POKAGON BAND OF POTAWATOMI INDIANS

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CANNABIS REGULATORY COMMISSION

CANNABIS REGULATIONS

Table of Contents

Chapter 1

General Provisions .............................................................................................................5

Section 1.01 Authority .............................................................................................5

Section 1.02 Purpose................................................................................................ 5

Section 1.03 Scope...................................................................................................5

Section 1.04 Construction ........................................................................................ 5

Section 1.05 Severability .........................................................................................6

Section 1.06 Effective Date ..................................................................................... 6

Section 1.07 Definitions .......................................................................................... 6

Chapter 2

Cannabis Tracking System ............................................................................................. 15

Section 2.01 General Requirements.......................................................................15

Section 2.02 Implementation and Administration .................................................16

Section 2.03 Fees ...................................................................................................17

Section 2.04 Reserved............................................................................................ 17

Section 2.05 System Data Points and Information Entry ...................................... 18

Chapter 3

Cannabis Facility Licenses ............................................................................................. 20

Section 3.01 Determinations .................................................................................. 20

Section 3.02 Fees ...................................................................................................21

Section 3.03 Standards ...........................................................................................21

Section 3.04 Application Procedure .....................................................................21

Section 3.05 Plans .................................................................................................22

Section 3.06 Premises Review ..............................................................................23

Section 3.07 Renewal ...........................................................................................23

Chapter 4

Cannabis Supplier Licenses ........................................................................................... 25

Section 4.01 Determinations .................................................................................25

Section 4.02 Fees .................................................................................................. 25

Section 4.03 Standards .......................................................................................... 25

Section 4.04 Application Procedure .....................................................................25

Section 4.05 Renewal ...........................................................................................26

Section 4.06 Reciprocity .......................................................................................27

Chapter 5

Cannabis Employees ....................................................................................................... 28

Section 5.01 Prerequisites to Hire ......................................................................... 28

Section 5.02 Background Investigation .................................................................28

Section 5.03 Excluded Cannabis Employee List .................................................. 29

Section 5.04 Information Form Submission ..........................................................30

Section 5.05 Identification Card Fee .................................................................... 30

Section 5.06 Identification Card Issuance ............................................................ 30

Section 5.07 Identification Card Content .............................................................. 31

Section 5.08 Identification Card Duration ............................................................31

Section 5.09 Identification Card Revocation ........................................................31

Section 5.10 Identification Card Carrying ............................................................32

Section 5.11 Identification Card Replacement ......................................................32

Chapter 6

Cannabis Operations .......................................................................................................33

Section 6.01 Reportable Events .............................................................................33

Section 6.02 Disposal ............................................................................................34

Section 6.03 Storage ..............................................................................................35

Section 6.04 Inventory ........................................................................................... 36

Section 6.05 Records and Audits ...........................................................................36

Section 6.06 Security ............................................................................................. 38

Section 6.07 Transportation ...................................................................................40

Chapter 7

Safety ................................................................................................................................. 45

Section 7.01 Testing .............................................................................................. 45

Section 7.02 Edible Cannabis Product Safety ....................................................... 47

Section 7.03 Labeling ............................................................................................ 48

Section 7.04 Packaging .......................................................................................... 49

Section 7.05 Marketing .......................................................................................... 50

Section 7.06 Administrative Hold ......................................................................... 51

Section 7.07 Returns .............................................................................................. 52

Section 7.08 Sale or Transfer .................................................................................52

Section 7.09 Drugged Driving Prevention ............................................................. 53

Chapter 8

Designated Consumption Areas ..................................................................................... 54

Section 8.01 Commission Approval ...................................................................... 54

Section 8.02 Operations Plan ................................................................................. 54

Section 8.03 Floor Plan.......................................................................................... 56

Chapter 9

Hearing Procedures .........................................................................................................57

Section 9.01 Scope.................................................................................................57

Section 9.02 Notice of Hearing.............................................................................. 57

Section 9.03 Ex Parte Communications ................................................................ 57

Section 9.04 Attorney Appearances.......................................................................58

Section 9.05 Discovery .......................................................................................... 59

Section 9.06 Confidential Information .................................................................. 59

Section 9.07 Hearing Rules ................................................................................... 61

Section 9.08 Rules of Evidence ............................................................................. 61

Section 9.09 Commission Decisions ..................................................................... 62

Section 9.10 Sanctions ...........................................................................................63

History............................................................................................................................... 63

CHAPTER 1

GENERAL PROVISIONS

Section 1.01 Authority.

The Cannabis Regulatory Commission (“Commission”) approves these Regulations pursuant to

Chapters 3 and 7 of the Act.

Section 1.02 Purpose.

The Commission developed, proposed, and promulgated these Regulations to:

(a) protect the health, safety, and welfare in a manner substantively similar to State Law

regarding Cannabis Related Business Activities;

(b) align the Band’s regulatory and enforcement systems with the Guidance Priorities to

ensure that no Cannabis Related Business Activities are permitted within the Reservation that

could substantially depart from the Guidance Priorities;

accountability of Cannabis Related Business Activities within the Reservation; and

(d) implement and ensure compliance with the requirements of the Compact.

Section 1.03 Scope.

These Regulations shall apply to all Persons engaged in Cannabis Related Business Activities

within the Reservation.

Section 1.04 Construction.

(a) These Regulations, to the extent reasonable, shall be read and interpreted in a manner

consistent with the Act, but in the event of any inconsistency, the Act shall control.

(b) These Regulations, to the extent reasonable, shall be read and interpreted in a manner

consistent with any Expedited Regulations, but in the event of any inconsistency, the Expedited

Regulations shall control.

consistent with the Compact, but in the event of any inconsistency, the Compact shall control.

(d) These Regulations shall be liberally construed in favor of the Band and are not intended

to limit or repeal any Band power, authority, right, or immunity, including any possessed by the

Commission or Tribal Police or any of their respective employees.

(e) Nothing in these Regulations is intended to, nor shall waive any rights of the Band of any

nature whatsoever reserved under any treaty or provided for under federal law.

(f) Nothing in these Regulations is intended to, nor shall limit any rights, powers, or

privileges retained by the Band under the Constitution or by law.

(g) Nothing in these Regulations is intended to, nor shall grant, expand, or confirm in any

way whatsoever, the jurisdiction of any State, rather all State Law prohibitions, limitations and

requirements which may be included under these Regulations are adopted solely as a matter of

Band law.

(h) Nothing in these Regulations is intended to, nor shall serve as a concession or admission

of any nature whatsoever regarding the jurisdiction of any State or any burden arising from

compliance with any State Law.

Section 1.05 Severability.

If a court of competent jurisdiction holds that any provision or application of these Regulations is

invalid, such judgment shall not affect, impair, or invalidate the remainder of these Regulations,

which shall continue in full force and effect.

Section 1.06 Effective Date.

Consistent with subsection 1.03(e) of the Act, these Regulations shall become effective on the

date set forth in the Commission resolution that approves these Regulations.

Section 1.07 Definitions.

In addition to the definitions stated in Section 1.07 of the Act, capitalized terms in these

Regulations shall have the meanings set forth below.

(a) “Act” means the Pokagon Band Cannabis Regulatory Act.

(b) “Active Ingredient” means all cannabinoids, including tetrahydrocannabinol (THC),

cannabidiol (CBD), cannabinol (CBN) cannabigerol (CBG), tetrahydrocannabivarin (THCV),

and all terpenes, including myrcene.

(d) “Application” means the form through which an Applicant requests the issuance or

renewal of any License.

(e) “Authorized Visitor” means a person who is twenty-one (21) years of age or older,

including individuals providing trade or professional services who are not normally engaged in

the operation of a Cannabis Facility or involved in Cannabis Related Business Activities, that:

(1) is not an individual that is required to have Cannabis Employee credentials under the

Act; and

(2) while present in any Cannabis Facility, is reasonably monitored, logged in as a

visitor, and escorted through any secure areas of a Cannabis Facility by a Cannabis

Employee.

(f) “Band” means the Pokagon Band of Potawatomi Indians, a sovereign, federally

recognized Indian tribe.

(g) “Band Citizen” means a duly enrolled member of the Band.

(h) “Band Owned” means that the entire ownership interest is held by the Band, any wholly

owned instrumentality of the Band established under Band law, or any entity that is wholly

owned by or through the Band or any instrumentality of the Band established under Band law.

(i) “Batch” means Cannabis or Cannabis Product of the same variety that has been processed

together and exposed to substantially similar conditions throughout processing.

(j) “Cannabis” means any of the following:

(1) a plant or part of the Cannabis plant, whether growing or not;

(2) the seeds of the Cannabis plant;

(3) the resin extracted from any part of the Cannabis plant;

(4) a compound, manufacture, salt, derivative, mixture, extract, acid, isomer, salt of an

isomer, or preparation of any of the above described in this subsection 1.07(j)(1)-(3);

(5) a topical formulation, tincture, beverage, edible substance, or similar product

containing Cannabis and other ingredients and that is intended for human consumption;

(6) a product with a THC concentration of more than 0.3% on a dry-weight or per

volume basis in the form in which it is intended for sale to a consumer;

Except for the resin extracted from any of the following, Cannabis shall not include any of

the following:

(1)

the mature stalks of the Cannabis plant;

(2)

fiber produced from the mature stalks of the Cannabis plant;

(3)

oil or cake made from the seeds of the Cannabis plant;

(4)

a compound, manufacture, salt, derivative, mixture or preparation of the mature

stalks of the Cannabis plant;

(5)

industrial hemp grown;

(6)

an ingredient combined with Cannabis to prepare topical or oral administrations,

food, drink, or other products; or

(7)

a drug for which an application filed in accordance with 21 USC 355 is approved

by the Food and Drug Administration.

(k) “Cannabis Accessory” means any equipment, product, material, or combination of

equipment, products, or materials, that is specifically designed for use in Cannabis Related

Business Activities, or for ingesting, inhaling, or otherwise introducing Cannabis into the

human body.

(l) “Cannabis Employee” means, except as otherwise provided in the Act, a person who is

twenty-one (21) years of age or older performing work or service for compensation at a

Cannabis Facility and includes salaried employees, hourly employees, contract employees,

trainees, independent contractors, or any other person given any type of employee credentials

or authorized access to the secured area of a Cannabis Facility. The term “Cannabis

Employee” does not include any Authorized Visitor. The inclusion of any person in the

definition of “Cannabis Employee” who otherwise would not be classified as an employee

under applicable law relating to employee classification shall not render such person an

employee for any other purpose or grant such person any right, benefit, or opportunity

possessed by any employee.

(m) “Cannabis Employee Identification Card” means the identification card issued to a

Licensee for a Cannabis Employee by the Commission, which shall contain the information

required under Section 5.07 of these Regulations.

(n) “Cannabis Employee Identification Number” means the unique number the Commission

assigns to each Cannabis Employee.

(o) “Cannabis Facility” means any physical facility located on the Reservation at which

Cannabis Related Business Activities occur but excluding any physical facility at which no

Cannabis or Cannabis Product is located.

(p) “Cannabis Facility License” means the License required to operate a Cannabis Facility

within the Reservation, as described in Chapter 9 of the Act and Chapter 3 of these Regulations.

(q) “Cannabis Facility Licensee” means a Licensee that has been issued a valid and current

Cannabis Facility License under the Act and these Regulations.

(r) “Cannabis Goods or Services” means any Cannabis, Cannabis Product, Cannabis

Accessories, or Cannabis Related Business Activities.

(s) “Cannabis Infused Product” means a topical formulation, tincture, beverage, edible

substance, or similar product containing Cannabis and other ingredients and that is intended for

human consumption.

(t) “Cannabis Product” means a Cannabis Infused Product, and the dried leaves, flowers, plant

resin, or extract of the Cannabis plant, but not the stalks, and roots of the plant.

(u) “Cannabis Related Business Activities” means the planting, cultivating, growing,

harvesting, manufacturing, compounding, converting, producing, processing, preparing,

packaging, storing, transporting, exchanging, distributing, or selling of any Cannabis, including

any Cannabis Product, or any Cannabis Accessories.

(v) “Cannabis Supplier” means any Person that engages in any Cannabis Related Business

Activities within the Reservation with any business relationship with a Cannabis Facility

Licensee relating to a Cannabis Facility, including supplying, transporting, or testing any

Cannabis, Cannabis Product, or Cannabis Accessory. “Cannabis Supplier” does not include the

Band or any Band Owned entity, or any Cannabis Facility.

(w) “Cannabis Supplier License” means the License required to operate as a Cannabis

Supplier within the Reservation, as described in Chapter 10 of the Act and Chapter 4 of these

Regulations.

(x) “Cannabis Testing Certification Form” means the form required by the Commission,

which at a minimum, shall require a Cannabis Supplier that is not a State Licensee to certify that:

(1) the Sample of the subject Cannabis or Cannabis Product was tested by a Marijuana Safety

Compliance Facility to determine compliance with the Minimum Testing Standards; and (2)

such Testing confirms that the subject Cannabis or Cannabis Product meets the Minimum

Testing Standards.

(y) “Cannabis Tracking System” means the electronic seed-to-sale tracking and tracing

system that captures and maintains records of Cannabis, Cannabis Products and Licensee activity

in accordance with Chapter 7 of the Act and Chapter 2 of these Regulations.

(z) “Cannabis Transporter Vehicle” means any vehicle used by a Licensee to transport

Cannabis or Cannabis Products.

(aa)

“Certificate of Analysis” is a written statement from a Marijuana Safety

Compliance Facility that certifies the accuracy and completeness of test results for a Sample and

that a Cannabis Supplier that is not a State Licensee must provide to a Cannabis Facility Licensee

for each corresponding Batch for any Cannabis or Cannabis Product that is delivered to the

Cannabis Facility.

(bb)

“Child-Resistant” means special packaging that is: (1) designed or constructed to

be significantly difficult for children under five (5) years of age to open and not difficult for

normal adults to use properly; (2) opaque so that the packaging does not allow the product to be

seen without opening the packaging material; and (3) re-sealable for any product intended for

more than a single use or containing multiple servings.

(cc)

“Code of Offenses” means the Band Code of Offenses.

(dd)

“Commission” means the Cannabis Regulatory Commission established under

Section 2.01 of the Act.

(ee)

“Commissioner” means a member of the Commission appointed by the Tribal

Council under Section 2.07 of the Act.

(ff)

“Compact” means the compact between the Band and the State Regulatory Agency

and State Department of Treasury concerning Cannabis, as may be amended.

(gg)

“Completed Application” means the Commission has received all applicable

Application form(s), all information, documents, and forms required under the Act, these

Regulations, or by the Commission, and all required Application and license fees.

