La. Admin. Code tit. 42 § III-2325

Current through Register Vol. 50, No. 11, November 20, 2024

Section III-2325 - Administrative Actions and Penalty Schedule

A. The board or division may initiate administrative action authorized by the Act for any violation of the Act or of the rules after notice of the proposed administrative action and after opportunity to request a hearing before the board.

B. The board or division may initiate administrative action authorized by the Act for any violation of any condition, restriction, or limitation imposed by the board on a license or permit.

C. The board or division may initiate administrative action authorized by the Act for violation of a licensee's or casino operator's internal controls as approved by the division.

D. Subject to the rights in the casino operating contract, administrative action includes revocation, suspension, finding of unsuitability, or conditioning of a license or permit, imposition of a civil penalty or such other costs as the board or division deems appropriate. The board or division may determine the appropriate sanction considering factors contained in the Act including, but not limited to:

1. the risk to the public and the integrity of gaming operations created by the conduct;

2. the seriousness of the conduct and whether the conduct was purposeful and with knowledge that the conduct was in violation of the Act or rules promulgated in accordance with the Act;

3. a justification or excuse for the conduct;

4. the history of the licensee, casino operator or permittee with respect to gaming activity;

5. the corrective action taken to prevent similar misconduct from occurring in the future;

6. whether there was any material involvement, directly or indirectly, with the licensee, casino operator or permittee by a disqualified person as defined in the Act; and

7. in the case of a civil penalty or fine, the amount of the fine in relation to the severity of the misconduct and the financial means of the licensee, casino operator or permittee

E. The board or division may assess a civil penalty as provided for in the penalty schedule. The penalty schedule lists a base fine and proscriptive period for each violation committed by the licensee, casino operator or permittee. If the total amount of the penalty or penalties recommended by the division resulting from an inspection or investigation exceeds $300,000.00, the matter shall be forwarded to the board for administrative action.

F. The proscriptive period is the amount of time in which a prior violation is still considered active for purposes of consideration in assessment of penalties. A prior violation is a past violation of the same type which falls within the current violation's proscriptive period. The date of a prior violation shall be the date the licensee, casino operator, or permittee receives the significant action report or violation/inspection report. If one or more violations exist within the proscriptive period, the base fine shall be multiplied by a factor based on the total number of violations within the proscriptive period.

G. A violation of §2931 may result in a civil penalty in the same amount as provided in the penalty schedule for the respective violation.

