Protocol CL Protocol CL 001 001 Generic Template for Generic Template for Repellent Efficacy Repellent Efficacy Testing Testing Kevin Sweeney Clara Fuentes John Carley Roger Gardner 2 Generic Protocol Generic Protocol

Developed to submit annually to the California Department of Pesticide Regulation

Intended to cover both laboratory and field studies of repellent performance against mosquitoes, biting flies, fleas, and ticks

Contains general background information,

especially concerning recruiting practices

Not really a template for executable studies;

cannot support full review 3 CL CL 001 Framework 001 Framework  1 1. Value  There is potential societal benefit in developing additional safe and effective personal repellents  Because of the special attraction of biting arthropods to humans and their role in disease transmission, EPA requires testing with human subjects to establish efficacy 2. Scientific Validity: Defer to others 4 CL CL 001 Framework 001 Framework  2 3. Subject Selection  Recruiting methods are well described  No indication that subjects would be subject to any coercion or undue influence, or be recruited or enrolled for reasons inconsistent with the goals of the research  Exclusion factors ensure exclusion of children and pregnant or lactating women, and students of investigators 5 CL CL 001 Framework 001 Framework  3 4. Risk Benefit Ratio

Some concern evident for risk reduction

Risk benefit assessment cannot be performed in the generic case 5. Independent Ethics Review

Unanimously approved by Independent Investigational Review Board, Inc., of Plantation FL   as a template for future research.

IIRB is registered with OHRP, and is independent of the investigators 6 CL CL 001 Framework 001 Framework  4 6. Informed Consent  Written consent from all subjects promised  Procedures for consent adequate  Promised generic consent form not provided 7. Respect for Subjects  Subject privacy would not be compromised  Subjects would be free to withdraw 7 Applicable Standards Applicable Standards

This is a generic protocol for 3rd party intentional exposure studies intended for submission to EPA under the pesticide laws.

The applicable standards are:

 40 CFR 26, Subparts K and L  FIFRA § 12( a)( 2)( P)

 If conducted in California, then California Code of Regulations Title 3, Section 6710 8 Deficiencies Noted Deficiencies Noted  1   Section 4( G)( 11) states that subjects " are orally informed of the risks of disease contraction." The risk of contracting disease  and the treatment available should it happen  should also be discussed in writing in the preconsent information package. 9 Deficiencies Noted Deficiencies Noted  2   Section 4( H) states that " there is no plan for compensation for injury due to the low levels of risk involved. . . ." The risk of contracting an arthropod borne disease through participation in a field test may be low, but it is not zero.

Planning for the possibility that subjects may be bitten by a disease carrying insect is essential both to risk minimization and to fully informing potential subjects. 10 Deficiencies Noted Deficiencies Noted  3   The generic protocol should acknowledge the applicable standards of ethical conduct, and the obligation of the investigators to inform the cognizant IRB and, if a study is conducted in California, the California Department of Pesticide Regulation, of any amendments to or deviations from the approved protocol.


Mohegan Tribal Ordinance 20011 21 MOHEGAN TRIBAL ETHICS ORDINANCE SECTION 1. TITLE AND AUTHORITY This Ordinance may be cited as the " Mohegan Tribal Ethics Ordinance". Pursuant to Article IX of the Mohegan Tribal Constitution, § 2( n) " To establish and enforce all ordinances providing for the maintenance of law, order and the administration of justice within the Mohegan Indian Reservation" and § 2( c) " To establish procedures for the conduct of all tribal government and business operations", the Mohegan Tribal Council does hereby establish this Ordinance.

SECTION 2. LEGISLATIVE PURPOSE AND INTENT A. P ose The People of the Mohegan Tribe are entitled to have complete confidence in the loyalty and integrity of their elected leaders, appointed officials, and any ' firm or individual with which the Tribe conducts business. Public officials are expected to conduct the official business of the Mohegan Tribe with pride and reliability. They must exercise wisdom and sound judgment at all times in order to avoid abuse of office, power and people. The purpose of this Ordinance is to require accountability to the Mohegan People by their elected, appointed and assigned officials in exercising the authority vested in them as a matter of public trust by:

1 . Establishing and requiring adherence to standards of conduct to avoid conflicts of interest;

2. Requiring the disclosure of significant economic and business interests and affiliations of public officials; and 3 . Prohibiting public officials from using any function of their office or duties, in a manner which could place their personal economic or special interests before the interests of the members of the Tribe.

B. Intent The Mohegan Tribal Council has determined that it is in the best interest of the Mohegan Tribe that clear direction be given with respect to the ethical conduct of public officials who serve the Tribe. In the interest of the Tribe, public officials shall observe accepted standards and laws, uphold the dignity and honor of their positions and accept selfimposed disciplines. They shall safeguard the Mohegan Tribe against illegal or unethical conduct, and shall use appropriate opportunities to inform and educate the public in the aims, purposes and aspirations of their office or position in ordcr to develop a better public understanding of the purposes and responsibilities of individuals in such positions. It is the intention of the Mohegan Tribal Council that the provisions of this Ordinance be construed in accordance with the purpose of protecting the Mohegan People from government decisions and actions resulting from, or affected by, undue influences or conflicts of interest .

SECTION 3. DEFINITIONS For purposes of this Ordinance:

1 . " Appointed office" means any position, compensated or voluntary, to which a person is appointed by the Tribal Council, Council of Elders or any other entity of the Mohegan Tribe with appointment authority;

2. " Business" means any enterprise, organization, trade, occupation or profession, whether or not operated as a legal entity for profit, including any sole proprietorship, trust, holding company, corporation, partnership, joint venture, consultant or other selfemployed person or entity.

