Indiana Administrative Code on Indiana Auctioneer Commission

Indiana Administrative Code regulations regarding powers of commission, permitted activities, license procedure fees, auctioneer courses, initial education course providers and continuing education are detailed below:

Indiana Administrative Code
Title 812. INDIANA AUCTIONEER COMMISSION
Article 1. GENERAL PROVISIONS
Rule 1. Powers of Commission; Permitted Activities; License Procedure; Fees

812 IAC 1-1-1. Applications and other forms; availability

Authority: IC 25-6.1-2-5

Sec. 1. Applications and all other pertinent forms are available at the Indiana Auctioneer Commission, office of the Indiana Professional Licensing Agency, Indiana Government Center, Indianapolis, Indiana, or will be mailed upon request of person seeking to be licensed as auctioneer, auction house, or auction company.

812 IAC 1-1-2. Time for holding examinations; individual examinations not permitted

Authority: IC 25-6.1-2-5

Sec. 2. Examinations will be held in Indianapolis, Indiana at such times and places as the commission may direct. Individual examinations are not permitted.

812 IAC 1-1-3. Receipt of application before examination; fee; failure to appear at examination

Authority: IC 25-6.1-2-5

Sec. 3. The completed application for examination and licensure as an auctioneer together with the fees under section 35(a)(1) and 35(a)(6) of this rule shall be received in the office of the commission at least seven (7) business days before an examination date. The applicant will be advised of the time and place of the examination upon receipt of the completed application. If the applicant does not appear at the initial examination for which he or she has been scheduled, the applicant will be rescheduled for the following scheduled examination. If the applicant fails to appear for the following scheduled examination, the application and fee shall be forfeited.

812 IAC 1-1-3.1. Completing education prior to examination

Authority: IC 25-6.1-2-5

Sec. 3.1. Auctioneer applicants may apply for the examination prior to completing their eighty (80) hour prelicensure education. If they do so, they must submit proof of completing the course by presenting a certificate of completion at the examination site prior to taking the examination.

812 IAC 1-1-4. Confidentiality and security of examinations

Authority: IC 25-6.1-2-5

Sec. 4. Auctioneer license examinations are confidential tests. Examinations are designed and administered under conditions established to protect the security of the tests.

812 IAC 1-1-5. License fee (Repealed)

812 IAC 1-1-6. Review of examination by applicant; petition for review (Repealed)

812 IAC 1-1-7. Failure to pass examination; effect (Repealed)

812 IAC 1-1-8. Auction house or auction company license application; forfeiture of fee when application incomplete (Repealed)

812 IAC 1-1-9. Renewal of license (Repealed)

812 IAC 1-1-10. Reinstatement after expiration (Repealed)

812 IAC 1-1-11. Lapse of year; reexamination (Repealed)

812 IAC 1-1-12. Lapse of license due to military service; renewal

Authority: IC 25-6.1-2-5

Sec. 12. Any licensed auctioneer who permits his license to lapse due to his entering the armed services or government service in connection with a war effort shall, upon presentation of satisfactory evidence of honorable discharge, be granted a renewal of said license at the usual cost, without the penalty and without re-examination.

812 IAC 1-1-13. Notice of operation or discontinuance of auction house or company by licensed auctioneer

Authority: IC 25-6.1-2-5

Sec. 13. An individual who is a licensed auctioneer operating an auction company shall notify the commission of such operation in duplicate on prescribed forms provided by the commission. Said licensee shall notify the commission in writing of the discontinuance of such operation or operations.

812 IAC 1-1-14. Notice of operation or discontinuance of auction company by auction house licensee. (Repealed.)

812 IAC 1-1-15. Auction company licensee operating additional auction companies or auction houses; notice to commissioner (Repealed)

812 IAC 1-1-16. Change of licensee address or business or trade name; notice

Authority: IC 25-6.1-2-5

Sec. 16. All licensees shall notify the commission in writing within ten (10) days of the following:
(1) Change of address.
(2) Change of business or trade name.
(3) For auction houses and auction companies, change of ownership as described in section 16.1 of this rule.

812 IAC 1-1-16.1. Change in ownership; auction house or auction company

Authority: IC 25-6.1-2-5

Sec. 16.1.  All changes in ownership of an auction company cause the auction company license to terminate. In order to operate the auction company, the new owner must obtain a license. Changes in ownership include:
(1) sale;
(2) changes of business organization; and
(3) changes in the identity of the partners in a partnership;
of an auction company.

