tardiness, and irnprov and to provide information regarding rehabilitati tance'f?grograms for anygemployee who seeks such help. 12.2 AWARENESS PROGRAM to Employees to understand and an will program in an educational the workplace. Etain has developed the following Awarene a to avoid the perils of drug and alcohol abuse ?i uable reSource and, for that reason, their health and safety is 'y drug or alcohol use, which irnperils the health and well-being of our isiness, will not be tolerated. Employees who use illegal drugs or abuse business. Drug or use in the workplace puts the health and safety of the abuser and all other workers around him or her at increased risk. Employees have the right to work in a drug-free environment. In addition, drug or alcohol abuse in?icts a terrible toll on the nation?s productive resources and the health and well-being of American workers. The use of illegal drugs and abuse of other controlled substances, on or off-duty, is inconsistent with the law abiding behavior expected of all employees. Early recognition and treatment of drug or alcohol abuse is important for successful rehabilitation. Whenever feasible, the Company will assist employees in overcoming drug or alcohol abuse by having information provided on treatment opportunities and programs. However, the Page 67 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual decision to seek diagnosis and accept treatment for drug or alcohol abuse is primarily the individual employee?s responsibility. In addition, the expense of such diagnosis and treatment is solely the employee?s responsibility. Employees with drug abuse problems should request assistance from their supervisor or the Human Resources Department. The Company will treat such requests as con?dential and will refer the employee to the appropriate treatment and counseling services. Employees who voluntarily request the Company?s assistance in dealing with a drug abuse problem may do so ?1 gut jeopardizing their continued employment, provided they strictly adhere to the terms of ea?g?ent and counseling program and comply with the Company?s Drug-Free Workplace Poli, on duty, on Company i? 5. Individuals with 12.3 EMPLOYEE EDUCATION gs; Etain offers education to all employees including info orrnation regarding available of drug use, and their effects on performance and coii treatment and rehabilitation programs. The drug educatio material, videotapes or employee safety meeting forums. 12.4 SUPERVISORY TRAINING As supervisors have a key role in establishing. a -free workplace, Etain shall provide training to assist supervisors and mana?grs and addressing illegal drug use by Company employees. . of this is asffollows: to understand the Drug-Free Workplace Policy, drug 2e and document employee performance and behavior change, testing procedure an other information required by applicable law, all applicants for employment will submit to drug testing only. Random: Throughout the year, all employees covered by this plan may be subject to unannounced random drug testing in accordance with applicable law. The total number of unannounced random drug tests will equal or exceed 5% of the average number of employees on staff during the year. An independent drug testing company will generate a list of employees that will be tested. Selected Page 68 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual employees will be noti?ed by their supervisor and will be required to report to a local medical facility the same day for testing. Reasonable suspicion: Reasonable suspicion drug and alcohol testing may be based upon, among other things: observable use, possession, and/or physical of being under the influence of a drug or alcohol; a pattern of abnormal behavior; arrest or conviction for a drug related offense; or the identi?cation of an employee as the focus of a criminal investigation into illegal drug possession, use, or traf?cking. Any employee involved in an accident (vehicular or otherwise?? Company premises, or while on Company business, or while in a Company supplied vehimfi'g accident drug and/ or alcohol testing. Etain also reserves the right to require an employee to undergo the presence of alcohol, illegal drugs or other controlled subs, accor . whenever such employee is involved in any accident, illness tha employee?s work hours if such accident, injury or illnes in ts m3. applicable law during that Property damage; Filing a workers compensation form; or Employee missing more than one (1) day of work. fithe full range of disciplinary An employee who refuses to be tested when, I .. substitute?the specimen provided will be action, up to and including dismissal. Atte If deemed a refusal to take the drug test when required. 12.6 DISCIPLINARY AC Employees found in manner: ANY JOB a whose drug use will impair the applicant?s ability to 'ered for-employment. ANY EMPL positive in a drug or alcohol test or is found to be using, possessing, or transferring any c' 9?ubstances while on duty will be suspended and placed on unpaid leave. ANY EMPLOYEE found selling or distiibuting an illegal drug on a Etain project or on Company property will be terminated and the matter will be reported to appropriate law enforcement of?cials. If a suspended employee achieves medically quali?ed status (achieved by testing negative in a drug/alcohol test), has been evaluated by a substance abuse professional (SAP) and has entered a program of rehabilitation prescribed by a SAP, the employee may apply for reinstatement. The Company will then re-activate the employee and the employee will be placed on probation for a Page 69 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual period of ?ve (5) years. As a condition of their probation the employee must complete the SAP prescribed rehabilitation program and will be subject to a program of random testing in addition to the Company?s random testing procedures. If an employee on probation tests positive during a drug or alcohol test or fails to complete a SAP prescribed rehabilitation program, the employee will be terminated. Employees enrolling in SAP programs under this paragraph must execute a waiver for the SAP to release information to Etain as to the progress of treatment. 12.7 VOLUNTARY TREATMENT A fundamental purpose of Etain?s Drug-Free Workplace Policy is to . are seeking treatment for drug use. For this reason, the Company against any employee who meets all three of these conditions: 1 ployees who themselves 'ate disciplinary action Voluntarily identi?es him/herselfas a user of illegal mm to being at through other means; 0 Obtains counseling or rehabilitation through an; 0 Thereafter refrains from using illegal drugs. This provision is not available to an employee who requests urine sample or having been found to ?illegal drugs s: - wrethe Drug-Free Workplace Policy. - 12.8 CONFIDENTIALITY All drug testing and treatmw . 'on speci?cally relating to individuals is con?dential and will be treated as such by review or egrnpiIe program records. The Director of Human Resources shall m'j? recor ?elating to These records shall be retained in a secure file, separate fro Page 70 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 13 Antitrust Compliance Policies 13.1 PURPOSE The subject of this policy is critically important and its implementation has the highest priority. It is the policy of Etain and its subsidiaries that each employee compete vigorously fairly and ethically in the conduct of the Company?s business, but always in compliance with the titrust laws of the United States and the states in which we operate. Etain expects its personnel to be familiar with laws governing . them. Regardless of the outcome of an antitrust inves involvement inflicts upon it a huge burden in terms of 0f daily busmess' The CompaHY?S therefore, is avoid conduct likely to lead to illegal conduct or th thereby attracts a antitrust investigation or claim. Accordingly, Etain expects every employee to be responsib pliance with antitrust laws and Ifin doubt, the Director of any contemplated action before undertaking wt and does not approve of any action by an employee that violates the or or manager has authority to approve or direct any Compan employee v1 of either law or this policy. Any employee who knowing] . i in, and who directs, authorizes or permits a subordinate to engage in?: 'ty, will be??lgsubject to disciplinary action, including discharge when appropriate, "?tion of antitrust law is determined to have occurred. ic guidance to govern employee conduct and to assist employees titrust compliance issues may arise. Additional compliance employees to understanding the primary aspects of the laws complex and changing, and employee should seek the advice epresentative whenever a possible antitrust issue arises, as this policy these laws. Antitrust compliance-depends on knowing the rules. Some important rules are: Competitors may not agree on the prices they charge for goods. Competitors may not agree on the prices they charge for services. Competitors may not agree on terms of sale. Competitors may not agree to allocate customers, territories, or markets. Competitors may not agree not to compete on contracts - i.e. bid-rigging. Page 71 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Competing buyers may not agree on prices for goods or services they are purchasing. Competitors may not join in a boycott of suppliers or customers to accomplish anticompetitive ends Competing manufacturers may not agree on levels of production. Companies may not use dominant market position to monopolize a market, control prices, or exclude competitors. 13.3 RELATIONSHIPS WITH COMPETITORS 13.3.1 Communications Relating to Price An employee may not have any discussion or communication re concerning: 1., 've of a competitor Current or intended dealings with particular cust Territories in which the Company plans to do Costs, pricing or production levels; or i hIf an e?iployee receives an improper ??change price information, allocate ?es may be considered in determining our own prices, but a from public sources, published lists or from customers, and any employees may not exchange price lists with a competitor and from sending price information to the Company. Where the Company is ssiorril of a competitor?s price information, such as its price lists or price announcements, ,of that information should be documented. 