Post Active License Changes Application Instructions

Overall Guidance

Active licenses are valid for a period of one year from the date of issuance.

The following changes to an active license require prior approval by the Office of Cannabis Policy and may require a new Local Authorization Form: change of location, change of ownership, change of principals, changes to financial instruments, new or no longer valid financial interests, or changes to the Official Plan of Record.

Useful Application Definitions

Financial Instruments: A financial instrument is a real or virtual document representing a legal agreement involving any kind of monetary value. Financial instruments include but are not limited to certificate of stocks including the class of stock and the order of preference for dividends, bonds, warrants, debentures, any other security, real estate agreements, mortgage agreements, lease agreements, loan agreements, franchise agreements, and any other financial instrument, including contracts or agreements for which payment is based on sales or revenues.

Location: Location means the licensed premise which is the premises specified in a license to operate a cannabis establishment within which the licensee is authorized under Title 28-B and the Adult Use Cannabis Program Rules to cultivate, manufacture, distribute, test, or sell adult use cannabis or adult use cannabis products.

Principal:

     A. A natural person operating as a sole proprietor;

     B. The officers of a corporation organized pursuant to Title 13-C who have authority to manage, direct or oversee the applicant's or licensee's operations, if the applicant or licensee is a corporation;

     C. The directors of a corporation organized pursuant to Title 13-C, if the applicant or licensee is a corporation;

     D. The shareholders of a corporation organized pursuant to Title 13-C, if no officers or directors are appointed and the applicant or licensee is a corporation;

     E. The general or limited partners of a partnership organized under Title 31, chapter 19, if the applicant or licensee is a partnership;

     F. The nonmember managers or managing members of a limited liability company organized under Title 31, chapter 21, if the applicant or licensee is organized as a limited liability company; 

     G. Any other natural person to whom the applicant or licensee has given authority to manage, direct or oversee the applicant's or licensee's operations.

If an officer, director, shareholder, partner, manager or member under paragraph B, C, D, E or F is a business entity, "principal" means any natural person to whom the business entity has given authority to manage, direct or oversee the applicant's or licensee's operations.

"Principal" does not include those persons whose managerial responsibilities are limited to staff supervision and who are not authorized to act on behalf of the applicant or licensee. For purposes of this subsection, "operations" does not include human resources, information technology, marketing or accounting and finance.

Owner: A natural person, a business entity, or an employee stock ownership program that holds any equity ownership interest in the organization applying for this license.

Plan of Record: The Office of Cannabis Policy keeps on file a copy of all facility plans. The most recent plan, whether submitted with the issuance of the cannabis establishment license, or by the subsequent approval of an application to change, shall be the Plan of Record with which the licensee must comply.

Steps – Application to Change a Plan of Record

The Office shall keep on file a copy of the facility plan. The most recently approved plan shall be the official plan of record with which the licensee must comply.

Any material changes to the plan of record of any cannabis establishment must be approved by the Office.

Step 1

Read the application instructions in their entirety and prepare all required documentation for the application process. If you have any questions regarding these instructions or the required documentation for the application process, please contact licensing.ocp@maine.gov to discuss your proposed changes.

Step 2

Licensee begins the application through the Office of Cannabis Policy’s online licensing portal. (Licensees are encouraged to submit applications electronically in order to expedite the application process.) To access the online licensing portal, the Licensee will need the license number and electronic access code.

Step 3

The Licensee will be asked to provide a brief description and timeline of the proposed changes and to upload the new proposed plan of record. 

Step 4

After the Licensee submits the application, the applicant will receive an email notification of the successful submission.

Step 5

Please check the online licensing portal to ensure there is no additional documentation required.

Step 6

Upon receipt of a complete Application to Change a Plan of Record, the Office of Cannabis Policy will conduct a timely review of the proposed changes and 1) approve the Application for Change a Plan of Record and replace the plan of record on file; or 2) deny the Application to Change a Plan of Record only if the changes requested are in violation of 28-B MRS, this Rule, conditions required for local approval or other applicable laws or rules.

 

Steps – Application for Transfer of Ownership Interests (Including Principals)

A licensee may transfer ownership interests or change principals, only after the Application for Transfer of Ownership Interests has been approved by the Office. If the transfer of ownership interests does not result in a new person obtaining, or an existing person increasing an ownership interest in the licensee equal or greater than 5%, the licensee is not required to obtain prior approval from the Office and may report the transfer of ownership interests at the time of incense renewal.

The municipality or the Maine Land Use Planning Commission, as applicable, must submit a new local authorization from reflecting the new ownership interests.

Step 1

Read the application instructions in their entirety and prepare all required documentation for the application process.

Step 2

Licensee begins the application through the Office of Cannabis Policy’s online licensing portal. (Licensees are encouraged to submit applications electronically in order to expedite the application process.) To access the online licensing portal, the Licensee will need the license number and electronic access code.

Step 3

During the application process on the online licensing portal, the Licensee must provide the information requested, including a proposed updated operating agreement and in the case of principal additions, Adult Use Cannabis Establishment Principal Attestation and Maine Revenue Services - Tax Disclosure for each proposed principal who must already be an active Individual Identification Card holder.

Step 4

After the Licensee submits the application, the Licensee will receive an email notification with the Notice of Application Fee with instructions for next steps.

Step 5

Upon receipt of Transfer of Ownership/Control fee, the Office of Cannabis Policy will review the application to determine if the Office is in possession of all required forms, supplemental information, criminal history records checks and any other licensing requirements.

Step 6

The Licensee will receive an email notification when the application is deemed complete by the Office. A Notary Form will be attached to the email notification with instructions for next steps.

Step 7

Upon receipt of the Notary Form, the Office of Cannabis Policy will begin processing the application and application materials.

Step 8

The Licensee will receive an email notification containing a Maine Adult Use Local Authorization Form for Applications to Transfer Ownership Interests. The Form contains specific information deemed by the Office of Cannabis Policy as critical to the review for continued local authorization by the municipality or Maine Land Use Planning Commission.

Step 9

It is the responsibility of the Licensee to have the Local Authorization Form completed by the municipality in which the Licensee operates the cannabis establishment or in the case a cannabis establishment located in a town, plantation, or township in unorganized and deorganized areas, the Maine Land Use Planning Commission.

Step 10

It is the responsibility of the municipality or in the case of a cannabis establishment located in a town, plantation, or township in unorganized and deorganized areas, the Maine Land Use Planning Commission, to certify to the Office of Cannabis Policy that the applicant has obtained local authorization through use of the Office provided Local Authorization Form.

Step 11

Upon receipt of the completed Maine Adult Use Local Authorization Form for Applications to Transfer Ownership Interests from the municipality or the Maine Land Use Planning Commission, the Office of Cannabis Policy will notify the Licensee by email of the Office’s decision to approve or deny the Application to Change Ownership/Control.