812 IAC 1-1-17. Temporary permits. (Repealed)

812 IAC 1-1-18. Reciprocal license application

Authority: IC 25-6.1-2-5

Sec. 18. All individuals making application for an auctioneer license per reciprocal agreement shall submit with their application a letter of certification from the state board or commission of their state of domicile, certifying that they are duly licensed in said state, stating their residency, date of issuance and expiration of license.

812 IAC 1-1-19. Contracts; specifications; retention of original

Authority: IC 25-6.1-2-5

Sec. 19. All contract agreements, or any authority to sell shall show a definite date of contract and a definite date of sale, shall be in writing, made in duplicate, one copy to the owner at the time of signing and the original to be retained in the office of the auctioneer and/or auction company licensee for a period of not less than two years.

812 IAC 1-1-20. Real estate sales; powers and duties of auctioneers

Authority: IC 25-6.1-2-5

Sec. 20. A licensed auctioneer may advertise and sell real estate at auction. The licensee shall have an executed contract or agreement with the owner or seller containing the terms and conditions upon which licensee receives or accepts the real estate for sale at auction. The licensee shall conduct the bidding and announce the culmination thereof. No further acts necessary to transfer title to the real estate shall be performed by the licensee.

812 IAC 1-1-21. Sign on real estate to be auctioned; consent of owner

Authority: IC 25-6.1-2-5

Sec. 21. An auctioneer and/or auction company licensee shall not place a sign on any property, offering it for sale, without the written consent of the owner.

812 IAC 1-1-22. Summary of receipts and disbursements; submission to seller

Authority: IC 25-6.1-2-5

Sec. 22. Every auctioneer and/or auction company licensee shall deliver to the seller in every transaction wherein he acts as an auctioneer and/or auction company licensee a complete detailed summary showing all of the receipts and disbursements handled by such auctioneer and/or auction company licensee.

812 IAC 1-1-23. Knowledge of current market conditions; duty of auctioneer

Authority: IC 25-6.1-2-5

Sec. 23. An auctioneer and/or licensee shall keep informed on current market conditions of real and personal property at all times in order to be in a position to advise and perform services for his clients to the best of his ability.

812 IAC 1-1-24. Unprofessional conduct

Authority: IC 25-6.1-2-5

Sec. 24.Sec. 24. A licensee shall conduct professional activities in a professional manner that will reflect credit upon himself or herself, the auction profession, and auctioneers. 

Unprofessional conduct includes, but is not limited to, the following:
(1) Failure of a licensee to account to and pay over all monies and tangible personal property coming into his or her possession which belong to others including buyers at auction as well as consignors no later than thirty (30) days from the date that the obligation arises to remit or deliver the said monies or tangible personal property.
(2) A licensee's payment of compensation in money or other valuable thing to any person other than a licensee for the rendering of any service or the doing of any of the acts by this act forbidden to be rendered or performed by other than licensees.

812 IAC 1-1-25. Practice of law prohibited

Authority: IC 25-6.1-2-5

Sec. 25. A licensee shall not engage in activities that constitute the practice of law and shall recommend that his clients seek the services of a lawyer when he deems it necessary.

812 IAC 1-1-26. Self-dealing prohibited; exemption

Authority: IC 25-6.1-2-5

Sec. 26. A licensee shall refrain from buying or selling at his own auction for personal gain, unless disclosed to the seller.

812 IAC 1-1-27. Auctioneer-client relationship; disclosure of costs and services

Authority: IC 25-6.1-2-5

Sec. 27. A licensee shall preserve a professional, confidential relationship with his client, revealing estimated costs and services for conducting the auction.

812 IAC 1-1-28. Fees for services (Repealed)

812 IAC 1-1-29. Advertising by auctioneer (Repealed)

812 IAC 1-1-30. Forms used by auctioneers (Repealed)

812 IAC 1-1-31. Student auctioneers; supervision of practice

Authority: IC 25-6.1-2-5

Sec. 31. The Commission shall grant permission to auctioneer schools accredited by the Private School Accrediting Commission of Indiana, to allow their students, through the duration of the school, to practice and participate in the capacity of an auctioneer, under the supervision of their instructor.

812 IAC 1-1-32. Complaints

Authority: IC 25-6.1-2-5

Sec. 32. Except for IC 25-6.1-7-2 , all complaints filed concerning violations of IC 25-6.1 and this title must be filed with the office of the attorney general, consumer protection division on forms furnished by the consumer protection division.

