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TRIBAL CANNABIS COMPLIANCE REGULATIONS

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REGULATION 5

LICENSING, BACKGROUND CHECKS, AND REGISTRATION CARDS

 

5.000   Application process.

5.010   Designation of persons responsible for providing information, signing documents and ensuring certain actions are taken.

5.015   Qualifications for licensure.

5.020   Request for applications to operate establishment.

5.040   Licensing of cannabis establishments: Criteria of merit; relative weight.  

5.070   Inspections.

5.075   Authority of Board and Department relating to inspections and investigations, summoning of witnesses and issuance of subpoenas, administration of oaths and administration of provisions of chapter.

5.085   Surrender of license if cannabis establishment has not received final inspection; extension of time for final inspection; fee not refundable.

5.090   Notification to Board and Department if cannabis establishment is closing; immediate surrender of license upon permanent closure.

5.095   Renewal of license.

5.100   Grounds for denial of issuance or renewal of license; grounds for revocation of license; notice; opportunity to correct situation.

5.110   Requirements for transfer of all or a portion of ownership interest; reimbursement of costs to Board and Department; notice to Board or Department; disclosure of facts pertaining to representative capacity of certain persons to Board or Department; permission of Board or Department required for registering certain information in the books and records of the cannabis establishment; investigation.

5.115   Contracts or agreements with certain unsuitable or unlicensed persons prohibited; termination of contract or agreement.

5.120   Submission of information by cannabis establishment to obtain or renew registration card for person employed by or contracted with establishment or for volunteer; fingerprinting and application fee; issuance of registration card; temporary registration.

5.125   Policies and procedures for waiving requirement to obtain a cannabis agent registration card for any owner, officer and board member.

5.130   Submission of information by cannabis establishment to obtain or renew a registration card for a cannabis executive; temporary registration; registration card for a cannabis executive required for officer, board member and person holding ownership interest in cannabis establishment.

5.135   Submission of applications.

5.140   Registration cards: Requirements for requesting replacement card.

5.145   Registration cards: Requirements for changing name or address.

5.150   Categories of registration cards.

5.155   Legal status as a separate entity; issuance of license; shared secured storage area; requirements for buildings and location; inspection and other requirements to commence operations; expansion of operations; powers and duties in operation; request for exception from inspection.

5.160   Notification of subsequent events.

5.000 Application process.

1. It is declared policy of the Tribe that all cannabis establishments are licensed and regulated so as to better protect the public health, safety, morals and customs, good order and welfare of inhabitants, and to preserve the competitive economy on Tribal lands, and the policies of free competition of the Tribe.  Any cannabis establishment license, agent card, or approval by the Board or Department pursuant to the provisions of Title 23 of the Tribal Law and Order Code is a revocable privilege, and no holder acquires any vested right therein or thereunder.  No applicant for a license or other affirmative Board or Department approval has any right to a license or the granting of the approval sought. 

2. An application for a cannabis establishment license, agent card, or approval by the Board or Department (whichever is required by Tribal law) is seeking the granting of a privilege, and the burden of proving the applicant’s qualification to receive that privilege is at all times on the applicant. An applicant must accept any risk of adverse public notice, embarrassment, criticism, or other action or financial loss which may result from action with respect to an application and expressly waive any claim for damages as a result thereof. 

3. An application for a cannabis establishment license, business license, agent card, or approval by the Board or Department (whichever is required by Tribal law), shall constitute a request to the Board/Department for a decision upon the applicant’s general suitability, character, integrity, and ability to participate or engage in, or be associated with, the cannabis industry in the manner or position sought by the application; and, by filing an application with the Board/Department, the applicant specifically consents to the making of such a decision by the Board/Department at their election when the application, after filing, becomes moot for any reason other than death. 

4. A request for withdrawal of an application may be made at any time prior to final action upon the application by the Board/Department by filing a written request to withdraw with the Board or Department. Final action by the Board/Department upon an application occurs when the Board/Department adopts its conclusion regarding the application.  Unless any Board or Department member directs a request for withdrawal be placed on an agenda for action, the Board or Department Chair may, in the Chair’s discretion, grant the request for withdrawal without prejudice. The Board or Department may, in its discretion, deny the request, or grant the request with or without prejudice. If a request for withdrawal is granted with prejudice, the applicant is not eligible to apply again for licensing or approval until after expiration of 1 year from the date of such withdrawal.

5. After completion of its investigation and proceedings respecting an application, the Board or Department will issue the approval or denial of the application. If the Board or Department denies an application, the denial will be accompanied by written reasons upon which the denial is based. All such denials and reasons will be made public, and no denial will be secret. Any person whose application has been denied is not eligible to apply again for licensing or approval until after expiration of 1 year from the date of such denial, unless the Board determines in its discretion otherwise.

 

5.010 Designation of persons responsible for providing information, signing documents and ensuring certain actions are taken. 

1. When a cannabis establishment is required to provide information, sign documents, accept service of complaints or notification of violations, or ensure actions are taken, the persons identified in this subsection shall comply with the requirement on behalf of the cannabis establishment:

(a) If a natural person is applying for a license for a cannabis establishment, the natural person;

(b) If a corporation is applying for a license for a cannabis establishment, a natural person who is an officer of the corporation; 

(c) If a limited partnership is applying for a license for a cannabis establishment, a natural person who is a partner; 

(d) If a limited-liability company is applying for a license for a cannabis establishment, a manager or, if the limited-liability company does not have a manager, a natural person who is a member of the limited-liability company; 

(e) If an association or cooperative is applying for a license for a cannabis establishment, a natural person who is a member of the governing board of the association or cooperative; 

(f) If a joint venture is applying for a license for a cannabis establishment, a natural person who signed the joint venture agreement;

(g) If a trust is applying for a license for a cannabis establishment, a natural person who is a trustee of the trust; and 

(h) If a business organization other than those described in paragraphs (b) to (g), inclusive, is applying for a license for a cannabis establishment, a natural person who is a member of the business organization.