13.3.3 Dual ?elationships Sometimes a competitor is also a customer, supplier or subcontractor. In such cases, Company employees must be careful not to discuss With a customer or supplier matters affecting other areas of competition with that customer or supplier. Price discussions should be limited to existing prices for the product to be purchased or sold. Any contact with a subcontractor who is also a competitor must not affect the way competitive bids are submitted. Page 72 of 96 Etain, LLC Supplemental Exhibits t0 AppliCation Employment Manual 13.4 RELATIONSHIPS WITH CUSTOMERS AND SUPPLIERS 13.4.1 Exclusive Contracts The Company will not require a customer to buy products only from the Company except after consultation with, or pursuant to an agreement approved by, senior management. While often lawful, exclusive or requirements contracts in certain circumstances raise antitrust ct, arms, especially where the Company has a large market share. 13.4.2 Tying Arrangements if; A customer?s ability to purchase one product from the Con} yii'should requirement that it also purchase another product from without: senior management. Although ?bundling? or ?package f's? aregnot necessarily ,y fact be pro-competitive, in some circumstances cons-gum illegal especially where the Company has a large market share 1? onditioned on a 13.4.3 Veri?cation of Competing Quotes r?s price qu Company may or may not If a customer asks the Company to meet a i may any Company employee contact decide to meet the competing price quotation? the competitor to verify the competing quotation. 13.4.4 Predatory The Company does that sales below aver?i?i?gei?!? has a large market share. associations. Company employees should not join or participate in a approval of Senior Management. Company employees must be wary of ?(is could become entangled in expensive litigation involving the improper activity of others by an employee being present when improper matters prices, bids, customer allocations, territorial divisions) are discussed. As a general rule, any information that would be improper to exchange directly with a competitor would be improper to exchange with a trade association. Page 73 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 13.6 PUBLIC DOCUMENTS It is possible that lawful conduct could become suspect on the subject of antitrust litigation be cause of a poor choice of words or a misleading manner of expression. Care should be taken in Company communications and presentations to avoid careless or inappropriate language which could be misunderstood in an antitrust context. Communications should be kept factual and avoid provocative or judgmental language. In particular, avoid wording that, while the intended may seem clear to you, could be misunderstood by someone else as suggesting an illegal agreement or cooperation among competitors on prices or related matters. 13.7 PRESERVATION or DOCUMENTS Records or other Company property pertaining to any threatened antitrust litigation or government investigation prior approval of a Company Attorney. This f: t? not?b undermine its ability to defend or assert its position in su for prosecutors in antitrust cases to include allegations of relating the destruction of documents after vestigation had on oi?investigation. It is common }n of justice and similar charges ed. 13.8 DISTRIBUTION OF 13.8.1 Publicalion of Policy The Human is responsible for developing and presenting compliance training in antitrust laws FOhcy. Employees identi?ed as being most affected by this policy should receive such trainin a east once every two years. Supervisors are responsible for assuring that such employees take part in such training. Page 74 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 13.9 REQUIRED REPORTING If an employee becomes aware of any conduct by the Company or persons outside the Company which may involve a violation of antitrust laws or this Policy or that the Company may be subject to an antitrust invesdgation or claim, the employee must advise senior management. It is very important that proper Company officials know as soon as possible of any potentially illegal behavior involving the Company in any way. If anonymity is desired, an employee may report the matter on the existing compliance hotline: 518-320-8418. 13.10 INVESTIGATIONS AND INFORMATION REQUESTS Antitrust investigations are often begun with a formal or inf information. If a Company employee is contacted by any person, including "?law?aenforce ,_cial or a private ts through the; 'ideral Bureau Division (including a civil investigative demand or co, or requests/for information) of Investigation), the Federal Trade Commission (it'ic or any state attorney general?s office. ggtions, the employee should provide such information enpurpos?of the request and advise the respond. note the name, title and agency of the pers to senior management, who will have coun The Company cooperates if the Company is entitled all eguards previded by law for the bene?t of persons under investigation, includi sentati r: Page 75 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 14 Computer Use Policy This policy outlines the rules that should govern any employee of Etain who uses our computer resources. Employees should carefully review the policies, rules and guidelines contained in the document. Once reviewed, employees must sign the acknowledgement form con?rming their review and understanding of this policy. 14.1 PURPOSE Brain ??ies heaV?Y its Computer resources to meet its operalio needs. It is essential that its computer systems and computer a I they Store and process, be operated and maintained in a secure environment from misuse and unauthorized access. This policy applies hardware? data, software and communications networks?. 1 pO?Cy covers Computers ranging from multi-user {Bi '5 puters, whether stand-alone or ftheir can have a far-reaching negative impact on the Company. The rules and obligations described in this 7e Companijiisf" computer resources responsibly, professionally, rality and behavior that applies in the non-computing entir??0mputer systems and refers to all the hardware, software, data associated with the systems. Speci?cally, ?Computer Resources? to Company host computers, ?le servers, application servers, mag/?servers, fax servers, Web servers, workstations, stand-alone computers, 4 idata ?les, smart phones and all internal and external computer and (for example, Internet, commercial online services, value-added networks, e-mail systems) that may be accessed either directly or indirectly from our computer network. Users All employees, independent contractors, consultants, temporary workers, and other persons or entities who use or access Etain?s Computer Resources. System Administrator The IT Manager, or another employee designated by management, who is responsible for the deployment and maintenance of Etain?s computer network. Page 76 of 96 Brain, LLC Supplemental Exhibits to Application Employment Manual 14.3 POLICY The Computer Resources are the property of Etain and may be used only for legitimate business purposes. Users are permitted access to the Computer Resources to assist them in performance of their jobs. Use of the Computer Resources is a privilege that may be revoked at any time. In using or accessing Etain?s Computer Resources, Users must comply with provisions. 14.4 EXPECTATION OF PRIVACY of privacy in anything they create, store, send or rec; the Computer Resources, Users consent to of the C0: review all materials Users create, store, send?: ?"ve oh *?the Computer urces. Users understand that Etain may periodically and in?? 1 monitor use of its Computer Resources. No privacy in communications. to be either private or secure. E?m . including that of the recipient Co a es may, Fe forwarded to others either electronically or on paper. In I be delivered to persons who were never The Company has the right, but not the duty, to monitor any but not limited to, monitoring sites monitoring chat groups and newsgroups, reviewing I the event an employee nonetheless encounters inappropriate or while browsing on the Internet, he/she must immediately disconnect Page 77 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 14.5 PROHIBITED ACTIVITIES Inappropriate or 11111an material. Material that is fraudulent, harassing, embarrassing, sexually explicit, profane, obscene, intimidating, defamatory, or otherwise unlawful or unprofessional may not be sent by e-mail or other form of electronic communication (such as bulletin board systems, newsgroups, chat groups) or displayed on or stored in Etain?s computers. Users encountering or receiving this kind of material immediately report the incident to their supervisors. Prohibited uses. Without prior written permission from .Administrator, Etain?s Computer Resources may not be used for non-business (a but not limited to dissemination or storage of commercial or personal a, ns, promotions, destructive programs (that is, viruses or self-replican code), political or any other rm acts that Waste Computer of others. These acts include, but aiding excessive amounts of time printing multiple copies of Waste of computer resources. Users may not a Resources or unfairly monopolize resources to the a frights of others, including all software licenses, f?iatents. Employees may only use intellectual property of Etain cognpany policy and any applicable licensing agreements. Etain respects Hademar 1 g, or otherwise disseminating Etain?s proprietary data such as but not limited to, estiinating results, ?nancial results, bid methods, trade secrets, or other con?dential information of the Company is strictly prohibited. Unauthorized dissemination of this information may result in substantial civil liability as well as severe criminal penalties under the Economic Espionage Act of 1996 and other statutes. Page 78 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 14.6 PASSWORDS Responsibility for passwords. Passwords exist for network access, access to various application programs, and devices. Users are responsible for safeguarding their passwords for access to the Computer System. Individual passwords should not be printed, stored online, or given to others. Users are responsible for all transactions made us' their passwords. No User may access the Computer Resources with another User?s pathr ornccome even if the User is present. Passwords are assigned and will be changed fro a to time with reasonable notice. ,puter Resources xpectation of 14.7 SECURITY Accessing other User?s files. Usersj lbslonging to another User without ?rst obtaining permission fror?? bility to read, alter, or copy a ?les and e-mail. Computer sec?) networks, suii?li .. not compromise the security of Etain?s Computer greasonable precautions to prevent intruders from tvvork Without authorization and to prevent introduction and 14.8; ,es can cause substantial damage to computer systems. Each User is reasonable precautions to ensure he or she does not introduce viruses To that end, all material received on external magnetic or optical do not belongi?to Etain MUST be scanned for viruses and other destructive programs before being placed onto the computer system. Users should understand that their home computers and laptops might contain viruses. All media transferred from these computers to Etain?s network MUST be scanned for viruses. Accessing the Internet To ensure security and avoid the spread of viruses, Users accessing the Internet through a computer attached to Etain?s network must do so through an approved Page 79 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Internet ?rewall. Accessing the Internet directly, by modem, is strictly prohibited unless the computer you are using is not connected to the Company?s network. 