812 IAC 1-1-33. Contract disputes; commission without jurisdiction to settle; written contracts required

Authority: IC 25-6.1-2-5

Sec. 33. The Commission is not a commission of arbitration and has no jurisdiction to settle disputes between parties concerning such matters of contract as the rates of commission, the division of commission, and similar matters. The statute requires, to avoid differences between parties that all agreements concerning auctions be reduced to writing at the earliest practical time.

812 IAC 1-1-34. Auction procedure; completion of sale; sale without reserve

Authority: IC 25-6.1-2-5

Sec. 34. Sale by Auction. (a) In a sale by auction if property being sold is put up in lots, each lot is the subject of a separate sale.
(b) A sale by auction is complete when the auctioneer so announces by the fall of the hammer or in any other customary manner. Where a bid is made while the hammer is falling in acceptance of a prior bid, the auctioneer may in his discretion reopen the bidding or declare the property sold under the bid on which the hammer was falling.
(c) Such a sale is with reserve unless the property being sold is in explicit terms put up without reserve. In an auction with reserve the auctioneer may withdraw the property being offered for sale at any time until he announces completion of the sale. In an auction without reserve, after an auctioneer calls for bids on property being offered for sale, such property cannot be withdrawn unless no bid is made within a reasonable time. In either case a bidder may retract his bid until the auctioneer's announcement of completion of the sale, but a bidder's retraction does not revive any previous bid.
(d) If the auctioneer knowingly receives a bid on the seller's behalf or the seller makes or procures such a bid, and notice has not been given that liberty for such bidding is reserved, the buyer may at his option avoid the sale or take the property at the price of the last good faith bid prior to the completion of the sale.

812 IAC 1-1-35. Fees charged by commission

Authority: IC 25-1-8-2 ; IC 25-6.1-2-5

Sec. 35. (a) The following fees shall be charged by and paid to the commission by applicants and licensees:
 
812 IAC 1-1-36. Reconsideration of license after revocation (Repealed)

812 IAC 1-1-37. Investigation of trust accounts

Authority: IC 25-6.1-2-5

Sec. 37. Each licensee shall make available for inspection and copying the detailed record required by IC 25-6.1-6-6(b) upon request by the commission for investigative and compliance purposes.

812 IAC 1-1-38. Advertising

Authority: IC 25-6.1-2-5

Sec. 38. In addition to the requirements under IC 25-6.1-6-5 , all advertisements of auctions shall disclose the following:
(1) The name and license number of the principal auctioneer involved in the auction.
(2) The name and license number of the principal auction company involved in the auction.

812 IAC 1-1-39. Posting auction sign

Authority: IC 25-6.1-2-5

Sec. 39. (a) Each licensee shall jointly be responsible for posting a sign at either the main entrance of the auction, the place of registration, or by the cashier that states the following:
(1) The name and license number of all auctioneers involved in the auction.
(2) The name and license number of all auction companies involved in the auction.
(3) That the persons identified in this subsection are licensed by the Indiana auctioneer commission.
(b) The sign required under subsection (a) shall be no smaller than twenty-four (24) inches by thirty (30) inches, and the letters and numbers appearing on the sign must be of adequate size so that they may be readily seen by an individual with normal vision when viewing them.
812 IAC 1-1-40. Auctioneer; records and accounts

Authority: IC 25-6.1-2-5

Sec. 40. (a) The requirements of IC 25-6.1-6-1, IC 25-6.1-6-2, and IC 25-6.1-6-3 apply to auctioneers conducting auctions for auction companies.
(b) The records and accounts required under IC 25-6.1-6-3 shall include the following:
(1) Name, license number, and address of auction company.
(2) Date of sale.
(3) Location of sale.

812 IAC 1-1-41. Auction company; auction house; records and accounts

Authority: IC 25-6.1-2-5

Sec. 41. Each auction company licensee, in addition to the requirements under IC 25-6.1-6-3, shall keep and maintain for a period of not less than four (4) years the:
(1) name;
(2) license number;
(3) address; and
(4) date of auction sale;
of all auctioneers employed to conduct the auctions.