(hh)

“Constitution” means the Band Constitution.

(ii)

“Control Person” means any person who has the power to direct or cause direction

of the management and policies of the business operations of a Cannabis Supplier as verified by

the Cannabis Supplier’s ownership and organization structure described in the documents

establishing the existence of the Cannabis Supplier and the designation of persons authorized to

act on behalf of the Cannabis Supplier.

(1) A person shall be presumed to have control when such person owns shares of any

corporation that is not a publicly traded corporation and such person owns, controls, or

holds the power to vote ten percent (10%) or more of the voting securities of the

corporation.

(2) Control Persons include members of the board of directors, chief executive

officer, chief operating officer, and any person with the responsibility and authority to

manage the contract on behalf of the Cannabis Supplier with respect to the Cannabis

Goods or Services being provided to a Cannabis Facility.

“Control Person” shall not include, solely for any Cannabis Supplier in which a federally

recognized Indian tribe holds at least a fifty-one percent (51%) ownership interest, any

elected or appointed representative of such tribal owner who is serving in the Cannabis

Supplier’s ownership and organization structure unless the representative is also a full-time

employee of the Cannabis Supplier.

(jj) “Designated Consumption Area” means the area within the grounds of a retail Cannabis

Facility that the Cannabis Facility Licensee has designated, and the Commission has approved,

for the consumption of Cannabis or Cannabis Products by adults who are twenty-one (21) years

of age and older.

(kk)

“Edible Cannabis Product” means any Cannabis Infused Product that contains

Cannabis that is intended for human consumption in a manner other than inhalation but does not

include any Cannabis Infused Product that is intended for topical application.

(ll)

“Enforcement Proceeding” means any proceeding initiated by the Commission

against a Licensee, which involves suspending, conditioning, limiting, or revoking any License

or to reprimand, warn, or fine a Licensee.

(mm)

“Enforcement Hearing” means any hearing before the Commission to adjudicate a

matter that is subject to an Enforcement Proceeding.

(nn)

“Excluded Cannabis Employee List” means the list of persons who cannot be

employed at a Cannabis Facility that is maintained by the Commission based on:

(1) the results of a criminal history background check conducted by a Cannabis Facility

Licensee before hiring that person in accordance with subsection 11.01(a) of the Act; or

(2) an investigation conducted by the Commission under the Act concerning violations

of the Act, these Regulations, or the Compact.

(oo)

“Executive Director” means the person appointed to serve in the position

established under Section 4.02 of the Act, who shall exercise the power and perform the duties

specified in the Act.

(pp)

“Fiscal Year” means the Band government fiscal year.

(qq)

“General Counsel” means the Band Office of General Counsel.

(rr)

“Guidance Priorities” means the priorities regarding federal Cannabis

enforcement set forth in the U.S. Department of Justice memorandum dated August 29, 2013

from Deputy Attorney General James Cole titled “Guidance Regarding Marijuana Enforcement”

and the U.S. Department of Justice memorandum dated October 28, 2014 from Director Monty

Wilkinson titled “Policy Statement Regarding Marijuana Issues in Indian Country”

(notwithstanding the rescission of those memoranda by U.S. Department of Justice memorandum

dated January 4, 2018 from Attorney General Jefferson Sessions titled “Marijuana

Enforcement”):

(1) preventing the distribution of Cannabis to minors;

(2) preventing revenue from the sale of Cannabis from going to criminal enterprises,

gangs, and cartels;

(3) preventing the diversion of Cannabis from states where it is legal under state law in

some form to other states;

(4) preventing state-authorized Cannabis activity from being used as a cover or pretext

for the trafficking of other illegal drugs or other illegal activity;

(5) preventing violence and the use of firearms in the cultivation and distribution of

Cannabis;

(6) preventing drugged driving and the exacerbation of other adverse public health

consequences associated with Cannabis use;

(7) preventing the growing of Cannabis on public lands and the attendant public safety

and environmental dangers posed by Cannabis production on public lands; and

(8) preventing Cannabis possession or use on federal property.

(ss)

limitation”.

“Include”, whether or not capitalized, shall be deemed to be followed by “without

(tt)

“Immature Plant” means a nonflowering Cannabis plant that is not a Mature Plant

or a seedling.

(uu)

“Inactive Ingredient” means any component other than an Active Ingredient.

(vv)

“License” means a limited grant of authority by the Commission under the Act to

a specific Person to engage in certain Cannabis Related Business Activities that cannot be

performed or engaged in without a License.

(ww)

“Licensee” means any Person who has been issued a valid and current License

under the Act.

(xx)

“Marijuana Safety Compliance Facility” means a facility that has a current and

valid marijuana safety compliance facility license from the State Regulatory Agency.

(yy)

“Marketing of Cannabis and Cannabis Products” includes advertising conducted

through print, broadcast, radio, social media, Internet applications, billboards, and other channels

of communication employed to conduct outreach to the public.

(zz)

“Mature Plant” means a Cannabis plant that is flowering.

(aaa)

“Minimum Testing Standards” means the minimum sampling and testing

standards set forth in Mich. Admin. Code R. 420.301 to 420.308, as amended, and in the most

current version of the Sampling and Testing Technical Guidance for Marijuana Products

published by the State Regulatory Agency.

(bbb)

“MRTMA” means the Michigan Regulation and Taxation of Marihuana Act,

MCL 333.27951 et seq., as amended.

(ccc)

“Originating Establishment” means the Licensee that possesses the Cannabis or

Cannabis Product to be transported immediately prior to transport.

(ddd)

“Person” means any business, proprietorship, association, partnership, syndicate,

corporation, firm, joint venture, trust or other form of business association or entity, labor

organization, state, local government, government instrumentality or entity, as well as a natural

person, while “person”, without an initial capital “P”, refers exclusively to a natural person.

(eee)

“Pest” means undesired insect, rodent, nematode (small worm), fungus, bird,

vertebrate, invertebrate, weed, virus, bacteria, or other microorganism (except microorganisms

on or in humans or animals) injurious to health or the environment.

(fff)

“Pesticide” means a substance used to destroy, repel or mitigate Pests.

(ggg)

“Petitioner” means the Person who challenges a Commission decision under the

Act or is subject to an adverse decision by the Commission under the Act, including the denial,

suspension, or revocation of a License under the Act.

(hhh)

“Presiding Officer” means the Chairperson under subsection 13.04(a) of the Act,

or the hearing officer designated under subsection 13.04(b) of the Act, as applicable.

(iii) “Quality” means that the Cannabis or Cannabis Product consistently meets the established

specifications for identity, cannabinoid concentration, composition, and limits on contaminants,

and has been manufactured, packaged, labeled, and held under conditions to prevent adulteration

and misbranding.

(jjj)

“Quality Control” means a planned and systematic operation or procedure for

ensuring the quality of the Cannabis or Cannabis Product.

(kkk)

“Regulation” means any regulation promulgated by the Commission under the

Act, including these Regulations.

(lll)

“Reservation” means, pursuant to the Pokagon Restoration Act or other applicable

federal law, all lands within the State:

and

(1) the title to which is held in trust by the United States for the benefit of the Band;

(2) proclaimed by the Secretary of the Interior to be part of the Band’s reservation.

“Reservation” includes any rights-of-way running through the reservation.

(mmm)

than not.

“Reasonable Grounds” means articulable facts that make a conclusion more likely

(nnn)

“Sample” means a portion or part of a Batch, the characteristics of which

represent, as accurately as possible, the entire Batch, allowing for the Marijuana Safety

Compliance Facility Testing results of the Sample to be generally applied to the entire Batch.

(ooo)

“State” means the State of Michigan.

(ppp)

“State Cannabis Tracking System” means the Marijuana Enforcement Tracking

Reporting & Compliance system, also referred to as the METRC system or, as applicable, the

cannabis monitoring system for tracking, inventory, and verification in use by the State

Regulatory Agency.

(qqq)

“State Department of Treasury” means the Michigan Department of Treasury.

(rrr)

“State Law” means all statutes and regulations of the State, including any

regulations promulgated by the State Regulatory Agency.

(sss)

“State License” means a license issued by the State Regulatory Agency that

allows a person to operate a Marijuana Establishment pursuant to the MRTMA.

(ttt)

“State Licensee” means a person holding a valid State License.

(uuu)

“State Regulatory Agency” means the Michigan Cannabis Regulatory Agency.

(vvv)

“Temporary License” means a limited grant of authority by the Commission under

the Act on an interim basis pending a decision regarding whether or not to grant a License to a

specific Person to engage in certain Cannabis Related Business Activities that cannot be

performed or engaged in without a License granted by the Commission under Chapter 9 or 10.

(www)

“Testing” means the research and analysis of Cannabis or Cannabis Products for

contaminants, safety, or potency. “Testing” or “test” includes the collection of Samples of

Cannabis or Cannabis Products for testing purposes.

(xxx)

“Tribal Council” means the governing body of the Band established under Article

IX of the Constitution.

(yyy)

“Tribal Court” means the trial level court and the appellate level court of the Band.

(zzz)

“Tribal Police” means the Band Tribal Police.

(aaaa)

“Visibly Intoxicated" means displaying obvious, objective, and visible evidence

of intoxication that would be apparent to an ordinary observer.

CHAPTER 2

CANNABIS TRACKING

Section 2.01 General Requirements.

(a) All Cannabis Facility Licensees shall track and trace Cannabis and Cannabis Products

from Immature Plant to point of sale, transfer, or destruction in accordance with this Chapter 2.

(b) Cannabis Suppliers who are licensed under the Act and these Regulations based on the

status set forth in subsection 10.01(c)(1) or 10.01(c)(3) of the Act are exempted from any

provisions in this Chapter 2 or in these Regulations which require the entry of data into the State

Cannabis Tracking System; provided, however, that Cannabis Suppliers are not exempted from

the prohibitions against misrepresentation and falsification of information set forth in subsection

(g).

System:

(1) a complete inventory of all Cannabis Goods or Services;

(2) any changes to the Cannabis Facility Licensee’s inventory of any Cannabis Goods or

Services;

(3) when Cannabis waste is destroyed, including the information described in subsection

6.02(e) of these Regulations;

(4) when a sale or transfer occurs from a Cannabis Supplier to a Cannabis Facility

Licensee and any other sale or transfer from one Licensee to another Licensee, including the

date, time, quantity, and price of each sale or transfer of Cannabis or Cannabis Product;

(5) when a sale or transfer occurs from a Cannabis Facility Licensee to a Cannabis

customer, including the date, time, quantity, and price of each sale or transfer of Cannabis or

Cannabis Product to a person that is at least twenty-one (21) years of age;

(6) any theft of any Cannabis or Cannabis Product;

(7) for retail sales or transfers, the identity of the Cannabis Employee that made the sale

or transfer to a Cannabis customer;

(8) all mandatory Testing results; and

(9) any other information required by the Cannabis Tracking System or as otherwise

specified by the Commission.

(d) The Cannabis Tracking System shall consist of a controlled access electronic database

accessible exclusively to Licensees and Commission personnel.

(e) The Cannabis Tracking System shall incorporate the use of bar code tags and labels,

capable of being scanned, containing unique identifiers for association with individual Cannabis

Goods and Services.

(f) Any Cannabis Facility Licensee that sells, purchases, or transfers Cannabis or Cannabis

Products to or from a State Licensee shall enter information about the Cannabis or Cannabis

Products and about the sale, purchase, or transfer into the State Cannabis Tracking System in

accordance with this Chapter and as required by the State Regulatory Agency’s administrative

rules applicable to State Licensees such that the Cannabis or Cannabis Product can be traced in

the State Cannabis Tracking System to its origin.

(g) No person shall intentionally misrepresent or falsify information entered in the Cannabis

Tracking System or the State Cannabis Tracking System. The Cannabis Tracking System shall be

the system of record for sales, purchases, and transfers by a Cannabis Facility Licensee to or

from a Person other than a State Licensee. The State Cannabis Tracking System shall be the

system of record for sales, purchases, and transfers by a Cannabis Facility Licensee to or from a

State Licensee. The Cannabis Facility Licensee is responsible for the accuracy and completeness

of all data and information entered in the Cannabis Tracking System and the State Cannabis

Tracking System.

Section 2.02 Implementation and Administration.

(a) Unless temporarily waived by the Commission for good cause shown, a Cannabis Facility

Licensee shall have a Cannabis Tracking System account activated and functional prior to

operating or exercising any privileges of a Cannabis Facility License. The Cannabis Facility

Licensee shall keep and maintain comprehensive records to ensure adequate inventory tracking

of any item listed in subsection 2.01(c) above during any period the Cannabis Facility Licensee is

not using the Cannabis Tracking System.

(b) A Cannabis Facility Licensee shall have a State Cannabis Tracking System account

activated and functional prior to purchasing, selling, or transferring Cannabis or Cannabis

Products to or from a State Licensee.

Tracking System administrator, provided that for a Cannabis Facility, the Cannabis Employee

shall hold a Cannabis Employee Identification Card.

(d) Each Cannabis Facility Licensee shall designate at least one employee as a State

Cannabis Tracking System administrator, provided that such employee must hold a Cannabis

Employee Identification Card.

(e) A Cannabis Facility Licensee shall ensure that all of its employees are trained in the

implementation and administration of the Cannabis Tracking System.

(f) A Cannabis Facility Licensee or its designee shall attend and successfully complete all

State Cannabis Tracking System training required by the State Regulatory Agency.

(g) Each Cannabis Facility Licensee is responsible for all costs associated with its use of the

Cannabis Tracking System and State Cannabis Tracking System, including any associated

vendor fees.

(h) A Cannabis Facility Licensee may designate additional employees as Cannabis Tracking

System or State Cannabis Tracking System users, provided that for a Cannabis Facility, the

employee shall hold a Cannabis Employee Identification Card. The Cannabis Facility Licensee

shall ensure that all individuals who are granted Cannabis Tracking System or State Cannabis

Tracking System user account access for the purposes of conducting inventory tracking functions

in the system are trained by the Cannabis Tracking System administrators in the proper and

lawful use of the Cannabis Tracking System.

(i) A Cannabis Facility Licensee shall maintain License and Cannabis Employee records

concerning renewal, revocation, suspension, changes, and reportable events as described in

subsection 6.01. A Cannabis Facility Licensee may, subject to Commission approval, use

secondary software applications to maintain such records.

(j) A Cannabis Facility Licensee shall ensure that each Cannabis Tracking System and State

Cannabis Tracking System account administrator and user has a unique log-on, consisting of a

username and password, which shall not be shared with or used by any other person.

