68 IAC 28-2-1 Civil penalty schedule

Sec. 1. The schedule of civil penalties for violations of IC 4-33, IC 4-35, and IC 4-38, rules adopted under these laws, and a licensee's internal controls, as approved by the commission under 68 IAC 11, are as follows: Legal Citation General Description of Violation Base Violation Repeat Violations in a Rolling Six (6)Month Period Violations of the Child Support Arrears Delinquency Program (CSADR) IC 4-33-4-27; IC 4-33-8.5-5; IC 4-35-4-16; IC 4-35-6.5-13; IC 4-38-11-1; 68 IAC 11-9-2 CSADR: Failure to search If the failure to search error rate exceeds 1.5% of the total searches required, it will be a $500 fine for each violation. If the failure to search error rate exceeds 2% of the total searches required, it will be a $1,000 fine for each violation. IC 4-33-4-27; IC 4-33-8.5-5; IC 4-35-4-16; IC 4-35-6.5-13; IC 4-38-11-1; 68 IAC 11-9-2 Paying out jackpot to child support obligor without required withholding $5,000 $5,000 Violation Involving a Minor IC 4-33-9-12; IC 4-33-9-13; IC 4-35-7-2; IC 4-38-5-3; IC 4-38-9-3; 68 IAC 1-11-1 Failure to restrict minors from the gaming floor $1,500 2nd violation: $3,000; 3rd violation: $4,500; 4th violation (and each additional violation): $6,000 IC 4-38-3-2; IC 4-38-5-11 Failure to restrict minors from placing a sports wager $1,500 2nd violation: $3,000; 3rd violation: $4,500; 4th violation (and each additional violation): $6,000 Violation of Commission Entity and Occupational Licensing Standards 68 IAC 2-3-1 Failure to license power of attorney; working outside approved licensing level $1,500 $1,500 68 IAC 2-2-1; 68 IAC 2-2-4; 68 IAC 2-2-6.1; 68 IAC 2-3-1; 68 IAC 27-2-16 Failure to timely submit level 1 license application If the required application is 30-90 days late, $1,500; 90-180 days late, $3,000; 180-270 days late, $4,500; or exceeds 270 days late, $6,000. If the required application is 30-90 days late, $1,500; 90-180 days late, $3,000; 180-270 days late, $4,500; or exceeds 270 days late, $6,000. 68 IAC 2-3; 68 IAC 2-3-9; 68 IAC 13-1-1; 68 IAC 27-2-16 Failure to obtain required fingerprint cards for occupational licensee $100 $100 68 IAC 2-3-9 Failure to provide the commission with required updates that have been submitted by an occupational licensee; failure to cooperate with commission investigation $1,500 $1,500 68 IAC 2-3-9.1 Failure to update required information of occupational licensee Letter for first ten (10) violations If total violations exceed ten (10) particular instances in a rolling six (6) month period, $100 for each additional violation. 68 IAC 2-3-9.2 Failure to notify of separation from employment and position changes Disciplinary letter $500 68 IAC 2-3-9.3 through 68 IAC 2-3-9.6 Prohibited activities by occupational licensee $1,500 $1,500 68 IAC 3.1 Violation of rules governing additional requirements for licensees $10,000 $10,000 IC 4-33-8-2; IC 4-33-6-12; 68 IAC 2-3-8; IC 4-33-14-15; IC 4-35-5-4; IC 4-33-4-26 (power of attorney); IC 4-33-6-12; IC 4-33-8-2; IC 4-33-14-15; IC 4-35-4-15 (power of attorney); IC 4-35-5-4; IC 4-38-6-6; IC 4-38-8-1; 68 IAC 2-3-8 Late occupational licensing renewals (at least 30 days late); Employee working on expired license $1,000 for each violation that involves a Level 2 or Level 3 occupational licensee. $2,000 if the violation involved a Level 1 occupational licensee. $1,000 for each violation that involves a Level 2 or Level 3 occupational licensee. $2,000 if the violation involved a Level 1 occupational licensee. IC 4-33-6-12; IC 4-35-5-4 Failure to timely renew casino license $10,000 $10,000 IC 4-33-7-8 Failure to timely renew supplier license $7,500 $7,500 IC 4-38-6-6; IC 4-38-8-1; 68 IAC 27-2-8 Failure to timely renew certificate of authority, vendor license, or pay annual administrative fee $10,000 $10,000 IC 4-33-6-12; IC 4-33-6.5-7; IC 4-33-7-8; 68 IAC 27-2-8 Failure to submit required three (3) year reinvestigation application $5,000 IC 4-38-9-5 Failure to cooperate with licensing investigation $5,000 $5,000 Violation of Casino Operational Standards 68 IAC 1-12; 68 IAC 1-12.5; 68 IAC 2-6-43; 68 IAC 2-6-44; 68 IAC 2-6-45; 68 IAC 10-1-6.1 Violation of complimentary play, promotional events, electronic gaming device, and