812 IAC 1-1-42. Compliance with IC 26-1-6-107 (Repealed)

812 IAC 1-1-43. Violations; professional incompetence

Authority: IC 25-6.1-2-5

Sec. 43. Violations of sections 13, 14, 16, 16.1, 19 through 34, and 38 through 43 of this rule shall be considered professional incompetence under IC 25-1-11 et seq.
*

Article 2. AUCTIONEER COURSES AND INITIAL EDUCATION COURSE PROVIDERS
Rule 1. Definitions; General Provisions

812 IAC 2-1-1. Scope

Authority: IC 25-6.1-2-5

Sec. 1. (a) This article establishes requirements for the education of applicants for auctioneer licensure and establishes requirements for auction instruction pursuant to IC 25-6.1-3-2.
(b) The definitions in this rule apply throughout this article.

812 IAC 2-1-2. "Course session" defined

Authority: IC 25-6.1-2-5

Sec. 2. "Course session" means a particular course of auction instruction conducted by an approved course provider.

812 IAC 2-1-3. Violations of statute and rules

Authority: IC 25-6.1-2-5

Sec. 3. (a) Failure of an approved course provider to comply with the provisions of this article shall subject it to denial of course provider approval or revocation or suspension of course provider approval as appropriate.
(b) If an approved course provider fails to meet the requirements for course provider approval renewal established in 812 IAC 2-2-4 and 812 IAC 2-2-5 , the renewal shall be denied.
(c) Under subsections (a) through (b), auction schools shall be responsible for the actions of their employees and other agents.
(d) Notices of denials of course provider approval or renewals and administrative review of such denials are governed by IC 4-21.5-3-4 and IC 4-21.5-3-7 .
(e) Institution of proceedings to revoke or suspend course provider approval is governed by IC 4-21.5-3-8 . Emergency suspensions may be issued, where appropriate, under IC 4-21.5-4.

812 IAC 2-1-4. Revocation, suspension, or denial of renewal of course provider approval; completion of courses

Authority: IC 25-6.1-2-5

Sec. 4. In the event it suspends, revokes, or denies renewal of course provider approval, the commission may, at its discretion, allow any course already in progress to be completed.

812 IAC 2-1-5. Application for course provider approval; content

Authority: IC 25-6.1-2-5

Sec. 5. (a) Any auction school seeking approval as a course provider shall make written application for approval and shall submit such documents, statements, and forms as required by the commission, and as may be reasonably necessary to establish whether the school complies with the requirements of this article.
(b) The application shall state the name and address of the school's owner.
(c) The application shall list all instructors who will be teaching the course and include evidence that they comply with the qualifications established in812 IAC 2-3-2 .

Article 2. AUCTIONEER COURSES AND INITIAL EDUCATION COURSE PROVIDERS
Rule 2. Approved Course Providers; General Requirements

812 IAC 2-2-1. Facilities

Authority: IC 25-6.1-2-5

Sec. 1. (a) The premises, equipment, and facilities of the approved course provider shall comply with all local, city, county, and state regulations, such as fire, building, and sanitation codes.
(b) Approved course providers shall prohibit the serving or obtaining of alcoholic beverages in the classroom and any other area that the student would have access to during the time class is in session, including breaks, such as the restroom and hallways.
(c) Subsection (b) shall not be interpreted to prohibit the use of facilities (such as hotels, motels, and convention centers) where alcoholic beverages are sold in separate rooms.

812 IAC 2-2-2. Student fees; cancellation of course sessions

Authority: IC 25-6.1-2-5

Sec. 2. (a) An approved course provider shall not charge a fee to students for seminars or other courses offered in preparation for the state licensing examination. This applies to students who are currently enrolled in a course or have completed a course within the past thirty (30) days.
(b) The cost of textbooks, supplemental texts, and required materials shall be included in the course fee. Disclosure of the full cost of the course (including tuition, books, and required materials) must be made to the student before enrollment.
(c) Each approved course provider shall establish a refund policy, which is included in all printed material related to the offering of the course. The refund policy shall be available for review and acceptance by the student at the time of enrollment.
(d) If a course session is canceled, the course provider must notify all individuals who have enrolled in it at least three (3) days in advance of the first scheduled class.

812 IAC 2-2-3. Course records

Authority: IC 25-6.1-2-5

Sec. 3. Each approved course provider must maintain records of students who successfully complete and pass the course of study for a minimum of two (2) years. The records must include:
(1) attendance records;
(2) examination score records;
(3) student course evaluations; and
(4) duplicate copies of completion certificates or the ability to reproduce duplicate completion certificates.

