General Licensing Application
Frequently Asked Questions
1
Updated November 3, 2023
Contents
General Questions ....................................................................................................................................... 1
A. Eligibility Basics .................................................................................................................................. 11
B. How to Complete the Application ..................................................................................................... 14
C. Social and Economic Equity ............................................................................................................... 23
D. Premises ............................................................................................................................................. 38
E. After Submitting the Application ...................................................................................................... 45
F. Final Licensure ................................................................................................................................... 46
General Questions
1. What Adult-Use Cannabis license applications will open in Fall 2023?
The applications for adult-use cultivator, processor, distributor, microbusiness,
and retail dispensary license types will be available on New York Business
Express (NYBE) starting Wednesday, October 4, 2023.
More information is available about each license type at the links below:
• Cultivator
• Processor
• Retail Dispensary
• Distributor
• Microbusiness
In addition, businesses with adult-use conditional cultivator (AUCC) and
processor (AUCP) licenses will also be able to apply to transition to non-
conditional adult-use cultivator and processor licenses through NYBE on this
date. More information is available online at the AUCC and AUCP transition
guidance.
More information will be made available by the Office of Cannabis Management
(Office) regarding Registered Organization with Dispensing (ROD) and
Registered Organization Non-Dispensing (ROND) licenses soon.
2. How many of each license type will be available for this application
window?
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Pursuant to its powers under § 10 of Cannabis Law, the Cannabis Control Board
(Board) has the discretion to limit the number of licenses for each type of license
issued.
In addition to AUCC and AUCP licenses that are eligible for transition, the Office
estimates that over 1,000 licenses in the licensing application window opening on
Wednesday, October 4, 2023, including provisional and final licenses may be
issued. These estimated allocations include:
• Retail Dispensary: 500 - 1000
• Microbusiness: 220
• Indoor Cultivation (Tier 1): 20
• Indoor Cultivation (Tier 2): 20
• Processor (Type 1: Extracting, plus all activities of Types 2 and 3): 55
• Processor (Type 2: Infusing and blending, plus all activities of Type 3):
100
• Processor (Type 3: Packaging, labeling, and branding, including for the
performance of white labeling agreements only): no allocation limit, Office
will review on a rolling basis
• Distributor: 30
Please note these numbers are only estimates, and the Board has the authority
to determine the final number of licenses issued, as well as the timing for the
issuance of such licenses. Additionally, the number of distributor licenses
available, is specific to stand-alone distributors and does not include processors
who wish to also obtain a distributor license to distribute their own cannabis
products.
Please also note, that this is only the first application window for general adult-
use cannabis licensing. There will be additional application windows in the future
and licenses not included in this application window will be made available in
future licensing application windows.
IMPORTANT: the issuance of licenses, especially provisional licenses for retail
dispensaries does not mean that there will be 1000 stores open immediately.
After an applicant receives a provisional license, they will need to work to find a
compliant location for their retail dispensary, receive approval from the Office,
and meet all required application requirements. Based on experience of
operators in other states operationalizing a provisional license could take 6-12
months depending on the time to find a retail location and conduct renovations.
3. How are the number of licenses available for this application window
determined?
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Pursuant to its powers under § 10 of Cannabis Law, the Board has the discretion
to determine the number of licenses issued. The proposed number of licenses
available in this application window was determined to help facilitate a controlled
adult-use market rollout to help ensure small businesses can compete and thrive.
Further, the proposed license allocation also reflects the current needs of the
market, such as prioritizing the licensing of additional retail dispensaries. Future
application windows will conduct a similar market analysis and will make
available additional licenses to continue to adjust and adapt to the needs of the
market, among other factors consistent with the findings of the Office and Board
in its reports.
4. What are the components of the cannabis license applications?
The cannabis license applications contain general questions about your
business, ownership, participation in workforce or training programs offered by
the Office, premises, and operating activities.
If you are applying as a Social and Economic Equity (SEE) applicant, you will
have additional questions and documentation to upload. The SEE application
section collects information from applicants seeking to determine whether the
applicant is SEE-qualified. More information about the SEE program is available
on the Office’s website, and additional information on the SEE application section
is available in the “Social and Economic Equity” section below. .
Information about your True Parties of Interest (TPI) will be collected via your
applicant entity disclosure in the TPI Portal. This is a separate process that can
only be completed once your cannabis license application has been submitted.
After submitting your application, you will receive an email with a link to the TPI
Portal to complete this step. More information about TPI and the TPI disclosures
is available in the “How to Complete the Application” section below and at the
TPI Guidance.
All applicants must submit proof of control over a proposed premises to complete
the application and be considered for a final license, except applicants for retail
dispensary and microbusiness licenses. More information is available in the
“Premises” section below.
If more time is needed to secure a premises, an applicant for a retail dispensary
or microbusiness license can apply without premises details. If deemed eligible
and selected for a license, they will become provisionally approved and have
twelve (12) months to secure a premises and submit documentation before being
licensed on a final basis and operational.
5. Can I apply if I do not have a premises for my business?
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All applicants, except those seeking retail dispensary and microbusiness
licenses, must submit proof of control of their proposed premises to complete an
application.
PLEASE NOTE: Do not apply for a cultivator, processor, or distributor
license if you do not have control over the proposed licensed property. The
application system may allow cultivators, processors, and distributors to
apply without premises information, however, only applications submitted
with proof of premises will be considered as eligible for a license. Be aware
the application fee is non-refundable.
6. How do I prove that I have control over a premises?
You can prove that you have control over a premises by uploading an executed
deed if you own the property, or by uploading an executed lease agreement if
you are leasing the property. These documents must outline all common terms
associated with a lease agreement and must show that the applicant possesses
or has the right to use sufficient land, buildings, and other premises as specified
in the application to properly carry out the activities for which a license is sought.
More information is available in the “Premises” section below.
7. How is the premises requirement different for retail dispensary and
microbusiness (with retail authorization) applicants?
There are two paths for retail dispensary and microbusinesses (with retail
authorization) to complete the application:
a) Provisional License: If you do not have control over a premises at the time of
application, you may submit the application without these details and obtain a
provisional license. After receiving a provisional license, you may take up to
twelve (12) months to submit proof of control over a premises. Once the
Office reviews the additional information, a final license may be issued. Only
after a final license is issued with a license certificate can adult-use cannabis
operations begin.
b) Final License: If you already have control over the premises at the time of
your application, whether by lease agreement, or ownership (as shown
through a deed), you may identify the premises on your application and
submit a complete application for the Office’s review. A premises cannot be
used for licensed cannabis activities without prior Office approval. More
information is available in the “Premises” section below.
8. What is a provisional license?
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Provisional licenses are for retail dispensary and microbusiness applicants
without control over a premises. A provisional license does not authorize
operating activities under the Cannabis Law, but it provides assurances to
stakeholders, like investors, landlords, and lenders, that the application satisfies
certain conditions necessary and relevant to the license type sought, subject to
completion of outstanding items required to obtain a final license. In this way, the
provisional license may help applicants secure a premises or funding for their
cannabis operation before a final license is issued.
Provisional licensees have twelve (12) months from the date of provisional
license to complete their licensing application by providing updated information
on their TPI and premises details in order to obtain a final license.
9. What are the application windows for each license type?
The application window for the cultivator, processor, distributor, retail dispensary
and microbusiness licenses will open on Wednesday, October 4
th
, 2023. The
application window will close on Monday, December 18, 2023, at 5:00PM
Eastern Time. To be considered, all applications must be submitted before
5:00PM on December 18, 2023.
For retail dispensary and microbusiness applicants that are applying with proof
of control over the proposed licensed premises, there will be an expedited
application window that will close on Friday, November 17, 2023, at 5:00PM
Eastern Time. The Office will begin the review of applications submitted during
this window to expedite the review of retail dispensary and microbusiness
applications. The retail dispensary and microbusiness application window will
remain open after November 17, 2023, until December 18, 2023, for applicants
that apply after November 17, or are applying for a provisional license (without
proof of control over the proposed licensed premises). You can submit a
provisional license retail dispensary or microbusiness application anytime during
the open application window.
Applicants who are not issued a license in this application window, must resubmit
an application to be considered in a future application licensing window.
10. How will applications be selected for licensure?
Applications for each license type will be collected during the application
windows and pooled based on the license type sought, SEE certification and
provisional status. Applications for retail dispensary licenses, both provisional
and final, will be further split evenly between New York City and the rest of the
state. More information on the SEE criteria is available below and at the Office’s
SEE guidance.
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After an application window closes, applications will be queued (ordered) in their
distinct pools using a randomized process. Adult-use cultivators, certain
processors, distributors, microbusiness, and retail dispensary license types will
have a limited number of licenses available for this application window. The
number of licenses available is determined by the Board with estimates of such
number of licenses provided above in Question 2. Applications will be reviewed
until t the number of licenses allocated for this application window have been
issued. Therefore, an applicant’s queuing order is very important as those higher
in the queue will be reviewed first, and it is possible not all applications will be
reviewed before all licenses have been issued. Applicants who are not issued a
license in this application window must resubmit an application to be considered
in a future application licensing window.
AUCCs and AUCPs will be reviewed outside of the queuing process. More
information is available at the Conditional Licensee Transition FAQ.
11. How will scoring be used in application review?
The application window opening on Wednesday, October 4, 2023 will not be
using a scoring process to determine which applicants are issued a license but
rather a random order "queuing” process. More information on this random order
queuing process is available in Question 10 above. Applicants must meet all
eligibility criteria and submit a complete application to be issued a license.
Please note, the Board may create applications with competitive or scored
elements in future application windows.
12. Can I apply for two licenses at the same time?
Yes, you may submit applications for several license types. However, pursuant to
regulations, you may not apply for more licenses than those for which you
are authorized as a True Party of Interest (TPI). For example, an individual
cannot be a TPI (own and control) more than three adult-use retail dispensary
licenses. Further, final licensing by the Cannabis Control Board must comply with
TPI regulations. More information is available at the TPI Guidance.
Additionally, you will have to pay the $1,000 non-refundable application fee for
each application submitted and must pay the associated license-specific fees
upon final licensure.