2. For the purposes of this Rule, the following persons must comply with the provisions governing owners, officers and board members of a cannabis establishment:

(a) If a corporation is applying for a license for a cannabis establishment, the shareholders, officers, and board members of the corporation;

(b) If a limited partnership is applying for a license for a cannabis establishment, the partners;

(c) If a limited-liability company is applying for a license for a cannabis establishment, the members and managers of the limited-liability company;

(d) If an association or cooperative is applying for a license for a cannabis establishment, the members of the association or cooperative;

(e) If a joint venture is applying for a license for a cannabis establishment, the natural persons who signed the joint venture agreement; 

(f) If a trust is applying for a license for a cannabis establishment, the trustees of the trust, and

(g) If a business organization other than those described in paragraphs (a) to (f), inclusive, is applying for a license for a cannabis establishment, the members of the business organization.

5.015 Qualifications for licensure. 

1. In addition to the considerations in Subsection 3 of TCCR 5.000, the Department may consider the following in determining whether any person qualifies to receive a license:

(a) The adequacy of the person’s business competence and experience for the role or position for which application is made;

(b) The unsuitable affiliates of the person applying for the license even if the person is found suitable by theDepartment, but associates with, or controls, or is controlled by, or is under common control with, an unsuitable person;

(c) The adequacy of the proposed funding for the nature of the proposed operations; and

(d) The suitability of the source of funding unless the person satisfies the Department that the source of funding:

(1) Is a person of good character, honesty, and integrity;

(2) Is a person whose background, reputation and associations will not result in adverse publicity for the Tribe and its cannabis industry; and

(e) The Department may consider any other qualifications or behavior of the person that the Department determines is inconsistent with the declared policy of the Tribe.

 

5.020 Request for applications to operate establishment.  The Tribal Council has determined that only Tribally owned or Tribal majority owned cannabis establishments shall exist on the Reservation.  If the Tribal Council determines that additional cannabis establishments are necessary, the Tribal Council will take all actions necessary to amend the Tribe’s laws and regulations (if necessary) and issue a request for applications to operate a cannabis establishment, following procedures stated by the Tribal Council.

 

5.040 Licensing of cannabis establishments: Criteria of merit; relative weight.   Prior to requesting applications pursuant to TCRR 5.020, the Board will promulgate regulations on how the Board will determine the ranking of the applications made in response to a request by the Tribal Council pursuant to  5.020.

5.070 Inspections.

1. Department Agents may, at any time they determine an inspection is needed, conduct an investigation into the premises, facilities, qualifications of personnel, methods of operation, policies and procedures of any cannabis establishment and of any person proposing to engage in the operation of a cannabis establishment. An inspection of a facility may include, without limitation, investigation of standards for safety from fire on behalf of the Department by the local fire protection agency or Fire Marshall. 

2. No license shall be issued for a cannabis establishment until Department Agents complete an inspection of the cannabis establishment. Such an inspection may require more than one visit to the cannabis establishment. 

3. Department Agents may conduct a preliminary walk-through of a cannabis establishment, upon request and subject to the availability of inspectors, to assist with questions and identify issues for correction before the inspection of the cannabis establishment. Before requesting a preliminary walk-through, a cannabis establishment must complete all construction and be near completion of all other applicable requirements of the laws and regulations. If a Department Agent conducts a preliminary walk-through at the request of a cannabis establishment, the Department will issue an invoice to the cannabis establishment for the costs of the preliminary walk-through, including, without limitation, travel and inspection activities. 

4. In addition to complying with the provisions of Title 23 of the Law and Order Code and TCCR governing the imposition of an excise tax on cannabis establishments, a cannabis establishment may not operate until it has been issued a license from the Tribe. 

5. The Tribal Council will not issue a license for a cannabis establishment until the Board and Department have received a satisfactory report of full compliance with and completion of all applicable public safety inspections required by state and local jurisdictions, including, without limitation, fire, building, health and air quality inspections.

5.075 Authority of Board and Department relating to inspections and investigations, summoning of witnesses and issuance of subpoenas, administration of oaths and administration of provisions of chapter.

1. Submission of an application for a license for a cannabis establishment constitutes permission for entry to and reasonable inspection of the cannabis establishment by the Board, Department or their Agents, with or without notice. An inspector conducting an inspection pursuant to this section does not need to be accompanied during the inspection.

2. The Department may, upon receipt of a complaint against a cannabis establishment, except for a complaint concerning the cost of services, a complaint concerning the efficacy of cannabis or a complaint related to consumer service issues, conduct an investigation during the operating hours of the cannabis establishment, with or without notice, into the premises, facilities, qualifications of personnel, methods of operation, policies, procedures and records of that cannabis establishment or any other cannabis establishment which may have information pertinent to the complaint.

3. Board or Department Agents may enter and inspect any building or premises at any time, with or without notice, to:

(a) Secure compliance with any provision of Title 23 of the Tribe’s Law and Order Code, or the TCCR;

(b) Prevent a violation of any provision of Title 23 of the Tribe’s Law and Order Code, or the TCCR; or

(c) Conduct an unannounced inspection of a cannabis establishment in response to an allegation of noncompliance with Title 23 of the Tribe’s Law and Order Code or the TCCR.