812 IAC 2-2-4. Renewal of course provider approval

Authority: IC 25-6.1-2-5

Sec. 4. The approval of course providers expires on February 28 of each even-numbered year. To obtain renewal of course provider approval, the school must submit a letter requesting such renewal to the commission by January 1 of each even-numbered year.

812 IAC 2-2-5. Review and investigation of approved course providers

Authority: IC 25-6.1-2-5

Sec. 5. (a) As a requirement for renewal, an approved course provider may be required to provide specific information, answer questions, and/or appear before the commission or its designee for the purpose of determining compliance with this article.
(b) The commission or its designee may, at any time, review and/or investigate any matter concerning any course, or applicant for course provider approval to determine compliance with this article.
(c) The method of review shall be determined by the commission in each case and will generally consist of the following:
(1) Consideration of information available from federal, state, and/or local agencies, private organizations or agencies, or interested persons.
(2) Conferences with the school director and other representatives of the school involved or with former students of the school.
(d) The commission may require a background check on school personnel, including a criminal history check.

Article 2. AUCTIONEER COURSES AND INITIAL EDUCATION COURSE PROVIDERS
Rule 3. Instructors

812 IAC 2-3-1. Instructors; compliance with rule required

Authority: IC 25-6.1-2-5

Sec. 1. All instructors employed by approved course providers must meet the requirements of this rule.

812 IAC 2-3-2. Instructors; qualifications

Authority: IC 25-6.1-2-5

Sec. 2. Each instructor shall possess at least one (1) of the following minimum requirements:
(1) A minimum of five (5) years of experience as an instructor in an establishment that offered auction instruction prior to July 1, 1996, or an auction school approved by the commission, or a combination of both.
(2) A bachelor's degree from an accredited college or university and a minimum of two (2) years of experience in the auction business.
(3) A minimum of five (5) years of experience as an auctioneer.
(4) A juris doctor or equivalent from an accredited law school, and a minimum of two (2) years of experience in the subject matter to be taught in the course.
(5) Two (2) years of experience as a qualified instructor or professor in the business, finance, or economics department of an accredited college or university.

812 IAC 2-3-3. Instructors; prohibitions

Authority: IC 25-6.1-2-5

Sec. 3. An approved course provider is prohibited from hiring, or retaining in its employ, an instructor who:
(1) has had his or her auctioneer license revoked or suspended by any jurisdiction;
(2) has obtained or used, or attempted to obtain or use, in any manner, Indiana auctioneer licensing examination questions to be used on future examinations unless authorized by law;
(3) has been convicted of a crime, which has a direct bearing on the individual's ability to competently instruct, including, but not necessarily limited to, violations of auction laws and abuse of fiduciary responsibilities;
(4) has falsely certified hours of attendance or grades for any student; or
(5) unless allowed by law, has refused to appear and/or testify under oath at any hearing held by the commission.

Article 2. AUCTIONEER COURSES AND INITIAL EDUCATION COURSE PROVIDERS
Rule 4. Conduct of Courses

812 IAC 2-4-1. Auctioneer courses; hours of classroom instruction

Authority: IC 25-6.1-2-5

Sec. 1. (a) An auctioneer course shall consist of at least eighty (80) hours of classroom instruction.
(b) Each auctioneer course shall be conducted on at least ten (10) different days with a maximum of eight (8) hours of instruction per day.
(c) The examinations required under section 4(a) of this rule may not count toward the hours required by subsection (a).

812 IAC 2-4-2. Breaks

Authority: IC 25-6.1-2-5

Sec. 2. Any amount of time allotted to breaks may not be counted toward the eighty (80) hours of actual instruction required by IC 25-6.1-3-2 .

812 IAC 2-4-3. Attendance

Authority: IC 25-6.1-2-5

Sec. 3. (a) All attendance shall be in the same course session and may not be cumulative.
(b) A student may not receive attendance credit for attending more than one (1) class meeting of a class other than a class in the course session to which the student is assigned. The one (1) class must cover the same material as the class missed, the make up class must be completed during the regular class session, and must be sponsored by the school in which the student is enrolled.