(k) A Cannabis Facility Licensee shall cancel any Cannabis Tracking System or State

Cannabis Tracking System account administrator or user from the Cannabis Tracking System

account within seven (7) business days after the Cannabis Employee’s employment with the

Licensee is terminated.

(l) A Cannabis Tracking System administrator shall ensure that all inventory is tagged and

entered in the Cannabis Tracking System as required by these Regulations.

(m) A Cannabis Tracking System administrator shall correct any information that is entered

into the Cannabis Tracking System or State Cannabis Tracking System in error within three (3)

business days of discovery of the error.

(n) A Cannabis Facility Licensee’s administrator shall monitor all notifications from the

Cannabis Tracking System and State Cannabis Tracking System and resolve all issues identified

in the notification. The notification shall not be dismissed by the administrator until the issue(s)

identified in the notification has been resolved.

Section 2.03 Fees.

The Commission shall have no financial responsibility in connection with the Cannabis Tracking

System or the State Cannabis Tracking System, including for any fees and expenses charged by

software vendors.

Section 2.04 Reserved.

Section 2.05 System Data Points and Information Entry.

(a) A Cannabis Facility Licensee shall issue a unique identifier generated by the Cannabis

Tracking System to each Batch of Cannabis or Cannabis Products that it produces or

manufactures or that it otherwise changes the nature of in such a manner as to render the

information from an existing unique identifier inaccurate or incomplete.

(b) Using the unique identifier, a Cannabis Facility Licensee shall enter each instance of the

following activities into the Cannabis Tracking System for all Cannabis and Cannabis Products

in its possession, which data shall be entered during or promptly upon completion of an activity,

but if not feasible for a specific transaction not later than twenty-four (24) hours after completion

of the activity:

(1) cultivation, harvesting, processing or manufacturing;

(2) Marijuana Safety Compliance Facility Testing and results;

(3) packaging;

(4) labeling;

(5) storage;

(6) sale or transfer;

(7) transportation;

(8) receipt;

(9) return;

(10) recall;

(11) spoilage or adulteration;

(12) destruction or disposal; and

(13) any other instance prescribed by the Commission.

Tracking System the following corresponding information:

(1) unique identifier of the Cannabis or Cannabis Product involved;

(2) product, brand name, or type of Cannabis or Cannabis Product involved, as

applicable;

(3) amount of Cannabis by weight in metric and/or imperial units (as directed by the

Commission), and by number for Cannabis Product, if appropriate;

(4) nature of the activity and any required details;

(5) date and time of the activity;

(6) name and license number of the Licensees involved;

(7) name and License or registration number of all employees conducting the activity;

(8) address where the activity took place; and

(9) any other information as may be prescribed by the Commission.

(d) Without limiting any requirements under subsection 2.01(f), any Cannabis Facility

Licensee that sells, purchases, or transfers Cannabis or Cannabis Products to or from a State

Licensee shall ensure that the Cannabis or Cannabis Products and the sale, purchase, or transfer

comply with the State Regulatory Agency’s administrative rules applicable to State Licensees

related to the unique identification number tags or Radio Frequency Identification tags for

tracking, identifying, and verifying Cannabis and Cannabis Products in the Statewide Monitoring

System.

(e) System Outages.

(1) If a Cannabis Facility Licensee experiences a Cannabis Tracking System or State

Cannabis Tracking System outage or is otherwise unable to access the Cannabis Tracking

System or the State Cannabis Tracking System for any reason, the Cannabis Facility Licensee

shall:

(i) keep and maintain a detailed record, electronically if possible, in such a manner

that provides safeguards against erasures and unauthorized changes in data, of all

Cannabis activity conducted during the outage period that would otherwise be entered

into the Cannabis Tracking System or the State Cannabis Tracking System; and

(ii) immediately contact and alert the applicable system vendor to the outage.

(2) A Cannabis Facility Licensee shall maintain a record of all Cannabis Tracking

System and State Cannabis Tracking System outages, including the time and date that access

was lost and restored.

(3) If a Cannabis Facility Licensee experiences a Cannabis Tacking System or State

Cannabis Tracking System outage for more than one (1) hour during normal business hours,

the Cannabis Facility Licensee shall notify the Commission and, for the State Cannabis

Tracking System, the State Regulatory Agency in writing of the outage, as soon as

practicable but no later than the end of that business operations day, and maintain a log of all

such communications.

(4) Within twenty-four (24) hours after a Cannabis Facility Licensee’s access to the

Cannabis Tracking System or State Cannabis Tracking System is restored, the Cannabis

Facility Licensee shall complete a manual entry into the Cannabis Tracking System or the

State Cannabis Tracking System, as applicable, of all required information that took place

during the outage period. For manual entries into the Cannabis Tracking System, if a

Cannabis Facility Licensee can demonstrate that twenty-four (24) hours is not reasonably

sufficient to complete the manual entry, the Commission may extend the deadline.

(f) Reconciliations.

(1) Point of Sale Reconciliation. A Cannabis Facility Licensee shall reconcile its records

within the Cannabis Tracking System and the State Cannabis Tracking System with the

records of its point-of-sale software at the close of each day it conducts business. If

reconciliation reveals a discrepancy, the Cannabis Facility Licensee shall determine the cause

of the discrepancy and take corrective action. The Cannabis Facility Licensee shall

immediately notify the Commission if the Cannabis Facility Licensee is unable to determine

the cause of the discrepancy within three (3) days, or if the discrepancy is due to suspected

theft or diversion. Upon such notification, the Commission may require the Cannabis Facility

Licensee to report the event to Tribal Police.

(2) Inventory Reconciliation. A Cannabis Facility Licensee shall reconcile its records in

the Cannabis Tracking System and the State Cannabis Tracking System with its physical

inventory at least once every month. If reconciliation reveals a discrepancy, the Cannabis

Facility Licensee shall conduct an audit to determine the cause of the discrepancy and take

corrective action. The Cannabis Facility Licensee shall immediately notify the Commission if

the Cannabis Facility Licensee is unable to determine the cause of the discrepancy within

three (3) days, or if the audit identifies a discrepancy that appears to be due to theft. Upon

such notification, the Commission may require the Cannabis Facility Licensee to report the

event to Tribal Police.

Section 2.07 Suspension

If the Commission or the State Regulatory Agency suspends or terminates a Cannabis Facility

Licensee’s access to the State Cannabis Tracking System, then the Cannabis Facility Licensee

shall not purchase, sell, or transfer Cannabis or Cannabis Products to or from a State Licensee

until such time that the suspension or termination is lifted.

CHAPTER 3

CANNABIS FACILITY LICENSES

Section 3.01 Determinations.

(a) The Commission shall make all Cannabis Facility License determinations in accordance

with the Act and these Regulations, including Chapter 9 of the Act, and this Chapter 3.

(b) Upon receipt of a Completed Application, the Commission shall follow the procedures set

forth in Section 9.04 of the Act, which shall include the Commission making its best effort to

render a determination regarding an Application within thirty (30) days following receipt of a

Completed Application.

Section 3.02 Fees.

(a) An Applicant shall pay the Commission a nonrefundable Application fee at the time of

filing an Application for a Cannabis Facility License to defray the costs associated with

administering the Commission’s licensing responsibilities under the Act, including any

background investigation conducted by the Commission.

(b) The Commission shall approve a schedule of fees each year in accordance with Section

8.05 of the Act, which schedule shall be deemed to be incorporated into these Regulations.

relating to a Cannabis Facility License, provided that the motion or resolution approving the

suspension shall state the duration of the suspension. The Commission shall notify each

Cannabis Facility Licensee of any fee suspension.

Section 3.03 Standards.

(a) In accordance with subsection 9.04(c) of the Act, the Commission shall approve the

Application unless the Commission determines that the Applicant fails to meet the applicable

standards under Band law, the Regulations, or the Compact or that, based on Reasonable

Grounds, the Cannabis Facility will be operated in violation of Band law, the Regulations, or the

Compact.

(b) Consistent with the purpose set forth in Section 1.04 of the Act, and the standard and

burden set forth in subsection 8.07(a) of the Act, the Commission shall not approve an

Application unless the Applicant establishes by clear and convincing evidence that the operation

of the Cannabis Facility will protect the public health, safety, and welfare in a manner

substantively similar to State Law regarding Cannabis Related Business Activities, which

determination shall be based upon the Commission’s review of the Application, including all

plans required under Section 3.05 of these Regulations.

these Regulations shall be grounds for denial of the Application for a Cannabis Facility License.

Section 3.04 Application Procedure.

(a) The Applicant shall apply for a Cannabis Facility License on the Application form

provided by the Commission.

(b) The Applicant for a Cannabis Facility License shall submit with the Application all other

information, documents and forms required under the Act or these Regulations, and by the

Commission.

(d) By submitting an Application for a Cannabis Facility License, the Applicant shall be

deemed to have agreed to fulfill all responsibilities under the Act, these Regulations and the

Compact and to have consented to the Commission’s exercise of its power and authority pursuant

to the Act, these Regulations and the Compact.

Section 3.05 Plans.

(a) In addition to any other plans required under the Act, an Application for a Cannabis

Facility License shall include the following plans:

(1) a Security Plan;

(2) a Safety and Hazard-Mitigation Plan;

(3) a Facility Operations Plan;

(4) a Cannabis Waste Disposal Plan;

(5) an Inventory Control Plan;

(6) a Storage of Cannabis Plan;

(7) a Transportation Plan;

(8) a Quality Control and Testing Plan;

(9) a Retail Dispensing Plan;

(10) a Restricting Access to Only Individuals Age 21 and Older Plan;

(11) a Maintenance of Financial Records Plan;

(12) an Emergency Response Plan; and

(13) a Background Investigation and Training Plan for Cannabis Employees.

(b) An Applicant for a Cannabis Facility License may combine one or more of the above

plans in a single plan, provided that the plan clearly identifies every component.

Regulations and, to the extent not in conflict with these Regulations, all substantive requirements

of State Law relating to the plan.

(d) A Cannabis Facility Licensee may revise one or more plans from time to time. The

Cannabis Facility Licensee shall promptly provide each proposed revised plan to the Commission

for review. Upon receipt of the proposed revised plan, the Commission shall within thirty (30)

business days of its receipt of the plan either: (i) provide the Cannabis Facility Licensee with

written notice of any regulatory concerns involving such plan; or (ii) advise the Cannabis Facility

Licensee in writing that its revised plan has been approved by the Commission.

(e) If the Commission provides the Cannabis Facility Licensee with written notice under

subsection (c) above, the Cannabis Facility Licensee shall further revise such plan to address any

such regulatory concerns and shall submit the proposed revised plan to the Commission. The

Commission shall have thirty (30) business days to provide the Cannabis Facility Licensee with

written notice that such further revisions to the proposed revised plan either: (i) do not adequately

address the Commission’s regulatory concerns; or (ii) are approved by the Commission. This

process shall continue until all of the Commission’s regulatory concerns involving the proposed

revised plan have been addressed, at which point the Cannabis Facility Licensee may implement

the plan.

(f) A Cannabis Facility Licensee shall fully comply with each plan, as may be revised.

Section 3.06 Premises Review.

(a) The Commission shall condition a Cannabis Facility License on the Applicant providing

the Commission with a certificate of occupancy issued by the Code Enforcement Officer under

the Band’s Health and Safety Act.

(b) In accordance with subsection 9.04(a)(2) of the Act, upon receipt of a Completed

Application, the Commission shall review the premises of the Cannabis Facility to ensure that the

premises comply with Band law, the Regulations, and the Compact.

whether the plans required under subsection 3.05 of these Regulations adequately protect the

public health, safety, and welfare in consideration of such premises and operations of the

Cannabis Facility.

(d) In accordance with the Act, including subsection 2.16(g) and 2.16(h), and these

Regulations, including subsection 6.05(e), the Commission may periodically inspect and review

the premises of the Cannabis Facility to ensure continued compliance with Band law, the

Regulations, and the Compact.

Section 3.07 Renewal.

(a) The Applicant shall apply for a Cannabis Facility License on the renewal Application

form provided by the Commission.

(b) The Applicant for a Cannabis Facility License shall submit with the Application all other

information, documents and forms required under the Act or these Regulations, and by the

Commission.

be deemed to have agreed to fulfill all responsibilities under the Act, these Regulations and the

Compact and to have consented to the Commission’s exercise of its power and authority pursuant

to the Act, these Regulations and the Compact.

(d) The standards set forth in Section 9.03 of the Act and Section 3.03 of these Regulations

shall apply to the renewal Application for a Cannabis Facility License.

(e) Upon receipt of a completed renewal Application for a Cannabis Facility License, the

Commission shall act in accordance with Section 9.06 of the Act, including granting a

Temporary License under subsection 9.06(d) of the Act, if appropriate.

(f) In accordance with subsection 9.06(a) of the Act, a Licensee that seeks to renew a

Cannabis Facility License shall submit a written renewal Application to the Commission on the

form provided by the Commission at least sixty (60) days prior to the date any Cannabis Facility

License will expire.

(g) In accordance with subsection 9.06(b) of the Act, the Commission shall approve an

Application to renew a Cannabis Facility License within forty-five (45) days following the

Commission’s receipt of a complete Application and all required documentation unless the

Commission determines that the Applicant does not meet the standards set forth in Section 9.03

of the Act or Section 3.03 of these Regulations.

(h) The Commission shall follow Section 9.04 of the Act in connection with any renewal

Application.

CHAPTER 4

CANNABIS SUPPLIER LICENSES

Section 4.01 Determinations.

(a) The Commission shall make all Cannabis Supplier License determinations in accordance

with the Act and these Regulations, including Chapter 10 of the Act and this Chapter 4.

(b) The Commission shall follow the procedures set forth in Sections 10.03 and 10.05 of the

Act, including that if the Commission received a Completed Application, then within thirty (30)

days of the completion of all background investigations, the Commission shall meet, review the

Application and the investigative report, and shall make a preliminary determination of whether

the Applicant qualifies for a Cannabis Supplier License under this Chapter.

Section 4.02 Fees.

(a) An Applicant shall pay the Commission a nonrefundable Application fee at the time of

filing an Application to for a Cannabis Supplier License to defray the costs associated with

administering the Commission’s licensing responsibilities under the Act, including any

background investigation conducted by the Commission.

(b) The Commission will establish the Application fee in accordance with Section 8.05 of the

Act and subsection 3.02(b) of these Regulations.

relating to a Cannabis Supplier License, provided that the motion or resolution approving the

suspension shall state the duration of the suspension. The Commission shall notify each

Cannabis Facility Licensee and each Applicant of any fee suspension.