4. The Board or Department may:

(a) Summon witnesses to appear and testify on any subject material to its responsibilities under Title 23 of the Tribe’s Law and Order Code or the TCCR. Such summons may be served by personal service by the Board, Department or their agents.

(b) Except as otherwise provided in this paragraph, issue subpoenas to compel the attendance of witnesses and the production of books and papers and may seek to enforce the subpoenas by petition to any court of competent jurisdiction in the manner provided by law. The Board and Department will not issue a subpoena to compel the production of books and papers that contain individually identifiable health information.

5. Any member of the Board or Department employee may administer oaths to witnesses.

6. The Board, Department and their Agents may:

(a) Inspect and examine all premises wherein cannabis is manufactured, sold or distributed;

(b) Inspect all equipment and supplies in, upon or about such premises;

(c) Summarily seize and remove from such premises any cannabis or cannabis products and impound any equipment, supplies, documents or records for the purpose of examination and inspection;

(d) Demand access to and inspect, examine, photocopy and audit all papers, books and records of any applicant or licensee, on his or her premises, or elsewhere as practicable, and in the presence of the applicant or licensee, or his or her agent, relating to the gross income produced by any cannabis establishment, and require verification of income, and all other matters affecting the enforcement of the policy or any of the provisions of  Title 23 of the Tribe’s Law and Order Code or the TCCR; and

(e) Demand access to and inspect, examine, photocopy and audit all papers, books and records of any affiliate of a licensee whom the Board knows or reasonably suspects is involved in the financing, operation or management of the licensee. The inspection, examination, photocopying and audit may take place on the premises of the affiliate or another location, as practicable, and in the presence of the affiliate or its agent.

7. Department Agents will enter and inspect at least annually, with or without notice, each building or the premises of a cannabis establishment to ensure compliance with the provisions of Title 23 of the Tribe’s Law and Order Code or the TCCR. 

8. Board or Department Agents will enter and inspect, with or without notice, any building or premises operated by a cannabis establishment within 72 hours after the Board or Department is notified that the cannabis establishment is operating without a license for the cannabis establishment.

9. Board or Department Agents will inspect the medical cannabis establishment and the cannabis establishment of a dual licensee at the same time using the same inspection team to ensure consistency and efficiency. Board or Department Agents will conduct such an inspection in a manner which is not unduly burdensome for the dual licensee.

10 The Board, Department or their Agents may consult with any person or entity, as needed, in any of the Board’s or Department’s audits, inspections, and/or investigations.  This includes, but is not limited to, allowing such persons or staff from said entities to accompany Board or Department Agents during inspections, and/or investigations.

11. The Board and Department will administer the provisions of Title 23 of the Tribe’s Law and Order Code or the TCCR for the protection of the public and in the public interest in accordance with the policy of the Tribe.

12. As used in this section, “individually identifiable health information” means information which identifies a natural person, or from which the identity of a natural person may reasonably be ascertained, and which relates to:

(a) The past, present or future physical or mental health or condition of the person; or

(b) The provision of health care to the person.

 

5.085 Surrender of license if cannabis establishment has not received final inspection; extension of time for final inspection; fee not refundable.

1. If a cannabis establishment has not received a final inspection within 12 months after the date on which the Board or Department issued a license to the cannabis establishment, the cannabis establishment must surrender the license to the Board. The Board may extend the period specified in this subsection if the Board, in its discretion, determines that extenuating circumstances prevented the cannabis establishment from receiving a final inspection within the period specified in this subsection.

2. If a cannabis establishment surrenders a license to the Board pursuant to this section, the applicable licensing fee paid by the cannabis establishment is not refundable.

 

5.090 Notification to Board and Department if cannabis establishment is closing; immediate surrender of license upon permanent closure. If a cannabis establishment is closing, the person identified in subsection 2.050.1 for the cannabis establishment must notify the Board and Department of the closing at least 15 days before the cannabis establishment is closed.  If the intent is to permanently close the cannabis establishment it must surrender its license to the Board immediately upon closing.


5.095 Renewal of license. A person or entity that wishes to renew a license for a cannabis establishment must annually submit to the Department:

1. Payment of the annual licensing fee for the renewal of the license.  Payment must include the identification numbers of the establishment and the name of the entity applying to renew the license.

2. Any such other information required by the Department upon request.

3. If a person or entity fails to renew its license by the expiration date, then the

licensee shall cease operations until its license is renewed. If the person or entity fails to

renew its license within ninety (90) days of the expiration date, then the license shall be

deemed voluntarily surrendered.

 

5.100 Grounds for denial of issuance or renewal of license; grounds for revocation of license; notice; opportunity to correct situation. 

1. The Department will deny an application for the issuance or renewal of a license for a cannabis establishment if:

(a) The application or the cannabis establishment is not in compliance with any provision of the Tribe’s Law and Order Code or the TCCR; or

(b) An owner, officer or board member of the cannabis establishment:

(1) Intentionally provides information that the Board determines is false or misleading.

2. The Board or Department may revoke a license for a cannabis establishment if:

(a) The cannabis establishment engages in a category I violation pursuant to 4.035; 

(b) An owner, officer or board member of the cannabis establishment has been convicted of a felony offense;  or

(c) An owner, officer or board member of the cannabis establishment unintentionally provides information that the Board or Department determines is false or misleading.

3. The Department may deny an application for the issuance or renewal of a license for a cannabis establishment or may suspend or revoke any license issued under the provisions of Title 23 of the Tribe’s Law and Order Code or the TCCR upon any of the following grounds:

(a) Violation by the applicant or the cannabis establishment of any of the provisions of Title 23 of the Tribe’s Law and Order Code or the TCCR.