live gaming device tournaments $1,500 $1,500 68 IAC 1-16-1 Failure to submit required filings under 31 U.S.C. 5311 $5,000 $5,000 68 IAC 1-16-1 Failure to withhold taxes on a table game $1,000 $1,000 68 IAC 2-6-2; 68 IAC 2-6-3 Failure to obtain certification or commission approval of electronic gaming device $5,000 $5,000 68 IAC 2-6-31 through 68 IAC 2-6-42 Violation of progressive electronic gaming device rules $5,000 for each progressive award violation instance, regardless of how many total machines are impacted by the violation $5,000 for each progressive award violation instance, regardless of how many total machines are impacted by the violation 68 IAC 2-6 Any other violation of electronic gaming device rules not specified in this schedule Disciplinary letter $1,000 68 IAC 2-6.5 Violation of server based gaming regulations Disciplinary letter $1,000 68 IAC 3 Violation of standards governing contracts; minority and women's business enterprises $1,000 $1,000 68 IAC 3-3-8 Failure to attain minority and women's business enterprises goals Civil penalty must be equal to the expenditure amount the licensee failed to spend on a minority or women's business. However, this provision is subject to the good faith standard outlined under 68 IAC 3-3-10 and the amount must not exceed the maximum statutory fine outlined under IC 4-33-4-8 or IC 4-35-4-10. 68 IAC 8 Failure to follow approved emergency response plan procedures during an incident constituting an emergency under the licensee's approved emergency response plan $1,500 $1,500 68 IAC 8 Failure to report to the commission an incident constituting an emergency under the licensee's approved emergency response plan $5,000 $5,000 68 IAC 10 Violation of rules of the game standards $1,500 $1,500 68 IAC 11-1-2; 68 IAC 15-1-2 Failure to safeguard assets $1,000 $1,000 68 IAC 11-1-2; 68 IAC 11-1-3 Use of unapproved internal control system; deviation from approved internal control system $1,500 $3,000 68 IAC 11-3-3; 68 IAC 12-1-2; 68 IAC 13-1-1 Violation of internal controls outlining access to the following sensitive areas: cage, table games pit area, count room, and surveillance room $1,500 2nd violation: $3,000; 3rd violation: $4,500; 4th violation (and each additional violation): $6,000 68 IAC 2-6-16(e); 68 IAC 11-3 Violation of currency collection, soft count, drop zone and emergency drop procedures, or internal controls Disciplinary letter $1,500 68 IAC 11-4 Violation of opening and closing gaming device procedures or internal controls Disciplinary letter If total violations exceed ten (10) particular instances in a rolling six (6) month period, $500 for each of those particular violations 68 IAC 11-5 Violation of chip rotation standards Disciplinary letter $1,000 68 IAC 11-7 Violation of sensitive key control – keys off-property $1,500 $1,500 68 IAC 11-7 Violation of sensitive key control – unsecured on property Disciplinary letter $500 68 IAC 11-7 Violation of sensitive key control – chain of custody, strict control, and unauthorized use of nonsensitive key for a sensitive key $1,500 2nd violation: $3,000; 3rd violation: $4,500; 4th violation (and each additional violation): $6,000 68 IAC 11-8 Violation of cash handling procedures and standards at table games Disciplinary letter $1,000 68 IAC 12 Violation of surveillance operational standards or internal controls not otherwise described in this schedule $1,500 $1,500 68 IAC 12-1-1.7; 68 IAC 12-1-2 Failure to properly staff surveillance room; failure to limit access to surveillance room $1,500 $1,500 68 IAC 12-1-5(f)(6) Violation of required dedicated camera coverage on progressive electronic gaming devices $1,500 2nd violation: $3,000; 3rd violation: $4,500; 4th violation (and each additional violation): $6,000 68 IAC 11-3-5; 68 IAC 15-9-3; 68 IAC 15-12-3; 68 IAC 15-12-4 Failure to notify surveillance when required by commission rule or internal control procedure Disciplinary letter $1,000 68 IAC 14 Violation of gaming equipment procedures and standards not otherwise described in this schedule Disciplinary letter $1,500 68 IAC 14-3-2 Incorrect or missing playing card in play $1,500 $1,500 68 IAC 14-3-2 Unsecured playing cards and dice (uncanceled) Disciplinary letter $1,000 68 IAC 14-5.5-5 Violations of ticket-in ticket-out rules $500 $500 68 IAC 15 Violation of accounting records and procedures rules not otherwise described in this schedule Disciplinary letter $1,500 68 IAC 15-1-4.1 Violation of found cash or cash equivalent rules $500 $500 68 IAC 15-2 Failure to record currency transaction reports or multiple transaction log $2,500 $2,500 68 IAC 15-2-5 Failure to notify surveillance and obtain photo for multiple transaction log Disciplinary letter $1,000 68 IAC 15-5-2(d) Violation of calculation of taxes, including RG-1 requirements $5,000 $5,000 68 IAC 15-6-4 Vendor log: unlicensed vendor performing work on gaming floor; licensed vendor working on an expired license $1,500 $1,500 68 IAC 15-6-4 Vendor log: licensed vendor performing work on gaming floor on vendor badge Disciplinary letter $1,000 68 IAC 15-6-4 Vendor log: incomplete entries; illegible entries Disciplinary letter $100 68 IAC 15-10-4.1 Failure to report; failure to investigate variances $5,000 $5,000 68 IAC 15-10-5 Failure to verify even exchange Disciplinary letter $1,000 68 IAC 15-12-3; 68 IAC 15-12-4 Failure to void table fill/credit Disciplinary letter $1,000 68 IAC 15-12-3; 68 IAC 15-12-4 Incorrect table fill/credit fully executed $1,500 $1,500 68 IAC 15-13-3 Violation of manually paid jackpot procedures $1,000 $1,000 68 IAC 14-3-9; 68 IAC 14-3-10; 68 IAC 17-1-2 Shipping violations $1,500 $1,500 Violation of Sports Wagering Operational Standards IC 4-38-3-1(8); 68 IAC 27-11-1 Violation of sports wagering geolocation requirements $5,000 for each geolocation violation instance, regardless of how many total persons are impacted by the violation $5,000 IC 4-38-5-1 Failure to provide commission data related to the conduct of sports wagering $5,000 $5,000 IC 4-38-5-4; IC 4-38-5-5; 68 IAC 27-7-3 Allowing wagers on a sports wagering unapproved event Disciplinary letter – if the unapproved event was identified and wagers voided before event; $500 to certificate holder or mobile operator; $500 to each other responsible licensee, if applicable, if the unapproved event was not identified and wagers voided before event, regardless of how many wagers are accepted on the event $500 to certificate holder or mobile operator; $500 to other responsible licensee, if applicable IC 4-38-5-5 Sports wagering allowed on e-sports events $1,000 to each responsible licensee, regardless of how many wagers are accepted on the event $1,000 to each responsible licensee IC 4-38-5-6 Unauthorized cancellation of wager Disciplinary letter $1,500 IC 4-38-5-8 Use of unapproved sports wagering device, platform, or other means of conducting sports wagering $5,000 $5,000 IC 4-38-9-1 Failure to conduct required employee background check Disciplinary letter $1,500 for each violation IC 4-38-9-2 Failure to use commercially reasonable methods to maintain security of wagering data, customer data, and other confidential information from unauthorized access and dissemination $5,000 $5,000 IC 4-38-9-3 Failure to restrict prohibited wagers $1,500 $1,500 IC 4-38-9-5 Failure to cooperate with investigations into sports wagering activities $5,000 $5,000 IC 4-38-9-6 Failure to report required information related to sports wagering activity $5,000 $5,000 68 IAC 11-1-3; 68 IAC 27-5 Use of unapproved internal controls by sports wagering operator $1,500 $1,500 68 IAC 27-1-2(16); 68 IAC 27-12-1 Violation on prohibition of proxy wagering $5,000 $5,000 68 IAC 27-2-11 Failure to withhold taxes on a wager $1,000 $1,000 68 IAC 27-2-11 Failure to submit required filings under 31 U.S.C. 5311 $5,000 $5,000 68 IAC 27-5-2 Sports wagering change management internal controls; failure to notify Disciplinary letter for Level 1; $1,500 for Level 2; $5,000 for Level 3 $500 for each Level 1 violation; $1,500 for each Level 2 violation; $5,000 for each Level 3 violation 68 IAC 27-7; 68 IAC 27-12 Violations of patron account; violation of patron wager rules $1,000 $1,000 68 IAC 2-6.5-1; 68 IAC 27-8-1 Violation of sports wagering kiosk approval requirements $1,000 $1,000 68 IAC 27-8-3; 68 IAC 27-10-3 Failure to report; failure to investigate variances $5,000 $5,000 68 IAC 27-9-2 Violation of calculation of taxes, including RG-1 