# POKAGON BAND OF POTAWATOMI INDIANS > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/tribal%3Apokagon_potawatomi%3A5376e5b78c590cbd ## Record - **Collection:** Tribal code - **Document type:** Tribal code ## Text POKAGON BAND OF POTAWATOMI INDIANS CANNABIS REGULATORY COMMISSION CANNABIS REGULATIONS 1 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 2 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 3 History............................................................................................................................... 63 4 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; (c) establish the framework pursuant to the Act for the conduct, regulation, and 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. (c) These Regulations, to the extent reasonable, shall be read and interpreted in a manner 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. 5 (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. (c) “Applicant” means any Person who has applied for, or requested renewal of, any License. (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 6 (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; 7 (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. 8 (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. 9 (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. 10 (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; 11 (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 12 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. 13 (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. 14 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). (c) A Cannabis Facility Licensee shall record the following data in the Cannabis Tracking 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. 15 (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. (c) Each Cannabis Facility Licensee shall designate at least one employee as a Cannabis 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. 16 (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. 17 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. (c) For each activity entry, a Cannabis Facility Licensee shall enter into the Cannabis 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; 18 (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 19 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. 20 (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. (c) The Commission, in its sole discretion, may suspend the Application and License fees 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. (c) Any failure by an Applicant to comply with the Application requirements of the Act or 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. 21 (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. (c) Any plan required under these Regulations shall meet all applicable requirements of these Regulations and, to the extent not in conflict with these Regulations, all substantive requirements of State Law relating to the plan. 22 (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. (c) The review of the premises of the Cannabis Facility shall include a determination of 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. 23 (c) By submitting a renewal 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. (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. 24 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. (c) The Commission, in its sole discretion, may suspend the Application and License fees 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. 25 (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. (c) Every Control Person shall provide to the Commission any information or forms required 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. (c) By submitting a renewal Application for a Cannabis Supplier 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. (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 26 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. (c) The Commission may waive the background investigation process and such other 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). 27 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. (c) A Cannabis Facility Licensee shall verify the identity and authorization to work in the 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. (c) The purpose of the criminal history background investigation shall be to determine 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. 28 (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. (c) Upon adding any person to the Excluded Cannabis Employee List, the Commission shall, 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. 29 (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; (c) the results of the criminal history background investigation conducted by the Cannabis 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 30 (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. (c) A Cannabis Facility Licensee may challenge the Commission’s decision to deny a 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. 31 (c) Upon any resignation or termination of a Cannabis Employee’s employment by a 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. 32 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. (c) Upon such notification under subsection 6.01(a) or (b) above, the Commission may 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; 33 (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 34 (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. (c) Cannabis waste shall not be stored in proximity to viable Cannabis material destined 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. 35 (c) All chemicals or solvents shall be stored separately from Cannabis and Cannabis Product 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 36 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. (c) All records, logs, reports or other documents, and every person in charge, or having 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 37 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. (c) A Cannabis Facility Licensee shall comply with the requirements of Section 11.02 of the 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. 38 (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. 39 (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 40 Products that are being transported. The Licensee must maintain these records and provide them to the Commission upon request. (c) A Licensee shall generate a Commission-approved transport manifest through the 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. 41 (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. 42 (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; 43 (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. 44 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. (c) A Cannabis Supplier that is not a State Licensee shall provide the Cannabis Facility 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 45 (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 46 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. 47 (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.”; 48 (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. (c) Packaging shall not be designed to be attractive to individuals under the age of 21, and 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; 49 (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: 50 (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; (c) include cautionary language regarding the effects of Cannabis varying from person to 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. (c) Prior to selling or transferring any Cannabis or Cannabis Product, a Cannabis Facility 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. 51 (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 Cannabi [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/tribal%3Apokagon_potawatomi%3A5376e5b78c590cbd. Public record. Not legal advice.