(b) The failure or refusal of an applicant or cannabis establishment to comply with any of the provisions of Title 23 of the Tribe’s Law and Order Code or the TCCR

(c) The failure or refusal of a cannabis establishment to carry out the policies and procedures or comply with the statements provided to the Board or Department in the application of the cannabis establishment.

(d) Operating a cannabis establishment without a license.

(e) The failure or refusal to return an adequate plan of correction to the Board and Department within 10 business days after receipt of a statement of deficiencies pursuant to  5.080.

(f) The failure or refusal to correct any deficiency specified by the Board or Department within the period specified in a plan of correction developed pursuant to  5.080.

(g) The failure or refusal to cooperate fully with an investigation or inspection by the Board, Department or their Agents.

(h) The failure to comply with the provisions of the Tribe’s Law and Order Code or the TCCR governing the imposition of tax on cannabis establishments.

(i) An owner, officer or board member of the cannabis establishment unintentionally provides information that the Board or Department determines is false or misleading.

4. If the Department denies an application for issuance or renewal of a license for a cannabis establishment or revokes such a license, the Department will provide notice to the applicant or cannabis establishment that includes, without limitation, the specific reasons for the denial or revocation.

5. Before denying an application for issuance or renewal of a license for a cannabis establishment or revoking such a license as a result of the actions of an owner, officer or board member of the cannabis establishment pursuant to paragraph (b) of subsection 1 or paragraph (b) of subsection 2, the Department may provide the cannabis establishment with an opportunity to correct the situation.

6. The Department will not deny an application to renew a license for a cannabis establishment or revoke a license based on a change in ownership of the cannabis establishment if the cannabis establishment is in compliance with the provisions of the Tribe’s Law and Order Code or the TCCR, except as otherwise stated in the TCCR.

 

5.110 Requirements for transfer of all or a portion of ownership interest; reimbursement of costs to Board and Department; notice to Board or Department; disclosure of facts pertaining to representative capacity of certain persons to Board or Department; permission of Board or Department required for registering certain information in the books and records of the cannabis establishment; investigation. 

1. A transfer of an ownership interest in any amount in a cannabis establishment is not effective until the Board has been notified on a form prescribed by the Board of the intent to transfer an ownership interest in the cannabis establishment and the Board has found that each person to whom an ownership interest is proposed to be transferred is individually qualified to be an owner of the cannabis establishment.  No transfer shall be complete unless approved by the Tribal Council, which shall have full discretion to approve or disapprove of any transfer.

2. A cannabis establishment shall, in accordance with this section and upon submission of a statement signed by a person authorized to submit such a statement by the governing documents of the cannabis establishment, transfer all or any portion of its ownership to another party, and the Board shall transfer the license issued to the cannabis establishment to the party acquiring ownership, if the party who will acquire the ownership of the cannabis establishment submits:

(a) If the party will acquire the entirety of the ownership interest in the cannabis establishment, evidence satisfactory to the Board that the party has complied with the Tribe’s Law and Order Code or the TCCR for the purpose of operating the cannabis establishment; and

(b) For the party and each person who is proposed to be an owner, officer or board member of the cannabis establishment, the name, address and date of birth of the person, a complete set of the fingerprints of the prospective cannabis establishment agent must be submitted by the applicant to the Department or Tribal Police for processing as required by the Tribe’s Law and Order Code or the TCCR.

3. A cannabis establishment shall reimburse the Board for all costs incurred by the Board, Department and their Agents to determine whether any change in ownership or other change was made to circumvent the provisions of this section which prohibit the transfer of a license for a cannabis establishment or to otherwise review or investigate a change in ownership.

4. A person shall not sell, purchase, assign, lease, grant or foreclose a security interest or otherwise transfer, convey or acquire in any manner whatsoever any interest of any sort whatsoever in or to any cannabis establishment or any portion thereof, whether the license for the cannabis establishment is conditional or not, or enter into or create a voting trust agreement or any other agreement of any sort in connection with any cannabis establishment or any portion thereof, except in accordance with the Tribe’s Law and Order Code or the TCCR.

5. A cannabis establishment shall notify the Board, on a form prescribed by the Board, each time an ownership interest in any amount in the cannabis establishment is transferred.  This form must be signed by:

(a) All owners of the cannabis establishment; or 

(b) All officers of the cannabis establishment; or

(c) All board members of the cannabis establishment. 

6. A person without a valid cannabis establishment agent registration card for a cannabis establishment shall notify the Board prior to any:

(a) Transfer or conveyance of any interest in or to a cannabis establishment, or any portion thereof; or

(b) investment therein; or

(c) exercise of a significant level of control over; or 

(d) participation in the profits thereof by or to any person acting as agent or trustee or in any other representative capacity for or on behalf of another person.  Such notification must disclose all facts pertaining to such action, including, without limitation, a description of the reason for the transfer and any contract or other agreement describing the transaction.  Such person must be issued a cannabis establishment agent registration card for the cannabis establishment at issue, on approval by the Board of the proposed action.

7. A cannabis establishment, or an owner, officer or board member thereof, shall not cause or permit any stock certificate or other evidence of beneficial interest in the cannabis establishment to be registered in the books or records of the cannabis establishment in the name of any person other than the true and lawful owner of the beneficial interest without the written permission of the Board.

8. If the person receiving an ownership interest is not a natural person, the recipient must disclose the percentage of the ownership interest in the cannabis establishment received by each person who has an ownership interest in the recipient.

9. A request to transfer an ownership interest in a cannabis establishment which holds a conditional license must be accompanied by a notarized attestation, signed by a person authorized to submit such an attestation by the governing documents of the cannabis establishment, declaring that the prospective owner will build and operate the cannabis establishment at standards that meet or exceed the criteria contained in the original application for the cannabis establishment.