Section 4.03 Standards

(a) In addition to the prohibition under subsection 10.01(c) of the Act and the licensing

standards under Section 10.04 of the Act, consistent with the purpose set forth in Section 1.04 of

the Act and the standard and burden set forth in subsection 8.07(a) of the Act, the Commission

shall not approve an Application unless the Applicant establishes by clear and convincing

evidence that the operation of the Cannabis Supplier will protect the public health, safety, and

welfare in a manner substantively similar to State Law regarding Cannabis Related Business

Activities, which determination shall be based upon the Commission’s review of the Application.

(b) Any failure by an Applicant to comply with the Application requirements of the Act or

these Regulations shall be grounds for denial of an Application for a Cannabis Supplier License.

Section 4.04 Application Procedure.

(a) The Applicant shall apply for a Cannabis Supplier License on the Application forms

provided by the Commission.

(b) The Applicant for a Cannabis Supplier License shall submit with the Application all other

documents required under the Act or these Regulations, and any other information or forms

required by the Commission, including:

(1) a signed Acknowledgement form required under subsection 10.02(d) of the Act;

(2) a signed Background Investigation form required under subsection 10.03(a) of the

Act; and

(3) a copy of a valid: (i) Caregiver ID Card; (ii) license issued by the State to engage in

Cannabis Related Business Activities; or (iii) tribal license to engage in Cannabis Related

Business Activities, as applicable.

by the Commission, including a signed Acknowledgement form and Background Investigation

form.

Section 4.05 Renewal.

(a) The Applicant shall apply for a Cannabis Supplier License on the renewal Application

form provided by the Commission.

(b) The Applicant for a Cannabis Supplier License shall submit with the Application all other

information, documents and forms required under the Act or these Regulations, and by the

Commission.

be deemed to have agreed to fulfill all responsibilities under the Act, these Regulations and the

Compact and to have consented to the Commission’s exercise of its power and authority pursuant

to the Act, these Regulations and the Compact.

(d) The prohibitions under subsection 10.01(c) of the Act and standards set forth in Section

10.04 of the Act and Section 4.03 of these Regulations shall apply to a renewal Application for a

Cannabis Supplier License.

(e) Upon receipt of a completed renewal Application for a Cannabis Supplier License, the

Commission shall act in accordance with Sections 10.03 and 10.05 of the Act, including granting

a Temporary License under subsection 10.07(c) of the Act, if appropriate.

(f) In accordance with subsection 10.07(a) of the Act, a Licensee shall submit a written

renewal Application to the Commission on the form provided by the Commission at least sixty

(60) days prior to the date any Cannabis Supplier License will expire, which Application may

require the Licensee to revise and supplement the information provided to the Commission with

the Licensee’s initial Application for a Cannabis Supplier License.

(g) In accordance with subsection 10.07(b) of the Act, the Commission shall approve

Applications to renew a Cannabis Supplier License within thirty (30) days following the

Commission’s receipt of a complete Application and all required documentation unless the

Commission determines that the Licensee is not eligible under subsection 10.01(c) of the Act or

fails to meet the standards under Section 10.04 of the Act and Section 4.03 of these Regulations.

(h) The Commission shall follow Section 10.03 and 10.05 of the Act in connection with any

renewal Application.

Section 4.06 Reciprocity

(a) For an Applicant for a Cannabis Supplier License that possesses a valid Caregiver ID

Card issued by the State Regulatory Agency or that possesses a license from another federally

recognized Indian tribe located in this State to sell, purchase, or transfer Cannabis or Cannabis

Product, the Commission may recognize and accept the licensing determinations of the State

Regulatory Agency or the cannabis regulatory agency of another federally recognized Indian

tribe located within the State, as applicable, regarding an Applicant in accordance with Chapter

10 of the Act and this Section 4.06, but only if the Commission determines that such other

jurisdiction applies licensing standards that are as stringent and a background investigation

process that is as rigorous as the Act requires.

(b)

For an Applicant for a Cannabis Supplier License that is a State Licensee, the

Commission shall recognize and accept the licensing determinations of the State Regulatory

Agency in accordance with Chapter 10 of the Act, including that the Applicant meets the

eligibility requirements and licensing standards set forth in subsection 10.01(c)(2) and

subsection 10.04(b). For such Applicants, the Commission shall confirm that the Applicant

possesses a State License, including obtaining a copy of the Applicant’s license from the

Applicant or the State Regulatory Agency.

requirements of Chapter 10 of the Act and this Chapter 4 as it determines are unnecessary when

granting reciprocity to the licensing determinations of another jurisdiction and shall waive the

background investigation process for an Applicant for a Cannabis Supplier License that is a State

Licensee if the Commission determines that the Applicant meets the eligibility requirements and

licensing standards set forth in Chapter 10, including in subsection 10.01(c)(2) and subsection

10.04(b).

CHAPTER 5

CANNABIS EMPLOYEES

Section 5.01 Prerequisites to Hire.

(a) In accordance with subsection 11.01(b) of the Act, a Cannabis Facility Licensee shall not

hire any person as a Cannabis Employee without first:

(1) conducting or causing to be conducted a criminal history background check in

accordance with subsection 11.01(a) of the Act; and

(2) ensuring that the person is not included on the Excluded Cannabis Employee List.

(b) A Cannabis Facility Licensee shall not hire any person as a Cannabis Employee unless

the person passes a criminal history background check based on the standards set forth in

subsection 5.02(b) of these Regulations.

United States of each person it seeks to hire as a Cannabis Employee in connection with

conducting the criminal history background check.

Section 5.02 Background Investigation.

(a) In accordance with subsection 11.01(a) of the Act, a Cannabis Facility Licensee shall

conduct or cause to be conducted a criminal history background investigation on any perspective

Cannabis Employee before hiring that person.

(b) A Cannabis Facility Licensee shall conduct or cause to be conducted a criminal history

background investigation on a Cannabis Employee within sixty (60) days prior to expiration of

the Cannabis Employee’s Cannabis Employee Identification Card under subsection 5.08(a) of

these Regulations.

whether a perspective or current Cannabis Employee was convicted of, or entered a plea of

guilty, or no contest to:

(1) any offense involving the distribution of a controlled substance to a minor, as

employment of such persons is prohibited by subsection 11.01(b)(12) of the Act;

(2) any misdemeanor involving any fraud, theft, dishonesty, or moral turpitude within

five (5) years of the employment application date, but excluding any conviction or plea

involving Cannabis; or

(3)

any felony within ten (10) years of the employment application date, but

excluding any crime determined by the Cannabis Facility Licensee to relate to the furtherance

of the Band’s tribal sovereignty rights or any conviction or plea involving Cannabis.

(g) In accordance with subsection 11.01(a) of the Act, upon request by the Commission, a

Cannabis Facility Licensee shall submit to the Commission the results of any criminal history

background check relating to a prospective Cannabis Employee and shall report to the

Commission any new or pending criminal charges or convictions involving a Cannabis

Employee in accordance with subsection 11.01(b) of the Act.

(h) Within seven (7) days of receiving the results of a criminal history background check, a

Cannabis Facility Licensee shall submit to the Commission the results of any criminal history

background check for any prospective or current Cannabis Employee who does not pass a

criminal history background check based on the standards set forth in subsection 5.02(b) of these

Regulations to enable the Commission to update the Excluded Cannabis Employee List.

Section 5.03 Excluded Cannabis Employee List.

(a) In accordance with subsection 11.01(b)(2) of the Act, the Commission shall maintain the

Excluded Cannabis Employee List.

(b) The Excluded Cannabis Employee List shall be limited to the following persons:

(1) any person who was convicted of, or entered a plea of guilty, or no contest to any

offense listed in subsection 5.02(c) of these Regulations; or

(2) any Cannabis Employee found by the Commission in connection with any

investigation conducted under the Act to have willfully violated any provision of the Act,

these Regulations, the Compact, or any plan described in subsection 3.05(a) of these

Regulations, but only if the violation posed an immediate threat to the health, safety, and

welfare of the Band or others.

within seven (7) calendar days, notify the Cannabis Facility Licensee of the specific reasons for

such addition, and inform the Cannabis Facility Licensee of its right to challenge the

Commission’s decision under Chapter 9 of these Regulations.

(d) A Cannabis Facility Licensee may challenge the Commission’s decision to add any

person to the Excluded Cannabis Employee List in accordance with hearing procedures set forth

in Chapter 9 of these Regulations.

(e) A challenge by a Cannabis Facility Licensee shall not delay the effectiveness of the

Commission’s decision to add a person to the Excluded Cannabis Employee List, unless the

Commission elects stay such decision either on its own, or upon request by the Cannabis Facility

Licensee, following the Commission’s receipt of a challenge.

(i) The Commission shall update the Excluded Cannabis Employee List not less than

monthly, including to remove persons who no longer are qualify under subsection 5.02(c) of

these Regulations.

(j) The Commission shall immediately provide each Cannabis Facility Licensee with any

updated Excluded Cannabis Employee List.

(k) A Cannabis Facility Licensee shall not continue to employ any Cannabis Employee who

is added to the Excluded Cannabis Employee List, provided that a Cannabis Facility Licensee

may suspend the Cannabis Employee pending final resolution of any challenge by a Cannabis

Facility.

(l) A Cannabis Facility Licensee shall not continue to employ any Cannabis Employee after

becoming aware that the Cannabis Employee was convicted of, or entered a plea of guilty, or no

contest to an offense stated in subsection 5.02(c) of these Regulations, regardless of whether the

Cannabis Employee has been added to the Excluded Cannabis Employee List.

Section 5.04 Information Form Submission.

Consistent with subsection 11.01(b) of the Act, a Cannabis Facility Licensee shall, on a Cannabis

Employee Information Form provided by the Commission, submit to the Commission within

seven (7) business days of the Cannabis Employee’s hiring or, for a current Cannabis Employee,

within twenty (20) days prior to expiration of a Cannabis Employee Identification Card, the

following information:

(a) the Cannabis Employee’s full name;

(b) the Cannabis Employee’s date of birth;

Facility Licensee under subsection 11.01(a) of the Act, which shall include whether the

prospective Cannabis Employee passed the background investigation based on the standards set

forth in subsection 5.02(c) of these Regulations; and

(d) a certification that the Licensee operating the Cannabis Facility complied with the

requirements of Section 5.01 of these Regulations.

Section 5.05 Identification Card Fee.

(a) The Commission will not charge a Cannabis Facility Licensee a separate Cannabis

Employee Identification Card fee.

(b) In accordance with Section 8.05 of the Act, in establishing a schedule of fees for a

Cannabis Facility License, the Commission will recoup the costs associated with administering

the Cannabis Employee Identification Cards.

Section 5.06 Identification Card Issuance.

(a) In accordance with subsection 11.01(d) of the Act, the Commission shall issue to the

Licensee a Cannabis Employee Identification Card for the Cannabis Employee within fourteen

(14) days of receipt of the Cannabis Employee Information Form, unless the Cannabis Employee

is on the Excluded Cannabis Employee List.

(b) If the Commission denies a Cannabis Employee Identification Card, the Commission

shall, within seven (7) calendar days, notify the Cannabis Facility Licensee of the specific

reasons for such denial, and inform the Cannabis Facility Licensee of its right to challenge the

Commission’s decision under Chapter 9 of these Regulations.

Cannabis Employee Identification Card in accordance with hearing procedures set forth in

Chapter 9 of these Regulations.

(d) A challenge by a Cannabis Facility Licensee shall not delay the effectiveness of the

Commission’s decision to deny a Cannabis Employee Identification Card, unless the

Commission elects stay such decision either on its own, or upon request by a Cannabis Facility

Licensee, following the Commission’s receipt of a challenge.

(e) A Cannabis Facility Licensee shall not continue to employ any Cannabis Employee for

whom the Commission has denied a Cannabis Employee Identification Card, provided that the

Cannabis Facility Licensee may suspend the Cannabis Employee pending final resolution of any

challenge by the Cannabis Facility Licensee.

Section 5.07 Identification Card Content.

The Cannabis Employee Identification Card shall display on its face the Cannabis Employee’s

photograph, name, the Cannabis Employee Identification Number, the Cannabis Facility or

Cannabis Facilities at which the Cannabis Employee is authorized to work, and the effective date

and expiration date of the Cannabis Employee Identification Card.

Section 5.08 Identification Card Duration.

(a) A Cannabis Employee Identification Card shall be valid for three (3) years, except as

otherwise provided in these Regulations.

(b) A Cannabis Employee Identification Card shall be deemed invalid on the date a Cannabis

Employee no longer is employed by a Cannabis Facility Licensee.

Section 5.09 Identification Card Revocation.

(a) The Commission shall revoke the Cannabis Employee Identification Card for any

Cannabis Employee who is added to the Excluded Cannabis Employee List.

(b) Upon any revocation of a Cannabis Employee Identification Card, a Cannabis Facility

Licensee shall use reasonable efforts to cause a Cannabis Employee to deliver the Cannabis

Employee Identification Card to the Cannabis Facility.

Cannabis Facility, a Cannabis Facility Licensee shall use reasonable efforts to cause a Cannabis

Employee to deliver the Cannabis Employee Identification Card to the Cannabis Facility.

Section 5.10 Identification Card Carrying.

(a) A Cannabis Facility Licensee shall ensure that all Cannabis Employees to whom the

Commission has issued a Cannabis Employee Identification Card carry a Cannabis Employee

Identification Card on their person at all times while performing job duties unless such

requirement is waived in writing by the Commission or Executive Director.

(b) A Cannabis Facility Licensee shall not permit any Cannabis Employee to whom the

Commission has issued a Cannabis Employee Identification Card to perform job duties without

carrying a Cannabis Employee Identification Card on their person at all times.

Section 5.11 Identification Card Replacement.

(a) A Cannabis Facility Licensee may submit a written request to the Commission for a

replacement Cannabis Employee Identification Card for any Cannabis Employee Identification

Card that is destroyed, damaged, or lost.

(b) A written request for a replacement Cannabis Employee Identification Card shall be made

on a Replacement Card Request Form to be provided by the Commission.

Notwithstanding Section 5.10 of these Regulations, a Cannabis Facility Licensee may permit a

Cannabis Employee to perform job duties without carrying a Cannabis Employee Identification

Card on their person if the Cannabis Employee Identification Card was destroyed, damaged, or

lost, and a Replacement Card Request Form was submitted to the Commission, provided that this

exception shall not apply once the Commission has issued a replacement Cannabis Employee

Identification Card.

CHAPTER 6

CANNABIS OPERATIONS

Section 6.01 Reportable Events.

