Authority: IC 4-31-3-9; IC 4-31-12-15; IC 4-31-12-16

Affected: IC 4-31-13-1; IC 4-31-13-2; IC 35-38-9

Sec. 3. The amount of a civil penalty levied may be adjusted upward to reflect minor or major aggravating factors. Factors that may be considered are as follows:

1. (1) Minor aggravators, as follows:

   1. (A) Failure to cooperate with the commission on an investigation.
   2. (B) The violation is the second violation of the same statute or rule within a five (5) year period.
   3. (C) The licensee has received three (3) to five (5) nonriding or driving violations, or both, in any jurisdiction during the last five (5) years.
   4. (D) The licensee is currently serving a sentence for a Level 6 felony in the state of Indiana.
   5. (E) The licensee is currently serving a sentence in a state other than Indiana having a penalty equal to the penalty for a Level 6 felony in the state of Indiana.
   6. (F) The violation was the result of reckless or negligent actions.
   7. (G) The violation resulted in injury to an equine athlete or individual.
   8. (H) The violation resulted in an impact to the integrity of horse racing, but had no effect on the wagering public.
   9. (I) Standardbred races with purses of at least one hundred thousand dollars ($100,000).
   10. (J) Quarter horse and thoroughbred races with purses of at least sixty thousand dollars ($60,000).

2. (2) Major aggravators, as follows:

   1. (A) The licensee actively impedes or obstructs an investigation.
   2. (B) The violation is the third violation of the same statute or rule within a five (5) year period.
   3. (C) The licensee has received more than five (5) nonriding or driving violations, or both, in any jurisdiction during the last five (5) years.
   4. (D) The licensee has been convicted of a Level 1, Level 2, Level 3, Level 4, or Level 5 felony in the state of Indiana during the last ten (10) years, excluding convictions expunged under IC 35-38-9.
   5. (E) The licensee has been convicted in another state of a crime having a penalty equal to the penalty for a Level 1, Level 2, Level 3, Level 4, or Level 5 felony in the state of Indiana during the last ten (10) years.
   6. (F) The licensee has been convicted of a federal crime having a sentence of at least one (1) year during the last ten (10) years.
   7. (G) Fraudulent conduct by the licensee or their agents on their behalf.
   8. (H) The violation is the result of an intentional act.
   9. (I) The violation resulted in the death of an equine athlete or individual.
   10. (J) The violation resulted in an impact to the wagering public.

(Indiana Horse Racing Commission; 71 IAC 10-6-3; filed Oct 15, 2024, 2:08 p.m.: 20241113-IR- 071240252FRA)