10. The owners of a cannabis establishment may request the transfer of any portion or the entirety of the ownership interest in the cannabis establishment to any existing owner or combination of existing owners of the cannabis establishment by submitting to the Board:

(a) A completed Transfer of Interest Form prescribed by the Board;

(b) An affidavit by the owners of the cannabis establishment requesting the transfer affirming under oath that they are authorized to request the transfer of interest and all current owners and interested parties authorize and consent to the transfer of interest;

(c) All contracts or other agreements which describe the ownership transaction; 

(d) Proof satisfactory to the Board that no monopoly will be created; and

(e) If such transfer shall increase an ownership interest of an owner with less than a five (5) percent interest to an interest of five (5) percent or more, and this level of interest is maintained for forty-five (45) consecutive days, whether voting or beneficial, then all statutory and regulatory requirements pertaining to owners with five (5) percent interest or more apply as of thirty (30) days after the forty-fifth (45) consecutive day. The cannabis establishment must notify the Board within five (5) business days after it becomes aware of any ownership equal to or exceeding five (5) percent for more than forty-five (45) consecutive days. At the discretion of the Board, the thirty (30) day requirement set forth in this subsection may be extended upon written request of the licensee.

11. The owners of a cannabis establishment may request the transfer of any portion or the entirety of the ownership interest in the cannabis establishment to any natural person who holds an ownership interest in another cannabis establishment or any person whose ownership interest is entirely held by natural persons who hold an ownership interest in another cannabis establishment by submitting to the Board:

(a) A completed Transfer of Interest Form prescribed by the Board;

(b) An affidavit by the owners of the cannabis establishment requesting the transfer affirming under oath that they are authorized to request the transfer of interest and all current owners and interested parties authorize and consent to the transfer of interest;

(c) All contracts or other agreements which describe the ownership transaction;

(d) Identification of each cannabis establishment in which any person who is proposed to receive an ownership interest in the cannabis establishment which is the subject of the request holds an ownership interest;

(e) A proposed organizational chart for the cannabis establishment which is the subject of the request;

(f) A copy of any document required to be revised as a result of the proposed transfer relating to a fictitious name, if applicable;

(g) An updated description of all shares issued in the cannabis establishment and the shares issued per owner as a result of the proposed transfer, if applicable; and

(h) Proof satisfactory to the Board that no monopoly will be created.

12. The owners of a cannabis establishment may request the transfer of any portion or the entirety of the ownership interest in the cannabis establishment to any natural person, regardless of whether the natural person holds an ownership interest in another cannabis establishment, or any person whose ownership interest is not entirely held by natural persons who hold an ownership interest in another cannabis establishment by submitting to the Board:

(a) A completed Transfer of Interest Form prescribed by the Board;

(b) An affidavit by the owners of the cannabis establishment requesting the transfer affirming under oath that they are authorized to request the transfer of interest and all current owners and interested parties authorize and consent to the transfer of interest;

(c) All contracts or other agreements which describe the ownership transaction;

(d) A complete set of the fingerprints of the prospective cannabis establishment agent must be submitted by the applicant to the Department or Tribal Police for processing as required by the Tribe’s Law and Order Code or the TCCR;

(e) Proof that a complete application for a cannabis establishment agent registration card has been submitted for each person who will receive an ownership interest;

(f) A proposed organizational chart for the cannabis establishment;

(g) A copy of any document required to be revised as a result of the proposed transfer relating to a fictitious name, if applicable;

(h) An updated description of all shares issued in the cannabis establishment and the shares issued per owner as a result of the proposed transfer, if applicable;

13. The Board or Department Agents will conduct such investigation of a request submitted pursuant to subsection 10, 11 or 12 and of each person proposed to receive an ownership interest in a cannabis establishment as a result of such a request as the Board or Department Agents determine is necessary. If the Board, as a result of such an investigation, determines additional information is necessary to complete the investigation, the cannabis establishment shall submit such information to the Board in a timely fashion. Upon completion of the investigation, the Board will:

(a) If the requested change in ownership does not violate any provision of the Tribe’s Law and Order Code or the TCCR or any other relevant law or regulation:

(1) Notify the cannabis establishment in writing that the request will be submitted to the Tribal Council for its decision; and

(2) If approved by the Tribal Council, update its records to reflect the new ownership of the cannabis establishment; and

(b) If the requested change in ownership violates any provision of the Tribe’s Law and Order Code or the TCCR or any other relevant law or regulation, notify the cannabis establishment in writing that the request has been denied and state the reason for denial.

 

5.115 Contracts or agreements with certain unsuitable or unlicensed persons prohibited; termination of contract or agreement.

1. A person who has:

(a) Been denied a license or agent card;

(b) Had a license, agent card or other approval revoked,

shall not enter or attempt to enter into any contract or agreement with a licensee, either directly or indirectly, through any business organization under such a person’s control that involves the operations of a licensee without the prior approval of the Board. This provision does not prohibit any person from purchasing any goods or services for personal use from a licensee at retail prices that are available to the general public.

2. Every contract or agreement with a person that is subject to the provisions of subsection 1 shall be deemed to include a provision for its termination without liability on the part of the licensee. Failure to expressly include that condition in the contract or agreement is not a defense in any action brought pursuant to this section to terminate the agreement.

 

5.120 Submission of information by cannabis establishment to obtain or renew registration card for person employed by or contracted with establishment or for volunteer; fingerprinting and application fee; issuance of registration card; temporary registration.

