Penalties

Authority: IC 4-2-6-4 Affected: IC 4-2-6-8; IC 4-2-6-12 Sec. 9. (a) The commission may issue a civil penalty between the minimum amount of zero dollars ($0) and the maximum amount set forth in IC 4-2-6-8 and IC 4-2-6-12 . (b) In determining whether to assess a civil penalty, or the amount of a civil penalty, the commission shall consider: (1) the seriousness of the violation; (2) any deterrent effect the civil penalty may have; (3) any impact assessing a civil penalty may have on public confidence and trust in state government; and (4) the aggravating or mitigating circumstances set out in subsections (c) and (d). (c) The commission shall consider the following aggravating factors when assessing a civil penalty and may adjust the amount of the civil penalty upward: (1) A failure to reasonably cooperate with the inspector general's investigation of the violation. (2) Willful or intentional misconduct by the respondent. (3) The duration and frequency of the violation. (4) A history of similar or other violations committed by the respondent. (5) A failure to follow an informal advisory opinion obtained from the inspector general or the advice of the agency's ethics officer. (6) Material or financial harm, or both, to the state because of the violation. (7) Financial gain or benefit to the respondent because of the violation. (8) Whether the violation negatively impacts the integrity or public trust of the state or a state agency. (d) The commission shall consider the following mitigating factors when assessing a civil penalty and may adjust the amount of the civil penalty downward: (1) The respondent's admittance of the violation. (2) Cooperation with the inspector general's investigation of the violation. (3) The respondent's history of compliance. (4) The respondent's good faith efforts to receive and follow advice of the office of inspector general, counsel, or the agency's ethics officer. (5) Remedial or corrective action taken by the respondent. (6) Remedial or corrective action taken by the agency against the respondent. (7) A relative lack of seriousness of the violation compared to other violations. (8) A lack of material harm to the state because of the violation. (9) Material hardship to the respondent or their family from the penalty. (e) A civil penalty shall be considered during a public meeting and must be adopted by majority vote. (State Ethics Commission; 40 IAC 2-3-9; filed May 7, 2025, 1:55 p.m.: 20250604-IR-040250004FRA; readopted filed Oct 10, 2025, 11:51 a.m.: 20251105-IR-040240499RFA)