Section 691-20-4 - General Licensing Criteria and Qualifications(1)General Licensing Criteria. An applicant for a license to operate a cannabis establishment must meet each of the following requirements, if applicable. Except as otherwise provided in this section, if the applicant is a business entity, every principal of the business entity must meet each of the requirements of this section. An applicant shall disclose in or include with its application the names and addresses of the applicant and all natural persons and business entities having a direct or indirect financial interest in the applied-for license and the nature and extent of the financial interest held by each person or entity and, if applicable, the nature and extent of any financial interest the person or entity has in any other license applied for or issued under this rule. (A)Age. The applicant must be at least 21 years of age. If the applicant is a business entity, every principal must be at least 21 years of age.(B)Incorporated in State. If the applicant is a business entity, the business entity must be incorporated in the State of Maine or otherwise formed or organized under the laws of the State.(C)Prohibited persons.(1) Not an employee of a State agency. The applicant may not be employed by the Department or any other state agency with regulatory authority under the rules governing the adult use cannabis program. The applicant must disclose any current state employment.(2) Not law enforcement officer or corrections officer. The applicant may not be a law enforcement officer; a corrections officer as defined in 25 MRS §2801-A(2); or any other natural person subject to the certification requirements of 25 MRS, chapter 341. (D)Good conduct and character.(1) No disqualifying drug offense. (a) Applicants are required to disclose all state and federal criminal convictions, as well as any pending prosecutions, for offenses punishable by imprisonment for one year or more and involving the possession, distribution, manufacturing, cultivation or use of a controlled substance.(b) The Department may require supplemental information regarding any such convictions disclosed by the applicant or identified by a criminal background check.(2) The Department may not grant a license to anyone convicted of such offenses, unless the applicant demonstrates that: (a) The applicant completed his or her sentence, including any term of probation, incarceration or supervised release, 5 or more years prior to the submission of the application; or(b) The conviction was based on conduct that is now authorized by 28-B MRS.(3) No license denial or revocation. The applicant, or if the applicant is a business entity, any principal of the business entity, may not have had denied or revoked previously a license issued pursuant to the rules governing the adult use cannabis program.(4) No medical registry identification card or registration certificate denial or revocation. The applicant, or if the applicant is a business entity, any principal of the business entity, may not have had denied or revoked a registry identification card or registration certificate previously issued pursuant to the Maine Medical Use of Cannabis Act.(5) Departmental consideration of enforcement actions in other jurisdictions. Applicants are required to disclose any violations or penalties imposed in another jurisdiction regarding the regulated cultivation, manufacture, testing or sale of cannabis or cannabis products.(6) The Department may for good cause deny a license to an applicant if the applicant, or if the applicant is a business entity, any principal of the business entity, has had denied or revoked a license, permit, certificate or other government-issued authorization issued in another jurisdiction allowing the cultivation, manufacture, testing or sale of cannabis or cannabis products or has faced significant penalties under such authorization.(7) No outstanding court-ordered payments. A license may not be issued to an applicant if that applicant, or if the applicant is a business entity, any principal of the business entity, has any outstanding payments due on court-ordered fines, court-appointed attorney's fees or court-ordered restitution. Except that the Department may issue a license to an applicant if it is satisfied that the applicant has entered into, and is in compliance with, any agreement or payment plan for the remittance of any fines, fees, or restitution owed.(8) Departmental consideration of past due taxes, interest, penalties or fees in Maine. (a) Applicants are required to submit a detailed list of any pending past due taxes, interest, penalties or fees owed in Maine.(b) The Department may for good cause deny a license to an applicant if the applicant, or if the applicant is a business entity, if any principal of the business entity, is currently delinquent in any payment of income tax, sales tax, excise tax or any other tax, interest, penalty or fee to the state or any municipality within the state. The Department will consider:(i) The amount of the delinquency;(ii) Whether deceit was involved;(iii) Whether the business entity or individual, has entered into, and is in compliance with, any agreement or payment plan with the relevant tax authority overseeing the tax liability for which the applicant is otherwise delinquent; and(iv) Other mitigating circumstances.(9) Departmental consideration of past tax delinquency. (a) Applicants, and if the applicant is a business entity, every principal of the business entity, are required to provide detailed tax history, covering Maine and all other jurisdictions in which taxes were owed, for the 5 years preceding the application.