1. A person who wishes to volunteer or work at a cannabis establishment, or a cannabis establishment that wishes to retain as a volunteer or employ such a person, shall submit to the Department an application on a form prescribed by the Department. The application must be accompanied by:

(a) The name, address and date of birth of the prospective cannabis establishment agent;

(b) A statement signed by the prospective cannabis establishment agent pledging not to dispense or otherwise divert cannabis to any person who is not authorized to possess cannabis in accordance with the provisions of this title;

(c) A statement signed by the prospective cannabis establishment agent asserting that he or she has not previously had a cannabis establishment agent registration card revoked;

(d) A complete set of the fingerprints of the prospective cannabis establishment agent must be submitted by the applicant to Department for processing for its report;

(e) A statement as required by Law and Order Code, if still effective. The statement must be completed and signed by the applicant;

(f) The application fee;

(g) A list and description of each of the following which has not been previously reported to the Department:

(1) A conviction of any felony offense in the past ten years;

(2) A civil penalty or judgment entered against the agent card holder; and

(3) The initiation by a federal, state or local government of an investigation or proceeding against the agent card holder.

(h) Any such other information required by the Board or Department upon request.

2. A person who wishes to contract to provide labor to or be employed by an independent contractor to provide labor to a cannabis establishment, or a cannabis establishment that wishes to contract with such a person, shall submit to the Department an application on a form prescribed by the Department for the registration of the independent contractor and each employee of the independent contractor who will provide labor as a cannabis establishment agent. The application must be accompanied by:

(a) The name, address and, if the prospective cannabis establishment agent has a Tribal business license, the business identification number assigned by the Federal Government and the Tribal Government upon compliance with the provisions of the tribal law and order code;

(b) The name, address and date of birth of each employee of the prospective cannabis establishment agent who will provide labor as a cannabis establishment agent;

(c) A statement signed by the prospective cannabis establishment agent pledging not to dispense or otherwise divert cannabis to, or allow any of its employees to dispense or otherwise divert cannabis to, any person who is not authorized to possess cannabis in accordance with the provisions of this title;

(d) A statement signed by the prospective cannabis establishment agent asserting that it has not previously had a cannabis establishment agent registration card revoked and that none of its employees who will provide labor as a cannabis establishment agent have previously had a cannabis establishment agent registration card revoked;

(e) A complete set of the fingerprints of each employee of the prospective cannabis establishment agent who will provide labor as a cannabis establishment agent and written permission of the prospective cannabis establishment agent and each employee of the prospective cannabis establishment must be submitted by the applicant to the Department for processing for its report:

(f) A statement prescribed by Law and Order Code. The statement must be completed and signed by the applicant.

(g) The application fee; 

(h) A list and description of each of the following which has not been previously reported to the Department:

(1) A conviction of any felony offense in the past ten years;

(2) A civil penalty or judgment entered against the agent card holder; and

(3) The initiation by a federal, state or local government of an investigation or proceeding against the agent card holder.

(i) Any such other information required by the Board or Department upon request.

3. Any person who wishes to hold an ownership interest in a cannabis establishment of less than 5 percent shall submit to the Board an application identical to persons seeking more than a 5 percent ownership interest.

4. A cannabis establishment shall notify the Board and Department within 10 business days after a cannabis establishment agent ceases to hold an ownership interest in the cannabis establishment, be employed by, volunteer at or provide labor as a cannabis establishment agent to the cannabis establishment.

5. A person who:

(a) Has been convicted of a felony offense in the past ten years; or

(b) Is less than 21 years of age; 

6. If an applicant for registration as a cannabis establishment agent satisfies the requirements of this section, is found to be qualified by the Department pursuant to applicable law and is not disqualified from serving as such an agent pursuant to this section or any other applicable law, the Department shall issue to the person and, for an independent contractor, to each person identified in the independent contractor’s application for registration as an employee who will provide labor as a cannabis establishment agent, a cannabis establishment agent registration card.   

7. A person to whom a cannabis establishment agent registration card is issued or for whom such a registration card is renewed shall submit to the Department on the date of the first anniversary of the issuance or renewal an affidavit attesting that in the preceding year there has been no change in the information previously provided to the Department which would subject the person to disciplinary action by the Department.

8. A cannabis establishment agent registration card issued pursuant to this section to an independent contractor, or an employee of an independent contractor authorizes the independent contractor or employee to provide labor to any cannabis establishment licensed by the Tribe.

9. A cannabis establishment agent registration card issued pursuant to this section to a person who wishes to volunteer or work at a cannabis establishment authorizes the person to volunteer or work at any cannabis establishment licensed by the Tribe for which the category of the cannabis establishment agent registration card authorizes the person to volunteer or work.

10. Except as otherwise prescribed by regulation of the Board, an applicant for registration or renewal of registration as a cannabis establishment agent is deemed temporarily registered as a cannabis establishment agent on the date on which a complete application for registration or renewal of registration is submitted to the Department. A temporary registration as a cannabis establishment agent expires 45 days after the date upon which the application is received.

11. A cannabis establishment agent registration card will expire 2 years after the date of issuance.

12. If a cannabis establishment agent registration cardholder wishes to remain a cardholder they must, prior to the expiration date of the card:

(a) Resubmit the information set forth in this section; and

(b) Pay the renewal fee set forth in applicable law.

5.125 Policies and procedures for waiving requirement to obtain a cannabis agent registration card for any owner, officer and board member who holds an ownership interest of less than 5 percent.  The Board and Department may not waive the requirement to obtain a cannabis agent registration card for any person who holds an ownership interest of less than 5 percent in a cannabis establishment.  

 

5.130 Submission of information by cannabis establishment to obtain or renew a registration card for a cannabis executive; temporary registration; registration card for a cannabis executive required for officer, board member and person holding ownership interest in cannabis establishment.  

