4.05.070 Investigation, Compliance, Penalties, and Suspension or Revocation of Licenses
(a) Required Compliance. Failure of a Tribal licensee to abide by the requirements of this chapter will subject the licensee to the penalties provided in this section.
(b) Investigative Authority. The Compliance Office has the authority, responsibility and duty to investigate all potential violations of this chapter. The authority includes the right to inspect manufacturing, wholesaling and retail premises, request information and gather appropriate evidence of any violation.
(c) Violation of the Ordinance. Any offense will be investigated by the Compliance Office and a Report of Investigation will be prepared and presented to the General Counsel. If, after reviewing the Report of Investigation and making any additional inquiries, the General Counsel believes there is reasonable basis to conclude any of the offenses or other violations of the Ordinance have occurred, the Report of Investigation (and other materials deemed appropriate by the General Counsel) will be forwarded to the Tribal Council for its review.
If, the Tribal Council has reason to believe such violation or violations have occurred, the Tribal Council shall issue an order stating the specific allegations and requesting such person to show cause within 5 working days as to why a fine should not be assessed or that the individuals license should not be revoked or suspended for a period the Tribal Council deems appropriate.
If, after hearing all the facts provided by the Compliance Office and the licensee as well as other relevant data, Tribal Council finds that such violation or violations did occur, the Tribal Council shall fine the licensee as per fines and penalties schedule plus an additional penalty based on the full loss of revenue to the Tribe in addition a suspension or revocation of licensing privileges. Such revocation or suspension shall be for a period the Tribal Council determines as warranted. Such fine shall be immediately payable in the manner prescribed by the Tribal Council.
(d) Offenses (including but not limited to):
- Sale of Cigarettes by a Manufacturer to Other than a Licensed Wholesaler (1st, 2nd or 3rd offense).
- Sale of Cigarettes by a Wholesaler to Other than a Licensed Retailer or to Persons in a Nation-to-Nation sales (1st, 2nd or 3rd offense).
- Sale, Transfer or Distribution of Cigarettes without the Tribal Stamp Affixed (1st, 2nd or 3rd offense).
- Display of Unstamped Cigarettes for Sale in a Retail Store (1st, 2nd or 3rd offense).
- Sale of Cigarettes to Persons Under Eighteen (18) Years of Age (1st, 2nd or 3rd offense).
- Providing False Material, Information or Statements in a License Application.
- Counterfeiting, fraud, forgery of any/all Tribal authorized documents (ex: license); Tribal issued fee stamps.
- Internet Cigarette sales are strictly prohibited in and from the Akwesasne territory.
- Any other violations that jeopardizes the Tribal revenue and/or the integrity of the Tribal Tobacco Ordinance.
- Violation of the Unfettered Access clause.
- Continued operation, after notification by the Compliance Department of a violation, subjects the violator to a $200.00 per day fine per license.
Fines and Penalties
Manufacturer
Sale of cigarettes by a Manufacturer to other than a Saint Regis Mohawk Tribal Licensed/Recognized Wholesaler.
1st Offense - Written Notice. Minimum $20,000.00 fine, permanent notice of the offense will be filed in the records of the offending manufacturer.
2nd Offense - Automatic six-month suspension plus a $30,000.00 fine, permanent notice of the offence will be filed in the records of the offending manufacturer.
3rd and Final Offense - $50,000.00 fine. Any licensed manufacturer who, if found guilty of a third time violation of selling cigarettes to other than a Tribal Licensed Wholesaler will have their license(s) revoked and no longer be able to operate a tobacco business on the territory of the Saint Regis Mohawk Reservation up to ten (10) years.
Providing false material, information or statements in a license application whether discovery of such is before or after the granting of a license will be grounds for retraction or refusal of license. This will be accompanied with a waiting period of up to ten (10) years before re-applying for similar license.
Counterfeiting, fraud, forgery of any/all Tribal authorized documents (ex: license); Tribal issued fee stamps.
- Fine imposed plus interest, retroactive to start of violation.
- Reimburse full amount of monies due to the Tribe plus 3 X damages.
- Civil and Criminal charges will be filed on a case by case basis.
- Immediate Revocation of "ALL" Tribal licenses.
Any licensed manufacturer who, if found guilty of counterfeiting, fraud, forgery of any/all Tribal authorized documents (ex: license); Tribal issued fee stamps will have all their licenses revoked and no longer have the privilege to operate a tobacco business on the territory of the Saint Regis Mohawk Reservation for up to ten (10) years.
- Internet Cigarette sales are strictly prohibited in and from the Akwesasne territory.
- This chapter supersedes all previous versions but does not release any one entity from previous offenses, fines, and or penalties. All judgments will remain in effect.
- Any other violations that jeopardizes the Tribal revenue and/or the integrity of the Tribal Tobacco Ordinance.