14.9 WARE Use of software. Users may not install or use ComDuters Without ?rst obtaining written permission or ?les containing technology (such messages and electronic commerce software that technology is not to be placed on the Inte 1 transactions). Software containing . smitted in any way outside the 7 Administrator. To the benefits of this medium and minimize following clines for employee use of Company email es?e not intended to discourage employee use of e- ?ended to ensure that e-mail is used responsibly and accounts. Please keep mail in performing one?s with discretiom ?ommunications are neither private nor secure. E?mail may of computers, including that of the recipient. Copies of others either electronically or on paper. In addition, e-mail sent to es may be delivered to persons that you never intended. THINK before sending a message. It is very important that you use the same care and discretion in drafting e-mail as you would for any other written communication. Anything created or stored on the computer may, and likely will, be reviewed by others. Before sending a message, ask yourself the following question: Would I want a judge or jury to see this message? Page 80 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Inappropriate material. Material that is fraudulent, harassing, embarrassing, sexually explicit, profane, obscene, intimidating, defamatory, or otherwise unlawful or inappropriate may not be sent by e-mail. If you encounter this kind of material, you are obliged to report it to your supervisor. Alterations. Never alter the ?From:? line or other attiibution-of-origin information on your e- mail. Anonymous or pseudonymous messages are forbidden. a. Standard footers for e-mail. This footer should amended to? 31?] sent outside the Company: . Employee?s Full Name Title, as appropriate Etain, LLC Employee Email Address ay be subje disciplinary action, including Jof this may result in termination. Attorney-client co sent from in-house counsel or an attorney representing the Company shouldii?n? r- -ge?d attorney-client communication? in the subject line by the attomey-client privilege. If you are not the reaf?th or the person responsible for delivering the e-mail to ., e?rirecipient, be advised that you have received this e-mail in this earnail is strictly prohibited. If you have received this e-mail in error, please immediately notify Jennifer K. Harvey, Esq. by telephone at (518) 320-3418. You will be reimbursed for reasonable costs incurred in notifying us. Communications from attorneys may not be forwarded without the sender?s express permission.? Page 81 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual 1410.2 CHAIN OR MASS MEMO This is a reminder that Etain provides its computer system and access to e-mail for legitimate business purposes only. Every employee is expected to use good judgment when using the e-mail system. Sending chain e-mail or non-business-related mass e?mail violates this standard and will not be tolerated. Chain e-mail is a message sent to a number of people asking each recipierig;g same request to a speci?ed number of others. Mass e-mail is a mess recipients (for example, all employees) without any legitimate business 1 messages wastes our computer resources and delays delivery of es . mail, in particular, can result in an enormous volume of mess f: the messages increases geometrically as the instructions are followg?lgbfiall recip? ., . degrade network performance and consume substan?al waluable dis?? and computer memory. Na i "?nt . Circulating chain 6- The number of Employees should delete all chain e-mail and all noti- a 9 receipt and refrain from forwarding them to any other em on. mail or non-business-related mass e-mail from another Etain the System Administrator. e-mail immediately upon \Any employee receiving a chain e- ee should report the incident to 14.11 INTERNET USE POLICY '0 must be tempered Wi If users abuse their right to: be subject to acu avoid at least I contact with this material while using the Internet. Even innocuous search requests mayfead to sites with highly offensive content. In addition, having an e-mail address on the Internet may lead to receipt of unsolicited email containing offensive content. Users accessing the Internet do so at their own risk. Employee?s duty of care. Employees should endeavor to make all electronic communication truthful and accurate. Use the same care in drafting e-mail and other electronic documents as Page 82 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual one would for any other written communication. Please keep in mind that anything created or stored on the computer system may, and likely will, be reviewed by others. (C) Duty not to waste computer resources. Employees must not deliberately perform acts that waste computer resources or unfairly monopolize resources to the exclusion of others. These acts include, but are not limited to, sending mass mailings or chain letters, spending excessive amounts of lime on the Internet, playing games, engaging in online chat groups, printing multiple copies of documents, or otherwise creating unnecessary ork traffic. Because audio, video, and picture ?les require significant storage space, of sort may not be downloaded unless they are business-related. I Prohibited activities. Material that is fraudulent, emb? . profane, obscene, intimidating, defamatory, or otherwi or sent by e-mail or other form of electronic chat groups), downloaded from the Internet, or Employees encountering or receiving this incident to their supervisors. sexually explicit, 'ate may not be must observe and comply with all Other policies applicable. In their use the I, i glint not limited to the following; other policies and guid notice. Users shall store any crucial data on the network drive to be backed ecte?iio the network shall take steps to backup critical ?les whenever possible. Non- r. Abuse or misuse of computing services may violate this guideline, or user's responsibility, but may also violate the law. Therefore, the company will take appropriate action in response to user's abuse or misuse of Computing Resources. Action may include, but not necessarily be limited to: Reimbursement to the Company for damages; 0 Other legal action including action to recover damages; Page 83 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Referral to law enforcement authorities; 0 Users (employees) will be referred to the appropriate manager for disciplinary action; 0 Terminalion. Page 84 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 15 Enviromnental Policy PURPOSE Etain has always made a concerted effort to minimize the impact of our operations in the communities where we do business. An important example of our efforts in this area is the attention the Company gives to environmental stewardship. In addition to inclu 9? our commitment to comply with all applicable environmental laws and regulation, Policy also Etain remains fully committed to achieving environmental commitments summarized below: Comply with applicable environmental laws Company?s voluntary environmental commitrfie Operate our facilities with all the necessary enviro i operational controls. Continually strive to improve measi?igaes to minimize no storm water runoff. Reduce energy consumption. Promote the use of recycled products waste. Promote relevant en. Be guided by thy ?princ1 improvement. Respect our net which we work. ermits; registrations, approvals and emissions, soil erosion and .: disposition of hazardous and solid initiatives our managers, employees and suppliers. pollution Sprevention, energy conservation and continuous 57? our impact on them and the communities in Page 8.5 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SECTION 16 Open Communication Policy Etain believes in open communication. If an employee has a suggestion or concern, management wants to know about it. In most cases, employees will get satisfaction by discussing the matter with their supervisor. However, the Company recognizes that not all complaints Will be satisfactorily resolved between an employee and supervisor. If the employee feels he/she? ot meet with his/her supervisor, the employee may request a meeting with Human Resources io'ri'Senior Management. All concerns will be given prompt and objective consideration in an a; ere of mutual assistance and can be reviewed by Senior Management. Page 86 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual ETAIN LLC DRUG FREE WORKPLACE ACKNOWLEDGEMENT I hereby acknowledge receipt of the Etain, ?Drug Free Workplace Policy,? containing information on Company drug and alcohol testing. I agree to abide by the Drug Free Workplace Policy? during my employment with Etain, LLC I understand the regulations regarding the use of alcohol and drugs, tes and drugs, and the disciplinary procedures for failing to follow the policy. Name (print): Signature: Date: Page 87 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual Etain, LLC Employee Manual Acknowledgement By signing below, I certify that I have received a copy of the Etain, LLC (?Etain?) Employee Manual and I agree and accept that it is my responsibility to read and comply with all policies and the revisions to it. I understand and agree that I am to consult with my supervisor, or the Human Resources Department regarding any questions not answered in the manual, or any gations concerning the contents of the manual. ual and an express unit represented I understand that the employee manual is not a bin implementation of personnel policies, practices pro the exception of written employment