1. Each person who holds an ownership interest in a cannabis establishment, or is an officer, managing member or board member, shall obtain a cannabis establishment agent registration card for a cannabis executive.

2. A person who wishes to hold an ownership interest in a cannabis establishment, or is an officer, managing member or board member, shall submit to the Department an application on a form prescribed by the Department for a cannabis establishment agent registration card for a cannabis executive. The application must be accompanied by:

(a) The name, address and date of birth of the applicant;

(b) A statement signed by the applicant asserting that he or she has not previously had a cannabis establishment agent registration card for a cannabis executive revoked;

(c) A complete set of the fingerprints of the prospective cannabis establishment executive agent must be submitted by the applicant to the the Department for processing for its report;

(d) Any information required by the Board or Department to complete an investigation into the background of the applicant, including, without limitation, financial records and other information relating to the business affairs of the applicant;

(e) The application fee;

(f) A list and description of each of the following which has not been previously reported to the Department:

(1) A conviction of any felony offense in the past ten years;

(2) A civil penalty or judgment entered against the agent card holder; and

(3) The initiation by a federal, state or local government of an investigation or proceeding against the agent card holder.

(g) Any such other information required by the Board or Department upon request.

3. If the Department determines the applicant is qualified to receive a cannabis establishment agent registration card for a cannabis executive, the Department shall issue to the person a cannabis establishment agent registration card for a cannabis executive. 

4. A cannabis establishment agent registration card for a cannabis executive will expire 2 years after the date of issuance.

5. If a cannabis establishment agent registration cardholder for a cannabis executive wishes to remain a cardholder they must, prior to the expiration date of the card:

(a) Resubmit the information set forth in this section; and

(b) Pay the applicable renewal fee.   

6. A person to whom a cannabis establishment agent registration card for a cannabis executive is issued or for whom such a registration card is renewed shall submit to the Department on the date of the first anniversary of the issuance or renewal an affidavit attesting that in the preceding year there has been no change in the information previously provided to the Department which would subject the person to disciplinary action by the Board or Department.

7. A cannabis establishment shall notify the Board and Department within 10 business days after becoming aware a cannabis executive ceases to hold an ownership interest in the cannabis establishment.  

8. A person who:

(a) Has been convicted of a felony offense in the past ten years; or

(b) Is less than 21 years of age,

shall not serve as a cannabis executive 

9. If an applicant for registration as a cannabis executive satisfies the requirements of this section and is not disqualified from serving as a cannabis executive pursuant to this section or any other applicable law or regulation, the Department will issue to the person a cannabis establishment agent registration card for a cannabis executive. 

 

5.135 Submission of applications. An applicant submitting an application for a cannabis establishment agent registration card or cannabis establishment agent registration card for a cannabis executive, or renewing, amending, changing or replacing a cannabis establishment agent registration card or cannabis establishment agent registration card for a cannabis executive shall submit the application in the format prescribed by the Department, which may be electronically. 

 

5.140 Registration cards: Requirements for requesting replacement card. To request a replacement cannabis establishment agent registration card or cannabis establishment agent registration card for a cannabis executive that has been lost, stolen or destroyed, the cannabis establishment agent shall submit to the Department, within 3 working days after the card was lost, stolen or destroyed, a request for a replacement card which must include:

1. The name and date of birth of the cardholder;

2. If known, the number of the lost, stolen or destroyed cannabis establishment agent registration card or cannabis establishment agent registration card for a cannabis executive; 

3. If the cardholder cannot provide the number of the lost, stolen or destroyed cannabis establishment agent registration card or cannabis establishment agent registration card for a cannabis executive, a copy of:

(a) Any valid government-issued identification card of the cardholder which includes a photograph of the person; or 

(b) A cannabis establishment agent registration card or cannabis establishment agent registration card for a cannabis executive previously issued to the person. 

4. An application fee of $75. 

 

5.145 Registration cards: Requirements for changing name or address. To make a change to the name or address on a cannabis establishment agent registration card or cannabis establishment agent registration card for a cannabis executive, the cannabis establishment agent must submit to the Department a request for the change, which must include:

1. The name on and the number of the current cannabis establishment agent registration card or cannabis establishment agent registration card for a cannabis executive of the cardholder;

2. The new name or address of the cardholder;

3.The effective date of the new name or address of the cardholder;

5.150 Categories of registration cards. 

1. The Department will issue cannabis establishment agent registration cards for each of the following categories:

(a) A cannabis cultivation facility;

(b) A cannabis distributor;

(c) A cannabis production facility;

(d) A cannabis independent testing laboratory;

(e) A cannabis sales facility; or

(f) An independent contractor who provides labor to a cannabis establishment or an employee of such an independent contractor;

(g) A cannabis consumption lounge.

2. Each cannabis establishment agent registration card issued pursuant to Section 5.120 must indicate the applicable category. A person who is employed by or volunteers at a cannabis establishment and to whom a cannabis establishment agent registration card is issued may only be employed by or volunteer at the type of cannabis establishment for which he or she is registered. Such a person may hold more than one category of cannabis establishment agent registration card and may volunteer or work at any cannabis establishment for which the category of the cannabis establishment agent registration card authorizes the person to volunteer or work.

3. If a cannabis establishment agent also holds a valid medical cannabis establishment agent registration card, the cannabis establishment agent is authorized to work in any cannabis establishment or dual licensee for which the category of the cannabis establishment agent registration card and medical cannabis establishment agent registration card authorizes the person to volunteer or work.


5.155 Legal status as separate entity; issuance of license; shared secured storage area; requirements for buildings and location; inspection and other requirements to commence operations; expansion of operations; powers and duties in operation; request for exception from inspection.  