(a) A Licensee shall immediately notify the Commission upon becoming aware of any

suspected:

(1) diversion, theft, loss, adulteration, or unauthorized destruction of any Cannabis,

Cannabis Accessory, or Cannabis Product;

(2) sale of Cannabis or Cannabis Product in violation of the Act or these Regulations,

including Section 7.01 below;

(3) loss or unauthorized alteration of records related to any Cannabis, Cannabis

Accessory, or Cannabis Product;

(4) Cannabis or Cannabis Product spoilage, contamination, or any other condition

rendering the Cannabis or Cannabis Product potentially unsuitable for human consumption;

(5) response by law enforcement to the Cannabis Facility for any reason;

(6) damage to Band property or environmental contamination involving the premises;

(7) injury to any Cannabis Employee, patron, or visitor to the Cannabis Facility; and

(8) as otherwise required by these Regulations.

(b) A Cannabis Facility Licensee shall ensure that its Facility Operations Plan required under

subsection 3.05(a)(3) above requires each Cannabis Employee to immediately notify the

Licensee of upon becoming aware of any suspected violation of subsection 6.01(a) above.

Additionally, Cannabis Employees may directly report to the Commission any such suspected

violation.

require the Licensee to notify Tribal Police of the event, if not already notified by the Licensee or

a Cannabis Employee.

(d) Within twenty-four (24) hours of a Licensee providing the notice required by subsection

6.01(a) above, or the Commission contacting the Licensee in response to notice under subsection

6.01(b) above, the Licensee shall provide to the Commission a signed statement that details the

factual circumstances of the event, including, as applicable:

(1) an accurate inventory of the quantity and type of any Cannabis or Cannabis Product

diverted, stolen, lost, destroyed or damaged;

(2) a detailed description of any Cannabis or Cannabis Product sold in violation of

Section 7.01 below, including the date(s), type(s), and amount(s).

(3) a detailed description of any records lost or altered, whether any internal or thirdparty investigation is still ongoing; and

(4) confirmation that the Tribal Police were notified.

(e) A Licensee shall notify the Commission no later than the next business day after any of

the following:

(1) any alarm activation or other security event that warrants notification of the Tribal

Police;

(2) any breach of security;

(3) any failure of a security alarm system due to a loss of electrical support or mechanical

malfunction that is expected to last longer than two (2) hours; or

(4) any disruption in video surveillance coverage.

(f) A Licensee shall notify the Commission within five (5) business days of any corrective

measures taken in response to an event specified in subsection 6.01(d) above.

(g) A Licensee shall maintain and produce to the Commission all records related to an

occurrence that is reportable pursuant to subsections 6.01(a), (c) and (d) above.

(h) For any Licensee that holds a license in another jurisdiction that allows the Licensee to

engage in Cannabis Related Business Activities in that jurisdiction, the Licensee shall

immediately notify the Commission if the other jurisdiction suspends or revokes the Licensee’s

license in the other jurisdiction or otherwise sanctions the Licensee. A Licensee shall maintain

and produce to the Commission all records related to the suspension, revocation, or sanction.

Section 6.02 Disposal.

(a) Prior to disposing of Cannabis waste, including any Cannabis or Cannabis Product

that failed to meet any Testing requirements, the Licensee shall render the waste unusable by

grinding it and mixing it with an equal or greater volume of food waste, grass clippings,

wood chips, yard waste or other organic, non-toxic and non-hazardous material that renders

it unusable and unrecoverable, consistent with the Licensee’s waste disposal plan.

(b) Soil, other growing media, root balls, stalks of Mature Plants, and leaves and

branches that do not contain visible trichomes are not considered Cannabis waste.

(1) After rendering Cannabis waste unusable and unrecoverable, the Licensee shall record

the Cannabis waste in the Cannabis Tracking System and, for Cannabis or Cannabis Products

purchased or transferred from a State Licensee, in the State Cannabis Tracking System; and

(2) store the Cannabis waste in an area inaccessible to the public until it is collected or

disposed of in accordance with the Cannabis waste disposal plan.

for human consumption creating a risk of contamination.

(d) The employee disposing of Cannabis waste shall maintain and produce a record in

the Cannabis Tracking System and, for Cannabis or Cannabis Products purchased or

transferred from a State Licensee, in the State Cannabis Tracking System of each such

disposal indicating:

(1) the date and time of disposal;

(2) the manner of disposal;

(3) the quantity of Cannabis waste disposed of;

(4) to the extent feasible, the unique identifier(s) issued by the Cannabis Tracking System

or the State Cannabis Tracking System to the Batch(es) of Cannabis or Cannabis Products

that included the Cannabis waste; and

(5) the name and signature, which signature may be electronic, of the Licensee’s

employee disposing of the Cannabis waste, any Commission representative present during

such disposal, and any other persons present during the disposal, as applicable.

(e) Wastewater generated by Cannabis cultivation or processing shall be recycled on the

tract of land upon which the Cannabis Facility is located to the extent practicable and shall

be disposed of in a manner that complies with applicable laws.

Section 6.03 Storage.

A Cannabis Facility Licensee shall comply with the following:

(a) All Cannabis and Cannabis Product stored at the Cannabis Facility shall be stored in a

secured limited access area or restricted access area and shall be identified and tracked

consistently in the Cannabis Tracking System and, for Cannabis or Cannabis Products purchased

or transferred from a State Licensee, in the State Cannabis Tracking System.

(b) All containers used to store Cannabis and Cannabis Product for transfer or sale to the

public or between Licensees shall be clearly marked, labeled, or tagged, and enclosed on all sides

in secured containers. A Cannabis Facility Licensee shall ensure that each secured container is

identified and tracked in the Cannabis Tracking System and, for Cannabis or Cannabis Products

purchased or transferred from a State Licensee, in the State Cannabis Tracking System.

and shall be kept in locked storage areas approved for chemical storage. Safety Data Sheets for

stored chemicals shall be accessible adjacent to the storage location.

(d) All Cannabis Products and materials used in direct contact with the Cannabis-infused

products or edible Cannabis Products, shall have separate storage areas located away from all

toxic or flammable materials.

(e) Cannabis Products not in final packaging shall be stored separately from other Cannabis

Product in compliance with these Regulations.

(f) All Cannabis and Cannabis Products being offered for sale or transfer to the public in a

non-secure area shall be located behind a counter or other barrier located in a space that is

separate from stock rooms and other secure areas where Cannabis and Cannabis Products are

stored.

(g) All Cannabis or Cannabis Product stock or storage room shall comply with the security

plan filed with the Commission and meet the security requirements of these Regulations and any

other applicable requirements in the Act, these Regulations and the Compact.

(h) All areas where Cannabis and Cannabis Products are stored will have continuance and

dedicated video surveillance coverage sufficient to ensure clear and continuous monitoring of all

Cannabis and Cannabis Products.

Section 6.04 Inventory.

Prior to commencing business, a Cannabis Facility Licensee shall:

(a) conduct an initial comprehensive inventory of all Cannabis, Cannabis Product, and

Cannabis Accessories at the facility; and

(b) establish ongoing inventory controls and procedures for the conduct of inventory reviews

and comprehensive inventories of Cannabis, Cannabis Product and Cannabis Accessories, which

shall enable the Licensee to detect any diversion, theft, or loss in a timely manner.

Section 6.05 Records and Audits.

(a) A Cannabis Facility Licensee shall cause an independent audit of the operations of the

Cannabis Facility to be conducted annually, and the resulting audit report shall be submitted to

the Commission not later than thirty (30) days from the completion of the audit. All contracts

with Cannabis Suppliers in an amount in excess of $25,000.00 annually, and any other matter

appropriate to include in an independent financial audit that the Commission deems necessary or

appropriate under these Regulations, shall be specifically included within the scope of such audit.

(b) A Cannabis Facility Licensee shall maintain records (and other records as needed for a

complete set of records as necessary to fully show the business transactions related to Cannabis

Goods and Services) for a period of the current tax year and the three (3) immediately preceding

tax years, all of which shall be maintained and produced in accordance with subsection 6.05(c)

below.

custody of such documents shall maintain such documents in an auditable format. Upon request,

such person shall make such documents immediately available for inspection and copying by the

Commission and, unless the Commission grants an extension, shall provide copies of such

documents to the Commission within three (3) days of receipt of a written request from the

Commission. Such documents shall be provided to the Commission in electronic format, unless

not commercially feasible.

(d) For purposes of supervision and enforcement activities, and in addition to all other

authority under the Act, the Commission may:

(1) enter any Cannabis Transporter Vehicle within the Reservation, and a Licensee shall

be responsible for ensuring Commission access;

(2) enter all areas of a Cannabis Facility, including any areas in which any Cannabis or

Cannabis Product is stored, dispensed, sold, produced, manufactured, delivered, transported,

or disposed of, and a Licensee shall be responsible for ensuring Commission access;

(3) enter any other place within the Reservation where Cannabis Related Business

Activity has occurred and, if such Cannabis Related Business Activity relates to a Licensee,

the License shall be responsible for ensuring Commission access;

(4) inspect any such place referenced in subsection 6.05(d) above, and all pertinent

equipment, finished and unfinished material, containers and labeling, and all things in such

place, including records, files, financial data, sales data, shipping data, pricing data, Cannabis

Employee data, research, papers, processes, controls, and establishments. Such inspection

may include onsite audits; and

(5) inventory and obtain Samples of any Cannabis, Cannabis Product, Cannabis

Accessories, labels, containers for Cannabis or Cannabis Product, and finished or unfinished

Cannabis or Cannabis Products for Testing or other compliance activities.

(e) A Cannabis Facility Licensee shall not store, dispense, sell, produce, manufacture,

deliver, or dispose of any Cannabis or Cannabis Product at any location within the Reservation

except in accordance with the Act, these Regulations, and the Compact, except with the express

prior authorization of the Commission.

(f) In accordance with subsection 2.16(g) and subsection 2.16(h) of the Act, the Commission

shall have access to all areas of a Cannabis Facility during hours of operation. Additionally, the

Commission shall provide prior notice to the Cannabis Facility Licensee.

(g) The Commission shall have access to any location within the Reservation at which a

Cannabis Facility Licensee engages in any Cannabis Related Business Activity during hours of

operation. Additionally, the Commission shall provide prior notice to the Cannabis Facility

Licensee.

(h) Notwithstanding, subsection 6.05(g) above, if the Commission determines that prior

notice to a Cannabis Facility Licensee may impair the exercise of its supervision and

enforcement activities under subsection 6.05(d) above, then the Commission may enter a

Cannabis Facility or location described in subsection 6.05(g) above without prior notice to the

Cannabis Facility Licensee.

Section 6.06 Security.

(a) A Cannabis Facility shall have a security plan, including a floor plan that shows all doors,

windows, alarm sensors, alarm panels, video cameras and video storage devices. The security

plan shall describe how alarms and video are monitored and backed up in case of loss of power.

(b) The security plan shall ensure compliance with Chapter 11 of the Act.

Act for any Authorized Visitor. A Cannabis Facility Licensee shall promptly report to the

Commission if any person is present in the secured area of any Cannabis Facility who is not a

Cannabis Employee or Authorized Visitor, or if any such person has violated the Act, these

Regulations, or the Compact. Upon any such occurrence, the Commission may take any action

permitted under the Act.

(d) A Cannabis Facility Licensee shall securely lock the Cannabis Facility, including interior

rooms as required by these Regulations, windows, and points of entry and exits, with

commercial-grade, nonresidential door locks or other electronic or keypad access. Locks on

doors that are required for egress must meet the requirements of the Band’s Health and Safety

Act.

(e) A Cannabis Facility shall have an alarm system. Upon request, a Cannabis Facility

Licensee shall make available to the Commission all information related to the alarm system,

monitoring, and alarm activity. The alarm system:

(1) shall be remotely monitored by the Cannabis Facility Licensee or an alarm company

that can alert law enforcement of any breaches;

(2) shall include perimeter sensors, motion sensors and vibration sensors; and

(3) may include employee-activated trouble alarm capability directly transmitted to

Tribal Police.

(f) A Cannabis Facility shall have a video surveillance system that, at a minimum, consists

of digital or network video recorders, cameras capable of meeting the recording requirements in

this Regulation, video monitors, digital archiving devices, and a color printer capable of

delivering still photos.

(g) A Cannabis Facility shall ensure the video surveillance system does all the following:

(1) records, at a minimum, the following areas:

(i) any areas where Cannabis or Cannabis Product is weighed, packed, stored, loaded,

and unloaded for transportation, prepared, or moved within the Cannabis Facility;

(ii) limited access areas and security rooms (transfers between rooms must be

recorded);

(iii) areas storing a surveillance system storage device with not less than one (1)

camera recording the access points to the secured surveillance recording area;

(iv) the entrances and exits to the Cannabis Facility, which must be recorded from

both indoor and outdoor vantage points;

(v) point of sale areas where Cannabis and Cannabis Products are sold and

displayed for sale;

(vi) areas where Cannabis or Cannabis Products are destroyed; and

(vii) Designated Consumption Areas.

(2) records, twenty-four (24) hours per day and seven (7) days per week, the area around

any exterior door, as well as any area where any Cannabis or Cannabis Product is processed,

stored, destroyed, disposed, or prepared for transfer, sale, or Testing. The recordings shall be

a minimum of seven hundred twenty (720) pixels, fifteen (15) frames per second, Internet

Protocol compatible and accurately stamped with date and time. Cameras shall have a backup

power source that allows uninterrupted operation for a minimum of one hundred twenty (120)

minutes.

(h) A Cannabis Facility Licensee shall ensure that each camera is permanently mounted and

in a fixed location. Each camera must be placed in a location that allows the camera to clearly

record activity occurring within 20 feet of all points of entry and exit on the Cannabis Facility

and allows for the clear and certain identification of any person, including facial features, and

activities, including sales or transfers, in all areas required to be recorded under these rules.

(i) A Cannabis Facility shall have sufficient lighting to meet the video surveillance system

requirements of this Section.

(j) A Cannabis Facility shall have cameras that record when motion is detected at the

Cannabis Facility and record images that clearly and accurately display the time and date.

(k) A Cannabis Facility Licensee shall secure the physical media or storage device on which

surveillance recordings are stored in a manner to protect the recording from tampering or theft.

(l) A Cannabis Facility Licensee shall keep surveillance recordings for a minimum of 45

calendar days, except in instances of investigation or inspection by the Commission in which

case the Cannabis Facility Licensee shall retain the recordings until the time as the Commission

notifies the Cannabis Facility Licensee that the recordings may be destroyed.

(m) Surveillance recordings are subject to inspection by the Commission and must be kept in

a manner that allows the Commission to view and obtain copies of the recordings at the Cannabis

Facility immediately upon request. A Cannabis Facility Licensee shall also send or otherwise

provide copies of the recordings to the Commission upon request within the time specified by the

Commission.

