Cannabis Establishment License Application Instructions

• Overall Guidance
• Useful Application Definitions
• Preliminary Steps
• Tips for Faster Processing
• Application Steps for Adult Use Cannabis Establishments
• Required Additional Application Materials

Overall Guidance

The applicant must apply for each license separately.

The applicant can be either a natural person or business entity applying for a license to operate a cannabis establishment. If the applicant intends to file for more than one license, the applicant may use the same business entity and Federal Employer Identification Number to apply for each separate license but must have a separate Maine State Sales Tax ID Number for each license.

The applicant is encouraged to submit the application electronically in order to expedite the application process. Note: Do not hit the “back” button during the application process. After 20 minutes of inactivity on each web page, the applicant will be timed out and content will be lost. Uploading the required application materials takes time. To avoid losing information due to page inactivity during the uploading of a document, it is recommended that the applicant enter all information in the data fields and, when prompted for documents, select “Submit information by mail or email OR upload later using the ‘Upload Outstanding Application Documents’ option on the Main Menu.” After the online application is submitted, the applicant will receive a confirmation email containing the pending license number and access code. The applicant can then upload all required application materials through the Office of Cannabis Policy’s online licensing portal without concern of losing information in the data collection fields due to an inactivity time out. Documents will be reviewed when the application is complete, regardless of how documents are forwarded to the Office of Cannabis Policy. “Complete”, means that the application is complete, all supplemental materials have been received and the application fee has been paid.

The Office of Cannabis Policy cannot provide legal advice; if the applicant has questions regarding the interpretation of statute and/or rule, the applicant should seek legal advice.

Useful Application Definitions

Applicant: An applicant is either a natural person or an organized business entity who is incorporated or otherwise formed or organized under the laws of the State of Maine.

Authorizing Business Representative: A natural person who has the ability to legally bind the business organization.

Direct or Indirect Financial Interest Holders: Natural persons or business entities that have a direct or indirect financial interest in the licensee’s cannabis establishment that may or may not be substantially involved in the management of the cannabis establishment. Direct or indirect financial interest holders are typically parties to financial instruments or hold an equity or other ownership interest in the business entity applying for the license. Direct or indirect financial interests may include without limitation equity owners, officers, directors, general partners, and managers, investors or lenders, royalty partners, employees, independent contractors or other professionals.

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 and any other financial instrument.

Primary Contact Person: The Office of Cannabis Policy’s main point of contact for all correspondence, including correspondence relating to information missing in this application or supplemental information required later in the application process.

Compliance Contact Person: The Office Cannabis Policy’s main point of contact concerning issues of compliance and scheduling inspections.

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 employee stock ownership program that holds any equity ownership interest in the organization applying for this license.

Preliminary Steps

If the applicant is a business entity that is required to register with the Maine Department of the Secretary of State, the applicant must register prior to starting the application process.  

The applicant will be required to provide a Federal Employer Identification Number (FEIN).

The applicant must have each principal complete an Individual Identification Card Application and submit to a criminal history records check, as described here. The Individual Identification Card does not need to be issued prior to starting the facility application, as long as it has been applied for.

Tips for Faster Processing

The applicant should have principals complete the required individual documents in advance of starting the application process and submit to criminal history records checks.

The applicant should gather any and all ownership agreements, financial instruments, and business organization structure documents in advance of starting the application process.

The applicant should review the statute and rules to determine requirements of the operating plan and cultivation plan (if applicable).

The applicant should send the Maine Revenue Services form directly to Maine Revenue Services at the email address provided on the form.

The Office will not begin reviewing a facility application until all documents and the application fee are received.

Application Steps for Adult Use Cannabis Establishments

Step 1

The applicant reads the application instructions in their entirety.

Step 2

The applicant begins the application process through the Office of Cannabis Policy’s online licensing portal. (Applicants are encouraged to submit applications electronically in order to expedite the application process. Applicants are also encouraged to gather and prepare the required application materials for upload during this stage of the electronic application process. However, applicants will have the ability to upload required outstanding application materials later in the application process using the “Upload Outstanding Application Materials” webpage.)

Step 3

After the applicant submits the application, the applicant will receive an email notification with the pending license number, electronic access code, and Notice of Application Fee with instructions for next steps.

Step 4

If any required application materials are outstanding, the applicant will upload materials using the “Upload Outstanding Application Materials” webpage.

Step 5

Upon receipt of application 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 applicant 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. Within 90 days from the date the Office receives the completed Notary Form, the Office shall either deny the license or issue a non-renewable Conditional License valid for up to one year.

Step 8

If, in the course of processing the application, the Office of Cannabis Policy discovers that any required forms, supplemental information or criminal history record checks are incomplete, the Office may ask the applicant to supply the missing information and complete a new Notary Form. The Office has 90 days from the date the Office receives a new completed Notary Form to review and act upon the application.

Step 9

Upon completion of processing the application materials, the Office of Cannabis Policy will notify the applicant by email of the Office’s decision to approve or deny a Conditional License.

Step 10

If denied, the Office will notify the applicant in writing of the denial, the basis for the denial, and the applicant's right to appeal the denial to the Superior Court.