3. " Business with which the person is associated" means any business in which the person or a member of his Immediate Family is a director, officer, partner, trustee, beneficiary or employee, holds any position of management or receives income in any form such as wages, commission, salary, direct or indirect benefit worth more than $ 1,000 .00 or holds any ownership, security or other incidental interest, individually or combined with others, amounting to more than ten percent ( 10%) of said business.

4. " Candidate for public office" means any person who has publicly announced an intent to seek elective office with the Tribe, filed a declaration of candidacy or a petition to appear on the ballot for election as a public official, or applied for appointment to any governmental body.

5 . " Compensation or income" means any money or thing of value received, or to be received as a claim on future services, whether in the form of a fee, salary, expense, allowance, forbearance, forgiveness, interest, dividend, royalty, rent, capital gain or any other form of recompense or any combination thereof.

~ 6. " Confidential information" means information that is privileged pursuant to Mohegan law or any other applicable law, policy or custom or which is otherwise unavailable to the public at large.

7. " Conflict of interest" means the reasonable foreseeability that any personal or economic interest of a public official will be affected in any materially different manner from the interest of the tribal membership, by any decision, enactment, agreement, award or other official action or function of any governmental body of the Tribe. 8. " Dependent business" means any business in which the person or members of the person's Immediate Family, individually or combined, have any direct or indirect ownership, investment, security or other beneficial interest amounting to more than twenty percent ( 20%) of such business .

9. " Employee" means any person or entity working for, or rendering or exchanging any services or performing any act for or on behalf of another person, organization or entity in return for any form of pay or other compensation or thing of value received or to be received any time temporarily, permanently or indefinitely, in any capacity, whether as agent, servant, representative, consultant, advisor, independent contractor or otherwise.

10. " Employment" means the status or relationship existing or created by and between a person designated or acting as an " employee" as defined herein and the person, organization, group or other entity for whom or on whose behalf any such work, acts, services or other benefit has been, is being or will be rendered or performed for pay or any other form of compensation.

11 . " Economic interest" means an interest held by a person, members of the person's Immediate Family or a dependent business, which is :

a. Any ownership, income, investment, security or other beneficial interest in a business, or b. Any employment or prospective employment for which negotiations have already begun.

12. " Gift" means any gratuity, special discount, favor, hospitality, payment, loan, subscription, economic opportunity, advance, deposit of money, services, or other benefit received without equivalent consideration and not extended or provided to members of the public at large.

13 . " Governmental body" means any council, branch, enterprise, authority, division, department, office, commission, board, bureau or any entity of the Tribe.

14. " Immediate Family" means spouse, children and members of the household of public officials and candidates for public office.

15 . " Ministerial action" means an action that a person performs in a given state of facts in a prescribed manner in obedience to the mandate of legal authority, without regard to, or in the exercise of, the person's own judgment upon the propriety of the action being taken. 16. " Official discretionary action" means any function of public office or employment, including any vote, decision, opinion, recommendation, and approval for or on behalf of, or in any manner affecting any interest or property of the Tribe. 17. " Personally and substantially participated" means that, while serving in elective office of the Tribe or while employed by the Tribe, an individual was involved in a matter through approval, disapproval, recommendation, rendering of advice, investigation or otherwise having reason, by virtue of elective office or employment, to be involved in a specific matter.

18. " Public office" means any elected or appointed office in any governmental body of the Tribe.

19. " Public official" means any person holding elective or appointed office in any governmental body of the Tribe, including tribal departments, commissions, authorities, committees, and agencies.

SECTION 4. STANDARDS OF CONDUCT AND RESTRICTED ACTIVITIES STANDARD A. Conduct in Conformity with Applicable Rules and Laws Public officials shall at all times conduct themselves so as to reflect credibly upon the Mohegan Tribe and comply with all Mohegan laws and other applicable laws with respect to their conduct in the performance of the duties .

STANDARD B. Conflicts of Interest 1 . No public official shall use, or attempt to use, any official or apparent authority of their office or duties which places their private economic gain or that of any special business interests with which they are associated, before those of the membership of the Mohegan Tribe.

2. Generally, public officials shall refrain from all acts or activities which may be construed as a conflict of interest. By virtue of their positions, knowledge, access to information, and contacts, officials are frequently offered opportunities in which they could personally benefit. In such situations, all applicable laws must be scrupulously followed, and in the event of any potential conflict arising or being suggested, the matter should be reported immediately and steps must be taken to eliminate the potential conflict of interest . Even where the conditions permit any kind of outside activity; and there appears to be no risk of any conflict of interest, great care should be taken to ensure that such outside interests do not interfere in any way with the proper discharge of official duties and responsibilities . 3 . Elected officials shall not engage in gaming in any gaming facility owned and ~ operated by the Mohegan Tribe.

STANDARD C. Use of Public Office for Private Gain 1 . Public officials shall not:

( a) Use his or her public position or office to obtain financial gain or anything of substantial value for the private benefit of him/ herself or his/ her Immediate Family, or for an organization with which he/ she is associated. ( b) Use his or her office or position in a way that produces or assists in the production of a substantial benefit, direct or indirect, for the official, one or more members of the official's Immediate Family either separately or together, or an organization with which the official is associated. ( c) Accept items or services of substantial value for private benefit, or for the benefit of the official's Immediate Family or associated organizations, if offered because of public position. ( d) Engage in, directly or indirectly, financial or other economic transactions as a result of, or primarily depending upon, information obtained through their public office or public employment.