(10) The Department shall consider an applicant's history, and if the applicant is a business entity, the history of every principal of the business entity, pertaining to paying taxes to Maine and other jurisdictions in the previous 2 years, as well as any tax liens imposed in any jurisdiction in the previous 5 years, and may for good cause deny a license to an applicant with a recent history of tax delinquency. (E)Criminal history record check. The applicant must have submitted to a criminal history record check in accordance with the requirements of 28-B MRS and this rule.(F)Compliance with application process; no false statement of material fact. The applicant must have completed all application forms required by the Department fully and truthfully and complied with all information requests of the Department relating to the license application. A license may not be issued to an applicant that has knowingly or recklessly made any false statement of material fact to the Department in applying for a license under this rule. The Department shall revoke the license of a licensee pursuant to 28-B MRS, chapter 1, subchapter 8 if, subsequent to the issuance of the license, the Department determines that the licensee knowingly or recklessly made a false statement of material fact to the Department in applying for the license.(2)Criminal History Record Check. The Department shall require fingerprinting and state and federal criminal history record checks for every applicant who is a natural person, and for every natural person who is a principal of an applicant that is a business entity, and biennially thereafter.(A) For applicants that are business entities, the Department shall require fingerprinting and criminal history record checks for every principal.(B) The applicant is responsible for all costs associated with fingerprinting and criminal history record checks. The fee for the fingerprinting and criminal history record checks shall be set by the State Police and/or State Bureau of Identification, in accordance with its usual operations.(C) The Department shall issue a fingerprinting and criminal history record check form or use forms specified by the Department of Public Safety, Bureau of State Police, State Bureau of Identification or Federal Bureau of investigation. Such forms shall obtain the applicant's consent and information needed to complete the check, including but not limited to:(1) First, middle and last name;(2) Any aliases and/or previous names;(5) Identifying information such as gender, height, weight and eye color;(6) Disclosure of previous convictions;(7) Driver license information; and(8) Address and recent residency information.(D) The Department may request that an applicant disclose his or her Social Security Number if notice is provided that:(1) Indicates the disclosure of the Social Security Number is voluntary; and(2) That the Department requests the Social Security Number for the purpose of positively identifying the applicant during the criminal records check process.(E) All applicants required to submit to a criminal history record check under this section shall submit to having the individual's fingerprints taken. The State Police, upon payment by the individual of the required fee, shall take or cause to be taken the individual's fingerprints and shall forward the fingerprints to the Department of Public Safety, Bureau of State Police, State Bureau of Identification.(F) The State Bureau of Identification shall conduct the state and national criminal history record checks, which shall include information from: (1) The Maine Criminal Justice Information System, regarding records of offenses within the state; and(2) The Federal Bureau of Investigation, regarding offenses in other jurisdictions.(G) Except for the portion of a payment, if any, that constitutes the processing fee for a criminal history record check charged by the Federal Bureau of Investigation, all money received by the State Police under this section must be paid to the Treasurer of State, who shall apply the money to the expenses incurred by the Department of Public Safety in the administration of this section.(H) All criminal history record information obtained by the Department pursuant to this rule is confidential, is for the official use of the Department only and may not be disseminated outside of the Department or disclosed to any other person or entity.(I) The subject of a Federal Bureau of Investigation criminal history record check may obtain a copy of the criminal history record check by following the procedures outlined in 28 Code of Federal Regulations (henceforth referred to C.F.R; the Code of Federal Regulations is available free online at multiple websites, including federal government websites, by searching the citation. All references are to the 2018 version) Sections 16.32 and 16.33. The subject of a state criminal history record check may inspect and review the criminal history record information pursuant to 16 MRS §709.