Operating Procedures

Cannabis Regulatory

Commission

Operating Procedures

Cannabis Regulatory Commission

Code of Ethics

I.

Statement of Policy

A. In the discharge of its powers, duties and responsibilities, the Cannabis Regulatory Commission

conducts its business consistent with high ethical standards. Commissioners are expected to

perform their duties with undivided loyalty and in such a manner as to promote and preserve

public trust and confidence. Commissioners shall avoid all situations where opportunity for

personal or financial gain could influence their decisions in giving favored treatment to any

organization or person. They shall also avoid circumstances and conduct which might appear

questionable to the general public, even if such circumstances or conduct do not constitute actual

wrongdoing or present an actual conflict of interest.

B. In order to promote public confidence in the integrity and impartiality of the Commission,

Commissioners shall respect and comply with the law and establish, maintain and enforce high

standards of conduct.

C. This Code of Ethics shall apply to members of the Commission, the Compliance & Commission

Director, and to all employees of the Commission except as herein specifically provided.

II.

Standards of Conduct

A. Commissioners are governed by ethical standards set forth in the Bay Mills Indian Community

Cannabis Ordinance, Commission rules/procedures and this Code of Ethics. It is the

responsibility of each Commissioner to comply with all applicable statutory and regulatory

provisions and any amendments thereto, whether or not such provisions and amendments are

included in this Code of Ethics.

B. It is the continuing duty of each Commissioner to review and assess his or her conduct in light of

this Code of Ethics

III.

Restrictions of Commissioners

A. No Commissioner shall be retained as an employee or vendor of any Northern Light Cannabis

Company (NLCC).

B. No Commissioner shall have a spouse, parent, step-parent, child, step-child, sibling or other

immediate family on the Business Holding Board or as a Primary Management Official of the

Northern Light Cannabis Company.

1. A Primary Management Official is the person holding the Bay Mills Business Holding

General Manager position.

2. Immediate family is defined as a husband or wife, and any other individual who resides in

the household of the person under consideration.

C. Commissioners that are removed/terminated are prohibited from employment at any NLCC for a

period of one year following removal/termination of position with the Commission, unless

approval is granted by the Commission for the proposed employment with a company.

IV.

Prohibited Conduct

A. Knowingly act in any way that might reasonably be expected to create an impression among the

public that he or she may be engaged in conduct that violates his or her trust as a Commissioner

or employee;

B. Use or attempt to use his or her official position to obtain unwarranted privileges or advantages

for himself or herself or others;

C. Act in his or her official capacity in any matter in which the member or employee or any spouse,

parent, step-parent, child, step-child, sibling, or other immediate family has a direct financial

interest that might reasonably be expected to impair his or her objectivity or independence of

judgement;

D. Act in his or her capacity in any matter concerning an NLCC employee or vendor who is a

spouse, parent, step-parent, child, step-child, sibling, or other immediate family when the fact of

the employment/compensation might reasonably be expected to impair his or her objectivity and

independence of judgment;

E. Willfully disclose, directly or indirectly, without the prior authorization of the Commission, any

confidential information concerning the affairs of the Commission not generally known or

legally available to the public;

F. Use or permit the use of any confidential information, which he or she receives or to which he or

she has access by virtue of his or her official duties;

G. Directly or indirectly accept any gift, favor, service, employment, offer of employment or other

thing of value under circumstances from which it might be reasonably inferred that such gift,

service, or other things of value was given or offered for the purpose of influencing the member

in the discharge of his or her official duties;

H. Solicit or accept, directly or indirectly, any complimentary service or discount from any NLCC

employee or applicant in the discharge of his or her official duties;

I. Testify as a character witness before the Commission; and

J. Lend the prestige of their office to advance the private interests of other, not convey or permit

others to convey the impression that they are in a special position of influence.

V.

General Duties and Obligations

A. To refrain at all times from any criminal conduct, and to cooperate with law enforcement officers

in the proper performance of their official duties.

B. To appear and testify upon matters directly related to the conduct of his or her office before any

tribal, state, or federal court.

C. To uphold the integrity and independence of the Commission, to perform the duties of their

office impartially and diligently, and to be patient, dignified and courteous to those individuals

with whom they deal in their official capacity.

D. To exercise the power of appointment only on the basis of merit, and to allow only such

compensation as is fair value for the services rendered.

VI.