812 IAC 2-4-4. Examinations

Authority: IC 25-6.1-2-5

Sec. 4. (a) Each auctioneer course shall be required to have three (3) written examinations with each examination consisting of one hundred (100) questions. A total of two hundred twenty-five (225) points from the three (3) examinations is required to pass the course.
(b) Dates of all examinations must be announced to the students at least one (1) day in advance, and examinations shall be evenly spaced throughout the course.
(c) All examinations must be administered in the scheduled class session under the supervision of the course instructor. Take home examinations may not be credited toward the required passing score in the course.
(d) The total score to pass a course must be based only on scores earned on the required in-class examinations. Class recitations and quizzes may not be used to supplement or take the place of examination grades.
(e) Total security shall be provided for all examinations prior to, during, and after administration. Questions may not be distributed to students or discussed in class in advance. Students shall be prohibited from copying an examination after it has been administered.
(f) An examination booklet and all answer sheets shall be retained by the sponsoring school for at least one (1) year. Examinations may be made available to students only for personal review in a supervised situation after the examinations have been graded and scores recorded.
(g) Examinations administered in the auction course shall not be taken from the school premises under any circumstances.
(h) Administration of make up examinations shall be at the discretion of the course instructor. If make up examinations are permitted, and the student is taking the examination prior to other students in the class, the same examination that will be used for the class shall be administered. If the student will be taking a make up examination after other students in the class, a different examination shall be used, however, the examination must cover the same subject content.
(i) Each approved course provider shall establish a written policy against cheating in its auctioneer courses.

812 IAC 2-4-5. Course evaluations

Authority: IC 25-6.1-2-5

Sec. 5. (a) Course providers are required to survey their students at the end of each course session and/or after the students have taken the state licensing examination.
(b) The survey shall include information regarding:
(1) the quality of instruction;
(2) appropriateness of materials; and
(3) other information that will properly evaluate the course.
(c) Evaluations must be made available for inspection by the commission upon request.

Article 2. AUCTIONEER COURSES AND INITIAL EDUCATION COURSE PROVIDERS
Rule 5. Course Providers; Miscellaneous Prohibitions

812 IAC 2-5-1. Advertising

Authority: IC 25-6.1-2-5

Sec. 1. No course provider conducting a course of study shall advertise or make any reference in its advertising, promotional material, brochures, and/or registration forms that it is endorsed, recommended, or accredited by, or affiliated with the commission.

812 IAC 2-5-2. Advertising; requirements

Authority: IC 25-6.1-2-5

Sec. 2. (a) Course providers are prohibited from engaging in false or misleading advertising.
(b) If a course provider's advertisement contains representations concerning the number or percentage of its students who pass the commission's auctioneer examination, the course provider shall retain information, including the raw data and the calculation substantiating the accuracy of the representations, and make it available to the commission upon request.
(c) The method of calculation of passing percentage under subsection (b) shall be as follows:
(1) Advertisement must state the period for which passing percentages are reported.
(2) Percentages must be based on first-time candidates taking the state licensing examinations for the period reported.

812 IAC 2-5-3. Course providers; prohibitions

Authority: IC 25-6.1-2-5

Sec. 3. Course providers are prohibited from the following:
(1) Giving materially inaccurate or misleading information in an application for course provider approval or an annual report.
(2) Deliberately falsifying or misrepresenting any information supplied to the commission or the public.
(3) Possessing, claiming to possess, revealing, or distributing any questions used in the commission's auctioneer examination.
(4) Having substantially failed to comply with the provisions of any contract or agreement entered into with a student.
(5) Failing to allow the commission or its designee to inspect the school or its records or failing to make available such information as required by this article.
(6) Having been convicted, or one (1) of its owners having been convicted, of a crime that has a direct bearing on the course provider's ability to conduct an auction course, including, but not necessarily limited to, violation of auction laws and abuse of fiduciary responsibilities.
(7) Violating IC 25-6.1 or this title.
(8) Failing to notify the commission within thirty (30) days of the termination of its relationship with an instructor for cause.

Article 2. AUCTIONEER COURSES AND INITIAL EDUCATION COURSE PROVIDERS
Rule 6. Auctioneer Course; Subject Area Emphasis

812 IAC 2-6-1. Subject areas; number of course hours

Authority: IC 25-6.1-2-5

Sec. 1. (a) Auctioneer courses offered by an approved course provider must include no fewer than the minimum number of hours in each of the subject areas as listed in subsection (b).
(b) The subject areas and corresponding minimum hourly requirements for an auctioneer course are as follows:
(1) A minimum of sixty (60) hours must be accrued in the following subjects with the minimum hourly requirement for each subject being equal to the number of course hours listed:
 