STANDARD D. Use of Confidential Information for Private Gain No public official shall use or disclose confidential information gained in the course or by reason of their official position or activities, to further their own economic and personal interest or that of anyone else.

STANDARD E. Restrictions Against Incompatible Interests or Employment 1 . Public officials shall not:

a. Have direct or indirect financial or other economic interests nor engage in such other employment or economic activity which, as determined in accordance with the provisions of this Ordinance and other applicable laws of the Tribe, necessarily involves inherent substantial conflict with their responsibilities and duties as public officials of the Tribe; nor b. Acquire any economic or other financial property, contractual or other economic interest at a time when they believe or have reason to believe, that it may directly and substantially affect or be so affected by their official actions or duties. 2 . Subject to the restrictions and conditions set forth in this Ordinance, public officials are free to engage in lawful financial transactions to the same extent as the general public. Governmental bodies and agencies of the government of the Tribe may, , however, adopt further approved restrictions upon such transactions or employment as authorized herein and by other applicable laws of the Tribe, in light of special circumstances or their particular duties.

3. No business or other entity shall employ a public official if such employment is prohibited by or otherwise violates any provision of this Ordinance.

4. The term " employment" within the meaning of Standard E includes professional services and other services rendered by a public official, whether rendered as an employee, consultant or other independent contractor.

STANDARD F. Abstention from Official Action 1 . When a public official is required to take official action on a matter in which such public official has a personal economic interest, they should first consider eliminating that interest. If that is neither feasible nor required under Standard E above, such public official shall:

a. Prepare and sign a written statement describing the matter requiring action and the nature of the potential conflict, as soon as such public official is aware of such conflict and they shall deliver copies of such statement to the Ethics Officer and to the responsible party for inclusion in the official record of any vote or other decision or determination; and b. Abstain from participating in or being present during deliberations, voting, sponsoring, influencing or attempting to influence any vote, official decision or determination which would favor or advance such person's personal economic interest in such matter; and c. Abstain from voting or otherwise participating in the official decision or determination of such matter, unless otherwise directed by the authorized presiding official of the governmental body making such decision or determination, or otherwise legally required by law ( such as the vote of an elected representative delegate which is cast on behalf of his constituents), or unless such person's vote, position, recommendation or participation is contrary to their personal economic interest .

2. Unless otherwise provided by applicable law, the abstention by such person from voting or otherwise participating in the official determination or decision shall not affect the presence of such person for purposes of establishing a quorum necessary for a governmental body, agency or commission to take such action or vote upon such matter.

3. In the event that a public official's participation is otherwise legally required for the action or decision to be made, such person and the presiding official or immediate superior requiring such participation shall fully report the occurrence to the Ethics Officer.

STANDARD G. Governmental Decisions Public officials shall not make a governmental decision outside of official channels.

STANDARD H. Tribal Government Contracts; Restrictions and Bid Requirements 1 . No public official or any member of such person's Immediate Family shall be a party to, nor have an interest in the profits or benefits of any governmental contract of the Tribe or of any investment of funds of the Tribe, unless the contract or the investment meets all of the following requirements:

a. The contract is let by notice and competitive bid or procurement or procedures as required under all applicable laws, rules, regulations and policies of the Mohegan Tribe, for necessary materials or services for the governmental agency or entity involved; and b. The continuous course of a business commenced before the public official assumed their current term of office or employment; and c. The entire transaction is conducted at arm's length, with the governmental agency's full knowledge of the interest of the public official or a member of their Immediate Family; and d. The public official has taken no part in the determination of the specifications, deliberations or decisions of a governmental agency with respect to the public contract; and e. The public official is not a member, office holder, employee or otherwise directly associated with the same governmental agency or entity primarily responsible for letting, performing, receiving, regulating or otherwise supervising the performance of the contract.

The requirements of Standard H shall apply only to contracts involving the investment, award or payment of government funds. 2. A public official or a member of their Immediate Family shall not be considered as having an interest in a public contract or the investment of public funds, when such person has a limited investment interest of less than ten percent ( 10%) of the ownership of net assets, or an interest as creditor of less than ten percent ( 10%) of the total indebtedness of any business or other entity which is the contractor on the public contract involved or in which public funds are invested, or which issues any security therefor.

STANDARD 1. Restrictions on Assistin og r Representing Other Interests Before Governmental Bodies for Compensation No public official shall represent or otherwise assist any person or entity other than the Tribe for compensation before any governmental body where the matter before the governmental body is of a non ministerial nature.

STANDARD J. Restrictions on Assisting or Representing Other Interests After Termination of Public Office 1 . After an individual has left either elective office or appointed office, that public official shall not act as agent, attorney or representative for any person or entity for the purpose of influencing any employee, official or governmental body of the Tribe in connection with any proceeding, contract, claim, controversy, investigation, charge or accusation, in which the public official personally and substantially participated .

2. If a matter was pending within the scope of a public official's responsibilities, but the individual did not participate as set forth in paragraph ( 1) above, the prohibitions set forth hereunder shall apply for a period of two ( 2) years following the termination of such public office .