Duties Concerning Pending Proceedings

A. A Commissioner shall disqualify himself or herself in a proceeding or investigation in which his

or her impartiality may reasonably be questioned, including but not limited to instances where he

or she has a personal bias or prejudice concerning a party or personal knowledge of disputed

evidentiary facts concerning the proceeding, or in other circumstances requiring disqualification.

B. A Commissioner shall abstain from public comment about a pending proceeding, exception in

the course of his or her official duties or in explaining for public information the procedures of

the Commission.

C. A Commissioner shall not discuss issues involving any pending or proposed matter whatsoever

which may reasonably be expected to come before the Commission with any person, except for

other Commissioners or other tribal staff designated by the Commission.

VII.

Required Disclosures of Information

A. Each Commissioner shall disclose, in writing, the required information to the Cannabis

Regulatory Commission Director upon commencement of membership or employment, within

five (5) days of the date when he or she becomes aware of any required information not

previously reported.

B. The following is the required reportable information:

1. Any spouse, parent, step-parent, child, step-child, sibling or other immediate family who

holds the Bay Mills Business Holding General Manager position or is on the Bay Mills

Business Holding Board;

2. Any spouse, parent, step-parent, child, step-child, sibling or other immediate family who is a

vendor;

3. Any spouse, parent, step-parent, child, sibling or other immediate family who holds a

financial interest in NLCC;

4. Employment, retainers, contracts and all other business engagements

5. Filing of any criminal charges against the Commissioner or employee.

VIII. Violation of Code of Ethics

Any violations of these provisions shall result in removal/termination.

Certification

This is to certify that the above Cannabis Regulatory Commission – Code of Ethics has been reviewed and

approved by the Bay Mills Indian Community Executive Council.

______________________________________________________

Bay Mills Indian Community Executive Council President

4/22/2024

_____________________________

Date of Approval

Cannabis Regulatory Commission

Investigation and Violation Hearing

I.

Statement of Policy

A. Under Cannabis Regulatory Commission Ordinance 22, in the discharge of its powers, duties and

responsibilities, the Cannabis Regulatory Commission Director shall investigate all violations

and in the course of duties under the Cannabis Ordinance and Cannabis Regulatory Commission

Ordinance shall report all violations to the Cannabis Regulatory Commission.

B. The Cannabis Regulatory Commission, after review of the investigation, may conduct hearings

to suspend or terminate the gaming license of any employee.

II.

Procedure

A. The Compliance & Commission Director shall investigate all potential violations, whether

reported, found during the audit/inspection, or day-to-day operations of the Cannabis Regulatory

Commission, on the company and employees.

B. The Compliance & Commission Director shall immediately bring findings to the Cannabis

Regulatory Commission Chairperson and the Bay Mills Indian Community Legal Department to

determine if immediate action is needed by the Cannabis Regulatory Commission.

1. For immediate action the Cannabis Regulatory Commission Chairperson will call for an

immediate meeting.

2. Investigations not needing immediate response will be brought to the Cannabis Regulatory

Commission at their next regular scheduled meeting.

C. After review of information relevant to the violation, the Cannabis Regulatory Commission shall

determine whether there is sufficient evidence to hold a hearing within 15 days of receipt of the

Director’s report of violation.

D. Within three (3) days of decision to hold a show cause hearing, the Compliance & Commission

Director or designee, sends Notice of Hearing to Business Holdings General Manager, NLCC

Store Manager, and anyone else involved. The hearing shall be set for no less than ten (10) days

and not more than 14 days from the date of the notice. Notice may be delivered in person or via

certified mail to the address on file with the Cannabis Regulatory Commission.

E. Notice shall include the following; reason for the hearing, time, date, location of hearing; an

outline of proceedings, recommended action.

F. General Manager, NLCC Store Manager or anyone else involved shall notify the Compliance &

Commission Director, in writing, not less than 48 hours prior to the hearing date a list of

witnesses and their intent to be represented by legal counsel.

G. Upon such notification of the licensee’s intent to have legal counsel present on their behalf, the

Compliance & Commission Director shall consult with and request the presence of the tribe’s

legal counsel at the hearing.

H. At least four (4) members of the Cannabis Regulatory Commission must be present at every

hearing in order to render and enforce all decisions.

I. Either the licensee or the Compliance & Commission Director may request to reschedule a

hearing provided that such request is made at least three (3) days prior to the scheduled hearing

to the Commission Chairperson.

J. In the event that the licensee fails to appear at a hearing without prior notice and showing of

good cause for non-appearance, the Cannabis Regulatory Commission may proceed with hearing

and decision.

