in-20241218-IR-068240116FRA: DIGEST FINE SCHEDULE

Final Rule LSA Document #24-116 DIGEST Sec. 1. Under IC 4-33-4-18, costs incurred conducting investigations are billed at a rate of sixty-five dollars ($65) each investigation hour. Sec. 2. The purpose of this article is to establish a civil penalty schedule for violations of IC 4-33, IC 4-35, and IC 4-38, this title, or a licensee's internal controls as approved by the commission. Sec. 3. The commission is authorized to assess civil penalties under IC 4-33-4-8, IC 4-35-4-10, and IC 4-38-1-4. Sec. 4. The definitions in this rule apply throughout this article. Sec. 5. "Base violation" means the first violation of a rule, regulation, or internal control in a rolling six (6) month period. Sec. 6. "Repeat violation" means a reoccurrence of the base violation or violations in a rolling six (6) month period. Sec. 7. "Rolling six (6) month period" means the one hundred eighty (180) days after the date of a violation of IC 4-33, IC 4-35 and IC 4-38, this title, or a licensee's internal controls occurred. Sec. 8. "Schedule" means the civil penalty schedule, as required by IC 4-22-2-19.6. 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: Sec. 2. For purposes of assessing civil penalties, the commission shall comply with the following when determining the violation number and count of violations: Sec. 3. The amount of a civil penalty may be adjusted downward to reflect particular mitigating factors. Factors that may be considered are the following: Sec. 4. (a) The amount of a civil penalty may be adjusted upward to reflect the following aggravating factors: (b) Whenever an aggravating factor is identified, the corresponding civil penalty may be increased by any amount, up to and including five (5) times the schedule amount for each violation. However, the amount assessed may not exceed the amounts outlined under IC 4-33-4-8 and IC 4-35-4-10. (c) The commission shall outline applicable aggravating factors in the notice described in section 6 of Sec. 5. (a) Nothing in this article requires the commission to assess a civil penalty for a violation. (b) The commission may initiate any of the following enforcement actions for a violation instead of, or in addition to, a civil penalty: Sec. 6. (a) The commission shall notify in writing each licensee on whom a civil penalty is being assessed. This notification includes the date and nature of the violation, including legal citation. (b) In response to the notification described in subsection (a), the licensee may provide any mitigating factors for commission consideration. Under IC 4-22-2-19.6(b) and 68 IAC 13-1-18, the parties may enter into a settlement to determine the civil penalty to be paid for a violation.