What Is an OCM Statement of Findings and How Do I Respond?
A Statement of Findings (SOF) is the document New York's Office of Cannabis Management emails to your primary contact after an inspection, listing every item that must be corrected. You respond with a Corrective Action Plan (CAP): within 24 hours for Category 1–3 violations and within 15 days for Category 4–5. Receiving an SOF does not put you out of good standing, but missing the CAP deadline can lead to suspension, revocation or civil penalties.
What is an inspection notice?
The inspector hands you an inspection notice the day they arrive. It is the official notification that you are being inspected and explains what to expect after the visit. Keep it, with every other document from the inspection, in your business records.
What are the five violation categories?
What is a Statement of Findings?
An SOF is emailed by the OCM to your business's primary contact. It lists everything found during the inspection that must be corrected to comply with New York regulations. You may receive one SOF covering all issues, separated by SOF number, or several SOFs from the same inspection.
Each SOF typically states the violation category, the time you have to respond, the specific finding, and a corrective action you must consider in your CAP.
For Category 1, 2 or 3 violations you will also receive a quarantine order requiring immediate attention. For Category 4 and 5, the SOF may not arrive for many weeks after the inspection. Silence from the OCM does not mean no violations were found. Your primary contact should check the on-file email inbox daily.
How soon do I have to respond?
Categories 1–3: act immediately to fix the issue and submit a CAP within 24 hours of the violation being issued.
Categories 4–5: submit a CAP within 15 days of receiving the SOF.
How should I respond to an SOF?
Respond with a Corrective Action Plan. The OCM usually attaches a CAP template to the SOF; you are not required to use it, but if you submit in another format, check it against the template so nothing is missed.
Submit a separate CAP for each finding. Combine findings only when they share the same corrective action.
What must a Corrective Action Plan contain?
Assessment of the violation and its circumstances: restate the facts as you understand them; describe remedies already implemented; attest there was no intent to violate the law; add any other relevant information.
Procedures for correcting each area of non-compliance.
Prevention: how the corrective actions will be implemented to stop it recurring.
Correction date for each area of non-compliance.
Anything else the OCM requested in the SOF.
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Are there rules for attachments?
Yes. Title every supporting document with your license number and the OCM's SOF number. Mention and describe each attachment in the body of the CAP.
Am I still in good standing after an SOF?
Typically, yes. The SOF and CAP process exists so you can remedy non-compliance before more serious action is taken.
What happens if I miss the CAP deadline?
Failure to submit a CAP can result in suspension, cancellation or revocation of your license, civil penalties, or permanent debarment.
Frequently asked questions
How is an SOF delivered? By email to the primary contact on file with the OCM. Monitor that inbox daily.
Can I get one CAP to cover several findings? Only if the findings share the same corrective action. Otherwise each finding gets its own CAP.
Do I have to use the OCM's CAP template? No, but use it as a checklist if you submit in your own format.
What if I disagree with a finding? Your CAP assessment section is where you restate the facts as you understand them. Growv can help you frame a response that addresses the finding without conceding points you dispute.
Will an SOF appear on my license record? The SOF/CAP process is designed as a remediation step; a licensee that responds on time is typically still considered in good standing.