K. The Cannabis Regulatory Commission Chairperson shall preside over the hearing. In the event

that the Chairperson is unavailable, the Commission may designate one of the following to

preside; a member Commissioner, or tribal court staff to preside over the hearing. Only the

Cannabis Regulatory Commission, Compliance & Commission Director, licensee and counsel,

and a recorder shall be present during the entire hearing. The hearing shall proceed in the

following order:

1. The Compliance & Commission Director or designee shall present the violation in question,

including the investigation report, witness testimony, and viewing of evidence when

necessary. At the conclusion of the presentation, the Compliance & Commission Director

shall indicate the recommended disciplinary action.

2. The licensee shall present any evidence, information or witness testimony relevant to the

violation in question, including the opportunity to cross examine any opposing witness

presented by the Compliance & Commission Director. The licensee may present argument as

to why disciplinary action should not be issued.

3. Witnesses for either party shall only be present at the time of their testimony.

L. Upon conclusion of the hearing, the Cannabis Regulatory Commission shall deliberate and shall

issue a decision. The decision shall comply with the requirements of the Cannabis Ordinance and

Cannabis Regulatory Commission Ordinance. Notice of Cannabis Regulatory Commission

action shall be given to the Compliance & Commission Director.

M. The entire proceeding, including deliberation shall be recorded and transcribed.

N. The Compliance & Commission Director shall notify all those involved of the Cannabis

Regulatory Commission action, in writing, via certified mail or in person within three (3) days of

hearing. Notification shall include written decision as to the nature of the violation, action taken

on.

O. The Cannabis Regulatory Commission decision and hearing shall be permanently filed in the

designated file system.

Certification

This is to certify that the above Cannabis Regulatory Commission – Investigation and Violation Hearing has

been reviewed and approved by the Bay Mills Indian Community Executive Council.

______________________________________________________

Bay Mills Indian Community Executive Council President

4/24/2024

_____________________________

Date of Approval

Cannabis Regulatory Commission

Background Investigation

I.

Statement of Policy

A. Under the Cannabis Regulatory Commission Ordinance Section 10.C, Cannabis Ordinance

Section 124, and at the direction of the Bay Mills Business Holding Legal Department the

Compliance & Commission Director shall perform a background investigation of the Cannabis

Regulatory Commissioners, and Northern Light Cannabis Company employees (NLCC). The

Compliance & Commission Director background investigation shall be conducted by the Bay

Mills Business Holding General Manager with the results submitted to the Bay Mills Business

Holding Board.

B. No Commissioner shall be appointed and no employee shall be hired without first having a

background investigation. Employees shall have a yearly background investigation on or before

their birthday in order to maintain employment. It will be considered a violation of the Cannabis

Regulatory Commission Ordinance and the Cannabis Ordinance to allow appointment and

employment without passing a background investigation.

C. No Commissioner shall be appointed and no employee shall be hired that have failed a

background investigation. Each of these classifications will be considered an applicant for this

policy and procedure only.

II.

Background Checks

A. Prior conviction that involved distribution of a controlled substance or any other offense related

to a controlled substance other than cannabis.

B. A pattern of convictions involving dishonesty, theft, or fraud that indicate the prospective

member is unfit to serve.

C. A complaint or other notice filed with any public body regarding payment of any tax required

under federal, state, or local law that has been delinquent for one (1) or more years.

D. History of noncompliance with any regulatory requirements, all legal judgements, lawsuits, legal

proceedings, charges or government investigation, whether initiated, pending, or concluded,

against the applicant, that are related to business operations, including, but not limited to fraud,

environmental, food safety, labor, employment, worker’s compensation, discrimination, and tax

laws and regulations, in this state or any other jurisdiction.

E. Conviction related to the distribution of a controlled substance to a minor.

III.

Procedures

A. Each applicant shall fill out the required background investigation form and turn it into the

Compliance & Commission Director. Background investigation forms are as follows:

1. Cannabis Regulatory Commissioner Form – MC1

2. NLCC Employee Application Form – MC2

3. NLCC Employee Yearly Renew Form – MC3

B. Upon receipt of the investigation form, the Compliance & Commission Director shall

immediately begin the background investigation.

C. Once the background investigation is complete, the Compliance & Commission Director will

review results to determine if there is history that would eliminate the applicant from the

position.