13. What are the fees to apply for a license?
Applications require payment of a non-refundable $1,000 application fee, except
for applicants applying as SEE, which require payment of a non-refundable $500
application fee. Per the regulations, SEE applicants receive a 50% reduction in
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application and licensing fees. If an applicant applies as a SEE but is unable to
provide the required documentation to prove SEE status, the applicant will not be
considered for licensure in this application window.
14. What are the licensing fees?
The licensing fee schedule is available on the Office’s website. Licensing fees
are only collected from applicants issued a license by the Board. License fees
must be paid prior to receiving your license number and license certificate. Those
who qualify as a SEE applicant will receive a 50% discount on cannabis license
fees.
All licensees who are awarded a provisional retail dispensary or microbusiness
license may defer payment of license fees until final licensure.
15. How long will each license be valid?
An adult-use cannabis license is valid for two years after the date it is issued and
can be renewed every two years.
16. If I’m issued a license, do I need to be ready to begin operating right away?
No, however, if you have obtained all the necessary documentation and have
control over premises, you may commence operations as soon as a final license
has been issued and you receive approval from the Office to commence sales.
Applicants for retail dispensary and microbusiness licenses may also pursue a
provisional license, giving them twelve (12) months to submit all outstanding TPI
and premise-related information required for final licensure. A provisional
licensee cannot begin adult-use cannabis operations until a final license is
issued.
17. Is a provisional license available for all Adult-Use licenses types?
At this time, a provisional license is only available to retail dispensary and
microbusiness applications. This allows those applicants to apply without proof of
location.
18. What types of cultivation does an adult-use cultivator license allow?
There are four cultivation types: indoor, outdoor, mixed light, and combination.
For each type, there are five cultivation canopy tiers, ranging from Tier 1 (the
smallest) to Tier 5 (the largest).
Please note: The Board will only be licensing indoor Tier 1 and Tier 2 cultivators
in the application window opening on Wednesday, October 4, 2023, for non-
AUCC licensee applicants. Future application windows will include a greater
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variety of cultivator licenses, as well as an application for the cooperative and
collective license type.
Mixed light is cultivation of mature cannabis in a greenhouse, hoop-house with
cannabis cultivation lights, glasshouse, conservatory, hothouse, or similar
structure, using a combination of sunlight and lighting with all lighting
requirements meeting the photosynthetic photo efficacy (PPE) standards for the
mixed-light tier set out in section 125.1 of the adult-use regulations.
The combination tier is a combination of outdoor and mixed light canopy. No
license allows the cultivation of cannabis both indoors and outdoors. The adult-
use regulations provide a pathway for licensed cultivators to change their canopy
tier, canopy type, or maximum cultivation canopy. The Office will provide more
guidance on the process to request such a change in the future.
19. What are the canopy tier sizes?
Pursuant to regulations, indoor, outdoor, and mixed light cultivation tier canopy
sizes are:
• Tier 5. Greater than 50,000 square feet and up to but not exceeding
100,000 square feet;
• Tier 4. Greater than 25,000 square feet and up to but not exceeding 50,000
square feet;
• Tier 3. Greater than 12,500 square feet and up to but not exceeding 25,000
square feet;
• Tier 2. Greater than 5,000 square feet and up to but not exceeding 12,500
square feet; or
• Tier 1. Up to but not exceeding 5,000 square feet.
Combination licenses include an outdoor license of the same canopy size limits
stated above, and an additional allocation of mixed-light cultivation canopy equal
to the following:
• Tier 5. Greater than 15,000 and up to, but not exceeding, 30,000 square
feet;
• Tier 4. Greater than 12,500 and up to, but not exceeding, 15,000 square
feet;
• Tier 3. Greater than 6,250 and up to, but not exceeding, 12,5000 square
feet;
• Tier 2. Greater than 2,500 and up to, but not exceeding, 6,250 square feet;
or
• Tier 1. Up to, but not exceeding, 2,500 square feet.
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20. What transition options do AUCC and AUCPs have?
More information is available at the AUCC and AUCP Transition Guidance
document.
21. Should provisional CAURD licensees apply for an adult-use retail
dispensary license?
Due to the pending litigation challenging the validity of the CAURD program,
provisional CAURD licensees may want to apply for an adult-use retail
dispensary license during this application window. Applicants should apply with
the business entity that will operate the license. If this business entity is different
than the entity that applied for under the CAURD program, the Office will request
additional information to support the change from the CAURD entity on file with
the Office.
Applicants must submit their CAURD application number as supplied by the
Office in their complete format, with all dashes, letters, and numbers for proper
identification. Please note, a provisional CAURD licensee will not be issued two
licenses if they are selected and able to move forward under the CAURD
program and the general licensing process.
Additionally, such applicants will have to pay the $1,000 non-refundable
application fee to complete submission. Applicants who qualify for SEE will be
eligible for a 50% reduction in application and licensing fees. The Office is
actively exploring options for waiving future licensing fees for eligible CAURD
licensees.
22. How many applications can one applicant submit?
A licensee, or a TPI of a retail dispensary licensee, can have a direct or indirect
financial or controlling interest in up to three (3) adult-use retail dispensary
licenses. As such, pursuant to regulations, an applicant may apply for no more
than 3 retail dispensary licenses. The Board, however, will not be issuing more
than one license per applicant during the application window opening
Wednesday, October 4, 2023. Further, final licensing by the Board must comply
with TPI regulations. More information on TPI rules is available at the Office’s TPI
Guidance.
Please note, you will have to pay the $1,000 non-refundable application fee for
each application submitted.
23. What cultivation license types will be available for applicants who are not
AUCC?
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The Board will only be issuing indoor Tier 1 and Tier 2 cultivator and
microbusiness licenses for non-AUCC applicants in the application window
opening Wednesday, October 4, 2023. Future application windows will include
greater variety of cultivator licenses, as well as an application for the cooperative
and collective license type.
24. What does an adult-use processor license authorize?
Based on the authorizations requested during the application process, the adult-
use processor license will allow the processor to conduct some, or all, of the
following activities:
• Type 1: Extracting, plus activities under Type 2 and 3;
• Type 2: Infusing and blending, plus activities under Type 3; and
• Type 3: Packaging, labeling, and branding, including entering into white
labeling agreements only.
Please note that applicants that can demonstrate that they operate an existing
processing facility, at which they plan to process cannabis product, including
demonstrating existing full GMP certification, may be pooled and queued
separately from other applicants for a select number of available processor
license types at the discretion of the Board, in accordance with SEE prioritization.
Applicants applying for a Type 3 Processor licensing for branding purposes
only may enter their entity address as their “facility location address” in the
application. All other Type 3 Processor applicants (for any and all packaging and
labeling) must apply with a suitable facility location.
25. What license can I apply for if I currently have an AUCP license?
More information is available at the Conditional Cultivator and Processor
Transition Guidance.
26. I completed a workforce or training program offered by the Office. Does
that make my application eligible for any specific consideration?
A person who completed a workforce or training program offered by the Office,
will be prioritized for certain licenses in the application window opening
Wednesday, October 4, 2023, and in future application windows as well. To
receive the prioritization, the person who completed the workforce or training
program must be the majority owner of an applicant entity via direct ownership.
Such applicants may apply to all available adult-use licenses but will be pooled
and queued separately from other applicants for a select number of the full and
provisional microbusiness license types and processor license types.
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Such applicants who also qualify for SEE certification will receive a 50%
reduction in application and licensing fees. Additionally, all qualified SEE
licensees will be eligible for incubator technical training from the Office.
A. Eligibility Basics
27. Am I eligible for an Adult-Use license?
In addition to the premises requirements stated above, you must be over the age
of 21 to be eligible for a cannabis license. Individuals or entities who have
convictions outlined in Section 137 of the Cannabis Law may be ineligible for
licensure. Those specific offenses include individuals with any of the felony
convictions listed below within the past five years:
• Fraud
• Money laundering
• Forgery or other unlawful conduct related to owning and operating a
business; or
• Hiring, employing, or using a minor in transporting, carrying selling, giving
away, preparing for sale, or peddling any controlled substance to a minor; or
selling, offering to sell, furnishing offering to furnish, administering, or giving
any controlled substance to a minor.
Pursuant to Cannabis Law, you are also not eligible for a license if you:
• Have been found to have engaged in unlawful business practices relating to
cannabis pursuant to Cannabis Law Section 138-a, since May 3, 2023; or
• Are a chief of police, police officer, or subordinate of any police department in
New York State.
Additional eligibility restrictions apply to AUCC and AUCP licenses, as well as
ROD and ROND licenses. The eligibility requirements for ROD and ROND are in
regulations as follows:
• A ROND applicant must be an existing Registered Organization (RO) in good
standing with the Office and complete a transition process with the Office.
• A ROD applicant must be an existing RO in good standing with the Office with
four medical dispensing facilities open and operational in New York State,
complete the required transition process, and pay the special fee outlined in
the Cannabis Law and corresponding regulations.
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Further, all license types have restrictions on ownership and control. More
information is available at the TPI Guidance.
28. What types of businesses are eligible to apply?
Any business – regardless of its business structure, can apply for a license or
provisional license. Applicants are strongly advised to apply as the business
entity they intend to hold the license. Pursuant to Cannabis Law section 128,
except under limited circumstances, licenses are not transferrable, and once
issued they are tied to the entity issued the license. Please note, applicants
cannot update their FEIN ( or business entity after a license is issued.
29. Is there an age requirement to be issued a cannabis license?
According to Section 137 of the Cannabis Law, no one under the age of 21 can
be issued or be TPI to a cannabis license.
30. Do you have to be a US citizen to be issued a cannabis license?
You must be a US citizen or a lawfully permitted resident (green card holder) for
permanent residence in the United States to be issued a cannabis license or
become a TPI in a license.
If you are a corporation, then each of the principal officers and more than one-
half of its directors must be citizens of the United States or personal lawfully
admitted for permanent residence in the United States.
For purposes of citizenship, the Office interprets the citizenship requirement to
extend eligibility to any individual who is:
- A citizen of the United States;
- An alien lawfully admitted for permanent residence in the United States;
- Foreign nationals from reciprocal treaty countries set forth in a list
maintained by the U.S Department of State.