agreements signe manual supersedes all prior agreements, understan employment with Etain. ate at any content or application of its I understand that Etain may deviate, amend a vvitlioutgiiotice in its sole discretion even policies, practices, programs, or bene?ts at an? if such deviation(s), amendment(s) or plication of its policies, practices, programs or bene?ts have not bee previously 1" Iinted or substituted in this manual. All such revisions, deletions; 'ons must writing?and must be approved by the CEO of ltions can change the provisions of this employee manual. ns manual do not change my status as an at-will otice. I understand that no representative of the uthority to enter into any agreement that changes the nature Employee?s Name (Piinted) Employee Signature Date Page 88 of 96 Etain, LLC Supplemental Exhibits to Application Employment Manual SUPPLEMENTAL EXHIBITS T0 APPLICATION CODE OF BUSINESS CONDUCT AND ETHICS ETAIN LLC Code of Business Etain, LLC 1 Supplemental Exhibits to Application Code of Business Conduct and Ethics The mission of ETAIN, LLC is to provide our customers with products and service of the highest quality in our commitment to improve the quality of human life. To help guide us forward, we have set forth in the succeeding pages Code of Business Conduct and Ethics (?the Code?), which has been approved by our Board of Directors. The purpose of the Code is to reinforce and enhance our commitment to operate honestly, ethically, and with integrity in all aspects of our business. We expect you to read provided to you and to To be clear, we expect all employees to comply with the Code and its p0 the Code carefully, to ask questions if you have them, to use the re know that the consequences of non-compliance are real. Each of yo will comply with the Code. We expect our suppliers, vendors, age to adhere to these standards, as well. The Code cannot and is not intended to cover every ethi .- question. It is, however, intended to help provide exercise the soundest judgment possible and to seeng Sincerely, Amy Peckham Chief Executive Officer Etain, LLC 2 Supplemental Exhibits to Application Code of Business Conduct and Ethics Putting the Code of Business Conduct and Ethics to Work Acting Out Our Values Obeying the law is the foundation of everything ETAIN does. We expect veryone?s conduct to re?ect commitment to integrity, ethical conduct, and tru business cannot succeed unless everyone understands the legal regulations tha ply to their areas of responsibility. While we do not expect everyone to memorize ils of these laws and regulations, we want everyone to know when to seek a ho to contact with questions. I hical, ask yo If you are ever unsure whether a particular act' Is the action legal? 0 Does the action comply with the Code and policies and procedures? 0 Would you be community? If the answer to al 4 advice before proceedi Compliance underthel Etain, LLC 3 Supplemental Exhibits to Application Code of Business Conduct and Ethics The Compliance Ethics Hotline: A Resource for Asking Questions and Reporting Concerns ETAIN maintains a Compliance Ethics Hotline for employees to ask qu legal obligations and about their duties under the Code or any of a Hotline is available around the clock at the following toll-free number- ons about their ethical or Employees may also use the Hotline to report violations or - of policies or procedures. All questions or repo Chief Compliance Of?cer on a con?dential basis. Employees may use the Hotline in addition questions and reporting concerns. Refer to guidance about other methods of submitting a good-faith report to ETAIN via ETAIN will not tolerate retaliation against any - . .. at he or she has been subjected to the Hotline or via another me. Any employ retaliation for doing so sho 7 the Chairman of the Boar While the Hotline is ?'alw should be related to a qu company pol' personal in . lation of law, ethical standards, the Code, or a otllne 5 old not be used for complaints that are essentially Etain, LLC 4 Supplemental Exhibits to Application Code of Business Conduct and Ethics RESPONSIBILITY TO THOSE WE SERVE Professional Practices Some employees, including pharmacists and pharmacy technicians, are required to maintain current professional license, certi?cation or registration and fo the code of ethics of their professional organization. Additionally, the Company mainta' enses as required by law for its business activities. ETAIN employees must: 0 Provide professional services only if he or she registration; 0 Keep required, professional certi?cations credentialing; 0 Notify their supervisor if his or her license is federal regulatory agency has taken any acti at will negatively affect the employee?s license or ability to e. Keeping Personal Information Secur?ge healthcare ustry it to collect and maintain the rs. This data is protected under federal tion, including names, addresses, dates mbers that are combined with medical diagnostic information or physician role as a personal health inform and state laws. if I of birth, phone information such as that could potentially be used to identify, contact or rigorously protected. This includes demographic includes verbal information, service records, consultant reports, billing records, other individually identi?able information that relates to: the past, present, or future sical or mental health condition of a client or a prospective client; the provision of health are to a client; or the past, present, or future payment for the provision of health care to a client or prospective client. Con?dentiality extends to PHI or P11 in any medium, including information that is on paper, in electronic form, or communicated verbally. Employees may use PHI or PII only as needed to perform job duties assigned by ETAIN, and may only access the minimum PHI or PII necessary to perform those duties. When PHI or PII Etain, LLC 5 Supplemental Exhibits to Application Code of Business Conduct and Ethics must be shared with others for purposes of treatment, payment, legally-required reporting or other health care operations, it must be shared in such a manner and with proper safeguards to minimize the risk of disclosure beyond those individuals with whom it is shared for the intended purpose. Employees may not in any way divulge, copy, transfer, alter, or destroy any PHI or PII in any form, or remove PHI or P11 in any form from or company premises, except when speci?cally authorized by a supervisor for a necessary and appropriate purpose, and in compliance with security safeguards. Employees must safeguard any authorization that gives to access PHI or PII, including keys and computer passwords. Employees have no An employee who becomes aware of an activity 'ty that may jeopardize the con?dentiality of PHI or PII must pro or to the Chief Compliance Of?cer. Our customers entrust us with their personal and heal ation and must be able to rely on us to protect it. RESPONSIBILITY nt in any form and will not tolerate intimidation, hostility, or vior or communications. range of abusive behavior, including unwanted sexual advances, sexual comments, is of physical assault, display of offensive material, offensive jokes or slurs, and untowa comments based on another?s personal characteristics. Please consult the Employee Handbook for complete Policy Against Harassment. Harassment inc s" Workplace Safety Everyone is entitled to a safe and secure workplace. Employees must obey all workplace safety rules and maintain their workspace in a clean and orderly condition free from hazards. When work activities involve medications or other substances that may be toxic if not handled properly, work with and dispose of them safely. Etain, LLC 6 Supplemental Exhibits to Application Code of Business Conduct and Ethics WEAPONS AND WORKPLACE VIOLENCE No employee may bring ?rearms, explosives, or any other weapons into the workplace or any work-related setting, regardless of whether the employee is licensed to carry such weapons. will not tolerate violence in the workplace or in any work?related setting. Threats or assaults that require immediate attention should be reported to the police. complete Weapons and Workplace Violence Policy is located i I. Employee Manual. DRUGS AND ALCOHOL is a drug-free environment. Employees may not us y? their physician while ust inform their supervisor Except at approved functions, employee ?tmy in?uence of alcohol while on company proErty company's behalf. - complete po Manual. and distribution .3 of compu Etain, LLC 7 Supplemental Exhibits to Application Code of Business Conduct and Ethics RESPONSIBILITY TO OUR ORGANIZATION Compliance with Applicable Laws The baseline for ethical conduct is complying with all laws, affect our business. All employees must comply with the applicab they work or where they travel on behalf. regulations that ws in all states where Con?icts of Interest respects all employees' right to manage rtheless, an individual?s personal interests must never in?ue ce) the performance of his or her duties for Al g2" ation that might present a con?ict of interest, a summary of th such conflicts follows Employees may not improperly int with such as unless that bene?t has ACTIVITIES Employees 7' f" ers may not hold an interest in another business if means that empl in or work for a company that does business with Compliance Of?cer has approved the interest in writing. entity if the employee will be compensated for his or her services. Unpaid service as a director of a charitable, religious, nonpro?t, or housing organization is laudable public service that need not be approved or reported to BUSINESS OPPORTUNITIES A ?business opportunity? is any opportunity to engage in an activity that may generate a pro?t for Employees may not take advantage of business Etain, LLC 8 Supplemental Exhibits to Application Code of Business Conduct and Ethics opportunities that they learn about through their work with or direct those opportunities to a third party unless the Chief Compliance Of?cer approves the arrangement in writing. POLITICAL ACTIVITIES Employees must keep personal political activities separate from their work for and must never use the company?s resources (including time, property, or equipment) to advance a political cause. knife? hether the of?ce is from the Chief 9 without such An employee may not seek or hold public of?ce (regardless eleCted' appomtecj' paidr or Unpaid) without prior written Compliance Of?cer, unless applicable law gives an approval. FAMILY MEMBERS WORKING IN THE INDUST Employees may sometimes encounter a situatio . family