D. The Compliance & Commission Director will notify either Business Holding Board, Business

Holding General Manager and/or Director of Cannabis Operations immediately with applicant’s

background results.

E. All investigation materials will be filed in the designated file system.

Certification

This is to certify that the above Cannabis Regulatory Commission – Background Investigation has been

reviewed and approved by the Bay Mills Indian Community Executive Council.

______________________________________________________

Bay Mills Indian Community Executive Council President

4/22/2024

_____________________________

Date of Approval

Cannabis Regulatory Commission

THC Concentration-Infused Products

I.

Statement of Policy

Under the Cannabis Ordinance 121 the Cannabis Regulatory Commission has to establish levels

THC concentrations for Cannabis-infused products.

II.

Approved THC Levels

A. Product 1 – Level

B. Product 2 – Level

III.

Procedure

A. The Compliance & Commission Director shall work with the Bay Mills General Manager (GM)

and the Director of Cannabis Operations (DCO) to determine the proper levels for each of their

Cannabis-infused products.

B. Once the levels have been agreed upon, the Compliance & Commission Director will bring the

proposed levels with all related materials gathered in making the decision to the Cannabis

Regulatory Commission for approval.

C. Upon approval by the Cannabis Regulatory Commission, the Compliance & Commission

Director will bring the approved levels to the Bay Mills Indian Community Executive Council

for approval and implementation.

D. Bay Mills Indian Community Executive Council decision:

1. Upon approval the Compliance & Commission Director shall update this procedure and

notify the Cannabis Regulatory Commission, GM, and DCO of the decision.

2. If the levels are denied the Compliance & Commission Director will perform the duties

and/or wishes of the Board.

E. All documentation will be filed in the designated file system.

Certification

This is to certify that the above Cannabis Regulatory Commission – THC Concentration-Infused Products

has been reviewed and approved by the Bay Mills Indian Community Executive Council.

______________________________________________________

Bay Mills Indian Community Executive Council President

4/22/2024

_____________________________

Date of Approval

Cannabis Regulatory Commission

Yearly License Review

I.

Statement of Policy

A. The Cannabis Regulatory Commission shall yearly determine review period/dates required for

all requested materials. The following documentation shall be provided to the Cannabis

Regulatory Commission or designee on or before December 1st of each year.

B. The Cannabis Regulatory Commission shall review all requested documentation and issue

licenses prior to their expiration.

II.

Grower License

• Documentation of the cannabis secure transporter

• List of all cannabis plants sold

• List of all sales or transfer of seeds, seedlings, tissue cultures, or immature plants with and

without using a cannabis secure transporter (this excludes in-house grows transfer to processing)

• Generated report from the tribal monitoring system of all the transfer entries

• Generated report from the tribal monitoring system of all transactions, current inventory, and

other information required in writing by the Cannabis Regulatory Commission

• List of all transfer of cannabis seeds, tissue, cultures, and clones received from another grower

licensed by the State of Michigan, another Tribal Entity, this ordinance, or all.

o A copy of license must be provided for each grower listed above.

III.

Processor License

• Documentation of the cannabis secure transporter

• List of cannabis or cannabis infused products

• Generated report from the tribal monitoring system of all transactions, current inventory, and

other information required in writing by the Cannabis Regulatory Commission

IV.

Retailer License

• Documentation of the cannabis secure transporter

• List of all transfer of cannabis to a cannabis safety compliance facility for testing

• Generated report of all labels initiated for sell or transfer of cannabis

• Generated report from the tribal monitoring system of all transactions, current inventory, and

other information required in writing by the Cannabis Regulatory Commission

• Generated reports from the tribal monitoring system of customers date of birth and single

transactions of sell or transfers

V.

Security Transporter License

• List of all secure transporters and their drivers

• Generated report from the tribal monitoring system of all transactions, current inventory, and

other information required in writing by the Cannabis Regulatory Commission

• Copy of each secure transporter driver’s license

• Generated report from the tribal monitoring system of all transports this includes route plan,

manifest, crew, and documentation that a copy was carried in the transporting vehicle

•

•

•

Documentation of the sealed containers used for transport

Documentation of location of secure transporter vehicle

Documentation of all inspections done by the Bay Mills Law Enforcement

Certification

This is to certify that the above Cannabis Regulatory Commission Yearly License Review has been

reviewed and approved by the Bay Mills Indian Community Executive Council.

______________________________________________________

Bay Mills Indian Community Executive Council President

4/22/2024

_____________________________

Date of Approval