- Foreign nationals from any other country who can satisfy the Authority that
his/her country has a treaty with the United States that permits citizens of
both countries to engage in trade with and/or work in each other’s country
on a reciprocal basis.
Please note that a citizen of another nation that qualifies under this section is not
required to be physically present in the United States to obtain a license.
However, if such an individual intends to work at the licensed premises, it will be
necessary for the person to demonstrate that they have the appropriate visa to
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enter and work in the United States. True Parties of Interest must meet all other
requirements to be eligible to hold the license being sought.
31. Am I eligible for an Adult-Use license if I own a business that has a liquor
license?
Yes. You may apply for a cannabis license if you own a business that holds a
liquor license. However, please note that if your application is successful and you
are selected for licensure, you cannot hold a license or permit to sell
alcoholic beverages on the same premises as a retail dispensary.
Additionally, the Office encourages you to check with the New York State Liquor
Authority to ensure there are no applicable prohibitions to your liquor license.
32. If I have a conditional cultivator or processor license, how will I know
whether I am eligible to transition to a non-conditional license?
Good standing with the Office is required to transition from an AUCC or AUCP
license to a non-conditional adult-use license. More information on good standing
is available in the Conditional Cultivator and Processor Transition Guidance.
33. How do I know if I qualify as a SEE applicant?
Applicants are required to complete questions about SEE qualifications on the
general licensing application. More information is available in the “Social and
Economic Equity” section below and at the Office’s SEE guidance.
34. What is a Labor Peace Agreement and when must I complete one?
All licensees must enter into a Labor Peace Agreement (LPA) with a bona fide
labor organization prior to final license issuance. An LPA is an agreement
between an employer and a union where the employer agrees not to oppose
unionization and the union (that is attempting to organize the workforce) agrees
not to strike or otherwise stop work. An LPA is not a collective bargaining
agreement (union contract).
As defined in the Adult-Use Regulations, a bona fide labor organization means a
local labor union:
i. That represents employees in this state with regard to wages, hours and
working conditions.
ii. In which officers have been elected by secret ballot or otherwise in a
manner consistent with federal law; and
iii. That is free of domination or interference by any employer and has
received no improper assistance or support from any employer.
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35. I was previously delinquent filing my taxes or paying an amount owed to a
local, state, or federal government and I am repaying the debt through a
payment plan. Will my application be denied because of this?
No. An individual would not be considered delinquent if they are, at the time of
application, still repaying the debt pursuant to a payment plan or other installment
agreement with the government to which the amount is owed. Despite this, it is
possible that the circumstances of the delinquency may mean your application
would be denied for a different reason, such as if the circumstances of the
delinquency would also make the individual a person forbidden to traffic cannabis
as set forth in Section 137 of Cannabis Law.
36. I received an email asking for personal information from the Office and I’m
not sure if I can trust it. How do I know if a communication that says it’s
from the Office or the Board is legitimate?
The Office or Board will never ask licensees or applicants for sensitive personal
information over e-mail, and the Office or Board will never provide your e-mail
address to other parties for the collection of that information.
However, you will receive e-mails from the Office asking you to submit personal
information through New York Business Express (NYBE), New York State’s
secure platform. E-mail addresses from the Office end in “@ocm.ny.gov” and e-
mails automatically generated from our system end in “@its.ny.gov”.
If you’re uncertain if an e-mail you received is valid, please forward to
compare it with known phishing or scam attempts.
B. How to Complete the Application
37. Where can I apply for a license?
The Office’s website licensing page will provide links to the online application
located within New York Business Express (NYBE). If you already have a NYBE
Business Profile linked to the applicant, then you will need to apply using the
NY.Gov login that is linked to the existing NYBE profile. If you do not have a
NYBE Business Profile linked to the applicant, then you will need to create a
NYBE Business Profile using a NY.Gov login to start your application.
38. What do I need to do before applying?
The first step before applying for a cannabis license is to form the business that
you intend to use for the licensed activity. This requires registering with New York
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State as a New York or non-New York company and the IRS to obtain your
formation documents and Federal Employer Identification Number (FEIN aka
EIN). Please note, applicants cannot update their FEIN after applying.
See New York State’s official guide on starting a business for more information.
39. Who should submit the application?
The online application must be submitted by you, the applicant, (if an individual
sole proprietorship); by a managing member (if a limited liability company); by an
officer (if a corporation, including a non-profit); or by a partner (if a partnership).
If you obtain help in completing your application, such as a consultant or lawyer,
this will require additional reporting on your application. Please note, certain TPI
will also be required to complete personal or entity history disclosures. More
information is available at the Office’s TPI guidance.
40. I’m creating a NYBE Business Profile for the applicant, and I’m being asked
to provide an address for the applicant. I don’t have an address for the
applicant at this time. What address do I enter in NYBE?
If you do not have a permanent place of business, you must enter the home
address of the owner or one of the partners, members, or officers of the
business. Please note, the Office will not notify you if sending official
communications related to your application to this address, but generally
communications will be sent by email to the individual listed as the primary
contact for the application. You will identify your application’s primary contact
when completing your application, not in your NYBE Business Profile.
41. Can I change my Federal Employment Identification Number after
applying?
No. You cannot change your FEIN on an application you have already submitted.
You must reapply with a brand-new application if you need to change your FEIN
associated with the license as it is linked with other New York State agencies in
NYBE. For this reason, all applicants are advised to apply with the business
entity that they intend to be issued the license.
42. Will I need to pay a lawyer or other professional to help me complete the
application?
You are not required to work with anyone who is not an owner or true party of
interest to the applicant to complete your application. You may complete this
application without outside assistance. However, there is nothing prohibiting you
from getting help from any source in completing your application. If you obtain
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help in completing your application, please note that this may require additional
reporting on your application.
43. Can I save my partially completed application to continue later?
Yes, an application can be completed over multiple sessions. Be sure to save
your progress as you go and pay close attention to submission deadlines
outlined by the Office.
44. How is the application fee paid?
The non-refundable application fee is paid online via credit card or ACH before
submitting the application to the office. Please keep a copy of the confirmation
page for you records. You will also receive a confirmation email that your
application was submitted.
45. If I do not get a license on this application, can the application fee be
credited towards a future application?
No. Payment will be required for each application submission. Per the
regulations, SEE applicants will receive a 50% reduction in the cost of all
application and license fees.
46. If I need help completing the application, who can I contact?
If you have questions about license eligibility, license authorizations and
conditions, the application process, and the application itself that is not answered
OCM-5151 (1-888-626-5151).
SEE applicants are eligible for reduced application and licensing fees and other
technical support and assistance. More information on the SEE components of
the application is available in the “Social and Economic Equity” section below
and at the SEE guidance.
Please note, the Office is not able to provide business or legal advice to
applicants regarding license eligibility. While the Office can confirm whether
certain types of documents are examples of acceptable documentation, the
Office is unable to determine whether an applicant is eligible or whether specific
documents are acceptable proof of a specific individual’s eligibility. If you believe
you require business or legal advice, you may need to consult a professional to
advise you personally.
For technical assistance with NYBE contact the New York State Business
Information Center.
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47. What documents do I need to prepare to upload in the application?
While completing your application, you will be asked to upload multiple
documents. Please be aware you can only upload in PDF or png. (picture)
format.
All applicants will be required to upload:
• A valid photo ID issued by a local, state, or federal government
• Up-to-date business formation and organizational documents such as:
o Certificate of incorporation, certificate of limited partnerships,
certificates of authority, articles of organizations, charters, bylaws,
partnership agreements, operating agreements, agreements
between any two or more persons of the applicant that relate in any
manner to the assets, property or profit of the applicant
• The entity’s Capitalization Table listing specific holders of ownership
above 10% of interest if the applicant is a private entity, and 5% of interest
for applicants who are publicly traded entities.
• Documentation supporting the applicant’s SEE eligibility, including but not
limited to proof of address and residency, proof of conviction, and proof of
income, if applicable.
• Subsidiary Company Information (if applicable, please refer to the Office’s
regulation related to naming convention of subsidiary companies):
o Name
o FEIN
o Date Created
• Documentation explaining a continuity plan in case the applicant, owners,
or TPIs decide to leave the business, there is a material change in the
applicant’s ability to operate the business, or the applicant becomes
otherwise unable to operate the business.
• Copy of all agreements with statewide or local bona-fide building and
construction trades organizations for construction work on its licensed
facilities if the applicant has twenty-five or more employees and has
entered into such agreements.
• A copy of a signed labor peace agreement with a bona fide labor trade
organization.
• If the applicant is incorporated or otherwise authorized to do business as a
foreign (non-New York incorporated) company in the State of New York,
the Department of State ID issued on the certificate and a copy of the
certificate.
• A vendor contract or purchase order for the licensees’ electronic inventory
tracking system that can integrate with the Office’s seed-to-sale inventory
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tracking system pursuant to Section 125.7(a)(3) of Title 9 (cultivator and
processor applicants will be required to email this information, as
instructed by the Office, prior to final licensure).
• Documentation explaining the circumstances of a conviction of a felony
within the past five years involving fraud, money laundering, forgery or
other unlawful conduct related to owning and operating a business, if
applicable.
• Documentation explaining the circumstances of a conviction of a felony
within the past five years for hiring, employing, or using a minor in
transporting, carrying, selling, giving away, preparing for sale, or peddling,
any controlled substance to a minor, or selling, offering to sell, furnishing,
offering to furnish, administering, or giving any controlled substance to a
minor (if applicable)
• The basic contact information of any law firm, counsel, or consultant that
assisted you with the application.
• A copy of the certification of completion if you have completed any
workforce or training programs offered by the Office (if applicable)
• If you are seeking an adult-use processor license, other than for
applicants that are applying with an existing compliance facility, proof of a
qualified third-party Good Manufacturing Practices (GMP) audit is
required within twelve (12) months of commencing licensed operations,
and if you are planning to perform extraction using a volatile or
hydrocarbon extraction method, before commencing operations, you must
submit:
o A final certification letter from a licensed professional engineer or
registered architect which certifies the completed installation of a
professionally designed, commercially manufactured extraction
system, that is compliant with applicable state or local fire, safety or
building codes;
o A letter from the municipal jurisdiction’s fire marshal, or their
designee, stating that a final inspection of the facility has been
conducted and that the processor has demonstrated compliance
with applicable fire codes and/or regulations; and
o A certification of occupancy, or equivalent document, from local
building official that permits for extraction related rooms or areas
have been closed as applicable.
