Authority: IC 4-22-2-19.6; IC 4-36-3-3; IC 7.1-2-3-7; IC 7.1-3-18.5-4

Affected: IC 4-36; IC 7.1; IC 24-3-2; IC 35-46-1

Sec. 1. (a) Each violation in the fine and penalty schedule created under this rule carries with it a range of potential fine amounts and other penalties, including the suspension or revocation of an alcohol permit, tobacco sales certificate, or type II gaming endorsement. Any fine or penalty assessed by the commission for a particular violation shall be determined using the factors set forth in this rule, such that judicial review of a final agency action can evaluate whether the amount of the fine or penalty was reasonable.

(b) In no case shall the fine for a particular violation exceed the maximum fines set forth in 905 IAC 2-1-4. For purposes of this rule, additional fines or penalties imposed in accordance with 905 IAC 2-1-5 shall not count towards the maximum fine amounts set forth in 905 IAC 2-1-4.

(c) When assessing a fine or penalty in accordance with this article, the commission shall consider the following minimum factors:

1. (1) Whether the violation had a major or minor impact on public health, public safety, or the general welfare of others.
2. (2) The number of previous violations committed by the offender.
3. (3) The frequency of previous violations committed by the offender.
4. (4) The need for deterrence of future violations.
5. (5) Whether the conduct, if proven beyond a reasonable doubt, would constitute a criminal offense and, if so, the level of penalty set by law for the criminal offense.

(d) In addition to the minimum factors set forth in subsection (c), the commission may consider the aggravating or mitigating factors set forth in this rule when assessing a fine or penalty for the violation of a law, rule, or regulation of the commission. The absence of any aggravating or mitigating factor or factors shall have no effect to either increase or decrease the amount of any fine or severity of any penalty imposed by the commission.

(e) This rule does not prohibit the commission from entering into a settlement agreement with a person or party against whom a fine or penalty is imposed to in order to determine the fine to be paid or penalty to be served, or both, for a notice of violation.

(Alcohol and Tobacco Commission; 905 IAC 2-2-1; filed Feb 27, 2025, 1:33 p.m.: 20250326-IR-905240384FRA)