member owns or works for for a compe business with. Such situations are not prohibited but that con?icts of interest are avoided. fo In entity that does particular attention to ensure Employees may never supervise or partici affect their spouse, signi?cant other, paren Employees must promptl to their supervisor, th to accept gifts of any amount from an individual or 55. An employee offered a gift should politely decline to policy will not allow the employee to accept the gift. If it would be . ctical to ine the gift (for example, because it was delivered by a third- Of?cerdonated to a charitable organization. The employee should then than individual or entity that provided the gift, explain policy against accepting gifts, and note that the gift was provided to charity. Modest meals and business entertainment can help strengthen business relationships, but should always be viewed as courtesies. Employees may not accept any entertainment that could in?uence or be- perceived to in?uence decision-making process. Employees may give and accept meals or other modest forms of entertainment if they are appropriate to the occasion and are not provided on a regular or frequent basis. Business entertainment must always be in good taste and must never embarrass if Etain, LLC 9 Supplemental Exhibits to Application Code of Business Conduct and Ethics publicly disclosed. Employees may never give a gift or give or accept business entertainment if it is provided: 0 to exert in?uence over a business decision; 0 to gain an improper advantage with customers or service providers; to facilitate government approvals or exert in?uence ov rnment of?cial or entity; or Employees should not solicit business entertainm and must never exchange business entertaian- applicable to the other party to the transaction. When providing gifts or business government, employees must also ensu ?Interacting with Government? section of trtainment to egift or ent Protection and Proper Use of Compa? Employees have a judgment when using assets. Employees may not _mpete with or for any business venture outside of - 4 "al use of company assets (such as minimal and should never interfere small. Employees must report all ?nancial activities? including those related to and entertainment?-in compliance with applicable laws and with accountin ractices. Employees must never make false or misleading entries in books and records, or make or authorize a payment based on records that the employee knows to be incomplete or inaccurate. Record Retention In the course of its business, produces and receives large numbers of documents. It is important to maintain these records in accordance with applicable law and Etain, LLC 10 Supplemental Exhibits to Application Code of Business Conduct and Ethics customary business practice. Litigation, government investigations, subpoenas, and other government proceedings may require to preserve documents that we otherwise might discard. Employees must comply with all hold notices and other document-retention obligations arising from such proceedings. Any employee who learns of litigation or a government proceeding affecting business should immediately contact the Chief Compliance Of?cer. Con?dential Company Information ut business. ight be of use to includes personal Employees may be given access to con?dential information Con?dential information includes all non-public information competitors, or harmful to or its customers if discl information about employees collected for huma uncertain about whether particular information is able to verify its con?dentiality. All con?dential information must be protected, individuals who have a legitimate business purpo information may only be released by em ployees authoriz information. Con?dential do so or as required by law. Employees must maintain the con?dent! employment. Con?dential information gain a business advantage following th_end employees must take care not to disclose% ared wit, new employer or used to - u; with In addition, company? and her Intellectual Property lectual property rights of others, including all software arks, and patents. Employees may only use intellectual hers in accordance with company policy and any applicable 'mployees may never use illegally obtained software or other furtherance of their job responsibilities with licenses, property of a . licensing agree intellectual prope Data and Communication Resources Employees must comply with all data security measures implemented by information technology personnel, and must never attempt to circumvent such safeguards. Non?work-related use of email, internet, voicemail and other communications resources should be minimal, in good taste, and should never interfere with an employee?s job responsibilities. Etain, LLC 11 Supplemental Exhibits to Application Code of Business Conduct and Ethics Unless applicable law provides othenNise, all information stored on ETAIN devices or transmitted through network is property of the company and may be searched, monitored, or disclosed without prior employee consent. ETAIN retains the right, at its sole discretion, to review any data stored on or transmitted using its devices or through its network, regardless of the content of the data. Please consult Employee Manual for its regulations regarding use of computer resources. Speaking on ETAIN's Behalf ahorized to do so. Employees may not speak on behalf unless they have truthful, accurate, and Employees permitted to speak on behalf must alway respectful in their communications. t, or other Requests for information about the company from the Fair Competition Antitrust Competition Laws divesti re; 0 Executing a marketing, purchasing, or other collaborative arrangement with a competitor; 0 Establishing any exclusive arrangement, including a contract that requires another business to deal only with or Etain, LLC 12 Supplemental Exhibits to Application Code of Business Conduct and Ethics Exchanging information with competitors or participating in setting industry standards. Employees should be aware that trade associations and standard-setting organizations sometimes raise antitrust concerns. While such organizations often spur industry development, they can also provide a forum for competitors to exchange sensitive information and enter into express or implied agreements that restrict competition. For this reason, employees must notify the Chief Compliance Of?cer before joining any trade association or standard-setting organization. Ln be dif?cult, and the imprisonment for Understanding the requirements of antitrust and competition la consequences of violating these laws can be severe, includin the individuals involved in the violation. Employees should Employee Manual for more information about these suit the Chief Compliance Of?cer before taking any action that mi corgpetition concerns. Gathering Competitive Information including about its competitors. Emplo - should follow these guidelines: 0 Gather information only pu uch as advertisements, competitors? websites, brochures?ijj? 0 Never attem ccess to bribery, or ash of a con?dentiality agreement. id party if you suspect that the third party rough unlawful means. Political 7 nd Activities ke political contributions of assets or on the prior written approval from the Chief Compliance Of?cer. Employees company?s behal LOBBYINGKACTIVITIES Employees must notify the Chief Compliance Of?cer before engaging in any lobbying activity on behalf. Generally, lobbying includes: 0 Communicating with a member or employee of a legislative branch of government for the purpose of in?uencing legislation; Etain, LLC 13 Supplemental Exhibits to Application Code of Business Conduct and Ethics Communicating with non-legislative government of?cials outside of publicly accessible channels for the purpose of in?uencing government action; or Engaging in research or other activities to support or prepare for such communication. Employment of former government employees. 3.- otiations with yment with There are speci?c laws and regulations governing contact or current and former government employees to discuss their potenti ETAIN or their retention by ETAIN as consultants, suppliers 0 ors. You are not permitted to engage in any discussions with government regarding their prospective employment with the Company, and shoul or current government employee approach you regarding employ for the Company, you should contact your supervisor or the IMPLEMENTATION Where to Seek Guidance While all employees are responsible in their areas of responsibility, rec answer to all questions. Employees who a i -.: - the Code apply to a particu ituation sho ek guid from the Compliance Ethics from Resources for issues relating to the - ,e or to con?icts of interest arising from The Compliance Ethics Hotline; The Chief Compliance Of?cer; The Chief Executive Of?cer; or The Chairman of the Board of Directors. Any supervisor who receives a report of a violation or suspected violation must forward it to the Chief Compliance Of?cer. Etain, LLC I 14 Supplemental Exhibits to Application Code of Business Conduct and Ethics Supervisors and employees must not independently investigate violations or suspected violations of law, the Code or policies. All reports will be investigated, and such investigations will be carefully conducted by under the supervision of the Chairman of the Board of Directors. will not tolerate retaliation against any employee who reports a violation or suspected violation in good faith, or who participates in an internal or government investigation. Anyone who believes he or she has been subject to retaliation should report it to the Chief Compliance Of?cer or the Chairman of the Board of Directo Consequences for Violating the Code ETAIN takes all violations of law or the Code seriously. applicable law, regulation, the Code, or a company polf action, which may include suspension, discharge, loss - possible civil or criminal proceedings. to disciplinary bene?ts, and Unless applicable law provides othenNise, Co bene?ts under any of incentive plans, inclu of incentive compensation, bonuses, stock options, or other awards. Waivers of the Code ETAIN does not ordinarily waive any 5grow Code? for any purpose. On rare occasions, the Chief Compliance Of?cer ay circumstances warrant. Wa ust be approved by the Audit or, of?cer, or employee receiving a waiver 'toring the situation to ensure compliance with applicable laws and regulations may For questions or con 5, call the Compliance Ethics Hotline toll-free at Etain, LLC 15 Supplemental Exhibits to Application Code of Business Conduct and Ethics CONTACT LIST Keep this Contact List at your disposal. It contains important information about where to seek guidance about your legal and ethical obligations, and where to report potential violations. Requests for Guidance Requests for guidance should be directed to and Ethics Hotline or the Chief Compliance 0 from Human Resources for certain issues, Guidance? section of the Code. 