• For all final licenses :
o Executed Deed or Lease Agreements for the proposed premises
that shows that the applicant possesses or has the right to use
sufficient land, buildings, and other premises as specified in the
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application to properly carry on the activities for which licensure is
sought.
o A copy of any other license(s) issued by state or federal authorities
related to operations of the premises. A Certificate of Occupancy or
its equivalent, demonstrating compliance with all local building.
• If applying for a final Retail Dispensary, Microbusiness, or ROD
license, the following must be collected before a final license is issued
(these materials are not required to apply for a provisional license):
o If you are selling non-cannabis products, a Certificate of Authority
issued by the New York State Department of Taxation and Finance
for the premises.
o A copy of your Notice to Municipality submitted to the appropriate
party, available on the Office’s website. A copy of this Notice will be
requested when you submit information regarding the retail
premises.
o A list of all management staff, including first name, last name, and
title, and indicating the employee in charge.
48. Will I be required to provide a Community Impact Plan?
A Community Impact Plan is not required at the time of application so as not to
create additional barriers to accessing licensure and overburdening small
businesses seeking to get established. However, upon renewal, licensees will be
required to provide their Community Impact Plan and proof of compliance with
such plan, demonstrating how the licensee has benefitted communities and
individuals from communities that were disproportionately impacted by the
enforcement of cannabis prohibition, in accordance with the Cannabis Law.
49. Will the Office collect and review information about TPI?
Yes. Applicants will be required to disclose certain TPI, who must submit a
personal or entity history disclosure to the Office for review. All required TPI
disclosures must be received and reviewed before a license may be issued.
More information is available about TPI rules at the TPI guidance..
The Office will only consider for a final license an applicant whose ownership
structure does not violate any of the rules under the Cannabis Law or regulations
and that otherwise meets all eligibility requirements.
50. Which of an applicant’s TPI are required to be disclosed?
An applicant must disclose the following TPI:
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• Any TPI with a non-ownership interest in the applicant or the disclosed
entities in its ownership structure, such as executive officers and other
persons with control over the business; and
• If the applicant is a privately held entity, any owner TPI with a proportional
ownership stake over 10%;
• If the applicant is a publicly traded entity, any owner TPI with a
proportional ownership stake over 5%; and
• any owner who contributes to the applicant’s SEE certification; and
• any other TPI as determined by the Office.
If a TPI qualifies as both a non-owner TPI and an owner TPI (for example, a
company President who owns 12% of the company’s shares), they must be
disclosed per the non-ownership disclosure rules.
51. How will my True Parties of Interest (TPI) submit their required history
disclosures?
On your application, you will designate a “responsible party” to submit the
applicant’s own TPI disclosure. On this disclosure, in addition to the other items
required for a TPI disclosure, you will provide the following information for all
owners, managers, and other TPI, which includes:
• Individual or entity name
• Contact phone number and email address
• Title and role in their associated entity
• Ownership stake in their associated entity.
Every individual or entity listed as a TPI on the applicant’s own TPI disclosure will
be emailed and asked to submit their own history disclosures through a secure
portal. You will not be required to collect or submit any personal information from
TPI beyond their contact information and ownership stake. Be sure to include an
accurate, active email address for each TPI. Be advised that a delay in your TPIs
submitting their disclosures will delay your application’s review.
Any TPI deemed to have a financial and controlling interest will also be required
to obtain a fingerprint-based background check and to undergo a New York
State Department of Taxation and Finance tax clearance check.
Applications will not be reviewed by the Office until all TPI disclosures have been
submitted. The applicant is responsible to make sure all their identified TPIs
submit this disclosure.
52. What information do I need to prepare for my TPI disclosure?
If you are submitting a personal history disclosure, you will be asked to provide
the following information:
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• Personal identification information, including a valid photo ID
• Residence and employment history for the last five years
• Convictions, sanctions, and other disciplinary actions, including
documentation
• Cannabis licenses or applications in other states, including documentation
• All goods and services agreements that you are party to, including
documentation
• Disclosure of all cash or loans that you have with an applicant or licensee,
including documentation.
If you are a submitting an entity history disclosure, you will be asked to provide
the following information :
• Business identification information
• Business structure, formation, and history, including documentation
• Business finances
• Litigations and violations involving the business, including documentation
• Cannabis licenses or applications in other states, including documentation
• All goods and services agreements that the business is party to, including
documentation
• Disclosure of all cash or loans that the business has with an applicant or
licensee, including documentation.
53. What specific documents do I need to prepare for my TPI disclosure?
Individuals that are TPI must upload the following documents in PDF or png
(picture) format:
• Valid Photo ID
• Documents related to any convictions, including an affidavit, certificate of
disposition, and/or certificate of relief from disabilities (if applicable)
• Documents related to any pending charges, including the accusatory
instrument (if applicable)
• Cannabis licenses from outside New York State (if applicable)
• Documents describing the nature of all cash or loans given to a cannabis
licensee or applicant (if applicable)
Entities that are TPI must upload the following documents in PDF or png.
(picture) format:
• Certificate(s) of Good Standing for all states where the entity is authorized
or approved to do business
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• Agreements, contracts, mergers, consolidation, other financial
arrangements with other New York State cannabis businesses (if
applicable)
• Formation documents, such as:
o Articles of Organization, Certificate of Incorporation, or similar
documentation
o Charter
o Operating agreement, bylaws, or partnership agreement
• Any goods and service agreements entered into by the TPI (if applicable)
• Bonds, loans, trust deeds, notes, debentures, or other forms of
indebtedness
• Court documents, including a list of all parties involved in legal actions, for
(if applicable):
o Litigation within the last three years;
o Violations of state or federal regulations, statutes, or codes; and
o Judgment, orders, consent decrees, or consent orders.
• Cannabis licenses from outside New York State (if applicable)
• Documents describing the nature of all cash or loans given to a cannabis
license applicant (if appliable)
54. How will the Office calculate the percentage of shares that a TPI holds in a
license?
The Office will consider a person’s share in a license to be the greatest of that
person’s percentage share of:
• Current voting shares;
• Future voting shares;
• Current equity shares; or
• Future equity shares.
Ownership will be evaluated based on proportional stake in the applicant or
licensee. Proportional ownership interest means the share that the party has in
the applicant or licensee considering all intermediary levels of ownership
between the party and the applicant. For example, a party that is a 100% owner
of the Intermediary Business, which is a 51% owner of the Licensed Business
(the entity receiving the cannabis license), would be considered to have 51%
proportional ownership in the Licensed Business.
For the purposes of determining the total shares outstanding for future
ownership, the Office will use a modified definition of fully diluted share count,
calculating a TPI’s future ownership interest based on the entity’s fully diluted
share count (inclusive of all restricted stock units, options, warrants, or any other
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units of ownership that can be converted into a share of voting stock or equity),
LESS contingent or future shares owned by persons whose financial or
controlling interest in an entity is active.
More information is available at the TPI guidance and FAQs for retailer and
supplier licensees.
55. Can I change my TPI?
Applicants can change their TPI prior to receiving their final license. The Office
will make guidance available on the process to submit and request a change to
the TPI, and the associated fees, after a license has been issued. SEE
applicants may only modify their TPI prior to receiving their final license in
accordance with the sole control requirements; more information is available
about these requirements in Question 66 below.
56. How can I talk with someone about my application?
Send an email to [email protected] with your application number,
applicant entity name, and specific questions, and we will respond as soon as we
are able. Note, sending additional emails will add to the volume of inquiries
already being received. Please allow the Office time to respond to your email
before sending a follow up.
More information is available on application technical assistance and support
available to SEE applicants in the “Social and Economic Equity” section below
and at the SEE guidance.
C.
Social and Economic Equity
57. What does it mean to be a SEE applicant?
Pursuant to §87 of Cannabis Law, SEE applicants include individuals who have
lived in communities disproportionally impacted by the enforcement of cannabis
prohibition (CDI) and other underrepresented groups including minority and
women owned businesses, distressed farmers, and service-disabled veteran-
owned businesses, as defined under the Cannabis Law.
More information is available at the SEE guidance.
58. How will qualified SEE applicants receive prioritization in access to adult-
use cannabis business licenses?
License review prioritization for adult-use cannabis licenses will be afforded to
SEE applicants qualifying as Extra Priority, individuals from communities
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disproportionately impacted, distressed farmers, minority-owned business, or
women-owned-businesses, and service-disabled veterans in accordance with all
applicable laws.
SEE applicants will be asked to identify all SEE groups they qualify for during the
application and will be pooled based on the license type sought, SEE
certification, and provisional status. After an application window closes,
applications will be queued (ordered) in their distinct pools using a randomized
process.
Adult-use cultivators, certain processors, distributors, microbusinesses, and retail
dispensaries will have a limited number of licenses available during this
application window. The number of licenses available will be determined by the
Board with estimates of such number of licenses provided above in Question 2.
SEE applications will be reviewed until the Board has issued the number of
licenses allocated for this application window. Therefore, an applicant's queuing
order is very important as those higher in the queue will be reviewed first, and it is
possible not all applications will be reviewed before all licenses have been
issued. Applicants who are not issued a license in this application window must
resubmit an application to be considered in a future application licensing window.
All SEE applicants will receive 50% reduction in application fees and will be
eligible for application support provided by the Office. All qualified SEE licensees
will be eligible for a 50% reduction in annual licensing fees and incubator
technical training from the Office. Additionally, SEE licensees who are issued a
provisional retail dispensary or microbusiness license may defer payment of
licensing fees until they transition to a final license.
AUCCs and AUCPs applying for non-conditional licenses are also eligible to
apply for SEE certification but will be reviewed outside of the SEE queuing
process. More information is available at the Conditional Licensee Transition
FAQ.