(3)Required Forms and Information for All Licenses. All applicants for a cannabis establishment license shall include on forms supplied by the Department as well as attachments thereto, all information requested by the Department, including without limitation information described in this subsection. The Department may collect this information as part of the application for conditional cultivation facility, testing facility, products manufacturing facility and cannabis store and active sample collector licenses. (A) An applicant for a conditional license for a cultivation facility, testing facility, products manufacturing facility or cannabis store license or an applicant for an active sample collector license shall provide, on forms made available by the Department: (1) The name of the applicant;(2) An email account that is actively monitored;(4) The type of cannabis establishment license being applied for;(5) Whether or not the licensee proposes to co-locate adult use and medical cannabis operations as permitted by this rule and in accordance with rules governing the Maine Medical Use of Cannabis Program on the licensed premises;(6) Identification of every principal of the business entity, as applicable;(7) Identification of all natural persons and business entities having a direct or indirect financial interest in the applied-for license and the nature and extent of the financial interest held by each person or entity and, if applicable, the nature and extent of any financial interest the person or entity has in any other license applied for or issued under this rule;(8) Identification of any other cannabis establishments, including those outside of Maine, in which the applicant, or if the applicant is a business entity, any principal of the business entity, holds an ownership interest;(9) Attestations that the applicant, and every principal of the applicant, as applicable: (a) Has read the licensing requirements;(b) Is age 21 years or older; and(c) Has disclosed any disqualifying drug convictions and pending prosecutions for any such disqualifying drug offense; and(10) A notarized signature page, attesting under penalty of perjury to the accuracy of the information provided in the application.(B) At a minimum, all applicants shall provide, at the time of application, the following information:(1) Proof of lawful presence or citizenship in the United States as required on forms provided by the Department.(2) A list of natural persons and business entities having a direct or indirect financial interest in the applied-for license and a description of the nature and extent of the financial interest held by each person or entity; except that with respect to banks, credit unions, or other state- or federally-chartered financial institutions, in order to the satisfy the requirements of this subsection, the applicant shall disclose:(a) The name of the institution;(b) The address of the institution; and(c) The terms of any financial instrument held by the bank, credit union, or other state- or federally-chartered financial institution.(C) If the applicant for any license is a business entity it shall submit all Department- required forms, attachments and supplemental information for every principal of the business entity, along with the following additional information and supporting material: (1) If the business entity is a corporation, a copy of its articles of incorporation within Maine, corporate bylaws, and most recent stock ledger.(2) If the business entity is a limited liability company, a copy of its certificate of formation within Maine and its most current operating agreement.(3) If the business entity is a general partnership, limited partnership, limited liability partnership or limited liability limited partnership, a copy of the partnership agreement.(D) The Department shall require evidence of compliance with all tax obligations. (1) The Department shall require each applicant, or if the applicant is a business entity, every principal, to disclose the following information to Maine Revenue Services, on forms provided by the Department: (a) The applicant, or if the applicant is a business entity, every principal shall disclose their Social Security Number for the Maine Revenue Service to provide an assessment of whether the person owes back taxes, interest, fees or penalties.(b) A list of sales tax identification numbers and employer identification numbers for all entities licensed in the state in which the applicant, or if the applicant is a business entity, in which every principal, has a management role or ownership interest of 10 percent or more for the Maine Revenue Service to provide an assessment of whether any of those entities owe back taxes, interest, fees or penalties.(2) The Department shall require the disclosure of the following information to Maine Revenue Services for the purpose for providing evidence of compliance with all tax obligations:(a) For each applicant that is a business entity, the business entity's employer identification number and any associated sales tax ID number for the Maine Revenue Service to provide an assessment of whether the business entity applying for a license to operate a cannabis establishment owes back taxes, interest, fees or penalties.(E) It is the exclusive responsibility of the applicant to clearly indicate on any forms, attachments, and supplemental information supplied to the Department any content the applicant deems to be trade secrets or other information that would be within the scope of a privilege against discovery or use as evidence recognized by the courts of this State in civil or criminal trials if the records or inspection thereof were sought in the course of a court proceeding, which may otherwise be included as a "public record" pursuant to 1 MRS §402(3) in a response to a request for records and information under the Maine Freedom of Access Act.18-691 C.M.R. ch. 20, § 4