3 . Nothing in this Ordinance shall prevent a former public official from appearing and giving testimony under oath, nor from making statements required to be made under penalty of perjury, nor from making appearance or communications concerning matters of a personal and individual nature which pertain to such former public official or are based upon such person's special knowledge of the particular subject involved, not otherwise privileged from disclosure by other applicable law; and provided further, that no compensation is thereby received other than that which is regularly provided for witnesses by law or regulation.

4. The Tribe shall not take any action favorable to any person, business, governmental or other entity, which is assisted or represented personally in the matter by a former public official whose official act, while a public official, directly contributed to the taking of such favorable action. Favorable action, for purposes of this paragraph, means the approval of a contract or agreement, the award of a bid, the granting of a business opportunity, or the extension of any economic benefit.

5. Nothing herein shall prohibit a former public official from being retained or employed by the governmental entity which he or she formally served.

STANDARD K. Unauthorized Compensation or Benefit for Official Acts No public official shall accept or receive any benefit, income, favor or other form of compensation for performing the official duties of their office or employment, beyond the amount of value which is authorized and received in their official capacity of performing such duties .

STANDARD L. Unauthorized Use of Property or Funds of the Tribe No public official shall use any property of the Tribe or any other public property for personal activities, except where authorized and approved for official purposes and activities. Such persons shall properly protect and conserve all such property, equipment and supplies which are so entrusted, assigned or issued to them.

STANDARD M. Staff Misuse Prohibited No public official shall employ, with the Tribe's funds, any unauthorized person( s) who do not perform duties commensurate with such compensation, and shall utilize authorized employees and staff only for the official purposes for which they are employed or otherwise retained.

STANDARD N. Restrictions Against Gifts or Loans to Influence Official Acts Except as otherwise provided herein or by applicable rule or regulation adopted hereunder or by other applicable law, no public official shall solicit or accept for themselves or another, any gift, including economic opportunity, favor, service, loan ( other than from a regular lending institution on generally available terms) or any other benefit of an aggregate monetary value of one hundred dollars ($ 100.00) or more in any calendar year, from any person, organization or group which:

1 . Has, or is seeking to obtain, contractual or other business or financial relationships or approval from any governmental office or entity of the Tribe with which the public official is associated or employed; or 2. Conducts operations or activities which are regulated or in any manner supervised by any governmental office or entity with which the public official is associated or employed; or 3 . Has any interest which, within two ( 2) years of receipt of the gift, has been directly involved with, or affected by, the performance or nonperformance of any official act or duty of such public official or of the government office or entity with which the public official is associated or employed or which the public official knows or has reason to believe is likely to be so involved or affected.

STANDARD O. Permitted Gifts: Awards, Loans Reimbursements and Campaign Contributions Standard ( N) shall not be construed to prohibit:

1 . An occasional gift of insignificant monetary value;

2. Gifts from and obviously motivated by family or social relationships ;

3. Food and refreshments customarily made available in the ordinary course of meetings;

4. An award or honor customarily and publicly presented in recognition of public service; or 5 . Traditional gifts accepted on behalf of the Tribe from other tribes or tribal members provided that the gifts are promptly reported to the Ethics Officer.

STANDARD P. Adoption of Supplemental Codes of Conduct for Officials and Employees of Government Entities of the Tribe The Tribal Council may authorize the adoption of supplemental rules and standards of conduct for public officials of the Tribe where necessary to address special conditions relating to their particular functions, purposes and duties and not otherwise in conflict with this Ordinance. Upon adoption, such supplemental rules and standards shall be implemented in the same manner as the provisions of this Ordinance. SECTION 5. ECONOMIC DISCLOSURE STATEMENT; FILING REQUIREMENTS A. Persons Required to File Annual Statements On or before February 15 of each year, the following persons shall file a " Mohegan Tribe Economic Disclosure Statement", in accordance with the provisions of this Section:

l . Each public official of the Tribe as defined in Section 3 of this Ordinance, whose term of office or appointment included any part of the previous calendar year.

2. All candidates for election or appointment to any public office .

B. Availability and Distribution of Economic Disclosure Forms 1 . It shall be the responsibility of each public official and candidate for public office to complete such disclosure forms as prescribed by the Ethics Officer. No later than November 30 of each year, the Ethics Officer shall determine, compile and adopt a complete list of the names of all public officials required to file a form.

2. No later than January 10 of each year, the Ethics Officer shall have mailed, delivered or otherwise distributed notice to each public official required to complete a disclosure form pursuant to this Ordinance.

C. Periods to be Included in Statements of Economic Interests; Other Public Officials, Candidates, Nominees Required to File 1 . All public officials described in subsections ( A)( 1) shall include all information' required to be disclosed in the Statement of Economic Interests for the entire twelve ( 12) month period of the previous calendar year.

2. Any person who becomes a public official or candidate for election or appointment to any public office shall file the form prescribed by the Ethics Officer.

D. Confidentiality of Disclosure Statements Disclosure Statements filed by public officials shall be kept on record with the Ethics Officer. Such statements shall be maintained by the Tribe in the same manner and to the same extent as confidential personnel records of the Tribe and shall not be deemed, maintained nor used for any purpose or in any manner as a public record, nor shall the contents of any Disclosure Statements be made available for inspection or copying by any person in any manner except as required for determination of relevant information pertaining to examinations, investigations or hearings conducted in accordance with this Ordinance or otherwise authorized by the laws of the Tribe pertaining to the confidentiality of governmental personnel records. Violation of any provisions of this section shall be punishable in the same manner and to the same extent as provided by any provision of law applicable to unauthorized disclosure of confidential information of any privileged official information or records of the Tribe.