59. Can SEE applicants apply for multiple SEE categories on the application?
Yes, a SEE applicant can apply on the application for multiple SEE categories to
ensure that the applicant has an opportunity to participate in the application
process as part of each such category for which they qualify. Qualifying as
multiple SEE categories will increase an applicant’s chances in the random order
queuing process described in Question 10.
60. Are fees different for SEE applicants?
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Yes, qualified SEE applicants who have been approved by the Office will receive
a 50% reduction for application and licensing fees.
61. Is there application support available for SEE applicants?
Yes, SEE applicants are eligible for application support, in accordance with the
Office’s New York Social and Economic Equity Plan and the Cannabis Law. More
information will be made available soon on how to access this support.
62. When will my SEE eligibility be reviewed and certified?
SEE applications will not be reviewed and certified until after the application
window has closed and the randomized ordering of the pools has taken place.
Applications are reviewed based on the order of the queue resulting from the
randomized ordering process.
63. How will my SEE status as an applicant be certified? What if I am deemed
ineligible?
At the close of the application window, the Office will begin the process of
certifying SEE status for SEE applicants according to the queuing order of their
pool. If an applicant fails to prove qualification for SEE status, the Office will
initiate a 30-day cure period in which applicants must submit additional
documentation required by the Office to correct any deficiencies in their SEE
status.
64. What are the ownership and control requirements for SEE certification?
To qualify for SEE status, sole control of the applicant must be held by an
individual or individuals from a community disproportionately impacted by the
enforcement of cannabis prohibition, a minority-owned business, a women-
owned business, a distressed farmer, or a service-disabled veteran. The person
or persons having sole control must match the SEE category the applicant
wishes to be qualified as. For example, if the applicant wishes to qualify for SEE
status on the basis of being a distressed farmer, then sole control must be held
by a distressed farmer(s).
65. What does sole control of a business mean?
A person or persons with sole control of a business must satisfy all of the
following conditions:
• (i) has real, substantial, and continuing ownership of 51% equity share in
the business;
• (ii) has the right to execute any material contracts;
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• (iii) has the ability to exercise the authority to materially influence the day-
to-day business decisions, operations, strategic priorities, capital
allocations, acquisitions and divestments of the business;
• (iv) has no timed or triggered recusal provisions or side letters or side
agreements related to their recusal, and
• (v) has an ability to direct decisions, voting or otherwise, such that no
other person may exercise or have the ability to control the majority of
voting rights or appoint or remove the majority of directors seats or their
equivalent or corporate officers or their equivalent on the governing body.
If, at any time after a SEE applicant has been issued a license, the Office
determines that the sole control requirement is violated, the Office may institute
an action to suspend, cancel, or revoke such license in accordance with Part 133
of the adult-use regulations.
66. My SEE applicant has multiple individuals involved. Do we all need to meet
the ownership and control requirements?
Yes, sole control must be held by the person or persons applying for the SEE
status and must match the SEE category the applicant wishes to be qualified as.
Any person seeking to contribute to sole control of the applicant must hold at
least 1% equity share in the business.
67. Do I need to own a Minority-Owned Business Enterprise (MWBE) certified
business in order to qualify as a Minority-Owned Business?
No. For example, New York State Empire State Development certifies MWBEs in
this state. Proving you own a certified MWBE is one way to qualify as a Minority-
Owned Business, but it is not the only way.
To qualify for SEE status as a Minority-Owned Business, an applicant is required
to submit the following:
• Proof of ownership and sole control by one or more minority group
members who have an ownership interest in the business;
• Proof that the applicant is a small business; and
• At least one of the following:
§ Proof of a state MWBE certification, on the basis of being a
minority-owned business; or
§ Both
• (i) A sworn declaration that reports the applicant’s
qualifications to be true and accurate and made under the
penalties provided by law that one or more members are
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minority group members, as defined in the Cannabis Law,
who are citizens or permanent resident aliens of the United
States of America have ownership interest in the business
and that the business seeking licensure qualifies as a
minority-owned business as defined in the Cannabis Law;
and
• (ii) A statement that providing false information shall be
grounds for action against the applicant or licensee
including, but not limited to, the denial, suspension,
cancellation or revocation of a license.
"Minority group member" as defined in Cannabis Law § 87(4)(b) shall mean a
United States citizen or permanent resident alien who is and can demonstrate
membership in one of the following groups:
• (i) black persons having origins in any of the black African racial groups;
• (ii) Hispanic persons of Mexican, Puerto Rican, Dominican, Cuban,
Central or South American of either Indian or Hispanic origin, regard- less
of race;
• (iii) Native American or Alaskan native persons having origins in any of the
original peoples of North America; or
• (iv) Asian and Pacific Islander persons having origins in any of the far east
countries
68. Do I need to own a Women-Owned Business Enterprise (MWBE) certified
business to qualify as a Woman-Owned Business?
No. For example, New York State Empire State Development certifies MWBEs in
this state. Proving you own a certified MWBE is one way to qualify as a Women-
Owned Business, but it is not the only way.
To qualify for SEE status as a Women-Owned Business, an applicant is required
to submit the following:
• Proof of ownership and sole control by one or more minority group
members who have an ownership interest in the business;
• Proof that the applicant is a small business; and
• At least one of the following:
§ Proof of a state MWBE certification, on the basis of being a women-
owned business; or
§ Both
• (i) A sworn declaration that reports the applicant’s
qualifications to be true and accurate and made under the
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penalties provided by law that one or more members are
women who are citizens or permanent resident aliens of the
United States of America have ownership interest in the
business and that the business seeking licensure qualifies
as a women-owned business as defined in the Cannabis
Law; and
• (ii) A statement that providing false information shall be
grounds for action against the applicant or licensee
including, but not limited to, the denial, suspension,
cancellation or revocation of a license.
69. Do I need to own a certified Service-Disabled Veteran Owned Business
(SVDOB) to qualify as a SVDOB?
No, to qualify for SEE status as a SVDOB, an applicant is required to submit the
following:
• Proof of ownership and sole control by one or more service-disabled
veterans who have an ownership interest in the business; and
• Proof of a state SVDOB certification, on the basis of being a service-
disabled veteran.
§ However, if the business does not receive proof of a state SVDOB
certification prior to the filing of an application, the Office may
temporarily accept as a conditional certification 135 (i) DD214(s)
and/or NG214(s) with Line of Duty Report U.S. Veterans
Administration documentation of service-connected disability rating.
The business must have a service-connected disability rating of at
least 10%. This conditional certification will last for 60 days pending
full certification, although the Office has the discretion to extend
that conditional certification while waiting for the State SDVOB
certification.
70. What are the qualifications to be considered a Distressed Farmer?
To qualify for SEE status as a distressed farmer, an applicant is required to
submit the following:
• Proof of ownership and sole control by one or more distressed farmers
who have an ownership interest in the business, and
• One of the following:
§ (i) Proof of that the applicant:
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• operates a farm operation as defined in section 301 of the
Agriculture and Markets law. Such proof may be provided in
an attestation or other means.
• filed a Schedule F tax returns documenting operating losses
during the last three (3) years.
• filed other tax form(s) demonstrating gross cash farm income
below $350,000; and
• qualifies for an agricultural assessment by providing
completed NY Tax and Finance Form RP-305; and
• has been disproportionately impacted by incurring operating
losses by
o low commodity prices
§ Proof to be demonstrated through
documentation showing the decline of
commodity prices over time; AND
o facing the loss of farmland through development or
suburban sprawl
§ Proof can be demonstrated through providing
town/zoning board meeting minutes, press and
news related articles, reports, or other.
OR
§ (ii) Both proof that the applicant:
• is a small farm operator, which means they are a producer
who is involved in making decisions for the farm operation
involving planting, harvesting, livestock management, and
marketing; or may be the owner, a member of the owner’s
household, a hired manager, a tenant, a renter, or a
sharecropper. Proof can be demonstrated through one of the
following:
o local, state, and federal tax documents;
o paystubs or proof of payroll;
o an employment agreement;
o a contracting agreement;
o a rental or sharecropping agreement; or
o any other documentation demonstrating such
relationship; and
• Has one or more members who is a minority group member,
as provided by a sworn declaration that
o reports the applicant’s qualifications to be true and
accurate and made under the penalties provided by
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law that one or more members are minority group
members, as defined in the Cannabis Law, who are
citizens or permanent resident aliens of the United
States of America have ownership interest in the
business; and
o providing false information shall be grounds for action
against the applicant or licensee including, but not
limited to, the denial, suspension, cancellation or
revocation of a license.
"Minority group member" shall mean a United States citizen or permanent resident alien
who is and can demonstrate membership in one of the following groups:
• (i) black persons having origins in any of the black African racial groups;
• (ii) Hispanic persons of Mexican, Puerto Rican, Dominican, Cuban, Central or
South American of either Indian or Hispanic origin, regard- less of race;
• (iii) Native American or Alaskan native persons having origins in any of the
original peoples of North America; or
• (iv) Asian and Pacific Islander persons having origins in any of the far east
countries
71. What is considered a small business? Does it matter for my SEE eligibility
whether I am applying as a small business?
It depends. Applicants seeking to qualify for SEE status as a minority-owned
business or women-owned business must prove they are a small business.
SDVOBs will also have to prove they are a small business in order to qualify for
their certification.
A small business must not employ more than 300 individuals. Applicants can
prove they are a small business in 3 ways:
• If it has been in operation for at least three years, by showing:
§ quarterly payroll reports from the last three years and
§ any other information as requested by the Office.
OR
• If it has been in operation for less than three years, by showing:
§ a sworn declaration that reports the submitted information relating
to its business enterprise to be true and accurate, and made under
penalties provided by law, that:
• it is a small business and
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• providing false information shall be grounds for action,
including, but not limited to, the denial, suspension,
cancelation or revocation of a license.
OR
• Documentation of small business operations, including:
§ any and all gross quarterly receipts;
§ by-laws; and,
§ any other information as requested by the Office.
72. What is a Community Disproportionately Impacted by the enforcement of
cannabis prohibition or a CDI?