Fines and Penalties
WHOLESALER
Sale of tobacco products by a Wholesaler to other than a Saint Regis Mohawk Tribal licensed Retailer or other than native wholesalers or entities in a Nation- to-Nation sale.
1st Offense - Written notice, permanent notice of the offense will be filed in the records of the offending wholesaler.
2nd Offense - Automatic suspension of license for six months plus a minimum $20,000.00 fine, permanent notice of the offence will be filed in the records of the offending wholesaler.
3rd and Final Offense - $30,000.00 fine. Any licensed wholesaler who, if found guilty of a third time violation of selling cigarettes to other than a Tribal Licensed Wholesaler or retailer will have their license revoked and no longer operate a tobacco business on the territory of the Saint Regis Mohawk Reservation up to ten (10) years.
The Willful Sale, transfer or distribution of cigarettes without the Tribal Fee Stamp.
1st Offense - Written notice and permanent notice of the offense will be filed in the records of the offending wholesaler.
2nd Offense - Automatic six month suspension plus a minimum $20,000.00 fine, permanent notice of the offence will be filed in the records of the offending wholesaler.
3rd and Final Offense - $30,000.00. Any licensed wholesaler who, if found guilty of a third time violation of selling, transferring or distributing cigarettes without the Tribal Fee Stamp will have their license revoked and not operate a tobacco business on the territory of the Saint Regis Mohawk Reservation up to ten (10)years.
Counterfeiting, fraud, forgery of any/all Tribal authorized documents (ex: license); Tribal issued fee stamps.
- Fine imposed plus interest, retroactive to start of violation.
- Reimburse full amount of monies due to the Tribe plus 3 X damages.
- Civil and Criminal charges will be filed on a case by case basis.
- Immediate Revocation of "ALL" Tribal licenses.
Any licensed wholesaler who, if found guilty of counterfeiting, fraud, forgery of any/all Tribal authorized documents (ex: license); Tribal issued fee stamps will have all their licenses revoked and no longer have the privilege to operate a tobacco business on the territory of the Saint Regis Mohawk Reservation for up to ten (10) years.
- Internet Cigarette sales are strictly prohibited in and from the Akwesasne territory.
- This chapter does not release any one entity from previous offenses, fines, and or penalties. All present judgments will remain in effect,
- Any other violations that jeopardizes the Tribal revenue and/or the integrity of the Tribal Tobacco Ordinance.
Fines and Penalties
Retailer
Sale of tobacco products to persons under the age of eighteen years will result in the following fines and penalties:
1st Offense - Written notice, probation for six (6) months and a permanent notice of the offense will be filed in the records of the offending retailer.
2nd Offense - Automatic six month suspension plus a minimum fine of $5,000.00 will be levied, notice given to all Tribal licensed wholesalers, and a permanent notice of the offence will be filed in the records of the offending retailer.
3rd Offense - $10,000.00 fine. Any tribal licensed retailer who, if found guilty of a third time violation of selling tobacco products to persons under the age of eighteen years will have their license revoked and no longer have the privilege to operate a tobacco business on the territory of the Saint Regis Mohawk Reservation for up to ten (10) years.
Display of Unstamped cigarettes for sale in a Retail store:
1st Offense - Written notice, and a permanent notice of the offense will be filed in the records of the offending retailer.
2nd Offense - Automatic six month suspension plus a minimum fine of $5,000.00 will be levied; notice given to all tribally licensed wholesalers and a permanent notice of the offence will be filed in the records of the offending retailer.
3rd Offense - $10,000.00 fine. Any tribal licensed retailer who, if found guilty of a third time violation of selling tobacco products to persons under the age of eighteen years will have their license revoked and no longer have the privilege to operate a tobacco business on the territory of the Saint Regis Mohawk Reservation for up to ten (10) years.
Counterfeiting, fraud, forgery of any/all Tribal authorized documents (ex: license); Tribal issued fee stamps.
- Fine imposed plus interest, retroactive to start of violation.
- Reimburse full amount of monies due to the Tribe plus 3 X damages.
- Civil and Criminal charges will be filed on a case by case basis.
- Immediate Revocation of "ALL" Tribal licenses.
Any licensed retailer who, if found guilty of counterfeiting, fraud, forgery of any/all Tribal authorized documents (ex: license); Tribal issued fee stamps will have all their licenses revoked and no longer have the privilege to operate a tobacco business on the territory of the Saint Regis Mohawk Reservation for up to ten (10) years.
- Internet Cigarette sales are strictly prohibited in and from the Akwesasne territory.
- This chapter supersedes all previous versions but does not release any one entity from previous offenses, fines, and or penalties. All judgments will remain in effect.
- Any other violations that jeopardizes the Tribal revenue and/or the integrity of the Tribal Tobacco Ordinance.