H. Penalty Schedule

Section Reference	Description	Base Penalty		Proscriptive Period (Months)
Louisiana Administrative Code, Title 42, Part III
Chapter 21. Licenses and Permits
2101.B	General Authority of the Board and Division	$10,000		18
2108	Non-Gaming Suppliers	$2,000		12
2112.B	Continuing Suitability, Duty to Report	$10,000		24
2112.C	Continuing Suitability, Duty to Report	$5,000		24
2115	State Tax Clearances Required of a Gaming Employee Permittee	$250		24
2117.E	Certification Required, Riverboat Only	$2,500		24
2131.B	Time Table for Financing and Construction	$25,000		24
2159	Gaming Employee Permits Required	$10,000		18
2165	Display of Gaming Identification Badge	$500		12
Chapter 23. Compliance, Inspections, and Investigations
2325	Administrative Actions and Penalty Schedule	$2,500		12
2329	Notification of Supplier Recommendation or Solicitations	$2,000		12
Chapter 25. Transfers of Interest in Licensees and Permittees; Loans and Restrictions
2521	Financial Transaction; Incurring Debt	$75,000		60
Chapter 27. Accounting Regulation
2701	Procedures for Reporting and Paying Gaming Revenues and Fees: Late Reports	$2,000		12
2701	Procedures for Reporting and Paying Gaming Revenues and Fees: Late Wire Transfers	$5,000		12
2703	Accounting Records (per issue)	$2,000		12
2705	Records of Ownership	$500		12
2707	Record Retention	$10,000		18
2709.B	Quarterly Financial Statements	$1,000		12
2709.C	SEC Reports	$500		12
2711.A	Guidelines	$10,000		12
2711.B	Required Signatures	$500		12
2711.D	Change of CPA Requirements	$10,000		60
2711.E	Separate Financial Statements	$5,000		12
2711.F	Audited Financial Statements (submission date)	$10,000		60
2711.G	Change of Business Year	$2,000		60
2711.H	Other CPA Reports	$2,000		60
2711.I	Quarterly Net Win Reports	$5,000		24
2711.J	Additional CPA Information	$10,000		60
2711.K.	IRS Audit Report	$5,000		60
2713.B	Written Approval Required for Licensees Own Calculation Procedure	$5,000		12
2713.C	Submit Monthly Calculation to Division	$5,000		12
2713.D	Submission of Revised Calculated Amount	$5,000		12
2714	Internal Controls, General	$2,500		12
2714.G	Amendments to Internal Controls Required by the Division	$20,000		24
2715.A	Keys	$10,000		24
2715.B	Restricted Areas	$10,000		24
2715.C	Internal Audit	$10,000		18
2715.D	Addition of Game or Computerized System	$25,000		24
2715.E	Training	$5,000		24
2716	Clothing Requirements	$5,000		12
2717.A-E	Fills and Credits	$2,000		12
2717.F	Table Games Inventory Procedures	$5,000		12
2717.G	Credit Procedures in Pit	$2,000		12
2717.H	Non-Marker Credit Play	$5,000		12
2717.I	Call Bets	$10,000		18
2717.J	Table Games Drop Procedures	$10,000		24
2717.K	Table Games Count Procedures	$10,000		24
2717.L	Table Games Key Control Procedures	$10,000		24
2717.M	Supervisory Controls	$2,500		12
2717.N	Accounting and MIS Functions	$2,500		12
2719.A	Handling of Cash at Gaming Tables	$5,000		18
2719.B	No Cash Wagers Allowed	$10,000		18
2721	Tips and Gratuities	$2,000		12
2723.B and C	Jackpot Request	$2,000		12
2723.D	Jackpot Payout Slip	$2,000		12
2723.E	Jackpot Payout Slips greater than $1,200	$1,000		12
2723.F	Jackpot Payout Slips greater than $5,000	$5,000		12
2723.G	Jackpot Payout Slips greater than $10,000	$10,000		18
2723.H	Jackpot Payout Slips greater than $500,000	$15,000		24
2723.I	Slot Fill Slips	$2,000		12
2723.J	Slot Hard Drop	$10,000		12
2723.K	Slot Count	$10,000		12
2723.L	Hard Count Weigh Scale	$10,000		12
2723.M	Accurate and Current Records for Each Slot Machine	$5,000		12
2723.N	Slot Machines Removed from Gaming Floor	$10,000		18
2723.O	Currency Acceptor Drop and Count Standards	$10,000		24