'sor, the Compliance is also available here to Seek Compliance Ethics Hotline; Chief Compliance Of?cer: Human Resources: Reports of Violations or Reports of violations or sus - viola made to you isor or to Complian and Ethics Hotline. If you cannot or do not the issue with your supervisor or through uals in the order below: Etain, LLC 16 Supplemental Exhibits to Application Code of Business Conduct and Ethics ACKNOWLEDGMENT FORM I acknowledge receipt of Code of Business Conduct and Ethics. I either have or will thoroughly and carefully read the Code and ensure that I understand its contents. If clari?cation is required, I will follow the channels described in the Code. "-roc?dures contained in es. I understand that I I agree to comply fully with the standards, policies a the Code and the Company's related policies and have an obligation to report violations or suspe and related policies and procedures outlined in the Code. I acknowledge that business conduct and does not con assurance of continued employment. Signatu re Etain, LLC 17 Supplemental Exhibits to Application Code of Business Conduct and Ethics SUPPLEMENTAL EXHIBITS TO APPLICATION WORKPLACE SAFETY PROGRAM TABLE OF CONTENTS SECTION 1 ..3 Management Commitment and Employee Involvement .. 3 SECTION 2 ..4- Safety Committee .. .. .. ..4 Safety Committee Organization ..4 Responsibilities .. Meetings .. Safety Committee Meeting Minutes .. SECTION 3 .. Safety and Health Training .. Safety and Health Orientation [ob-Speci?c Training .. Periodic Retraining of Employees Safety Training Documentation .. SECTION 4- .. Safety Inspections .. SECTION 5 .. Preventative Maintenance .. SECTION 6 .. First-Aid Procedures; .. Minor First-Aid nggaMenti .. .. 12 Nonemergency Treatgjent .. 12 Emergency Medical .. 12 First-Aid .. 13 .. 14 .. 16 Accidgigtilnvestigation .. .. 16 Accid?ift/fgnyestigation ngcedur?'s .. .. 16 .. 17 Instructions?fdhCompleti/ng the Accident Investigation Report .. 18 SECTION 8 .. .. 19 Recordkeeping Pro/cedures .. 19 SECTION 9 .33: .. 20 Safety Rules, Policies and Procedures .. 20 SECTION 1 Management Commitment and Employee Involvement Policy Statement Etain management is committed to providing employees with a healthful workplace. It is the policy of this organization that employees report unsafe cgridifiE/ins and refrain from performing work tasks if the work is considered unsafe. Employ??s?must report all accidents, injuries and unsafe conditions to their managers. Such result in retaliation, penalty or other disincentive. .. Employee recommendations to improve safety and hiljaihi'i?cionditions will :given thorough consideration by our management team. Manageg?g?? will giye top priority tq?j?" prpvide the ?nancial resources for the correction of unsafe gd??ditions. managem, 56611 take disciplinary action against an employee who willfully jepg/a/??aly violates workplace safety . 0 - rules. This action may include verbal or written reprima?figis?and may ultlmately result 1n termination of employment. 1.. The primary responsibility for the coord? participation, safety health education and training, and - romoting safety. and workplace safety rules. This policy statement serves to express management?s commitment to and involvement in providing our employees a safe and healthful workplace. This workplace safety program will be incorporated as the standard of practice for this organization. Compliance with the safety rules will be required of all employees as a condition of employment. Signature of CEO/President Date SECTION 2 Safety Committee Safety Committee Organization A safety coordinator or a safety committee will be been established to recommend improvements to our workplace safety program and to identify corregtiye measures needed to eliminate or control recognized safety and health hazards. The sagg?ycdi?mittee consists of an equal representation of supervisory and nonsupervisory members? our organization. My Safety Program Coordinator Member Supervisory Employee Member Memb/e'iz . The safety committee shall determine the schedule; the effectiveness of control measures used to from healtlijlia'zards in the workplace. The safety committe/g? ll be resp?glsible for management in reviewing and updating workplace safety rules on investig??jggn ?ndings, any inspection ?ndings, and employee reports of ligruyvork prg?iices; and accepting and addressing W44 a - m, . anonymous complaints and fr, .. . '41?7 A nzsible for assisting management in updating the workplace and accident records, identifying trends and formulating? The safety will bewiesponsible for assisting management in evaluating employee accident and programs and for promoting safety and health awareness and co-worker thrgii'gh continuous improvements to the workplace safety pro gram. Safety committee me ?fs will participate in safety training and will be responsible for assisting managemenf?in monitoring workplace safety education and training to ensure that it is in place, that it is effective, and that it is documented. Meetings Safety committee meetings will be held quarterly, or more often if needed. The safety program coordinator will make the minutes of each meeting (see following page) available within one week after each meeting. Safety Committee Meeting Minutes Date of Committee Meeting: Time: Minutes Prepared by: Location: /4 Names of Members in Attendance: Previous Action Items: Recommendatl from Acci?ient Investigation Reports: Safety Training Recommendations: Comments: SECTION 3 Safety and Health Training Safety and Health Orientation Workplace safety and health orientation will begin on the ?rst employment or job transfer. Each employee will have access to a copy of this manual for review and future reference, and each employee will be given a personal he safety rules, policies and procedures pertaining to his or her job. Managers will questi pf employees and answer employees? questions to ensure knowledge andiujiggr?fstandingubf rules, policies and ob-speci?c procedures described in our workplape?saf?ty program ual Managers will instruct all employees that compll'?i?iic: workplace safety manual is required. ?11 thgisefety rules des tain All training will be documented and regards will be mam Job-g;= g??i?c Training Managers will initially train employees on: ,Iiztmorperfozr/rfiuassigned job tasks safely. 0 Managers will with eichztemployeeg speci?c safety rules, policies and procedure?; at are/applicable and that are described in the workplace safety 0 Managers will loyeesjay and speci?c directions on how to do the goggl?fely. . f. .. . . w111 observe ,loyees the work. If necessary, the superv1sor '?g??zfjf?a - I I g; prov1de a demgn?stratlo?gusmg safe work practlces or remedlal Instructlon to ect training de?ciencies b??fore an employee is permitted to do the work without All empquZQgs will receive safe operating instructions on seldom-used or new equipmenf?ibl?efore the equipment. [if/0 I I 0 Managers ev1ew safe work practlces w1th employees before perm1tt1ng the performance of new, non?routine or specialized procedures. Periodic Retraining of Employees All employees will be retrained periodically on safety rules, policies and procedures, and when changes are made to the workplace safety manual. Individual employees will be retrained after the occurrence of a work-related injury caused by 6 an unsafe act or work practice and when a supervisor observes employees displaying unsafe acts, practices or behaviors. Safety Training Documentation EMPLOYEE: DATE: SUPERVISOR: TRAINER: RULES AND REGULATIONS REVIEWED General Maintenance First Aid Lifting Procedures,?- Of?ce Sanitation Health All categories have been reviewed with employee. Supervisor Name, Printed: Signature: have been advised of all Safety and Health regulations and will adhere to them to the best of my ability. Employee Name, Printed: Signature: SECTION 4 Safety Inspections It is up to all employees to maintain safe working conditions. Safety Directors/ Managers will continually monitor work areas but scheduled inspections will be documented and done on a regular basis. These written inspection reports will include the date, time, facility, and inspector and will provide satisfactory, unsatisfactory, and ?not appli/ able? ?ndings. The inspection reports will be kept on ?le. .. Etain?s self-inspections will cover safety and health issues in llowing areas: 0 Processing, Receiving, Shipping and Storage - jo p?anzning, layout, heights, ?oor loads, projection of materials, material handlizn?gi?arrd?storage 'ods, training for material handling equipment 0 Building and Grounds Conditions - 1ts, stairs, walkways and walking surfaces, ramps, platform s, ceilings 7: drivew??ysggaisles 0 Housekeeping Program - waste disposal, tools, object, materials, leakage and spillage, PM: cleamng methods, schedules, work areas, remote areas, storage areas, electrical boxes ,?jfuws, switch-b imctions, special national electric code 0 Electricity - equipment, switches, br ?xtures, circuits, insulation, extensions,- compliance 0 Lighting type, A c9 trols, condithns, dif?isio?n, location, glare and shadow control - 0 Heating and Ventl ,ibn - effectivenes??temperature, humidity, controls, natural and - p?6i?tjof ?ywheels, gears, shafts, pulleys, key ways, belts, cgg??" ;ings, sprockets; liains, lighting for tools and equipment, brakes, feeding, adjusii??'g, maintenance, lockout/tagout, grounding, work space, tion, purchasi; standards I 0 Personnel imng; methods of checking machlnes before use; type of clothing; personal protective ent; ,ng of guards; tool storage; work practices; methods for cleaning, oiling, or adjusting. "ab/hinery 33/? 