1. Each component cannabis establishment retains its individual legal status as a separate entity from the combined cannabis establishment of which it is a part and each other component cannabis establishment which is a part of the same combined cannabis establishment.

2. The Department will not issue to a combined cannabis establishment a license for a cannabis establishment, but the combined cannabis establishment will instead be deemed to exist for the efficient operation and regulation of the component cannabis establishments which are a part of the combined cannabis establishment and will be issued a license by the Department upon a determination by the Department that the combined cannabis establishment has complied with the provisions of this section.

3. The component cannabis establishments of a combined cannabis establishment may share a single, secured storage area if the inventory from each component cannabis establishment is securely segregated within the secured storage area apart from the inventory of all other component cannabis establishments.

4. The building infrastructure, security systems and other facilities, including, without limitation, common entrances, exits, break rooms, locker rooms, loading docks and other areas determined by the Board or Department to be expedient for business and appropriate for the site, may be combined and shared among the component cannabis establishments of a combined cannabis establishment.

5. Each component cannabis establishment within a combined cannabis establishment must be inspected before commencing operations. A component cannabis establishment need not actually commence or intend to immediately commence operations to satisfy the requirements of this subsection.

6. For the purposes of subsection 5, a component cannabis establishment is ready to commence operations if the component cannabis establishment:

(a) Is a cannabis cultivation facility and has demonstrated the successful installation and operation of lights, plumbing, heating, ventilation and air-conditioning systems, humidity control systems, carbon dioxide control systems and all other growing technical facilities, including all related control systems, for at least one growing unit. A growing unit must:

(1) Be serviced by all building facilities and technology and have all other features described to perform growing operations at all stages of growth in the application for a medical cannabis licensor license for the cultivation facility or cannabis cultivation facility;

(2) Have the capacity to nourish clones, germinate seedlings, attain vegetative growth, flower plants to maturity, dry and cure cut plants, trim and package finished plants and store finished cannabis product in compliance with applicable law; and

(3) Consist of one or more growing tables, enclosed pods or rooms.

(b) Is a facility for the production of edible cannabis products or cannabis-infused products, as defined in Tribal law or cannabis production facility and has demonstrated the proper, safe installation of all extraction, cooking or other equipment and all plumbing, ventilation, solvent lines, electricity, electrical lines, refrigerators and all other production equipment.

7. A component cannabis establishment which has demonstrated that it is ready to commence operations pursuant to subsection 6 may expand operations within a previously inspected and approved space to the level described in its application for a license for a cannabis establishment without further inspection or approval. The Board, Department or their Agents may inspect such a component cannabis establishment as often as it determines to be necessary.

8. Before the Department will issue a license for a combined cannabis establishment, all walls, ceilings, floors, electrical cabling, plumbing, general lighting for purposes other than cultivation and ducting for heating, ventilation or air-conditioning systems for each component cannabis establishment must be completed as specified in the floor plan submitted to the Department as part of the application for a license for a cannabis establishment for the component cannabis establishment at a level sufficient to obtain a license  of occupancy issued by the locality.

9. Each license issued by the Department to a combined cannabis establishment must specify which types of cannabis establishments are approved to operate at the location of the combined cannabis establishment.

10. A combined cannabis establishment may:

(a) Allow the cannabis establishment agents or medical cannabis establishment agents of each component cannabis establishment to move between the component cannabis establishments of the combined cannabis establishment if each such cannabis establishment agent or medical cannabis establishment agent holds and carries on his or her person a cannabis establishment agent registration card or medical cannabis establishment agent registration card, as applicable, for each kind of cannabis establishment or medical cannabis establishment to be entered.

(b) Allow a cannabis establishment agent or medical cannabis establishment agent of any component cannabis establishment to perform work functions for any component cannabis establishment if each such cannabis establishment agent or medical cannabis establishment agent holds and carries on his or her person a cannabis establishment agent registration card or medical cannabis establishment agent registration card, as applicable, for each kind of cannabis establishment or medical cannabis establishment at which work functions are performed.

(c) Share equipment which is not specific to the operation of a component cannabis establishment, including, without limitation, motor vehicles, among all component cannabis establishments.

(d) Not allow a component cannabis establishment to share equipment which is specific to the operation of the component cannabis establishment, including, without limitation, extraction devices which are specifically used by a cannabis production facility or cultivation lights which are specifically used by a cannabis cultivation facility, with another component cannabis establishment.

11. Each component cannabis establishment shall maintain separate operations from other component cannabis establishments and the combined cannabis establishment of which the component cannabis establishment is a part by:

(a) Holding a license for a cannabis establishment or a medical cannabis establishment license and being individually approved, separate from all other cannabis establishments or medical cannabis establishments operating on the same parcel of real estate, to operate as a business by all relevant jurisdictions and authorities, as applicable.

(b) Maintaining separately from all other component cannabis establishments and being able to present financial records which comply with generally accepted accounting principles.

(c) Filing all financial disclosures and tax documents separately from all other component cannabis establishments.

5.160 Notification of subsequent events. 

1. All cannabis establishment registration agent card holders must provide notification to the 

Board and Department of the following within 5 days of occurrence. 

(a) A conviction of any felony offense;

(b) A civil penalty or judgment entered against the cannabis establishment registration agent card holder; and

(c) The initiation by a federal, state or local government of an investigation or proceeding against the cannabis establishment registration agent card holder.

2. The Point of Contact must provide notification to the Board and Department of the following within 5 days of becoming aware of:

(a) A civil penalty or judgment entered against a cannabis establishment registration agent card holder; or

(b) The initiation by a federal, state or local government of an investigation or proceeding against the cannabis establishment.

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