2723.P	Computer Records	$5,000		12
2723.Q	Management Information Systems (MIS) Functions	$5,000		18
2723.R	Accounting Department Audit Procedures Relative to Slot Operations	$10,000		24
2723.S	Slot Department Requirements	$2,000		12
2725	Poker	$2,500		12
2727	Race Book	$5,000		12
2729	Cage, Vault and Credit	$5,000		12
2730	Exchange of Chips and Tokens	$1,000		12
2731	Currency Transaction Reporting	$5,000		12
2735	Net Gaming Proceeds Computation	$5,000		12
2736	Treatment of Credit for Computing Net Gaming Proceeds	$5,000		12
Chapter 29. Operating Standards
2901	Code of Conduct of Licensees and Permittees	$10,000		24
2901.B.4.c	Notification; arrest, summons, citation or charge for any criminal offense or violation which if convicted would be a disqualification pursuant to R.S. 27:28(B)	$500		24
	Notification: arrest, summons, citation or charge for any criminal offense or violation which if convicted would not be a disqualification pursuant to R.S. 27:28(B)	$250		24
	Notification: Death of Owner/Member/Officer/Revenue-Recipient	$250		24
	Notification: Stock Or Interest Transfer	$500		24
	Notification: Company Structure Change (conversion/merger etc)	$500		24
	Notification: Company Management Structure Change	$500		24
2904	Record Retention	$10,000		18
2911	Accessibility to Premises; Parking	$1,000		12
2915	Methods to Prevent Minors from Gaming Area	$10,000		12
2919	Finder's Fees	$10,000		12
2921	Collection of Gaming Credit	$10,000		60
2923	Gaming Employee Badge Equipment	$2,500		12
2927	Advertising	$1,000		18
2935	Entertainment Activities	$5,000		12
2937.A	Distributions	$2,000		12
2937.B	Distributions	$5,000		12
2943	Gaming Employees Prohibited from Gaming	$2,500		12
2945	Restricted Areas	$10,000		24
2953	Promotions	$5,000		12
2954	Tournaments	$5,000		12
2955	Managerial Representative on Premises	$25,000		18
Chapter 31. Rules of Play
3101.A and B	Only Authorized Games Allowed		$25,000	24
3101.C	Games Must Be Conducted According to Rules and Licensee's Rules of Play		$5,000	12
3103	Rules of Play		$5,000	12
3104	Gaming Equipment, Gaming Table, and aming Table Layout Requirements		$5,000	12
3105	Procedures for opening and closing of the gaming table		$5,000	12
3106	Procedures for each game that uses cards		$5,000	12
3107	Wagers		$5,000	12
3109	Game Limits		$5,000	12
3111	Publication of Payoffs		$5,000	12
3113	Periodic Payoffs		$5,000	12
Chapter 33. Surveillance
3301	Required Surveillance Equipment	$10,000		24
3302	Digital Video Recording Standards	$10,000		24
3303	Surveillance System Plans	$25,000		24
3305	Surveillance and Division Room Requirements	$10,000		24
3307	Segregated Telephone Communication	$5,000		24
3309	Surveillance Logs	$10,000		24
3311	Storage and Retrieval	$20,000		24
3315	Maintenance and Testing	$20,000		24
3317	Surveillance System Compliance	$25,000		24
Chapter 34. Security
3403	Security Plans	$25,000		24
3409	Security Logs	$10,000		24
Chapter 35. Patron Disputes
3502	Division Notification	$1,000		12
Chapter 40. Designated Check Cashing Representatives
4003	Cash Transaction Reporting for Designated Check Cashing Representative	$5,000		12
4004	General Requirements	$2,500		12
4006	Record Retention for Designated Check Cashing Representatives	$10,000		18
4007	Designated Check Cashing Representative's Clothing Requirements	$5,000		12
4008	Internal Controls; Designated Check Cashing Representative	$2,500		12
4009	Internal Controls; Designated Check Cashing Representative Cage and Credit	$5,000		12
4010	Designated Check Cashing Representative Currency Transaction Reporting	$5,000		12
4011	Internal Controls Compliance	$2,500		12
Chapter 42. Electronic Gaming Devices