0 Hand and Power" Tools - purchasing standards, inspection, storage, repair, types, maintenance, grounding, use and handling 0 Chemicals - storage, handling, transportation, spills, disposals, amounts used, labeling, toxicity or other harmful effects, warning signs, supervision, training, protective clothing and equipment, hazard communication requirements 0 Fire Prevention extinguishers (accessibility and charge), alarms, sprinklers, smoking rules, exits (marked and unobstructed), personnel assigned, separation of ?ammable 9 materials and ?re hazards, explosion-proof ?xtures in hazardous locations, waste disposal and training of personnel Maintenance - provide regular and preventive maintenance on all equipment used at the worksite, recording all work performed on the machinery and by training personnel on the proper care and servicing of the equipment PPE - type, size, maintenance, repair, age, storage, assignment ofjresponsibility, purchasing methods, standards observed, training in care and use?79rule_s of use, method of assignment Transportation - motor vehicle safety, seat belts, ?nance, safe driver programs I 4. . . 320-. "2 First Aid Program/Supplies - medical care fault/ties IoCations, postedhlemergency phone numbers, accessible ?rst aid kits 1.4. Evacuation Plan - establish and practice procedujr .for/g?f/iemergency evag, '"tion, ?re, chemical/biological incidents, bomb threat; procedures and routes, 7/ critical plant operations, employee accounting follovvin?g'ran evacuation, rescue and medical duties and ways to report efri?'rgelncies ehts are maintained. 10 SECTION 5 Preventative Maintenance Preventive maintenance programs will avoid most equipment failures. Etain will provide regular equipment maintenance to prevent breakdowns that can create hazards. Preventive maintenance is a schedule of planned inspections to preverki?tnbreakdowns and failures. During preventive maintenance, workers can document wearing of parts or equipment so as to repair or replace parts before they cause hf ""llure or injuries. Inspections will be performed at regularly scheduled Preventive and regular maintenance will be documentedjfz'agn?dl'tracked toco? ?pletion using the below template. Equipment to Recurrence of Maintenance Name of Maintenance be Maintained Maintenance Date Person Results and Performing Follow-Up annually etc.) Maintenance ll SECTION 6 First-Aid Procedures Emergency Phone Numbers Safety Coordinator: Poison Control: First Aid Response: Fire Department: Ambulance: Police: Medical Clinic: Clinic Name/Address: Minor First-Aid First-aid kits are kept in the front of?ce and in these/grace vehicles. If an s/ustains an injury or is involved in an accident requiring mind "st: ?rst-aid tfeatment, he or - Inform supervisor. 0 Administer ?rst-aid treatment injury or woun' If a ?rst-aid kit is used, indicate I, if:er the accident Estigation report. 0 Provide details for the completion Em investigation report. not substl medical attention. Non?mf?rgency Medical Treatment Note: Access to a ?rst-ai For nonemergency work requiring'fpi?fessional medical assistance, managementrmustfzi?rst sustains an injury requiring aid: I medical facility. Supervisor will assist with transportation, if '7 . Providedaails for agicompletion of the accident investigation report. i?il'Emergency Medical Treatment If an employee sustains a severe injury requiring emergency treatment: 0 Call for help and seek assistance from a co-worker. 0 Use the emergency telephone numbers and instructions posted on the ?rst?aid kit to request assistance and transportation to the local hospital emergency room. 0 Provide details for the completion of the accident investigation report. 12 First-Aid Training Each employee will receive training and instructions from his or her supervisor regarding our ?rst?aid procedures. 13 First-Aid Instructions In all cases requiring emergency medical treatment, immediately call or have a co-worker call to request emergency medical assistance. Use required blood borne pathogen procedures while administering ?rst aid. Wounds: Minor: Cuts, lacerations, abrasions or punctures 0 Wash the wound using soap and water; rinse it 0 Cover the wound using a clean dressing, a; Major: Large, deep and bleeding Waynqu .. Stop the bleeding by pressing directly Keep on the wound until nfgdi Broken Bones: 1. 0 Do not move the victim unless If the victim must be moved, ?splint? rolled newspaper as a splint. - (A ?21. Td areajwl .. 1 0 Do not eyes. 0 Use the corner of a soft clean cloth to draw particles out, or hold the eyelids open and ?ush the eyes continuously with water. Large or stuck particles 0 If a particle is stuck in the eye, do not attempt to remove it. 0 Cover both eyes with a bandage. 14 Chemical 0 Immediately irrigate the eyes and under the eyelids with water for 30 minutes. Neck or Spine Injury: 0 If the victim appears to have injured his or her neck or spine, or is unable to move his or her arm or leg, do not attempt to move the victim unless it is absolutely necessary. Heat Exhaustion: 0 Loosen the victim?s tight clothing. 0 Give the victim Sips of cool water. ., '7 0 Make the victim lie down in a cooler pl/ag?vrith the feet raised. 15 SECTION 7 Accident Investigation Accident Investigation Procedures An accident investigation will be performed by the supervisor at the logation where the accident occurred. The safety coordinator will be responsible for seei?ngthat the accident investigation reports are being ?lled out completely and that theZ-rj?f?ommendations are being addressed. Managers will investigate all accidents, injuries diseases using the following investigation procedures: I, 0 Implement temporary control measures to further in] ?ks to employees. 0 Review the equipment, operations and 131.9 accident situation. 7 9:,le . 0 Identify and interview each witness and any oth son who clues to the accident?s causes. 0 Investigate causal conditions based on existing facts. . 0 Complete the accident investigation?liiz?poggff 0 Provide 1 I. 0 Indicate or or training. Accident investigation reports the safety coordinator within 24 hours of requires hospitalization of 3 or more employees OSHA CENTRAL NUMBER: 1-800-321-6742 16 Accident Investigation Report Report N0.: Company: Address: 1.Name ofinjured: 2. Sex: MEI Age: Date of accident: 3.Time of accident: pm. Day of 4. Employee?s job title: 5. Length of experience on job: years: I. 6. Address of location where the accident 7. Nature of injury, injury type, and part of the 8. Describe the accident and how it occurred: I 9. Cause of the accident: 10. Was personal protective equipment {r?quired?2 Dyes Was it provided? I:Iyes I:Ino Was it being used? Dyes Elno If explain: was it being used byx?supervisorioi?designated itiainer? Dyes If ,1 . 11. Witness(es): "it: 12- Was K'Dyes mm 13. corrective recurrence: 14. corrective a to prevent recurrence: 15. Date of 21) 16. Status taken by safety coordinator: 2,3 Prepared by: Supervisor (Signature): Date: Safety Coordinator (Signature): Date: 17 Instructions for Completing the Accident Investigation Report An accident investigation is not designed to ?nd fault or place blame, but it is an analysis of the accident to (Items 1-6) (Item 7) (Item 8) (Item 9) (Item 13) (Item 14): (Item 15): (Item 16) determine causes that can be controlled or eliminated. Identi?cation: This section is self-explanatory. Nature of Injury: Describe the injury, cut, burn, fracture. Injury Type: First aid?injury resulted in on premises; Medical?injury treated off premises by?pihy?sicioan; missed more than one day of work; No 'i?j ury, of incident. Part of the Body: Part of the body?i/rectly e. foo head. . In?, mcluding exactly what cribe the equipment or Describe the accident: Describe the accng happened, and where it happened? 1 materials involved. Cause of the accident: De?s?c 4 1'1 accident, a. (spills, the ?por, poor housekeeping or other physic? "60ndit1?o? work practidessuoh as failure to warn, failure to use "onal equipment)- This section is self?explanatory. 9% -}?List address(es), and phone number(s). Safety train/i, Was any safety training provided to the injured 1" ?jg-relating to th? Work activity being performed? [I?A?Lerim corr?ftive action: Measures taken by supervisor to prevent nce?pyf?incident, barricading accident area, posting warning signs, shuttiri'g?fgo?Wn Operations. This sggtion is self-explanatory. This section is self-explanatory. Follow-up: Once the investigation is complete, the safety coordinator will review and follow up the investigation to ensure that corrective actions recommended by the safety committee and approved by the employer have been taken and that control measures have been implemented. 18 SECTION 8 Recordkeeping Procedures The safety coordinator will control and maintain all employee accident and injury records. Records are maintained for a minimum of seven (7) years and include: Accident Investigation Reports, see Section 7, page 16 Workers? Compensation First Report of Injury or Illness Log and Summary of Occupational Injuries and Illnesses Recordkeeping Regulation, 29 CRF 1904.2: 0 OSHA Form 300 (Rev. 1-2004): Related island Illnesses 0 OSHA Form 300A (Rev. 1-2004)? Illnesses 0 OSHA Form 301: Injury and Illness Inc'l'd quired by 05 Work Relatedi?ilf'g?ugjes and t?iReport 19 SECTION 9 Safety Rules, Policies and Procedures The safety rules contained on these pages have been prepared to protect employees in their daily work. Employees are to follow these rules, review them often and use good common sense in carrying out assigned duties. gab-speci?c safety These safety rules shall include both general workplace safety rules?, rules. General Rules: All Employees Job-Speci?c Rules: - By Occupational Class, painter, clerk, . (Note to Employer: General and job-speci?c safety rules are-to be determined based on the 12/ needs and exposures of your particular and its The following pages represent some common examples.) .77/ ALL EMPLOYEES Housekeeping 1. Use caution signs/cones tel/barricade slipp'ej?fy'areas. 2. Do not/[storeypr al'ifheir staffageg-places after using them. exits or accesses to safety and emergency block or ,1 . ?qgipment such as g?hexting?i?shers or ?re alarms. 5. Do materialg?such as boxes or trash in walkways and passageways. 6. Do not cleaning purposes. 7. Mop up water fountains, drink machines and ice machines. Lifting Procedures General 1. Test the weight of the load before lifting by pushing the load along its resting surface. 2. If the load is too heavy or bulky, use lifting and carrying aids such as hand trucks, dollies, pallet jacks and carts, or get assistance from a co-worker. 20 3. Never li? anything if your hands are greasy or wet. 4. Wear protective gloves when lifting objects with sharp comers or jagged edges. When lifting Face the load. Position your feet 6"-12" apart with one foot in front of the other. Bend at the knees, not at the back. Keep your back straight. Get a ?rm grip on the object using your hands and when they are present. Hold the object as close to your body as 7' Perform li?ing movements SmOOthly jerk the load i 8. If you must change direction while lifting or pivot yotir feet and turn "up, Cgicept in reverse. a; . 