The Cannabis Law §87 establishes a robust social and economic equity program
to prioritize and provide resources to members of communities who have been
disproportionally impacted by the policies of cannabis prohibition. Communities
disproportionately impacted (CDIs) refers to census tracts that have a disparate
enforcement of cannabis prohibition during a certain time period, when
compared to the rest of the state. Census tracts must use the same
methodology and meet the same criteria established by the Office in order to
identify CDIs. Residents of any state are eligible to apply.
The Census tracts identified as communities disproportionately impacted are
posted on the Office's website here.
73. How do I demonstrate that I meet the CDI requirement?
Applicants seeking to qualify for SEE status as an individual from a CDI are
required to submit the following:
• Proof of ownership and sole control by one or more individuals from a
CDI who have an ownership interest in the business; and
• Proof of residence documentation demonstrating that you lived in a CDI
as defined by the census tract, for at least:
§ Five years when you were below the age of 18, or
§ Seven years throughout your life
If you submit proof of address in the first year and then proof of the same
address in the fifth year or the seventh year, then the Office will assume you lived
in that same location for the years in between and no additional proof is needed.
However, if your address is different between the first and the last year, then you
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must submit at least one dated document for each of the five or seven years you
lived in a CDI.
Applicants can meet the aggregate seven-year requirement with years the
applicant resided in a CDI below the age of 18. The five or seven years can be
non-consecutive. Some examples of proof of residence documentation are:
• Education Records
• Mortgage or Lease Documents
• Property Deeds
• Government Housing or Assistance Records
• Utility bills
• Employment Records
• Government issued ID with address on it
• DMV address history/lifetime abstract
• Vehicle Registrations
• State, Federal and Local Tax returns
For more information on proof of residence documentation, you can visit How to
Prove Address to Qualify as a Member of Community Disproportionally
Impacted. Census tracts identified as communities disproportionately impacted
are available here.
74. If I am an out-of-state applicant, can I establish SEE status if I lived in a
community that was the equivalent of a New York CDI?
Residents of any state are eligible to apply for SEE status if they lived in a
community in a state other than New York that experienced disproportionate law
enforcement cannabis practices during cannabis prohibition for the requisite time
period as described in Question 73. If the applicant’s out-of-state community
meets the abovementioned requirements, the Office will recognize such out-of-
state community as an “Out-of-State CDI.” Note that where the individual resides
in a state that legalized cannabis for medical, adult use, or both, the Office will
only consider disproportionate impacts of cannabis enforcement practices from a
time prior to the date when that state ended prohibition, but no later than March
31, 2021.
If you are an Out-of-State CDI applicant, you must submit documentation that
demonstrates the census tract you resided in out of state was disproportionately
impacted under prohibition as compared to the rest of that state. More
specifically, you must establish the census tract you resided in out of state was
disproportionately impacted under prohibition as compared to the rest of your
state by demonstrating that the local arrest rate substantially exceeded the
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state’s arrest rate. You can use decennial census population data and the
number of arrests within your census tract during requisite time periods (1980 –
1985, 1986 – 1995, 1996 – 2005, 2006 – 2015, and 2016 – 2021) to establish
arrest rates for each time period. If necessary data is unattainable by census
track, you can provide data that correspond to similar geographic areas along
with an explanation why census track data is unattainable.
Applicants are encouraged to review Question 73, which includes some
examples of acceptable documentation to prove residential address.
If the Office evaluates your application and finds you have submitted insufficient
documentation to establish that your out-of-state community qualifies as a an
Out-of-State CDI , the Office will give you an opportunity to cure your application
as further explained in Question 113.
75. What is an Extra Priority applicant?
Per Cannabis Law § 87(3), extra priority shall be given to SEE applicants that
demonstrate that an applicant:
• Is a member of a community disproportionately impacted by the
enforcement of cannabis prohibition;
• Has an income lower than eighty percent of the median income of the
county in which the applicant resides; and
• Was convicted of a marihuana-related offense prior to the effective date
of the MRTA (March 31, 2021), or had a parent, guardian, child, spouse,
or dependent, or was a dependent of an individual who, prior to March
31, 2021, was convicted of a marihuana-related offense.
To determine whether your most recent income allows you to qualify for extra
priority, SEE applicants can visit What Income Do I Show to Receive Extra
Priority
76. What is a marihuana-related offense?
Unless otherwise prohibited under Section 137 of Cannabis Law, a marihuana-
related offense is defined as:
• An offense described under article 221 of the New York State Penal Law
(Offenses Involving Marihuana) prior to its repeal on March 31, 2021; or
• An offense described under article 220 or section 240.36 of the Penal
Law where the substance involved was Marihuana, that occurred prior to
the creation of article 221 in 1977;
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• An offense described under section 3382 of the New York State Public
Health Law (Growing of the Plant Known as Cannabis by Unlicensed
Persons) prior to its repeal on March 31, 2021;
• An offense described under article 105 of the New York State Penal Law
where the conduct involved is an offense as described above; or
• An arrest for an offense as described above that ultimately led to a
conviction for another offense, such as non-drug offense or lesser
offense by means of a plea deal or other mechanism.
Applicants must submit documentation as proof of the marihuana-related
offense. For more information on where you can find such proof, you can visit
How to Get Proof of Conviction Documents
77. I was arrested for a marihuana-related offense, but I was convicted of a
different offense. Is this an eligible offense for receiving Extra Priority?
Individuals who can provide evidence they (or their parent, legal guardian, child,
spouse, or dependent; or someone that they were a dependent of) were arrested
for a marihuana-related offense before March 31, 2021, may be considered to
have an eligible marihuana-related offense even if they were ultimately convicted
of a different offense. This marihuana-related offense may be used along with the
other criteria to qualify for Extra Priority.
78. I was arrested for a marihuana-related offense and was granted an
adjournment in contemplation of dismissal (commonly referred to as an
ACD or ACoD). The arrest did not lead to a conviction and the charge was
ultimately dismissed. Is this an eligible offense for receiving Extra
Priority?
No, an adjournment in contemplation of dismissal is not a conviction
(See Criminal Procedure Law § 170.55(8)). It is not an eligible offense for
receiving Extra Priority.
79. I was convicted of a marihuana-related offense and my conviction was
conditionally sealed or conditionally discharged. Is this an eligible offense
for receiving Extra Priority?
Possibly. All convictions of a marihuana-related offense before March 31, 2021
can make an applicant eligible for Extra Priority. Convictions that were
conditionally discharged or sealed can still mean an individual is justice involved
as long as the person can provide sufficient information of the conditionally
sealed or discharged conviction. If you had a conviction that was sealed, you can
request verification from the Division of Criminal Justice Services that your
conviction has been sealed by completing this form.
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80. I was convicted of crimes other than a marihuana-related offenses, does
that make me ineligible for an adult-use license?
It depends on the nature of the crimes. Under Section 137 of the Cannabis Law,
certain felony convictions trigger a review process by the Board to determine
eligibility. These are not automatic disqualifications, however. Offenses
specifically mentioned in Section 137 include individuals with any of the felony
convictions listed below within the past three years:
• Fraud
• Money laundering
• Forgery or other unlawful conduct related to owning and operating a
business
• Hiring, employing, or using a minor in transporting, carrying selling, giving
away, preparing for sale, or peddling any controlled substance to a minor;
or selling, offering to sell, furnishing offering to furnish, administering, or
giving any controlled substance to a minor (NYS PL 221.50).
81. I believe I am eligible for Extra Priority because a family member of mine
was convicted of a marihuana-related offense. What kind of family
relationships are eligible?
If any of the following family members were convicted of a marihuana-related
offense before March 31, 2021 then you may qualify for Extra Priority:
• Parent
• Spouse
• Child
• Legal guardian
• Dependents
• Someone that you were the dependent of
If you wish to use a conviction of one of the above family members to qualify for
Extra Priority, you must also provide documentation of your relationship to them.
82. My family member who was convicted of a marihuana-related offense was
deported because of their conviction, am I still eligible for Extra Priority?
Yes. If your parent, legal guardian, child, spouse, or dependent was deported
due to being convicted of a marihuana-related offense, or you were the
dependent of someone who was deported due to being convicted of a
marihuana-related offense, then the conviction may help you qualify for Extra
Priority if you can provide documentation of the conviction.
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83. My family member was convicted of a marihuana-related offense, but they
have passed away. Am I still eligible for Extra Priority? Can I request my
family member’s proof of conviction?
Yes, you are still justice involved if your parent, legal guardian, child, spouse, or
dependent, or an individual you were a dependent of, was convicted of a
marihuana-related offense but is now deceased.
Obtaining your deceased family member’s proof of conviction is possible, but
may require you to obtain a Certified Death Certificate from the state, city, or
town where your family member died before you can request their certificate of
disposition or other acceptable documentation.
The New York State Unified Court System has more information on navigating
this process on their website here.
84. My family member was convicted of a marihuana-related offense but is not
able to request their own records because they are disabled or otherwise
impaired. Can I request my family member’s proof of conviction for them?
That depends. It’s unlikely that you can unless you have the legal authority to act
on their behalf (e.g., through a Power of Attorney or Guardianship).
The New York State Unified Court System has more information
on Guardianships on their website here.
85. I was in a same sex domestic partnership when my spouse was convicted
of a marihuana-related offense before same sex marriage was legal in NYS
– does this make me eligible for Extra Priority?
An individual whose domestic partner was convicted of a marihuana-related
offense in New York State before March 31, 2021, can be eligible for Extra
Priority if they were in a legal, registered domestic partnership at that time
because they were not legally permitted to marry in New York State prior to the
enactment of the Marriage Equality Act (June 24, 2011).
86. What documentation can I provide to prove someone’s conviction of a
marihuana-related offense?