E. Nondisclosure of Privileged Information Nothing herein shall be construed as requiring the disclosure of any information which is privileged from disclosure pursuant to the Tribe's laws or any applicable law recognized by the Tribe.

SECTION 6. DISCLOSURE INFORMATION REQUIRED Each individual required to submit a Disclosure Statement shall disclose the information for the previous calendar year, as certified to be true and complete. The Disclosure Statement shall include all the information which is contained in the " U. S. Security Exchange Commission Director Disclosure Form, Form ( insert) ", as may be amended from time to time.

SECTION 7. IMPLEMENTATION AND COMPLIANCE WITH ETHICS ORDINANCE A. There is hereby established an Ethics Commission for purposes of administration and enforcement of this Ordinance.

B . The Ethics Commission is entrusted to hear and impose sanctions on all matters relating to ethics in government. The Commission shall be comprised of five members and two alternates ( seven in total). Each member shall meet all of the following requirements :

1 . Be a voting Mohegan tribal member; 2. Age 18 or older; 3 . Has not been convicted of a felony; 4. Does not hold elective or appointive office.

12 For purposes of selection of the Ethics Commission members, the Ethics Officer shall oversee the process which utilizes the Tribal Roll to randomly select a pool of fifteen ( 15) adult tribal members who may potentially serve on the Ethics Commission to hear the pending complaint. From the list of the pool of fifteen, the Ethics Officer shall eliminate the names of individuals who do not meet the requirements as set forth in Section 7( B) above. Next, notification shall be made to the individual tribal members remaining on the list to determine whether such individual is willing to serve on the Ethics Commission. If such individuals can not or will not serve on the Ethics Commission, his/ her name will be removed from the list. From the remaining individuals on the list, a final group of five ( 5) members shall be selected at random and two ( 2) alternates . This final group of five ( 5) shall serve on the Ethics Commission for the pending complaint. However, if any individual from the final group of five wishes to recuse himself/ herself from hearing the case because of connection to the public official who is the subject of the complaint, he/ she may do so and the Ethics Officer shall randomly select one of the alternates to sit on the Commission for that particular complaint. Further, if the public official who is the subject of the complaint is an Immediate Family member of one of the final group who will serve on the Ethics Commission that Immediate Family member shall not sit on the Ethics Commission to hear that particular complaint. Instead, the Ethics Officer shall randomly select one of the alternates to sit on the Commission for that particular complaint.

C. Terms; Officers, Duties ; Removal l . The members of the Ethics Commission shall serve for one case ( complaint). At the conclusion of the processing/ hearing of each particular complaint, the obligation of that particular panel of five is completed and selection of the next Ethics Commission shall proceed as described in Section 7( B) above.

2. The Ethics Commission shall have a Chair who shall be selected by the Ethics Commission members at a preliminary meeting and shall hold office until the completion of that particular case ( complaint).

3. The Chair shall preside at all meetings and hearings of the Ethics Commission for that particular complaint, communicate with any outside parties on behalf of the Ethics Commission, and perform such other duties as may be prescribed by any further rules and regulations promulgated pursuant to this Ordinance.

4. The Tribal Council may remove any member of the Ethics Commission for neglect of duty, malfeasance, or furthering a meritless complaint with bias or prejudice. Any 13 member of the Ethics Commission who knowingly and/ or willfully violates the provisions of this Ordinance, including violations of the Standards of Conduct and Restricted Activities, shall be subject to removal. The process for removal of members of the Ethics Commission shall be contained in the rules and regulations promulgated by the Ethics Officer.

D. Powers of Ethics Commission 1 . The purpose of the Ethics Commission shall be to hear each particular complaint arising under this Ordinance and provide a determination to guide the conduct of the public official who is the subject of the particular case ( complaint) being heard.

2. The Commission may hold any person in contempt upon a finding that the person has disobeyed any lawful order, process, writ, finding or direction of the Commission.

3 . The Commission may administer oaths and issue subpoenas to compel attendance and testimony of witnesses, or to produce any documents relevant to any matter before the Commission.

4. The Commission may appoint an investigator on behalf of the Commission to conduct investigations which are deemed to require such analytical work.

S . The Commission shall maintain a complete record of all hearings, including all testimony, results submitted by the investigator, and documents presented as evidence. These records shall be maintained pursuant to the rules and regulations promulgated by the Ethics Officer.

6. The Commission shall not be bound by formal rules of evidence.

7. The Commission shall have the discretion to conduct each meeting or hearing in open or closed session. However, all minutes of hearings shall be made available to the tribal membership within seven ( 7) days of such meeting/ hearing. All other records, transcripts, and other documents in the possession of the Ethics Commission shall remain confidential, unless such documents are required to be released pursuant to an appropriate court order.

8 . Upon the recommendation of the Ethics Officer, the Ethics Commission may review any complaint and dismiss such allegation which it determines :

14 ( a) Contains facts insufficient to constitute a violation of this Ordinance; ( b) Contains insufficient evidence to support the allegations; or ( c) The Commission lacks authority to hear such complaint.

9. The Commission shall set forth its findings, recommendations and the imposition of any sanctions and/ or penalties in writing within thirty ( 30) days of the hearing and the Commission shall deliver a copy of any order or decision to the appropriate branch of the government. The determination of the Commission shall be final.