(n) A Cannabis Facility shall have a video surveillance system equipped with a failure

notification system that provides notification to the Cannabis Facility Licensee of any

interruption or failure of the video surveillance system or video surveillance system storage

device.

(o) A Cannabis Facility shall have a log of the recordings, which includes the identify of:

(1) all Cannabis Employees who are responsible for monitoring the video surveillance

system;

(2) any Cannabis Employee who removed any recording from the video surveillance

system storage device and the time and date removed; and

(3) any Cannabis Employee who destroyed any recording.

(p) A Cannabis Facility Licensee shall store video footage either in a locked cabinet or closet

that prevents tampering or theft or on a secure third-party server and shall limit access to video

footage and maintain a list of all individuals who have access to the footage. A Cannabis Facility

Licensee shall permit the Commission to access the video footage during normal operating hours.

The Commission may require that video footage, as identified by the Commission, be retained

until otherwise directed by the Commission.

Section 6.07 Transportation.

(a) A Licensee is authorized to transport Cannabis and Cannabis Products as long as any

Cannabis and Cannabis Products are in a locked, secured, and sealed container that is not

accessible while in transit. The container must be secured by a locked closed lid or door or sealed

by tamper-proof tape or equivalent provided the means of sealing the product would alert the

receiving Cannabis Facility that the Cannabis or Cannabis Products had been tampered with at

some point from the time it departed the shipping Cannabis Facility. If a Licensee transports

money associated with the purchase or sale of Cannabis or Cannabis Products, the Licensee shall

lock the money in a sealed container kept separate from the Cannabis or Cannabis Products and

only accessible to the Licensee and its employees.

(b) A Licensee that transports Cannabis or Cannabis Products shall log and track all handling

of cash or cash equivalents associated with the purchase or sale of the Cannabis or Cannabis

Products that are being transported. The Licensee must maintain these records and provide them

to the Commission upon request.

Cannabis Tracking System in advance each time the Cannabis Facility Licensee transports any

Cannabis or Cannabis Product, or a Cannabis Supplier transports any Cannabis to or from the

Cannabis Facility, which shall include:

(1) the name, address, phone number, and license number of the Originating

Establishment, the shipment, and the Licensee receiving the shipment.

(2) the description and quantities of each item in the shipment, date and time of shipment;

(3) the make, model, and license plate number of the Cannabis Transporter Vehicle;

(4) the date and time of arrival at destination locations; and

(5) the name and signature of the driver and any other person in the Cannabis Transporter

Vehicle and name and signature of the person receiving the shipment.

(d) A Licensee shall generate a Commission-approved transport manifest through the State

Cannabis Tracking System in advance each time the Licensee transports any Cannabis or

Cannabis Product outside of the Reservation. The manifest shall include the same items as

described in subsection 6.07(c) of these Regulations.

(e) A Licensee shall have the route plan and manifest available for inspection by the

Commission to determine compliance with the Act and these Regulations. If the Licensee is

transporting Cannabis and Cannabis Products outside of the Reservation, then the Licensee shall

enter a copy of the route plan and manifest into the State Cannabis Tracking System. A

Licensee shall carry a copy of the route plan, a manifest, and the Compact in the Cannabis

Transporter Vehicle and shall present them to a law enforcement officer upon request.

(f) A Licensee that transports Cannabis or Cannabis Products shall follow the route plan and

manifest.

(g) A Licensee shall not possess Cannabis or Cannabis Products that are not listed on a

manifest.

(h) A Licensee that is transferring Cannabis and Cannabis Products shall remain onsite until

the Cannabis or Cannabis Products are weighed and accepted or rejected before leaving the

Cannabis Facility.

(i) Cannabis Transporter Vehicles are subject to inspection within the Reservation at any

time by the Commission to determine compliance with the Act and these Regulations.

(j) All persons transporting Cannabis or Cannabis Products for a Cannabis Facility Licensee

shall be Cannabis Employees or shall be a Cannabis Supplier, or employees of the Cannabis

Supplier, with a valid Cannabis Supplier License.

(k) All persons transporting Cannabis or Cannabis Products for any Licensee in connection

with any Cannabis Related Business Activity shall at all times while engaged in such activity

wear an identification badge issued by the Licensee that is affixed to a conspicuous place on the

outside of their clothing. Cannabis Employees shall wear a Cannabis Employee Identification

Card that is affixed to a conspicuous place on the outside of their clothing.

(l) For persons other than Cannabis Employees, the identification badge shall include, at a

minimum, the following information:

(1) the person’s full name;

(2) the person’s picture (taken within the prior two years);

(3) the unique number assigned to the person by the Commission, if applicable; and

(4) the name of the Licensee.

(m) All persons transporting Cannabis or Cannabis Products for any Licensee in connection

with any Cannabis Related Business Activities shall always possess a legible copy of the

Cannabis Facility License or Cannabis Supplier License, as applicable.

(n) A Licensee shall provide to the Commission, the make, model, and license plate number

of all Cannabis Transporter Vehicles.

(o) All Cannabis Transporter Vehicles shall be insured, have valid state-issued vehicle

registration, be in good working order and equipped with an alarm and locking compartments for

securing cargo, and must be equipped with a vehicle-rated fire extinguisher and battery jumper

cables.

(p) All Cannabis Transporter Vehicles used to engage in any Cannabis Related Business

Activities shall contain sufficient fuel to minimize the need to refuel in transit.

(q) All Cannabis Transporter Vehicles shall contain no exterior markings which identify the

contents of the vehicle.

(r) No firearms shall be permitted in Cannabis Transporter Vehicles.

(s) All Cannabis Transporter Vehicles shall have a heating system and a cooling system that

is adequate to keep Cannabis and Cannabis Products within a temperature range that prevents

melting, spoilage or other damage.

(t) Cannabis and Cannabis Products shall not remain in a Cannabis Transporter Vehicle for

more than ninety-six (96) hours.

(u) A Licensee shall identify and record all Cannabis Transporter Vehicles with the

Commission and have the required vehicle registration with the secretary of state as required

under State law. A Licensee’s Cannabis Transport Vehicles is subject to inspection at any time

when within the Reservation by the Commission to determine compliance with the Act and these

Regulations.

(v) A Cannabis Transporter Vehicle must be operated with a two (2) person crew with at

least one (1) person remaining inside the Cannabis Transporter Vehicle at all times during the

transportation of Cannabis.

(w) At least one person operating a Cannabis Transporter Vehicle shall have access to a

secure form of communication with the Cannabis Facility Licensee, such as a cellular telephone,

at all times in the vehicle or on his or her person.

(x) When transporting Cannabis or Cannabis Products, at least one person operating a

Cannabis Transporter Vehicle shall:

(1) maintain a physical or electronic copy of each delivery request and shall make the

marihuana delivery request available to the Commission upon request; and

(2) not leave Cannabis or Cannabis Products in an unattended Cannabis Transporter

Vehicle.

(y) All Cannabis Transporter Vehicles shall be stored at the Licensee’s primary place of

business.

(z) All Cannabis Transporter Vehicles must contain a global positioning system (GPS)

device for identifying the geographic location of the Cannabis Transporter Vehicle. The device

must be either permanently or temporarily affixed to the Cannabis Transporter Vehicle while it is

in operation, and the device must remain active and in the possession of the person operating the

Cannabis Transporter Vehicle at all times during delivery. A Licensee must be able to identify

the geographic location of each Cannabis Transporter Vehicles at all times.

(aa)

The person operating Cannabis Transporter Vehicles shall maintain a log that

includes all stops, and the reason for each stop. A Licensee shall maintain the log for a minimum

of one (1) year from the date of delivery and make it available to the Commission upon request.

The log may be maintained electronically.

(bb)

A Licensee shall maintain a record of each delivery of Cannabis and Cannabis

Products in a Cannabis Delivery Log, which may be a hard copy or electronic format. A Licensee

shall maintain Cannabis Delivery Logs for a minimum of one (1) year from the date of delivery,

which shall be provided to the Commission upon request. For each delivery, the Cannabis

Delivery Log must record the following:

(1) the date and time that the delivery began and ended;

(2) the name of each person operating the Cannabis Transporter Vehicle;

(3) the amount and type of Cannabis and Cannabis Products delivered; and

(4) the signature of the individual who accepted delivery.

(cc)

A Licensee shall notify the Commission, or law enforcement of any theft, loss of

Cannabis or Cannabis Products, or criminal activity. A Licensee shall report to the Commission

and law enforcement, if applicable, any other event occurring during the transport of Cannabis or

Cannabis Products that violates the Act, these Regulations, or the Licensee’s Transportation Plan,

including any collisions involving Cannabis Transporter Vehicles or any diversion of Cannabis

or Cannabis Products.

(dd)

The Cannabis Facility Licensee for a Cannabis Facility to which Cannabis or

Cannabis Product is delivered shall document in a discrepancy report any difference between the

type and quantity of Cannabis or Cannabis Product documented on the transport manifest and the

type and quantities of Cannabis or Cannabis Product received. The Cannabis Facility Licensee

shall promptly forward each discrepancy report to the Commission for investigation.

(ee)

If the State Regulatory Agency conducts an inspection of a Cannabis Transporter

Vehicle outside the Reservation, then the persons operating the Cannabis Transporter Vehicle

and the Licensee shall cooperate with the State Regulatory Agency.

CHAPTER 7

SAFETY

Section 7.01 Testing.

(a) Before any Cannabis or Cannabis Product is sold or transferred, a Sample shall be tested

by a Marijuana Safety Compliance Facility in accordance with the Minimum Testing Standards.

The Marijuana Safety Compliance Facility may not be directly or indirectly owned, in whole or

in part, by the Band.

(b) When submitting any Cannabis or Cannabis Product to the Marijuana Safety Compliance

Facility for Testing, the Licensee that is not a State Licensee shall inform the Marijuana Safety

Compliance Facility of the Minimum Testing Standards and confirm that the Testing will occur

in accordance with the Minimum Testing Standards.

Licensee with a Certificate of Analysis for each corresponding Batch for any Cannabis or

Cannabis Product that is delivered to the Cannabis Facility, along with a Cannabis Testing

Certification Form that has been completed and signed by the Cannabis Supplier.

(d) A Cannabis Supplier that is not a State Licensee shall not transfer or sell any Cannabis or

Cannabis Product to a Cannabis Facility unless:

(1)

a Sample of the subject Cannabis or Cannabis Product was tested by a Marijuana

Safety Compliance Facility to determine compliance with the Minimum Testing Standards;

(2) the Certificate of Analysis confirms that the Sample of the subject Cannabis or

Cannabis Product meets the Minimum Testing Standards; and

(3) the Cannabis Supplier has complied with all other requirements of the Act and

these Regulations relating to the Cannabis or Cannabis Product, including subsection 7.01(c)

of these Regulations, as applicable.

(f) The Cannabis Facility Licensee transferring or purchasing Cannabis or Cannabis Product

from a Cannabis Supplier that is not a State Licensee shall:

(1)

inspect each Certificate of Analysis to determine whether the Sample of the

subject Cannabis or Cannabis Product was tested in accordance with the Minimum Testing

Standards;

(2)

determine whether the Certificate of Analysis confirms that the Sample of the

subject Cannabis or Cannabis Product meets the Minimum Testing Standards;

(3)

contact the Marijuana Safety Compliance Facility to confirm the Certificate of

Analysis’ authenticity; and

(3)

inspect the Cannabis Testing Certification Form to ensure that it corresponds to

the Certificate of Analysis and was completed and signed as required by subsection 7.01(c)

of these Regulations.

(e) A Cannabis Supplier that is a State Licensee shall not transfer or sell any Cannabis or

Cannabis Product to a Cannabis Facility Licensee unless all test results for the Cannabis or

Cannabis Product indicate “passed” in the State Cannabis Tracking System.

(f) A Cannabis Facility Licensee shall not transfer or sell any Cannabis or Cannabis Product

obtained from a Cannabis Supplier other than a State Licensee if:

(1)

there is no Certificate of Analysis, or the Certificate of Analysis does not affirm

that the Sample of the subject Cannabis or Cannabis Product was tested in accordance with

the Minimum Testing Standards;

(2)

the Certificate of Analysis does not confirm that the Sample of the subject

Cannabis or Cannabis Product meets the Minimum Testing Standards; or

(3)

the Cannabis Testing Certification Form does not correspond to the Certificate of

Analysis or was not completed and signed as required by subsection 7.01(c) of these

Regulations.

(f) A Cannabis Facility Licensee shall not transfer or sell any Cannabis or Cannabis Products

obtained from a Cannabis Supplier that is a State Licensee if all test results do not indicate

“passed” in the State Cannabis Tracking System.

(g) Notwithstanding any other provisions of this Section, Cannabis and Cannabis Product

that does not meet the Minimum Testing Standards in a test may be transferred or sold in

accordance with the Act and these Regulations, if it passes two (2) separate tests with new

Samples conducted by a Marijuana Safety Compliance Facility .

(h) Upon becoming aware that any Cannabis or Cannabis Product does not meet the

Minimum Testing Standards, a Cannabis Facility Licensee shall:

(1) immediately remove such Cannabis or Cannabis Product from the sales area of the

Cannabis Facility;

(2) store such Cannabis or Cannabis Product in a sealed bag or container that is marked

as “NOT FOR SALE” in a location not in proximity to Cannabis or Cannabis Product that is

destined for human consumption; and

(3) except as provided in subsection 7.01(g) above, destroy the Cannabis or Cannabis

Product in accordance with Section 6.02 of these Regulations within ninety (90) calendar

days of when the Cannabis Facility Licensee became aware that the Cannabis or Cannabis

Product does not meet such Minimum Testing Standards; provided that, if the Cannabis or

Cannabis Product is the subject of pending litigation or the Commission otherwise directs,

then the Cannabis Facility Licensee is not required to destroy the Cannabis or Cannabis

Product in accordance with this subsection but must report to the Commission within ten (10)

days.

Section 7.02 Edible Cannabis Product Safety.

(a) A Cannabis Supplier that is a State Licensee and that produces any Edible Cannabis

Product to be sold or transferred to a Cannabis Facility Licensee shall comply with all the

following with regard to such Edible Cannabis Product:

(1) The Cannabis Supplier shall comply with one (1) or more of the following: (i) current

Good Manufacturing Practice, Hazard Analysis, and Risk-Based Preventative Controls for

Human Food, 21 CFR part 117; or (ii) the International Organization for Standardization

(ISO), ISO 22000/ISO/TS 22002-1.

(2) Any potentially hazardous ingredients used to process a shelf-stable Edible Cannabis

Product must be stored at 40 degrees Fahrenheit, 4.4 degrees Celsius, or below.