Step 11

If approved, the applicant will receive an email notification containing the Conditional License and a Local Authorization Form. A Conditional License is a license issued by the Office that only authorizes the licensee to seek local authorization. The Conditional License does not authorize possession, transfer, cultivation, testing, manufacture or sale of cannabis or cannabis products.

The Conditional License contains specific information deemed by the Office of Cannabis Policy as critical to the review for local authorization by a municipality, county, or the Maine Land Use Planning Commission.

Step 12

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

Step 13

It is the responsibility of the municipality or in the case of a cannabis establishment to be located in a town, plantation, or township in unorganized and deorganized areas, the county or 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 14

Upon receipt of the completed Local Authorization Form from the municipality, the county, or the Maine Land Use Planning Commission, the Office of Cannabis Policy will notify the applicant of additional application materials required for the issuance of an active license, including information necessary for the Office to determine that the applicant continues to meet all applicable requirements for conditional licensure.

Step 15

Applicant must provide requested active license application materials through the “Supplemental Information for Issuance of an Active License” option through the Office of Cannabis Policy’s online licensing portal. (If any material changes occur from the conditional license application, including but not limited to, any changes related to ownership or control, and any new arrests or criminal charges of the applicant or any of its principals, the Office must reopen the application and a subsequent Notary Form and Local Authorization Form will be required.) If there are material changes to your application after the Office issues the Conditional License and/or Local Authorization Form, the Office retains the authority to rescind the Conditional License. Pending a determination that applicable requirements for conditional licensure once again exist, the Office will reissue the Conditional License and Local Authorization Form. The Office must receive a new Local Authorization Form pursuant to the reissued Conditional License.

Step 16

Upon review of the supplemental application materials, the Office will schedule an onsite compliance inspection of the facility.

Step 17

After completion of the compliance inspection and review of the supplemental application materials, a decision will be made to approve or deny the application.

If approved, the applicant will receive an email with a Notice of Final License Fee with instructions for next steps. The license is not active until the licensing fee has been received and processed by the Office of Cannabis Policy. The applicant cannot begin business activities until receiving the Active License.

If denied, the Office will notify the applicant in writing of the denial, the basis for the denial, and the applicant’s right to appeal the denial to the Superior Court.

Step 18

Upon receipt of the licensing fee, the Office will issue and email an Active License that is valid for one year.

Required Additional Application Materials

For a Conditional License:

• Maine Adult Use Cannabis Establishment Release of Information Form
• Principal Attestation Form for each principal listed
• Criminal History Records Checks for each principal listed. These must be done by the process described here
• Maine Revenue Services – Authorization to Review and Disclose Status of Tax and Filing Obligations to the Maine Office of Cannabis Policy – Principal(s)
• Business ownership documents, if applicable
  • If the business entity is a corporation, a copy of its bylaws and/or operating agreement and stock ledger; or
  • If the business entity is a limited liability company, a copy of its limited liability company agreement and/or operating agreement; or
  • If the business is any type of partnership, a copy of the partnership agreement.
• ESOP agreement, if applicable
• Financial Instrument(s), if applicable

Once the Conditional License is issued and the Local Authorization Form is received by the Office, the applicant will be required to provide—without limitation—the following:

• Evidence of compliance with all applicable electrical inspections and permitting requirements
• Proof of compliance with respect to extraction (see Rule 3.8.4 for products manufacturing only)
• Facility Plan
• Premises lease, if applicant does not own the premises
• Excise Tax Identification Number (cultivation only)
• Sales Tax Identification Number
• Proof of registration with tracking system
• Beverage Plant License, if applicable
• Food Processing License, if applicable
• Retail Food Establishment License, if applicable
• Pesticide Applicator License, if applicable

Principal(s) Attestation(s):

Each person listed in Section 4(a) of the Maine Adult Use Cannabis Establishment License Application must complete the Principal Attestation and must attest under penalty of perjury to the accuracy of the information provided in this Principal Attestation form.

The applicant may upload the completed form during the initial online application. The applicant may also upload the completed Principal Attestation form through the “Upload Outstanding Application Materials” option online using the pending license number and access code provide in the confirmation email. Each principal may also provide the completed form via email Licensing.OCP@maine.gov or by mail to the Office of Cannabis Policy, 162 State House Station, Augusta, Maine 04333-0162.

Maine Revenue Services - Authorization to Review and Disclose Status of Tax and Filing Obligations to the Maine Office of Cannabis Policy – Principal(s):

Each person listed in Section 4(a) of the Adult Use facility application must complete Parts I, II, and III of the Maine Revenue Service form. Each person should then email the form with the subject noted as “Adult Use Cannabis Authorization” to the following address:

• mrs.compliance.ocp@maine.gov

The form may also be mailed or faxed to:

Maine Revenue Services
PO Box 1060
Augusta, ME 04332-1060
Fax: (207) 287-6627

Maine Revenue Service will then forward the completed form to the Office of Cannabis Policy.   

Facility Plan

The Facility Plan is the Official Plan of Record. This document and use of this template are required. The Office of Cannabis Policy understands that applicants may have prepared other operating documents. Although the applicant may submit additional operating documents for reference, this Facility Plan is designed to be a standalone document. (Referring to another plan will not be sufficient.)