10. The Commission shall conduct meetings and hearings to properly administer and to make determinations pursuant to this Ordinance.

( a) Five ( 5) members of the Ethics Commission shall be necessary to constitute a quorum for the conduct of meetings and hearings. If less than a quorum is present, a majority of those present may adjourn the meeting.

E. Commission Conflict of Interest No Commission member shall hear matters before the Commission that involve a member of his/ her Immediate Family and/ or personal economic interest. In the event that abstention from participation is required, an alternate shall be selected to hear the case ( complaint) as specified in Section 7( B) of this Ordinance.

F. Ethics Officer The provisions of this Section shall supercede any and all contrary provisions of the Tribal Employment Rights Ordinance, 99 2, as may be amended from time to time. Subject to all other applicable laws and policies, the Commission shall select and hire no less than three ( 3) individual who shall serve as Ethics Officer( s) to carry out the administrative duties and to make recommendations to the Commission. Such Ethics Officer( s) shall serve on a rotating basis, as needed. The Ethics Officer( s) shall not be a member of the Mohegan Tribe and shall not have a business relationship with the Mohegan Tribe. Such individual( s) shall possess all the necessary credentials required for such a position, including but not limited to, adequate education and job experience in this area. The Human Resources Department shall provide assistance to the Commission in developing the appropriate job description and minimum requirements for such position( s).

( 1) The Ethics Officer shall have the authority to promulgate further rules and regulations to properly administer and enforce this Ordinance. These rules 15 and regulations shall be subject to final approval by the Tribal Council prior to adoption. All such rules and regulations shall be made available to all public officials and tribal membership, including the timely publication of adoption or amendment of such rules in the Tribal newsletter.

( 2) The Ethics Officer( s) shall uphold the integrity and independence of his/ her position by avoiding impropriety in all activities and by remaining personally impartial, conducting himself/ herself without consideration of partisan or factional interests, public sentiment, or criticism. Further, the Ethics Officer( s) shall perform the duties of the position diligently, filing regular reports with the Tribal Council, as deemed necessary under further regulations promulgated pursuant to Section 7, F ( 1) above.

G. Independent Legal Counsel Subject to all applicable laws, the Commission may obtain independent legal counsel to assist and advise the Commission.

H. Filing of Cornplaint A complaint alleging a violation of this Ordinance shall be filed with the Ethics Commission through its Ethics Officer in the following manner: ( 1) Upon discovery of a violation, a public official shall have the duty to timely file a complaint against another official if he/ she has knowledge that a violation of this Ordinance has occurred. ( 2) Upon discovery of a violation, a Tribal member or any other individual may present a, complaint alleging a violation of this Ordinance. ( 3) A complaint must be in writing, signed and delivered to the Ethics Officer. ( 4) The Ethics Officer shall receive such complaint and assure that such matter is brought forward for investigation and action . ( 5) Upon investigation, the Ethics Officer may review any complaint and make a recommendation for dismissal of such allegation to the Ethics Commission if he/ she determines that : ( a) Such complaint contains facts insufficient to constitute a violation of this Ordinance; ( b) Such complaint contains insufficient evidence to support the allegations; or ( c) The Ethics Commission lacks authority to hear such complaint . ( 6) After initial review of the complaint, the Ethics Officer shall forward the matter, along with any recommendations, to the Ethics Commission for proper hearing. I. Statute of Limitations No complaint shall be considered by the Ethics Commission if more than five ( 5) years has passed from the date when the alleged violation occurred. Further, the Ethics Commission has no jurisdiction to hear a claim arising out of conduct which occurred prior to the date of enactment of this Ordinance.

SECTION 8. SANCTIONS AND PENALTIES A. Administrative Sanctions 1 . Upon fmding that there has been violation of any provisions of this Ordinance, the Commission may impose any or all of the following penalties or sanctions:

a. The recommendation of removal from an appointed position forwarded to the Tribal Council, Council of Elders or any other entity of the Mohegan Tribe with appointment authority for final removal action ;

b. Forfeiture of all compensation and benefits accruing therefrom, for not more than 180 days;

c. Issuance of a written public reprimand, which shall be entered into such person's permanent record of public office or entity which such person is a member; d. Issuance of a private reprimand, with or without suspension of any or all other sanctions provided herein;

e. Imposition of restitution or other civil penalties as hereinafter provided under Subsection ( B).

2. No sanctions or penalty provided herein shall limit any other powers of the Mohegan Tribal Council, the Council of Elders, the Gaming Disputes Court, or the Mohegan Tribal Court, nor of any other entity or administrative officials or employees under other applicable law, rules, regulations or procedures .

B. Other Civil Damages 1 . A person found in violation of this Ordinance shall be further subjecYto, and personally liable for the following provisions, without regard to the imposition of any administrative sanctions: a. Any public official who violates any economic disclosure or reporting requirement of this Ordinance may be held liable to the Tribe for civil damages in any amount not to exceed the value of any interest not properly reported. b. Any public official who realizes an economic benefit as a result of violation of any prohibition or restriction set forth in this Ordinance shall be liable to the Tribe for civil damages in an amount equal to three ( 3) times the amount or value of the benefit or benefits so obtained.

2. If two ( 2) or more persons are responsible for any violation, each of them shall be liable to the Tribe for the full amount of any civil damages prescribed herein, the full amount of which may be imposed upon and collected from each of them individually.

3. Any civil penalties imposed hereunder shall be collected in any manner authorized for recovery of debts or obligations owed to the Tribe and shall be paid into the treasury of the Tribe.