(3) The Cannabis Supplier shall maintain and adhere to records of formulation and make

them available to the Commission upon request, which records at a minimum must include

the recipe, any additional processing documentation that demonstrates the Edible Cannabis

Product to be shelf stable, and test results for all ingredients used.

(4) The Cannabis Supplier shall provide annual employee training for the Cannabis

Supplier (if an individual) and all employees directly involved in the production of Edible

Cannabis Product, on safe food handling. The Cannabis Supplier shall demonstrate for itself

(if an individual) and for all employees directly involved in the production of Edible

Cannabis Product the completion of all such training by, upon request, providing the

Commission with a copy of certifications that verify the safe food handling training. Any

course taken pursuant to this rule must be conducted for not less than two (2) hours and cover

all of the following subjects:

(i)

causes of foodborne illness, highly susceptible populations, and worker illness;

(ii)

personal hygiene and food handling practices;

(iii)

allergens and approved sources of food;

(iv)

potentially hazardous foods and food temperatures;

(v)

sanitization and chemical use; and

(vi)

emergency procedures, including fire, flood, and sewer backup.

(5) A Cannabis Supplier (if an individual) shall be, or have an employee, on site during

the production of any Edible Cannabis Product who is certified as a food protection manager.

(b) A Cannabis Facility Licensee shall not sell or transfer any Cannabis Infused Product that

exceeds the maximum THC concentration levels established by the Commission by more than

ten percent (10%) above the concentration levels. The Commission shall publish a list of

maximum THC concentration levels and serving size limits, which list (as may be amended from

time to time) shall be deemed to be incorporated into these Regulations.

Section 7.03 Labeling.

(a) Before any Cannabis or Cannabis Product is sold or transferred by a Cannabis Facility

Licensee in a retail sale, it shall be packaged and properly labeled, in a sealed bag or container,

which label shall include all of the following:

(1) the strain of the Cannabis or name of the Cannabis Product;

(2) the date of harvest, if applicable;

(3) the Concentration of Tetrahydrocannabinol (THC) and cannabidiol (CBD) as reported

by the Marijuana Safety Compliance Facility after potency Testing along with a statement that

the actual value may vary from the reported value by 10%;

(4) the name of the Marijuana Safety Compliance Facility that performed passing

compliance Testing on the product in final form and any test analysis date;

(5) the activation time expressed in words or through a pictogram;

(6) the ingredients of the Cannabis or Cannabis Product, in descending order of

predominance by weight (Inactive Ingredients shall be clearly listed on the label);

(7) the net weight or net volume of the Cannabis or Cannabis Product;

(8) the unique identifier issued by the Cannabis Tracking System or the State Cannabis

Tracking System, as applicable, to the Batch of Cannabis or Cannabis Product being packaged

and labeled for sale or transfer;

(9) the name, including the business or trade name, and License number of the Cannabis

Facility or Cannabis Supplier that grew or produced the Cannabis or Cannabis Product;

(10) the following warnings: “CONTAINS CANNABIS. There may be health risks

associated with the use of this product. WARNING: USE BY PREGNANT OR

BREASTFEEDING WOMEN, OR BY WOMEN PLANNING TO BECOME

PREGNANT, MAY RESULT IN FETAL INJURY, PRETERM BIRTH, LOW BIRTH

WEIGHT, OR DEVELOPMENTAL PROBLEMS FOR THE CHILD. Do not drive a

motor vehicle or operate heavy machinery while using this product. National Poison Control

Center 1-800-222-1222.”;

(11) the following statement: “It is illegal to drive a vehicle while under the influence of

cannabis. For use by individuals 21 years of age or older or registered qualifying patients only.

Keep out of reach of children.”; and

(12) the universal symbol for “Marijuana Product” published on the State Regulatory

Agency’s website.

(b) Without limitation, any Edible Cannabis Product shall comply with subsection 7.03(a)

above, and:

(1) shall include allergen labeling as specified by the Food and Drug Administration

(FDA), Food Allergen Labeling and Consumer Protection Act of 2004 (FALCPA), 21 USC

343;

(2) if any health or nutritional claim is made, shall have appropriate labeling as specified

by the federal regulations regarding Food Labeling, 21 CFR part 101 and shall meet the

requirements of Sec. 7.04(g);

(3) shall not be in a shape or with a label that is intended to or is likely to appeal to

minors; and

(4) shall not be in the distinct shape of human, animal, or fruit, or a shape that bears the

likeness or contains characteristics of a realistic or fictional human, animal, or fruit, including

artistic, caricature, or cartoon renderings (geometric shapes and fruit flavorings are

permissible).

Section 7.04 Packaging.

A Cannabis Facility Licensee shall comply with the following:

(a) Before any Cannabis and Cannabis Products are sold or transferred, the container, bag, or

product holding the Cannabis or Cannabis Product must be sealed and labeled.

(b) All labeling requirements under Sec. 7.03 must be clear and noticeable, as well as easily

accessible to consumers. Cannabis and Cannabis Products shall contain no health or physical

benefit claims.

will not display any of the following:

(1) any cartoons;

(2) any likeness to images, characters, or phrases that are popularly used to advertise to

children;

(3) any imitation of candy packaging or labeling;

(4) the terms “candy” or “candies;” or

(5) imitate any package used for products typically marketed to children.

(d) All information required to be listed on a label shall be written in English.

(e) The packaging of any Cannabis Product will contain a list of ingredients, and expiration

date, if applicable, refrigeration required, if appropriate, net weight of the product, and a Batch

number or some other tracking identification number as appropriate.

(f) All required label information shall be located on the outside container or wrapper of the

finished Cannabis Product to be sold to consumers.

(g) All labeling and packaging shall not contain any claim related to health or health benefits,

unless a qualified health claim has received and complies with a Letter of Enforcement Discretion

issued by the FDA, or the health claim has been approved under the significant scientific

agreement standard by the FDA.

(h) An Edible Cannabis Product:

(1)

shall be in opaque, child-resistant packages or containers that meet the effectiveness

specifications outlined in 16 CFR 1700.15;

(2)

if containing more than one serving shall be in a resealable package or container

that meets the effectiveness specifications outlined in 16 CFR 1700.15;

(3)

shall not be packaged in a way that can be easily confused with a commercially

available food product; and

(4)

shall not require time and temperature control for safety.

(i) An Edible Cannabis Product shall include an expiration date upon which the Edible

Cannabis Product is no longer fit for consumption, and must be destroyed. The expiration date

shall be established based on the quality and characteristics, packaging, and customary

conditions encountered by the Edible Cannabis Product from production to sale.

(j) An Edible Cannabis Product shall not be sold or transferred after the printed expiration

date on the package. The expiration date shall not be altered after the label with the expiration

date has been affixed to the packaging. A new label with a later expiration date shall not be

affixed to the packaging. Any expired Edible Cannabis Product must be destroyed in accordance

with Section 6.02 of these Regulations.

Section 7.05 Marketing.

All Marketing of Cannabis and Cannabis Product by or on behalf of a Cannabis Facility Licensee

shall:

(a) not be conducted in a way that is deceptive, false, or misleading, including through any

deceptive, false, or misleading assertions or statements on any Cannabis or Cannabis Product sign

or document;

(b) not contain any claim related to health or health benefits, unless a qualified health claim has

received and complies with a Letter of Enforcement Discretion issued by the FDA, or the health

claim has been approved under the significant scientific agreement standard by the FDA;

person and an admonishment to keep all Cannabis and Cannabis Products out of the reach of

children;

(d) not be directed to members of the public unless the person advertising the product has

reliable evidence that no more than 30 percent of the audience or readership for the television

program, radio program, internet website, or print publication, is reasonably expected to be under

the age of 21;

(e) not use any depictions or images of persons under 21 years of age shall not include

graphics or photographs which depict toys, cartoon characters, games, movie characters, sports

figures, or any images likely to be appealing to minors or anyone under 21 years of age; a

(f) not be located or distributed within 1000 feet of an educational institution, public library,

recreation center, or any other location where minors are known to gather.

Section 7.06 Administrative Hold

(a) The Commission may place an administrative hold on the sale of any Cannabis or

Cannabis Product, may recall any Cannabis or Cannabis Product already available for sale, issue

safety warnings, and may require a Cannabis Facility Licensee to provide product safety

informational materials or notifications to a customer at the point of sale at the Cannabis Facility

in the manner specified by the Commission.

(b) A Cannabis Facility Licensee shall not sell or transfer any Cannabis or Cannabis Product

that has been placed on administrative hold, recalled, or ordered or otherwise required to be

destroyed.

Licensee shall verify through the Cannabis Tracking System that the Cannabis or Cannabis

Product has not been placed on an administrative hold, recalled, or ordered to be destroyed.

(d) Prior to purchasing any Cannabis or Cannabis Products from, selling any Cannabis or

Cannabis Products to, or transferring any Cannabis or Cannabis Product to or from a State

License, a Cannabis Facility Licensee shall verify through the State Cannabis Tracking System

that the Cannabis or Cannabis Product has not been placed on an administrative hold, recalled, or

ordered to be destroyed.

(e) A Cannabis Facility Licensee shall destroy in accordance with Section 6.02 of these

Regulations all Cannabis or Cannabis Product that is required to be destroyed for any reason

within ninety (90) calendar days of when the Cannabis Facility Licensee became aware of the fact

that the Cannabis or Cannabis Product must be destroyed.

Section 7.07 Returns

A Licensee may accept the return of Cannabis or Cannabis Product that is reported to have

caused an adverse reaction or is determined to be defective and shall comply with the following

for any such Cannabis or Cannabis Product:

(a) track the Cannabis or Cannabis Product consistently in the Cannabis Tracking System

and the State Cannabis Tracking System as waste;

(b) enter a report for the adverse reaction in the Cannabis Tracking System and the State

Cannabis Tracking System by 5:00 p.m. of the first business day after becoming aware of the

adverse reaction;

Commission otherwise directs, destroy the Cannabis or Cannabis Product in accordance with

Section 6.02 of these Regulations within ninety (90) calendar days of when the Cannabis Facility

Licensee became aware of the fact that the Cannabis or Cannabis Product must be destroyed; and

(d) not re-sell, re-package, or otherwise transfer the Cannabis or Cannabis Product to any

person or entity; and

(e) promptly notify the Commission in writing of such return.

Section 7.08 Sale or Transfer

(a) Without limiting any other provision of the Act, these Regulations, or the Compact, a

Cannabis Facility Licensee shall verify all of the following prior to selling or transferring any

Cannabis or Cannabis Product to a customer:

(1) the Cannabis or Cannabis Product has not been placed on administrative hold,

recalled, or ordered or otherwise required to be destroyed;

(2) the Cannabis or Cannabis Product is not past its expiration date;

(3) the Cannabis or Cannabis Product has been tested in accordance with and passed the

Minimum Testing Requirements in accordance with these Regulations, as evidenced by a

Certificate of Analysis or, for State Licensees, as evidenced within the State Cannabis

Tracking System;

(4) the Cannabis or Cannabis Product is labeled and packaged for sale in accordance with

these Regulations; and

(5) the customer presented the customer’s valid driver's license or identification card

issued by the federal government, by a state, or by a federally-recognized Indian tribe that

bears a photographic image and proof that the individual is 21 years of age or older.

(b) A Cannabis Facility Licensee is not required to retain information from customers other

than the following:

(1) payment method;

(2) amount of payment;

(3) time of sale;

(4) Cannabis and Cannabis Product quantity; and

(5) other Cannabis or Cannabis Product descriptors.

Section 7.09 Drugged Driving Prevention.

A Cannabis Facility Licensee shall not permit the onsite use or consumption at a Cannabis Facility

of any Cannabis or Cannabis Product by any person who is Visibly Intoxicated.

CHAPTER 8

DESIGNATED CONSUMPTION AREAS

Section 8.01 Commission Approval.

(a) A Cannabis Facility Licensee may apply to the Commission for approval of a Designated

Consumption Area when submitting its initial Application to the Commission for a License to

operate as a Cannabis Facility or at any time thereafter.

(b) In accordance with the Act, including subsections 6.01(b), 9.01(b), and 9.01(c), upon

Commission review of an Applicant’s or Cannabis Facility Licensee proposed operations plan and

floor plan that meets the requirements of this Chapter and approval of the proposed Designated

Consumption Area, a Cannabis Facility Licensee may:

(1) sell Cannabis and Cannabis Product for use or consumption within a Designated

Consumption Area; and

(2) permit persons who are twenty-one (21) years of age or older to use and consume

Cannabis and Cannabis Products within a Designated Consumption Area.

and non-alcoholic beverages in a Designated Consumption Area.

(d) A Cannabis Facility Licensee shall post within each Designated Consumption Area all

notices as may be required by the Commission, which may include warnings related to

intoxication and operating a motor vehicle while Visibly Intoxicated.

(e) A Cannabis Facility Licensee shall notify the Commission of any special events that will

involve the use or consumption of Cannabis or Cannabis Product within a Designated

Consumption Area, including promotional events organized by the Cannabis Facility Licensee

and events where a Designated Consumption Area is reserved by a third party.

(f) The notice required under subsection 8.01(d) above shall be provided in writing as soon as

practicable, but not later than two (2) business days before the special event and shall include a

detailed explanation of the event.

Section 8.02 Operations.

(a) The operations plan for a Designated Consumption Area shall:

(1) include a detailed explanation for how Cannabis Employees will identify, prevent, and

address any person who is Visibly Intoxicated from the using or consuming Cannabis or

Cannabis Products within a Designated Consumption Area, underage access to a Designated

Consumption Area, and any other activity on the grounds of the Cannabis Facility that is

prohibited under applicable law;

(2) provide for adequate security and lighting within the Designated Consumption Area

to ensure the safety of persons and to protect against theft; and

(3) state procedures to ensure the following:

(i) only Cannabis and Cannabis Product purchased or obtained from the Cannabis

Facility Licensee at the Cannabis Facility shall be consumed within a Designated

Consumption Area, and no other Cannabis Product shall be permitted within a

Designated Consumption Area;

(ii) access to a Cannabis Consumption Area shall be restricted to persons 21 years of

age and older;

(iii) no on-site sale of alcohol or tobacco to any person shall be permitted within a

Designated Consumption Area;

(iv) no on-site consumption of alcohol or tobacco by any person shall be permitted

within a Designated Consumption Area;

(v) a Designated Consumption Area shall provide adequate security and lighting onsite to ensure the safety of persons and protect the premises from theft at all times in

conformance with the security plan submitted to the Commission

(vi) if a Designated Consumption Area is located within the interior of the Cannabis

Facility, an odor absorbing ventilation and exhaust system must be installed so that odor

generated inside the Designated Consumption Area is not detected outside premises of

the Cannabis Facility; and

(vii) if a Designated Consumption Area is located within the interior of a Cannabis

Facility, it shall be a well-ventilated private area that is partitioned off from access to all

other areas of the Cannabis Facility and designed to prevent the flow of smoke to any

other area of the Cannabis Facility.