requirements $5,000 $5,000 68 IAC 27-10 Violation of accounting control rules not otherwise described in this schedule $1,000 $1,000 68 IAC 27-12-1 Sports wagering allowing user to create duplicate accounts $1,500 $1,500 68 IAC 14-3-9; 68 IAC 14-3-10; 68 IAC 17-1-2 Shipping violations of regulated sports wagering devices $1,500 $1,500 Violation of Supplier Operational Standards 68 IAC 2-2-5.3 Failure to demonstrate skill, experience knowledge, and ability necessary to supply the goods or services supplier seeks to provide $3,000 $3,000 68 IAC 2-3-9 Supplier occupational licensee failure to disclose $1,500 $1,500 68 IAC 2-3-9.5 Supplier occupational licensee gaming in the state of Indiana $1,500 $1,500 68 IAC 15-6-4 Vendor log: unlicensed vendor performing work on gaming floor; licensed vendor working on an expired license $1,500 $1,500 68 IAC 15-6-4 Vendor log: occupational licensee performing work on gaming floor on vendor badge Disciplinary letter $1,000 68 IAC 15-6-4 Vendor log: incomplete entries; illegible entries Disciplinary letter $100 68 IAC 14-3-9; 68 IAC 14-3-10; 68 IAC 17-1-2 Shipping violations $1,500 $1,500 68 IAC 19 Violation of warehouse rules $10,000 $10,000 Violation of Responsible Gaming Standards 68 IAC 1-16-2; 68 IAC 27-13-1 Violation of responsible gaming toll free number requirement $2,500 $5,000 IC 4-33-4-7; IC 4-35-4-9; 68 IAC 6-2 Voluntary exclusion program (VEP) audit Disciplinary letter for 1st violation for VEP not flagged; missing identifiers and incorrect information on account $1,000 for each violation for VEP's not flagged; $250 for each violation for VEP's missing identifiers and incorrect information on account IC 4-33-4-7; IC 4-35-4-9; 68 IAC 6-1 Statewide exclusion audit Disciplinary letter $250 for each omission IC 4-33-4-7; IC 4-35-4-9; 68 IAC 6-1; 68 IAC 6-2 VEP: cash advance; comps; check cashing privileges; extension of credit; direct mail and marketing; duplicate accounts; failure to notify Disciplinary letter 2nd violation: $1,500; 3rd violation: $3,000; 4th violation (and each additional violation): $4,500 68 IAC 6-3-4 VEP: jackpot payouts $5,000 $5,000 IC 4-33-4-3; 68 IAC 6-3-3; 68 IAC 6-3-4 VEP: disclosure of confidentiality $10,000 for each breach instance, regardless of the number of total disclosures $10,000 for each breach instance, regardless of the number of total disclosures IC 4-38-3-1; IC 4-38-5-6; 68 IAC 27-7-11 Sports wagering prohibited participant: failure to cancel and refund VEP wagers Disciplinary letter 2nd violation: $1,500; 3rd violation: $3,000; 4th violation (and each additional violation): $4,500 68 IAC 6-3-4; 68 IAC 27-1-2; 68 IAC 27-13-2; 68 IAC 27-14-2(c) Sports wagering prohibited participant allowed to place wagers $5,000 $5,000 IC 4-38-3-1; 68 IAC 27-1-2(16); 68 IAC 27-13-2 Sports wagering prohibited participant audit: Internet self-restriction program $1,000 for each omission; $500 for each data discrepancy $1,000 for each omission; $500 for each data discrepancy IC 4-38-3-1; 68 IAC 6-3; 68 IAC 27-1-2(16) Sports wagering prohibited participant audit: VEP $1,000 for each omission; $500 for each data discrepancy $1,000 for each omission; $500 for each data discrepancy IC 4-38-3-1; 68 IAC 27-1-2(16) Sports wagering prohibited participant audit: statewide exclusion list $250 for each omission; disciplinary letter for each data discrepancy; 1st audit: 25% of total penalty $250 for each omission; disciplinary letter for each data discrepancy 68 IAC 27-13-4 Sports wagering prohibited participant: received marketing Disciplinary letter $1,000 68 IAC 27-12-3; 68 IAC 27-13-5 Violation of rules regarding patron wager limits and operator exclusion $1,500 $1,500 68 IAC 27-7-17 Violation of commission advertising standards $5,000. For purposes of this rule, "base violation" means for each advertising campaign, which may consist of at least one (1) channel or iteration, impacting at least one (1) person $5,000 Failure to Report Required Events 68 IAC 1-5-1; 68 IAC 27-4-2 Failure to report required information $1,500 $1,500 68 IAC 1-13-1; 68 IAC 5 Violation of transfer of ownership, debt acquisition, or failure to report interest in a license $10,000 $10,000 31 U.S.C. 5311 [sic, is] incorporated by reference.