4. No imposition of any or all civil damages provided herein shall be a bar to institution of any civil, criminal or misdemeanor action, liability, judgment, conviction or punishment otherwise applicable hereto, nor shall determination of any such civil damages be barred thereby.

SECTION 9. APPEALS Any person aggrieved by a final decision of the Ethics Commission regarding the promulgation, administration, enforcement of this Ordinance or the imposition of any sanctions may appeal such decision to the Mohegan Gaming Disputes Court or the Mohegan Tribal Court, as appropriate, in accordance with the appropriate court rules. Such appeal must be made within thirty ( 30) days of notice of such final decision of the Ethics Commission.

SECTION 10. SEVERABILITY If any provision of this Ordinance or the application of such provision to any person or entity shall be held invalid, the remainder of this Ordinance shall remain in full force and effect .

SECTION 11 . SAVINGS CLAUSE Nothing in this ordinance shall impair or affect any act done or offense committed or any obligation, liability, penalty or punishment incurred prior to the effective date of this ordinance under any ordinances, policies or codes of conduct applicable to public officials that relate to ethical standards, including the Code of Conduct for the Mohegan 18 Tribal Council approved on December 5, 1996, and such ordinances, policies, or codes of conduct may be asserted and enforced as fully and to the same extent as they might have been asserted and enforced prior to the effective date of this ordinance.

SECTION 12. EFFECTIVE DATE This Ordinance shall be effective following the enactment by resolution of the Mohegan Tribal Council.

I hereby certify that the foregoing Ordinance was approved by the Mahegan Tribal Council at a duly called meeting of the Council on the 4: 71 7f day of l4CL rGA ., , 2002.

Chairman, Mark F. Brown Mohegan Tribal Council Attest:

Recording Secretary, Shirley M. Walsh


[Federal Register Volume 87, Number 127 (Tuesday, July 5, 2022)]
[Notices]
[Pages 39817-39818]
[FR Doc No: 2022-14173]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:

Filings Instituting Proceedings

    Docket Numbers: RP22-992-000.
    Applicants: Midwestern Gas Transmission Company.
    Description: Sec.  4(d) Rate Filing: Revisions for Pre-Arranged
Deals and Expansion/Extension Projects to be effective 7/25/2022.
    Filed Date: 6/24/22.
    Accession Number: 20220624-5144.
    Comment Date: 5 p.m. ET 7/6/22.

    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's

Regulations (18 CFR 385.211 and 385.214) on or before 5:00 p.m. Eastern
time on the specified comment date. Protests may be considered, but
intervention is necessary to become a party to the proceeding.
    The filings are accessible in the Commission's eLibrary system
(https://elibrary.ferc.gov/idmws/search/fercgensearch.asp) by querying
the docket number.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: June 27, 2022.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2022-14173 Filed 7-1-22; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 85, Number 96 (Monday, May 18, 2020)]
[Rules and Regulations]
[Pages 29610-29611]
[FR Doc No: 2020-10614]

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Part 744 and 762

[Docket No.<PHONE_NUMBER>]
RIN 0694-AH97

Temporary General License: Extension of Validity

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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SUMMARY: The U.S. Government has decided to extend through August 13,
2020, the temporary general license to Huawei Technologies Co., Ltd.
(Huawei) and one hundred and fourteen of its non-U.S. affiliates on the
Entity List. In order to implement this decision, this final rule
revises the temporary general license to remove the expiration date of
May 15, 2020, and substitutes the date of August 13, 2020. In addition,
BIS sought public comments regarding future extensions of the Huawei
TGL (85 FR 14428, March 12, 2020) and is in the process of reviewing
those comments.

DATES: This rule is effective May 15, 2020, through August 13, 2020.
The expiration date of the final rule published on February 18, 2020
(85 FR 8722), is extended until August 13, 2020.

FOR FURTHER INFORMATION CONTACT: Director, Office of Exporter Services,
Bureau of Industry and Security, Department of Commerce, Phone: (949)
660-0144 or<PHONE_NUMBER> or email your inquiry to:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Background

    As published on May 22, 2019 (84 FR 23468), extended and amended
through a final rule published on August 21, 2019 (84 FR 43487), and as
currently extended through a final rule published on March 12, 2020 (85
FR 14416), this temporary general license authorizes certain
activities, including those necessary for the continued operations of
existing networks and equipment as well as the support of existing
mobile services, including cybersecurity research critical to
maintaining the integrity and reliability of existing and fully
operational networks and equipment. Exporters, reexporters, and
transferors are required to maintain certifications and other records,
to be made available when requested by BIS, regarding their use of the
temporary general license.
    As published on May 22, 2019 (84 FR 22961), and as revised and
clarified by a final rule published on August 21, 2019 (84 FR 43493),
any exports, reexports, or in-country transfers of items subject to the
EAR to any of the listed Huawei entities as of the effective date they
were added to the Entity List continue to require a license, with the
exception of transactions explicitly authorized by the temporary
general license and eligible for export, reexport, or transfer (in-
country) prior to May 16, 2019 without a license or under a license
exception. License applications will continue to be reviewed under a
presumption of denial, as stated in the Entity List entries for the
listed Huawei entities. No persons are relieved of other obligations
under the EAR, including but not limited to licensing requirements to
the People's Republic of China (PRC or China) or other destinations and
the requirements of part 744 of the EAR. The temporary general license
also does not authorize any activities or transactions involving
Country Group E countries (i.e., Cuba,

Iran, North Korea, Sudan, and Syria) or foreign nationals.