10. Do not lift an object from the ??abgve in one motion. Set the load down on a table or bench and tlfen adju - 'pb??fore lifting it higher. 7 Ladders and Stepladg?r/gw 1. Read and label af?xed to the ladder if you are unsure how to us?t?g? 4. When from a ladder, face the ladder and do not lean backward or sidewaysf??dm the ladder. 5. Allow only on the ladder at a time. 6. Do not stand the top two rungs of any ladder. 7. Do not stand on a ladder that wobbles or leans to the left or right of center or is crooked. 8. Do not try to "walk" a ladder by rocking it. Climb down the ladder and then move it. Climbing a Ladder 2 Driving/Vehicle Safety . ace the ladder when climbing up or down it. Do not carry items in your hands while climbing up or down a ladder. Maintain a three-point contact by keeping both hands and one foot or both feet and one hand on the ladder at all times when climbing up or down the ladder. Fueling Vehicles 1. Turn the vehicle off before fueling. 2. Do not smoke while fueling a vehicle. a 3. Wash hands with soap and water if you spill?asoline on them. Driving Rules 1. 2. 3. 5. Under no OFFICE Of?ce Safegy?s: Shut all doors and fasten your seat belt before m9" agg'the Vehicle. Obey traf?c patterns and signs atah times. Maintain a three-point contact hands and onegf tor both feet and one hand when climbing into and out of vehi?les'l?" Do not leave keys in an unattended nce of any illegal substance be 1/ i1 driving the in?ue tolerated be ca for dismissal 75'; I .. 1. Do? place materialsuch agj-?b?oxes or trash in walkways and passageways. 'garettes or other smoking materials into trash baskets. Do Do not of your pathway; pick them up or push them out of the way. Keep items such as paper clips, pencils, tacks or staples. Straighten or femove rugs and mats that do not lie ?at on the ?oor. Mop up water around water fountains and drink machines. Do not block your View by carrying large or bulky items; use a dolly or hand truck or get assistance from a fellow employee. Store sharp objects, such as pens, pencils, letter openers or scissors, in drawers or with the points down in a container. 22 9. Carry pencils, scissors and other sharp objects with the tips pointing down. 10. Use the ladder or step stool to retrieve or store items that are located above your head. 11. Do not run on stairs or take more than one step at a time. 12. Keep doors in hallways fully open or fully closed. 13. Use handrails when ascending or descending stairs or ramps. 1? 14. Obey all posted safety and danger signs. 1. Open only one ?le cabinet drawer at a time. Close drawer you were working in before opening another ?ling draweriin-thelsame Furniture Use Use the handle when closing doors, drawer/sz?fiid ?les. Put heavy ?les in the bottom drawers of :7 PENN Do not tilt your chair on its back two legs whil? 1 5. Do not stand on furniture to reach high places. Equipment Use 1. Do not use fans that have excessiv?gibrati ed cords-or missing guards. 2. Do not place ?oor; ans in walkwaysfaisles or doorways. 3. Do not plug electrical cords single oiitlet. 4. Do not use or cords thatlgihave the ground prong removed or broken 5. Do cords. 6. a cord cove co/rds when running them across aisles, between desks power the/local exhaust fans to when operating the blueprint 8. Do not use to clean drafting equipment; use soap and water. 23 SUPPLEMENTAL EXHIBITS T0 APPLICATION VALIDATION QUALITY PLAN Document: I Issued By: Your Name Title: Validation Quality Plan Page 1 of 4 Proprietary and Con?dential 1.0 Purpose: 1.1 To de?ne the procedure for performing prospective product and process validation. 2.0 Scope: 2.1 This procedure applies to all prospective validation activities relating to the design of processes and the production of product by Etain, LLC. 3.0 References: 3.1 Latest revisions apply to all reference documents listed. 3.1.1 Control of Records. 3.1.2 Training 4.0 De?nitions: 4.1 Validation Plan: A document speci?city? process or product that outlines the sequence of events followed for that speci?c validation. The Validation Plan explains all rationales usediniquali?cation activities and lists design and process inputs, outputs and the leityilnspections that will verify the Validation. 4.2 Validation Life Cycle: Docmnented collected prior to implementing a process or pmducing a product, including revalidation that generally includes the followingitenis- - 4.3 Equipment Certi?catians: If components, sensors or the equipment itself can only be checked or have Mameters set'by-the manufacturer, then the manufacturer?s certi?cation-mustbe- If anitem or service has a speci?cation or is made to an, Etain Mg, certi?cation'ta that spec or drawing is required. 4.4 Calibration: Proofthat equipment, sensors or devices necessary for the proper operation of the equipment are adjusted or calibrated. 4.5 Installation Veri?cation that equipment and all ancillary systems have haen installed following the manufacturers recommendations and Etain?s own gllidelines. 4.6 Operational Qtwli?cation (0Q): Documented evidence is presented that all parts of the production facility and equipment used are operating within established acceptance criteria. Process controls that are part of the equipment will be quali?ed during the 0Q by simulating normal production conditions. 4.6.1 Equipment is run in ?worst case? scenarios and the outcome is compared to acceptance criteria. 4.6.2 Equipment OQ veri?es the equipment runs as speci?ed even if a range of settings is required. Etain, LLC 1 Supplemental Exhibits to Application Validation Quality Plan Document: 1 Issued By: Your Name Title: Validation Quality Plan Page 2 of 4 I Proprietary and Con?dential 4.7 4.8 4.6.3 Process 0Q challenges the process and equipment in process related worst case conditions Performance Quali?cation (PQ): Provide documented evidence that all parts of the validated plant and processes produce product of a speci?ed quality under normal production conditions. Multiple production runs or extended periods of production time are used to demonstrate statistically that the process is consistently producing product meeting the Speci?ed requirements. Product quality will be shown to be in speci?cation as long individual raw materials or components are within speci?cation. The PQ by processing a minimum of three(3) production lots, with eqe?pment shutdown between lots, that meets Etain?s normal quality acceptance, standards. Worst Case: Minimum and maximum cenditions for all processinput variables including size, shape, raw material. condition and parameters, ect. used in the manufacturing operation. 4.8.1 A design of Experiments study is useful to help determine which parameters to-range. 4.8.2 4.8.3 The worst case always encompasses the normal Operating window. When possible, the worst-case conditions should be combined to present the maximum chalienge. 4.8.4 Where the input parameter is a set point rather than a range, testing is required (may at the set point. 4.8.5 4.8.6 Consideration will be paid tothe risks from variation in raw materials. A rational for choosing the worst-case conditions will be included in the protocol. 5.0 Responsibilities: 5.1 Quality Assurance: The Validation Team will include a member from Quality Assurance to assist in preparing protocols, compiling and analyzing data and preparing the Final Report. 5.2 Production: .A production team member will be part of the Validation Team in order to properly Operate the equipment and make the necessary adjustments. The production representative will assist in writing the Work Instructions for the ?nal process. 5.3 Maintenance: A member from Maintenance will be available to help with equipment installation and operation. 5.4 Quality Control: A Quality Control member will be on the Validation Team to assist with sampling plans, testing requirements, acceptance criteria and reports. 5.5 The Review Team will consist of members from Quality Assurance. Etain, LLC 2 Supplemental Exhibits to Application Validation Quality Plan Document: Issued By: Your Name Title: Validation Qualjy Plan Page 3 of 4 I Proprietary and Con?dential 6.0 Procedure: 6.1 Validation Life Cycle: 6.1.1 The Validation Team will be in place to support their respective elements. 6.1.2 The Review Team will decide if test conditions need to be changed or tests repeated and if the results are within speci?cation for acceptance. 6.2 Validation Plan: 6.2.1 The Validation Plan will include the following: 0 Table of Contents 0 Purpose 0 Scope 0 De?nitions 0 Reference Documents 0 Responsibilities 0 Product or Process Description 0 Revision History 0 Approval SignOff 6.2.2 The Validation Plan will be approved by the Review Team. 6.2.3 It may not be possible to know all information needed for the Validation Plan?before it starts. In this case, the Validation will be run with as much information as possible. When unknowns are identi?ed, the Validaion Plan will be revised and the ?nal plan will re?ect the extent to. which the process is understood. 6.3 Installation Quali?cation (IQ): 6.3.1 Develop and approve the IQ protocol. 6.4 Operational Quali?cation (0Q): 6.4.1 Develop and approve the 0Q protocol. 6.4.2 Develop Work Instructions and Record Sheets if applicable. 6.4.3 Develop schedules for maintenance and calibration. 6.4.4 Train staff members conducting the Validation Plan on required documentation. 6.4.5 Perform the studies utilizing the variables for upper and lower limits or ?worst case? scenarios. Etain, LLC 3 Supplemental Exhibits t0 ApplicatiOn Validation Quality Plan Document: I Issued By: Your Name Title: Validation Quality Plan Page 4 of 4 I Proprietary and Con?dential 6.4.6 IQ deviations must be documented and justi?ed. 6.4.7 Product used for validation will be identi?ed and contained. 6.5 Performance Quali?cation (PQ): 6.5.1 Develop and Approve the PQ protocol. 6.5.2 Approve the Work Instructions and Record Sheets if used. 6.5.3 Train the operators on the procedures and documentation. 6.5.4 0Q deviations must be documented and justi?ed. 6.5.5 Product used for validation identi?ed and contained. 6.6 Revalidation: 6.6.1 Revalidation is required when: 6.6.1.1 The equipment or process is transferred from one location to another. 6.6.1.2 There is a change to equipment, the process or the plant ect. that could affect quality. 7.0 Record Retention: 7.1 Records generated to document performance of this work instruction shall be maintained accordingto 8.0 Revision History: Etain, LLC 4 Supplemental Exhibits to Application Validation Quality Plan