Documentation can be obtained from many sources. Some examples include:
• A Certificate of Disposition;
• Results from a criminal history background check (rap sheet)
• DMV Driving Abstract;
• Record of judgment and conviction;
• Record of plea, verdict, and sentence;
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• Acknowledgement of Application to Destroy Expunged Marihuana
Conviction Record (DCJS);
• A docket entry from court records that indicates the existence of a
conviction;
• Minutes of a court proceeding or a transcript of a hearing that indicates the
existence of a conviction;
• An abstract of a record of conviction prepared by the court in which the
conviction was entered, or by a state official associated with the state's
repository of criminal justice records, that indicates the following: The
charge or section of law violated, the disposition of the case, the existence
and date of conviction, and the sentence;
• Any document or record prepared by, or under the direction of, the court in
which the conviction was entered that indicates the existence of a
conviction;
• Affirmation from an attorney that indicates the existence of a conviction;
• A post-conviction Criminal Procedure Law (CPL) Article 440 Post-
Judgment Motion, including, but not limited to a motion to vacate a
criminal conviction or to re-open a criminal case;
• A Governor’s Commutation letter;
• Records that may be maintained by local or state correctional facilities
(e.g., DOCCS inmate or parolee files);
• Health Records that indicate the existence of a conviction;
• An arrest record that indicates the existence of a conviction;
• A police file that indicates the existence of a conviction; or
• Any other information verifying a marihuana-related offense as approved
by the Office.
An individual that is seeking Extra Priority, or their convicted family member, can
have multiple convictions, but at least one conviction must be a marihuana-
related offense.
If you have questions about a specific document that is not on the above list,
please contact the Office of Cannabis Management at AU[email protected].
For more detailed information on how to obtain documents from the list below,
see the Office’s guidance on obtaining proof of For more information on where to
obtain such documentation, you can visit How to Get Proof of Conviction
Documents.
87. What documents can I provide to prove an individual’s relationship to their
convicted family member?
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Acceptable documentation will depend on the nature of the relationship you are
trying to prove. The name of the convicted guardian or dependent name must be
on the document you provide.
If the individual’s parent or child was the convicted family member, a birth
certificate is the most common document the Office will accept. A paternity or
maternity test would also prove the relationship.
If the individual’s spouse was the convicted family member, a marriage certificate
is the most common document the Office will accept.
If the individual’s spouse was the convicted family member, but they were in a
domestic partnership at the time of their arrest or conviction and the person is
now the individual’s spouse because Marriage Equality made the marriage legal,
the Office will require proof of the marriage. A marriage certificate is the most
common document the Office will accept.
If the individual’s legal guardian was the convicted family member, the Office will
accept documentation evidencing the guardianship, such as an authorization
letter or court records.
If the individual’s dependent was the convicted family member, or if the individual
was the dependent of the convicted family member, the Office will accept tax
returns evidencing the dependent relationship or other financial paperwork
evidencing the dependent relationship.
88. I have appropriate documentation, but an individual’s name has changed
since the documentation was issued. Do I need to provide evidence of the
name change?
If the change in name is not evidenced in your application, the Office may
request additional information to substantiate the name change, such as a
marriage certificate, divorce documents, or other appropriate documentation.
89. What do I do if I cannot prove where I lived at the time of arrest?
The Board may provide alternative forms of evidence that may be accepted for
proof of residency if an applicant is unable to provide documentation.
D. Premises
Please note: On application forms, the premises may sometimes be referred to
as a “location.”
90. Do I need to apply with a premises for my licensed adult-use cannabis
business?
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All applicants, except those seeking retail dispensary and microbusiness
licenses, must submit proof of control of their proposed licensed location
premises to complete an application.
PLEASE NOTE: The application system may allow cultivators, processors,
and distributors to submit an application without the premises information,
however, only applications submitted with proof of premises will be
considered as eligible for a license. Be aware the application fee is non-
refundable.
Retail dispensary and microbusiness applicants who do not have control over a
retail premises at the time of initial application, may submit the application
without premises details and gain provisional approval . Provisional licensees
twelve (12) month period to complete their licensing application by providing
updated information on their TPI and premises details in order to obtain a final
license . A premises cannot be used for licensed activities without prior explicit
Office approval.
Please note, there are restrictions on where a licensed retail dispensary can be
located, including within 200 feet of house of worship, 500 feet of a school
building or school grounds, or within 1,000 or 2,000 feet of a licensed retail
premises, depending on the population of the municipality where the proposed
address is located. More information is available about these distance
requirements at the Office’s Retail Dispensary Guidance.
91. How does the premises selection process work for retail premises?
Applications for a retail dispensary or microbusiness (with retail) license, that
include proof of control over the premises and are submitted by 5:00 PM EST on
Friday, November 17, 2023, will be reviewed before the application window
closing at 5:00 PM EST on Monday, December 18, 2023. If a proposed retail
dispensary premises is deemed in accordance with Cannabis Law and
regulations, then the applicant will be granted proximity protection over that
proposed premises while the applicant works towards a final license being
issued.
92. What is proximity protection over a proposed retail premises?
Proximity protection grants either a 1,000- or 2,000-foot radius around an
approved retail dispensary or microbusiness retail premises, based on the
population of the municipality in which the proposed premises is located. If the
municipality where the retail premises will be located has a population of over
20,000 people, there is a 1,000-foot radius around the proposed premises where
proximity protection applies. If the municipality where the retail premises will be
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located has a population less than 20,000 people, there is a 2,000-foot radius
around the proposed premises where proximity protection applies.
Licensees will be required to demonstrate progress towards beginning operations
at the proposed premises to retain their proximity protection. If evidence of such
progress cannot be produced after twenty (20) business days, proximity
protection will be voided.
93. What happens if two applicants have applied with the same proposed
premises? What if two applicants apply with different locations that are
within the proximity protection area?
If two applicants in the same pool (as described in Question 10) propose the
same retail premises, or propose separate retail premises that would be within
the same shared proximity protection area (i.e. within a 1,000 or 2,000 ft distance
of one another), then those two applicant’s positions in the queueing order will
determine which applicant has priority. While the higher queued application is
being reviewed, all applications proposing a premises nearby that would violate
the proximity distances between retail dispensaries will not be permitted to move
forward with the proposed premises if the higher queued applicant’s location is
receiving proximity protection.
If an applicant with proximity protection over a premises loses proximity
protection, exhausts their deficiency cure period, or is otherwise deemed
ineligible for licensure at that premises, and another applicant has proposed the
same or a different premises within the proximity protection area of the first
applicant, then the Office would review the second, lower queued application
(including the proposed premises that was originally within the proximity
protection area of the higher queued applicant’s premises) upon reaching that
lower queued applicant’s place in the queue order.
94. I am applying for a retail dispensary license. How do I know if my proposed
premises meets the zoning requirements set forth in Cannabis Law?
The Office has published guidance for applicants to do a self-assessment of the
viability of their proposed retail premises (coming soon). Please note, applicant
premises self-assessments are not binding on the Office. Prior to final licensure,
the Office must verify proposed retail dispensary premises and microbusiness
retail premises to ensure compliance with the distance requirements set forth in
regulation.
Applicants should be aware that other applicants may be pursuing the same or
nearby premises. Receiving a license for a proposed premises is not guaranteed.
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95. I am applying for a microbusiness with retail authorization, can I locate my
retail premises in a municipality that has opted-out of allowing retail
dispensary licenses?
No. Microbusiness who are authorized to conduct sales of cannabis products to
consumers are unable to operate the retail component of their license in a
municipality that has opted out of allowing retail dispensaries in their jurisdiction
in accordance with the Cannabis Law. Please view the Offices website for a list
of municipalities that have opted out.
96. The application asks for GPS coordinates. How do I obtain the GPS
coordinates?
You can utilize a mapping solution such as Google Maps. Search the street
address and right click on the map pin. The first menu option will show you the
GPS coordinates in the following format: (latitude, longitude). Copy and paste
the results into your application.
97. How do I prove that I have control over a premises?
You can prove that you have control over a premises by uploading an executed
deed if you own it, or by uploading an executed lease agreement if you are
leasing it. These documents must provide all customary terms of a lease or deed
and show that the applicant possesses or has the right to use sufficient land,
buildings, and other premises as specified in the application to properly carry out
the activities for which licensure is sought.
98. What if my proposed retail premises is not eligible due to the distance
requirements in Cannabis Law or the Office’s regulations?
Applicants who apply with a proposed premises, and are reviewed in the queuing
process, will be told by the Office whether their location is in accordance with
distance requirements set forth Cannabis Law and regulations. If a proposed
premises on an application is out of compliance with these distance requirements
for proximity to another dispensary that the applicant was unaware of, the
applicant will be considered for provisional licensure instead.
99. What if I apply with a retail dispensary premises and the Board grants all
available licenses before the Office reaches my place in the queue?
Applicants who are not issued a license in this application window must reapply
during a future licensing application window. Applicants are not guaranteed
licensure.
100. Do I have to notify the municipality in which I intend to open?
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Only applicants seeking an adult-use retail dispensary, microbusiness (with retail
authorization), ROD, or on-site consumption license, are required to notify the
municipality, or in New York City, the appropriate community board in which the
premises is located. Notification must be made between thirty (30) and two
hundred and seventy (270) days prior to filing an application for licensure. Proof
of this notification will be requested in the application.
101. Where can I obtain the Notice to Municipalities form?
More information about this requirement, including a copy of the form applicants
must submit, is available at the Notice to Municipalities page of the Office’s
website.
102. I am applying with a location for my retail dispensary or microbusiness
(with retail authorization), when do I have to notify the municipality?
You would have had to notify the municipality 30 days before your application is
filed with the Office. The Office does not consider an application for a retail
dispensary or microbusiness (with retail authorization) filed with the Office until:
1) the applicant provides proof of control over the proposed retail location;
2) the applicant provides proof of notification to the municipality; and
3) the applicant receives a location determination from the Office as to whether
the retail location meets the proximity requirements in the Cannabis Law and
corresponding regulations.
The Office is clarifying that the Office will not make any location determinations
on proposed retail dispensary locations until 30 days following the closing of the
application window on November 17, 2023, at 5:00PM. Accordingly, any
applicant that applies with proof of control of a retail location (for a proposed
retail dispensary or microbusiness with retail authorization) can upload their
application on or prior to November 17, 2023, at 5:00PM, and still meet the notice
to municipality requirement established by Section 76.
If the Office receives an application with a proposed retail location, issues a
location determination but determines that there was no evidence of notification
to the municipality, the Office will deem the application incomplete and will be
unable to move forward processing the application.