Extension of Validity

    At this time, the U.S. Government has decided to extend the
temporary general license until August 13, 2020. In order to implement
this U.S. Government decision, this final rule revises the temporary
general license to remove the date of May 15, 2020 and substitutes the
date of August 13, 2020 in three places in Supplement No. 7 to part
744: The introductory text; paragraph (b)(1); and paragraph (c).

Export Control Reform Act of 2018

    On August 13, 2018, the President signed into law the John S.
McCain National Defense Authorization Act for Fiscal Year 2019, which
included the Export Control Reform Act of 2018 (ECRA) (50 U.S.C. 4801-
4852). ECRA provides the legal basis for BIS's principal authorities
and serves as the authority under which BIS issues this rule. As set
forth in Section 1768 of ECRA, all delegations, rules, regulations,
orders, determinations, licenses, or other forms of administrative
action that were made, issued, conducted, or allowed to become
effective under the Export Administration Act of 1979 (previously, 50
U.S.C. 4601 et seq.) (as in effect prior to August 13, 2018 and as
continued in effect pursuant to the International Emergency Economic
Powers Act (50 U.S.C. 1701 et seq.)) or the Export Administration
Regulations, and were in effect as of August 13, 2018, shall continue
in effect according to their terms until modified, superseded, set
aside, or revoked under the authority of ECRA.

Rulemaking Requirements

    1. Executive Orders 13563 and 12866 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). Executive
Order 13563 emphasizes the importance of quantifying both costs and
benefits, of reducing costs, of harmonizing rules, and of promoting
flexibility. This rule has been determined to be not significant for
purposes of Executive Order 12866. This rule is not an Executive Order
13771 regulatory action because this rule is not significant under
Executive Order 12866.
    2. Notwithstanding any other provision of law, no person is
required to respond to or be subject to a penalty for failure to comply
with a collection of information, subject to the requirements of the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (PRA), unless
that collection of information displays a currently valid Office of
Management and Budget (OMB) Control Number. This regulation involves
collections previously approved by OMB under control number 0694-0088,
Simplified Network Application Processing System, which includes, among
other things, license applications, and carries a burden estimate of
42.5 minutes for a manual or electronic submission. Total burden hours
associated with the PRA and OMB control number 0694-0088 are not
expected to increase as a result of this rule. You may send comments
regarding the collection of information associated with this rule,
including suggestions for reducing the burden, to Jasmeet K. Seehra,
Office of Management and Budget (OMB), by email to
<EMAIL_ADDRESS>or by fax to<PHONE_NUMBER>.
    3. This rule does not contain policies with federalism implications
as that term is defined in Executive Order 13132.
    4. Pursuant to section 1762 of ECRA, this action is exempt from the
Administrative Procedure Act (5 U.S.C. 553) requirements for notice of
proposed rulemaking, opportunity for public participation, and delay in
effective date.
    5. Because a notice of proposed rulemaking and an opportunity for
public comment are not required to be given for this rule by 5 U.S.C.
553, or by any other law, the analytical requirements of the Regulatory
Flexibility Act, 5 U.S.C. 601, et seq., are not applicable.
Accordingly, no regulatory flexibility analysis is required, and none
has been prepared.

List of Subjects

15 CFR Part 744

    Exports, Reporting and recordkeeping requirements, Terrorism.

15 CFR Part 762

    Administrative practice and procedure, Business and industry,
Confidential business information, Exports, Reporting and recordkeeping
requirements.

    Accordingly, part 744 of the Export Administration Regulations (15
CFR parts 730 through 774) is amended as follows:

PART 744--[AMENDED]

0
1. The authority citation for 15 CFR part 744 continues to read as
follows:

    Authority:  50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22
U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 12058, 43 FR 20947, 3 CFR,
1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p.
608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026,
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13099, 63 FR 45167, 3
CFR, 1998 Comp., p. 208; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp.,
p. 783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 Comp., p. 786; Notice
of September 19, 2019, 83 FR 49633 (September 20, 2019); Notice of
November 12, 2019, 84 FR 61817 (November 13, 2019).

0
2. Supplement No. 7 to part 744 is amended by revising the first
sentence of the introductory text, paragraph (b)(1), and paragraph (c)
introductory text to read as follows:

Supplement No. 7 to Part 744--Temporary General License

    Notwithstanding the requirements and other provisions of
Supplement No. 4 to this part, which became effective as to Huawei
Technologies Co., Ltd. (Huawei), Shenzhen, Guangdong, China on May
16, 2019, and its non-U.S. affiliates listed in Supplement No. 4 to
this part on, as applicable, May 16, 2019 or August 19, 2019, the
licensing and other requirements in the EAR as of May 15, 2019, are
restored in part as of May 20, 2019, and through August 13, 2020,
pertaining to exports, reexports, and transfers (in-country) of
items subject to the EAR to any of the listed Huawei entities. * * *
* * * * *
    (b) * * *
    (1) This temporary general license is effective from May 20,
2019, through August 13, 2020.
* * * * *
    (c) Authorized transactions. This temporary general license
allows, from May 20, 2019, through August 13, 2020, the following:
* * * * *

Richard E. Ashooh,
Assistant Secretary for Export Administration.
[FR Doc. 2020-10614 Filed 5-15-20; 8:45 am]
BILLING CODE 3510-33-P