4202	Approval of Gaming Devices; Applications and Procedures; Manufacturers and Suppliers	$10,000		12
4204	Progressive EGDs	$5,000		12
4205	Computer Monitoring Requirements of Electronic Gaming Devices	$10,000		12
4208	Certification by Manufacturer	$1,000		12
4209	Approval of New Electronic Gaming Devices	$5,000		12
4210	Electronic Gaming Device Tournament	$5,000		12
4211	Duplication of Program Storage Media	$20,000		24
4212	Marking, Registration, and Distribution of Gaming Devices	$5,000		12
4213	Approval to Sell or Dispose of Gaming Devices	$10,000		24
4214	Maintenance of Gaming Devices	$20,000		24
4215	Analysis of Questioned Electronic Gaming Devices	$20,000		12
Chapter 43. Specifications for Gaming Devices and Equipment
4301	Approval of Chips and Tokens; Applications and Procedures	$5,000		12
4309	Use of Chips and Tokens	$1,000		12
4311	Receipt of Gaming Chips and Tokens	$1,000		12
4313	Inventory of Chips	$5,000		12
4315	Redemption and Disposal of Discontinued Chips and Tokens	$5,000		12
4317	Destruction of Counterfeit Chips and Tokens	$5,000		12
4318	Promotional and Tournament Chips or Tokens	$5,000		12
4319	Approval and Specifications for Dice	$5,000		12
4321	Dice; Receipt, Storage, Inspections and Removal From Use	$5,000		12
4323	Approval and Specifications for Cards	$5,000		12
Revised Statues, Title 27. Louisiana Gaming Control Law
Chapter 2. Louisiana Gaming Control Board
27:29.3	Annual Fee	$500		60
27.29.5	Renewal of Permits; Penalties	$500 plus not less than $25 or 25 percent of the amount due, whichever is the greater		60
Chapter 4. The Louisiana Riverboat Economic Development and Gaming Control Act
Part III. Gaming Enforcement Division
27:58.10	Toll-Free Telephone Number	$1,000 per day		24
27:61(1)	Net Gaming Procedures	$2,000		12
27:61(2)	Tax Paid	$2,000		12
27:61(3)	Quarterly Financial Statements	$1,000		12
27:61(3)	Annual Financial Statements	$10,000		60
Part V. Conducting of Gaming Operations
27:65B(1)	Sailing Requirements	$5,000		12
27:65B(2)	Sailing Duration	$5,000		12
27:65B(3)	Division Agents May Inspect Anytime	$25,000		60
27:65B(4)	Gaming Equipment Must Be from Permitted Suppliers	$25,000
27:65B(5)	Wagering Restrictions	$10,000		18
27:65B(7)	Gaming Equipment Storage	$25,000		60
27:65B(9)	No One under 21 Allowed	$10,000		12
27:65B(11)	Wagering Only with Chips, Tokens, etc.	$10,000		18
27:65B(13)	Adequate Insurance	$25,000		60
27:65B(15)	Must Obey All Rules	$10,000		18
Part VIII. Issuance of Permits to Manufacturers, Suppliers, and Others
27:84	Gaming Employee Permits	$10,000		18
27:85A	Unpermitted Employee	$10,000		18
27:85B	Underage Patron/Employees	$10,000		12
27:86	Issuance of Permit to Conduct Racehorse Wagering	$5,000		12
Chapter 5. The Louisiana Economic Development And Gaming Corporation Law
Part V. General Corporation Gaming Operations
27:230E	License or Permit Required	$10,000			60
Part VI. Land-Based Casino Operating Contract
27:244A(7)	Adequate Insurance	$25,000			60
Part VII. Licenses, Fees, and Registration
27: 250A	License or Permit Required	$10,000		60
27:250G	Unpermitted Employee	$10,000		18
Part IX. Prohibitions, Exclusions, and Gaming Offenses
27:260A	No One Under 21 Allowed	$10,000			12
Chapter 7. Pari-Mutuel Live Racing Facility Economic Redevelopment and Gaming Control Act
Part II. O Conduct of Slot Machine Gaming Activity
27:376	No One under 21 Allowed	$10,000		12

La. Admin. Code tit. 42, § III-2325

Promulgated by the Department of Public Safety and Corrections, Gaming Control Board, LR 38:1620 (July 2012), amended LR 40:1381 (July 2014), Amended LR 45582 (4/1/2019).

AUTHORITY NOTE: Promulgated in accordance with R.S. 27:15 and 24.