(b) A Cannabis Facility Licensee shall cut off service of Cannabis and Cannabis Product to

any customer who is Visibly Intoxicated and provide information on ride services.

and Cannabis Products that can be purchased and consumed within a Designated Consumption

Area, including potency, absorption time, and effects.

(d) A Cannabis Facility Licensee shall cause Cannabis Employees to educate customers as to

the potency, absorption time and effects of Cannabis and Cannabis Products that are purchases

and consumed within a Designated Consumption Area.

(e) A Cannabis Facility Licensee shall ensure that solid waste receptables and recycling bins,

in sufficient numbers and locations to the to account for peak business periods are placed and

properly maintained within a Designated Consumption Area.

(f) A Cannabis Facility Licensee shall ensure that promptly following opening each day a

Designated Consumption Area and all areas within at least one hundred feet of the Designated

Consumption Area are free of any waste or litter generated by use of the Designated

Consumption Area.

Section 8.03 Floor Plan.

The floor plan shall include the following for each Designated Consumption Area:

(a) number of rooms and distinct outdoor spaces comprising the Designated Consumption

Area;

(b) sizes and dimensions of rooms and outdoor spaces;

(d) locations, sizes and descriptions of all windows and doorways;

(e) locations and description of all lighting, surveillance and other systems, and equipment;

(f) locations of any hazardous materials storage, fire extinguishers, and personal protection

supplies; and

(g) any other information required by the Commission.

CHAPTER 9

HEARING PROCEDURES

Section 9.01 Scope.

(a) Under subsection 2.16(d)(6) of the Act, the Commission is empowered to conduct such

hearings as it may deem appropriate in carrying out its duties and responsibilities under the Act

in accordance with the Act and any Regulations, including Chapter 13 of the Act.

(b) This Chapter 9 supplements Chapter 13 of the Act for any hearing before the

Commission.

Section 9.02 Notice of Hearing.

(a) Except as provided otherwise in the Act or these Regulations, the Commission shall

provide written notice to Petitioner of:

(1) an Enforcement Hearing at least twenty-one (21) days prior to the date set for the

hearing; and

(2) all other hearings at least fourteen (14) days prior to the date set for the hearing.

The day the Petitioner receives the notice shall be considered a full day’s notice under

this Section.

(b) The notice shall be sent by a United States mail or private carrier/courier using services

that document an attempted delivery or may be personally served upon the Petitioner, including

by a Commission staff member.

and reasons for the hearing, including whether the hearing is an Enforcement Hearing, and shall

summarize the evidence being relied on by the Commission in support of its decision or

Enforcement Proceeding, provided that such requirement shall not prohibit the Commission from

considering other evidence.

Section 9.03 Ex Parte Communications.

(a) No ex parte communication (i.e., communications outside the official record of the

proceeding that do not include the Commission’s legal counsel, the Executive Director, or the

Executive Director’s designee) relative to any matter being considered by the Commission, or a

threat or offer of reward, shall be made to any Commissioner by or on behalf of the Petitioner,

including by Petitioner’s attorney.

(b) Nothing in this Section shall prohibit the Petitioner or Petitioner’s attorney from

communicating with the Commission’s legal counsel, the Executive Director, or the Executive

Director’s designee.

such communication to the Commission’s legal counsel and, if made in writing, provide a copy

to the Commission’s legal counsel.

(d) For purposes of this Section only, the matters being considered by the Commission shall

be limited to those matters identified in the written notice regarding the hearing as well as any

other matters that are actually considered by the Commission during a hearing, provided that the

due process rights of the Petitioner under the Act, these Regulations, or other applicable law will

not be abridged or deprived without the Petitioner’s knowing and voluntary consent on the

record.

(e) All matters identified in the written notice shall be subject to the prohibition against ex

parte communications, and all matters not identified in the written notice that are considered by

the Commission during a hearing shall become subject to the prohibition against ex parte

communications as soon as they are discussed during the hearing.

(f) The Commission shall have the power to impose an appropriate sanction on the Petitioner

upon its determination that a Petitioner has made an ex parte communication in violation of this

Section.

Section 9.04 Attorney Appearances.

(a) The Petitioner may appear personally or through an attorney, except that the Petitioner

shall personally attend any hearing on the merits unless such attendance has been waived, in

writing, by the Commission.

(b) When the Petitioner has appeared through an attorney, service of all notices, motions,

orders, decisions, and other papers thereafter shall be made upon the attorney, unless the

Petitioner requests otherwise in writing.

notices, requests, and other papers on behalf of the Petitioner, including a request for subpoenas.

subsection 13.03(a) of the Act governs the issuance of subpoenas by the Commission.

(d) Any attorney appearing before the Commission shall be duly admitted and authorized to

practice before the Pokagon Band Tribal Court, provided that the Commission may permit on a

case-by-case basis, for good cause shown by written application to the Commission, the

appearance before the Commission of any attorney who is duly licensed to practice law in any

other jurisdiction.

Section 9.05 Discovery.

(a) The Commission and the Petitioner shall have the right to discovery in Enforcement

Proceedings in accordance with this Section.

(b) The Commission’s legal counsel and the Petitioner shall exchange a list of persons that

each party intends to call as witnesses no later than five (5) business days before a scheduled

hearing. The day the list is received shall be considered a full day’s notice under this Section.

business address is available, a home address for the witness shall be provided.

(d) Any witness not identified in accordance with this Section may be prohibited from

testifying at a hearing at the discretion of the Presiding Officer.

(e) The Commission’s legal counsel and the Petitioner shall exchange a copy of all

documents or exhibits that they intend to offer as evidence in support of their case in chief,

subject to the provisions of Section 9.06 below. This exchange shall be made to the opposing

party no later than five (5) business days before a scheduled hearing. The day the documents or

exhibits are received shall be considered a full day’s notice under this Section.

(f) The failure to make available any document or exhibit in accordance with this Section

may, at the discretion of the Presiding Officer, be grounds to deny the admission into evidence of

such document or exhibit.

Section 9.06 Confidential Information.

(a) Prior to submitting any documents or exhibits to the Commission, the Commission’s legal

counsel or the Petitioner may designate any document it reasonably believes to contain

confidential information as “Subject to a Confidentiality Claim” by so marking the document in a

prominent manner.

(b) Any documents marked under subsection 9.06(a) above shall not be exchanged with the

opposing party but shall be made available for inspection at the Commission’s office.

contained within such marked document, shall not be made a part of the public record of the

Commission proceedings or otherwise disclosed by the Commission to any Person (except as

may be required under any applicable law, rule, regulation, court or administrative order, or the

Compact), without first providing the Commission’s legal counsel or the Petitioner with the

opportunity to seek a ruling by the Commission that the document or non-public information

contained therein should not be made public.

(d) The request for such a ruling and any discussions relating to the document shall be heard

and ruled upon by the Commission in a timely manner, but not later than at the outset of the

hearing. If the request for such a ruling is made during a public hearing, the hearing shall be

adjourned, and the Commission shall conduct a closed session to hear and rule upon the request

of the Commission’s legal counsel or the Petitioner. The Commission’s legal counsel or the

Petitioner may present to the Commission in a closed meeting written and oral argument

regarding the confidentiality claim, along with any facts the Commission’s legal counsel or the

Petitioner believes to be relevant to such argument.

(e) In determining whether a document marked in accordance with subsection 9.06(a) above

should be made part of the public record of the Commission proceedings, the Commission shall

balance the claim for confidentiality against the materiality of the information to the related

regulatory procedure or subject of the hearing, the public’s right to be made aware of the

information, and the Commission’s need to make the information part of the public record in

order to remain fully accountable for the Commission’s decision. In making this determination,

the Commission shall consider all facts and circumstances relevant to making a proper ruling.

(f) In determining whether a document marked in accordance with subsection 9.06(a) above

should be made part of the public record of the Commission proceedings, the Commission may

consider whether the rights of the public to be aware of the information and the rights of the

Commission or the Petitioner to the protection of confidential information contained in the

document may be effectively addressed, at least in part, by the redaction of certain confidential

information contained in the document.

(g) If the Commission rules during a closed meeting that the document in question or

information contained therein should be made part of the public record of the Commission’s

proceedings, the document or information shall be made part of the public record unless the

Commission’s legal counsel or the Petitioner requests that the Commission withdraw the

document from the proceeding and the Commission’s possession. In the event the Commission’s

legal counsel or the Petitioner requests that the document be withdrawn from the Commission’s

possession, the Commission shall consider the withdrawal request when it weighs the other

evidence in the proceeding. A withdrawal of documents from the proceeding shall be looked

upon by the Commission with disfavor, and, depending on the facts and circumstances, the

Commission may deem the withdrawal of any document at Petitioner’s request to be sufficient

cause in and of itself to deny the relief requested by the Petitioner.

(h) If the Commission rules during a closed meeting that the document in question or

information contained therein should not be made part of the public record, the document shall

be designated “Confidential” and shall not be part of the public record. The Commission may

consider the document and information contained therein in camera in making its determination.

(i) At the conclusion of the Commission proceedings, the Commission shall return to the

Petitioner all documents marked as “Subject to a Confidentiality Claim” pursuant to subsection

9.06(a) above: (1) that were not made part of the public record of the proceeding; or (2) that were

designated as “Confidential” and considered by the Commissioners in camera.

Section 9.07 Hearing Rules.

(a) All hearings shall be conducted in accordance with the Act, including Section 13.04 of

the Act.

(b) The Commission shall have the power and discretion to issue subpoenas in accordance

with Section 13.03 of the Act.

disruptive, disorderly, or who shows a lack of proper respect for the Commission or the

proceedings.

(d) Persons shall be permitted to speak at a hearing only when recognized by the Presiding

Officer.

(e) Any party to the hearing may call and examine witnesses and conduct cross-examinations

reasonably required for a full and fair presentation of relevant facts.

(f) Any Commissioner may ask questions of witnesses. The Presiding Officer may request

or allow additional evidence at any time before the submission of evidence has been completed.

(g) In accordance with subsection 13.04(f) of the Act and the Band’s Open Meeting Act, all

hearings shall be open to Band Citizens, except as otherwise permitted under the Band’s Open

Meetings Act.

Section 9.08 Rules of Evidence.

(a) Hearings shall not be subject to any formal rules of evidence. The Presiding Officer shall

admit all testimony having reasonable probative value, and shall exclude evidence that the

Presiding Officer deems unreliable, irrelevant or unduly repetitious.

(b) The Commission shall give effect to the rules of privilege unless such privilege is waived.

Basic principles of relevancy, materiality and probative force shall govern the proof of all

questions of fact. Objections to evidentiary offers and offers of proof of evidence not admitted

may be made and shall be noted in the record.

which the Commission desires to avail itself, shall be duly offered and made a part of the record

in the case.

(d) Every party shall be afforded adequate opportunity to rebut or offer countervailing

evidence.

(e) The Commission or the Presiding Officer may take official notice of any well-recognized

fact or any established technical or scientific fact or process, but the Petitioner shall be notified

before the hearing, including by full reference in preliminary reports or otherwise, of the facts so

noticed by the Presiding Officer, and the Petitioner shall be afforded an opportunity to contest the

validity of the Presiding Officer’s official notice of any facts.

(f) Documentary evidence may be received in the form of copies or excerpts if the original is

not readily available. Upon request, the Presiding Officer or the Petitioner shall be given an

opportunity to compare the copy to the original.

(g) The record in all hearings shall include:

(1) all Applications, intermediate rulings and exhibits and appendices thereto;

(2) evidence received or considered, stipulations and admissions, including confidential

evidence received pursuant to these Regulations;

(3) a statement of facts officially noticed;

(4) questions and offers of proof, objections, and rulings thereon;

(5) any decision, opinion, findings, or report by the Commission; and

(6) the transcript prepared by a duly certified court reporter, unless the Commission

waives the need for a transcript to be prepared.

(h) The Commission shall have the affirmative obligation to establish by a preponderance of

the evidence violations of the Act, these Regulations, or the Compact.

(i) In accordance with subsection 8.07(a) of the Act, Petitioner shall have the burden of

proving by clear and convincing evidence that all standards and other requirements applicable to

such License have been or continue to be met, including qualification for any License.

(j) Petitioner shall have the burden of proving by clear and convincing evidence that a

person was improperly added to the Excluded Cannabis Employee List or an application for a

Cannabis Employee Identification Card was improperly denied.

Section 9.09 Commission Decisions.

(a) All Commissions decisions shall be made in accordance with the Act, including Section

13.05 of the Act.

(b) The Commission shall include with a final decision on the merits a statement that the

Commission’s decision is a “final decision subject to appeal”, and such decision shall not be

subject to rehearing before the Commission.

subsection 13.04(b) of the Act, and shall have the authority to accept, amend or reject the

findings of the hearing officer.

(d) The Commission shall make a good faith attempt to serve a copy of any Commission

decision on the Petitioner or Petitioner’s attorney by first class U.S. mail to the applicable last

known address.

Section 9.10 Sanctions.

If Petitioner or Petitioner’s attorney fails to comply with any Commission decision or order

relating to a hearing, including regarding discovery or failure to appear at a hearing at the

scheduled time, the Commission may, either sua sponte or upon the Presiding Officer’s motion,

impose appropriate sanctions for the noncompliance as the Commission deems to be just under

the circumstances.

History

On November 14, 2022, the Commission gave the requisite notice of its intent to adopt these

Regulations. On December 19, 2022, the Commission reviewed comments that were timely

received. On January 9, 2023, through Resolution No. 23-01-09-01, the Commission approved:

(1) the written record of the comments that were timely received; and (2) these Regulations, and

such Resolution stated an effective date of January 9, 2023. On June 24, 2024, the Commission

gave the requisite notice of its intent to adopt amendments throughout the Regulations. On

different Commission meetings, including January 15, 2025 and February 6, 2025, the Commission

reviewed comments that were timely received. On February 6, 2025, through Resolution No. 2502-06-05, the Commission approved: (1) the written record of the comments that were timely

received; (2) the amended Regulations, excluding any approval of Section 7.02; (3) an effective

date of March 8, 2025. On December 8, 2025, through Resolution No. 25-12-08-01, the

Commission approved the amended Regulations, consistent with the Tribal State Cannabis

Compact, with an effective date of December 8, 2025.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.