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103. If I am applying for a provisional retail dispensary or microbusiness
license (with retail authorization) and do not have a premises for my
business, when do I have to notify the municipality?
Applicants applying for a provisional license (without proof of control over the
proposed retail location) do not need to complete the notification to municipality
at the time of initial application upload, since no location is associated with the
application. Once a provisional licensee finds a location, they must complete the
notification to municipality requirement in the same manner as an applicant
applying with proof of control of a retail location. A notice to municipality form
must be sent to the municipality in which the premise is located 30 days prior to
the Office considering the application filed, which will not happen until all of the
following have occurred:
1) the applicant provides proof of notification to the municipality;
2) the applicant submits proof of control over the proposed retail dispensary
location; and
3) the proposed retail dispensary location receives a location determination from
the Office as to whether the location meets the proximity requirements in the
Cannabis Law and corresponding regulations.
104. I notified the municipality for my premises when I applied for CAURD, but
my CAURD application is still pending. I want to use that property for an
adult-use license. If so, do I have to notify the municipality again?
You are only required to provide notification to a municipality if you are applying
for a retail dispensary, or microbusiness license (with retail authorization). If you
would like to use the premises you had in a pending CAURD application for an
adult-use license, you would be permitted to. You would have to make sure that
you are not over the 270-day notification requirement, which requires that you
cannot notify the municipality of your premises more than 270 days before
applying for a license. You will need to make sure that your notification
happened within the 30-day minimum and 270-day maximum period prior to filing
your application.
A new notification to municipality is not required as long as the proposed retail
location has not changed, notification was served no more than 270 days before
filing and contact information has not changed.
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105. Does it matter what form I use for the Notification to Municipalities?
The Notification to Municipalities form has been recently updated. If, however,
you used the older Notification to Municipalities form, prior to the recent update,
then your older Notification to Municipalities form is also acceptable to the Office.
They are both standard forms that were available on our website. Now that the
new form is out, however, the Office would prefer you use the new Notification to
Municipalities form available on our website.
106. I did send in a notification to the municipality, but it was not accepted. Is
that allowed?
The Notification to Municipalities form has to be accurately filled out. If a
notification form is missing any of the following information – then the notification
is not a valid notification, and the notification 30-day window will not be
considered to have started until the notification form is completely filled out:
1) The address of the proposed retail location, which cannot be in an opt-out
jurisdiction
2) The Applicant Name, phone number or email address
3) The indication of the type of application for licensure the applicant is applying
for (i.e., the checkbox )
4) The county of the proposed retail location
5) Signature
6) Date
107. My location is in New York City, how do I know which community board to
go to?
The New York City Mayor’s Community Affairs Unit is a useful resource to for
identifying which community board to contact.
108. How do I obtain my municipal clerk’s contact information?
You can look up your municipal clerk’s contact information on the New York
State Office of Real Property and Tax Services website.
To find your municipal clerk follow these steps:
1) Choose county from the "Listing of Counties in New York State" section
2) Choose municipality from listing provided
3) Click on the "Local Officials Addresses" section of the municipal page
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There you will find the name, address, phone number and email address (if
applicable) of the municipal clerk.
109. Can a local government stop my adult-use cannabis business?
Local governments were able to opt-out of allowing retail dispensaries or on-site
consumption adult-use cannabis licenses from operating within their jurisdictions
if the municipality opted out before December 31, 2021. Local municipalities also
have certain local authority related to the time, place, and manner of retail
dispensaries and on-site consumption businesses. Such authority must clearly
be set out in a local law or ordinance to be binding. If you feel that local
ordinances are unreasonably impracticable, please contact the Office at
[email protected] with a description of the issue.
E. After Submitting the Application
110. What happens after I submit my application?
After the application window is closed, all applications will be queued in their
distinct pools based on social equity status, provisional status, and license type,
using a randomized process. Applications will be reviewed in their queuing order
and the Board will decide how many licenses to grant from those available in
each pool. Due to the time it takes to fix applicants deficiencies, the Office does
not guarantee applicants will be licensed in their queuing order.
111. How long should I expect to wait before hearing about my application?
The Office plans to initiate the queuing process within two to four (2-4) weeks of
an application window closing. Once applicants have been placed into a queuing
order, results of queuing will be shared with applicants, and the Office will begin
reaching out to top queued applicants in each pool to begin review and initiating
the correction process to clear up any application deficiencies.
112. How do I check the status of my application?
Your New York Business Express dashboard will reflect the status of your
application. In addition, the primary contact for the application will be notified via
email if any action is required or when the application is approved or denied.
113. What happens if I receive an application deficiency notice from the Office?
Application deficiencies must be corrected within thirty (30) days after notification
or your application will be void. Follow the instructions in the deficiency notice
carefully to amend the deficiency on the application and submit the required
information to the Office. Applicants are strongly encouraged to cure application
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deficiencies as quickly as possible to ensure the timely processing of their
application and avoid having their application void.
114. While I am waiting for my application to be reviewed and approved, can I
change the ownership structure of the applicant entity?
Applicants should apply with the ownership structure they intend to keep through
the application period. Ownership changes can only be made on an extremely
limited basis once your application is selected for review and the NYBE status is
changed to "in process". All ownership corrections must be made before final
approval of your license. The entity that applies for the license needs to be the
entity that holds the license.
115. Can I change my Federal Employment Identification Number after
submitting an application?
No. You cannot change your FEIN on an application you have already submitted.
You must reapply with a brand-new application if you need to change your FEIN
associated with the license as it is linked with other New York State agencies in
NYBE.
116. I received an email stating my application is provisionally approved. Can
I now start licensed cannabis activities?
No, provisional licensees are not authorized for licensed cannabis activities. Only
after your application is deemed complete by the Office with the required
premises information, and the Board has issued you a license, will you be
prompted to pay your licensing fee online. After your fee has been processed,
you will become officially licensed and issued a license certificate by the Office.
You cannot begin operations until you are fully licensed.
F. Final Licensure
117. What is a final license?
A final license is issued by the Board after all required application materials have
been submitted and the Office formally recommends the application for approval.
Once your application is approved by the Board for final licensure, you will be
prompted by the Office to pay your licensing fee. Once paid, the Office will issue
a license certificate with a license number. You cannot begin licensed cannabis
activities until a final license has been issued.
118. Is a separate fee required for a final license?
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Yes, you will be required to pay a licensing fee prior to your license being issued.
You will receive notice from the Office with instructions on how to pay once your
license application has been approved. Please review the Office’s licensing fee
schedule for more information.
119. What documents do I need to be issued a final license?
If not previously submitted, the following documents must be provided before
final licensure:
• Any updated initial application materials or TPI information;
• A signed labor peace agreement with a bona fide labor trade organization;
• A vendor contract or purchase order for the licensees’ electronic inventory
tracking system (cultivator and processor applicants will be required to
email this information prior to final licensure, as instructed by the Office).
• Proof of required insurance, as outlined below;
• For all licensed locations:
o Executed Deed or Lease Agreements related to the applicant’s real
property interests, that shows that the applicant possesses or has
the right to use sufficient land, buildings, and other premises as
specified in the application to properly carry on the activities for
which licensure is sought.
o A Certificate of Occupancy or its equivalent, demonstrating
compliance with all local building codes.
o A copy of any other license(s) issued by state or federal authorities
related to operations of the location.
• For Retail Dispensary, Microbusiness, and ROD licensed locations:
o If you are selling non-cannabis products, a Certificate of Authority
issued by the New York State Department of Taxation and finance
for that particular retail location.
o For retail dispensary and ROD licensed locations: A copy of your
Notice to Municipality submitted to the appropriate party, available
on the Office’s website.
o A list of all management staff, including first name, last name, and
title, indicating the employee(s) in charge.
Please note, additional requirements for licensure and ongoing compliance
requirements set forth in regulations apply and may be not included on the
licensing application. In accordance with the regulations, the Board and Office
reserve the right to request additional information from applicants before granting
licensure.
General Licensing Application
Frequently Asked Questions
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Updated November 3, 2023
Prospective applicants are strongly encouraged to familiarize themselves with
the licensing requirements before applying for a license. The Office’s regulations
and guidance for licensees are available online.
120. What insurance must I get?
All licensees must obtain:
• Unemployment Insurance;
• Worker’s Compensation;
• Disability Insurance;
• Paid Family Leave; and
• any other insurance required under applicable state or local law.
Additionally, in all insurance documentation the applicant MUST indemnify:
• The Office of Cannabis Management
• The Cannabis Control Board
• The State of New York; and
• Any related parties, including officers or employees.
121. How do I register with the Department of Taxation and Finance?
If you plan to sell items that are subject to New York State Sales and Use Tax,
which includes merchandise and cannabis paraphernalia but does not include
cannabis products themselves, then you must submit proof of a Sales Tax
Certificate of Authority DTF-17. Examples include clothing, keychains, mugs,
pens, water bottles, pipes, bongs, or cannabis storage containers. A Sales Tax
Certificate of Authority must be obtained before a final license is issued. You can
find out more information about obtaining this certificate, including the
application, at New York Business Express.
If applicable for the license type you applied for, after your application has been
approved and a final license has been issued, you must register with the New
York State Department of Taxation and Finance to receive an Adult-Use
Cannabis Certificate of Registration to collect and remit applicable adult-use
cannabis taxes. You can begin the Certification of Adult-Use Registration
process by visiting the Depart of Tax and Finance website. Any licensee that is a
retailer of adult-use cannabis needs a registration to collect the adult-use
cannabis products tax. Any licensee that is a distributor of adult-use cannabis
needs a registration to collect the THC mg tax.
A licensee may not begin operations without registration from the Department of
Taxation and Finance.
General Licensing Application
Frequently Asked Questions
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Updated November 3, 2023
122. If I’m issued a final license, do I need to be ready to begin operating right
away?
You may commence operations as soon as you have received your final license
and submitted to the Office a Certificate of Occupancy or its equivalent for the
licensed location.
123. I have a State of New York Cannabis license. Can I apply for another
license?
Before applying for or otherwise obtaining an interest in a license, you should
review the Office’s guidance on TPI to ensure compliance with the Office’s
guidance. Guidance regarding TPI is available on the Office’s website.
