68 Ind. Admin. Code 28-2-1
Authority: IC 4-33-4-2; IC 4-35-4-3; IC 4-38-3-1
Affected: IC 4-33; IC 4-35; IC 4-38
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 o¯¿½ 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.
68 IAC 28-2-1