Indiana Code ยง 4-2-6-12 – Violations; penalties; sanctions
Sec. 12. If the commission finds a violation of this chapter, IC 4-2-7, or IC 4-2-8, or a rule adopted under this chapter IC 4-2-7, or IC 4-2-8, in a proceeding under section 4 of this chapter, the commission may take any of the following actions:
1.Impose a civil penalty upon a respondent not to exceed three (3) times the value of any benefit received from the violation.
…
*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 described below.
*The commission shall consider the following aggravating factors when assessing a civil penalty and may adjust the amount of the civil penalty upward due to:
(1) failure to reasonably cooperate with the inspector general’s investigation of the violation;
(2) any willful or intentional misconduct by the respondent;
(3) duration and frequency of the violation;
(4) history of similar or other violations committed by the respondent;
(5) failure to follow an informal advisory opinion obtained from the inspector general or advice of the agency’s ethics officer;
(6) material and/or financial harm to the state because of the violation;
(7) financial gain or benefit to the respondent because of the violation; or
(8) whether the violation negatively impacts the integrity or public trust of the state or a state agency.
*The commission shall consider the following mitigating factors when assessing a civil penalty and may adjust the amount of a civil penalty downward due to:
(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) relative lack of seriousness of the violation compared to other violations;
(8) lack of material harm to the state because of the violation; or
(9) material hardship to the respondent or their family from the penalty.