Subject Area	Number of Course
	Hours

Bid calling/public	8
speaking
Ethics	3
Sale advertising	5
Accounting procedures/mat	3
hematics
Sale summary/closing	3
statements
Firearms	2
Auction law, including	15
sales tax law and
environmental law
pertaining to
auctioneering
UCC and bulk transfers	2
Contracts and legal	5
matters
Bankruptcy	2
Appraising	5
Sale preparation, set-up,	7
and clean-up
	60

(2) A minimum of eleven (11) hours must be accrued in the following subjects, with a minimum of one (1) hour in each subject listed:
Antiques
Art, rugs, and jewelry
Automobiles
Cattle and livestock
Computers
Estate sales
Farm machinery
Furniture
Heavy equipment
Insurance
Tobacco
(3) A minimum of nine (9) hours must be accrued in the following subjects, with a minimum of three (3) hours in each subject listed:
Auction house operation
Real estate
Ring work

Article 2. AUCTIONEER COURSES AND INITIAL EDUCATION COURSE PROVIDERS
Rule 7. Auctioneer Course; Outline

812 IAC 2-7-1. Bid calling; public speaking

Authority: IC 25-6.1-2-5

Sec. 1. The following are concepts that must be emphasized when teaching bid calling and/or public speaking:
(1) Individual poise.
(2) Command of the podium.
(3) Body language.
(4) Eye contact.
(5) Voice control.
(6) Auction chant.
(7) Clarity and timing.

812 IAC 2-7-2. Ethics

Authority: IC 25-6.1-2-5

Sec. 2. The following are concepts that must be emphasized when teaching auctioneering ethics:
(1) Proper conduct related to advertising.
(2) Cooperation between auctioneers.
(3) Opening statements.
(4) Client relationships.

812 IAC 2-7-3. Sale advertising

Authority: IC 25-6.1-2-5

Sec. 3. The following are concepts that must be emphasized when teaching the advertisement of sales:
(1) Setting an advertising budget.
(2) The use of sale bills, brochures, and electronic media.

812 IAC 2-7-4. Accounting procedures/mathematics

Authority: IC 25-6.1-2-5

Sec. 4. The following are concepts that must be emphasized when teaching accounting procedures and/or mathematics:
(1) General record keeping for auctioneers, auction companies, and auction houses.
(2) Escrow accounting.
(3) Real estate math.

812 IAC 2-7-5. Sale summary; closing statements

Authority: IC 25-6.1-2-5

Sec. 5. The following are concepts that must be emphasized when teaching sale summarization and closing statements:
(1) Settlement procedures.
(2) Required forms.

812 IAC 2-7-6. Firearms

Authority: IC 25-6.1-2-5

Sec. 6. The following are concepts that must be emphasized when teaching about firearms:
(1) Local, state, and federal laws pertaining to the sale of firearms.
(2) Procedures for handling firearms in an auction setting.

812 IAC 2-7-7. Auction law

Authority: IC 25-6.1-2-5

Sec. 7. The following must be emphasized when teaching auction law:
(1) Local, state, and federal law as it pertains to conducting auctions.
(2) Indiana license law (IC 25-6.1 and 812 IAC).
(3) Sales tax law as it pertains to auctions.
(4) Environmental law and environmental concerns pertaining to auctions or auctioneering.
(5) Procedures for due diligence.

812 IAC 2-7-8. Contracts and legal matters

Authority: IC 25-6.1-2-5

Sec. 8. The following must be emphasized when teaching contracts and legal matters:
(1) Procedures and forms used when drawing up a contract.
(2) Recent case law decisions involving the auction profession.
(3) Contractual responsibilities.

812 IAC 2-7-9. Bankruptcy

Authority: IC 25-6.1-2-5

Sec. 9. The following must be emphasized when teaching about bankruptcy:
(1) Chapter 7 bankruptcy as it pertains to auctions.
(2) Chapter 11 bankruptcy as it pertains to auctions.
(3) Chapter 13 bankruptcy as it pertains to auctions.
(4) Procedures for conducting auctions involving Chapter 7, Chapter 11, or Chapter 13 bankruptcy.

812 IAC 2-7-10. Appraising

Authority: IC 25-6.1-2-5

Sec. 10. The following concepts must be emphasized when teaching appraising:
(1) Requirements for personal property appraisers and real estate appraisers.
(2) Appraising procedures.
(3) Appraising formats.
(4) Valuation techniques.

812 IAC 2-7-11. Sale preparation, set-up, and clean-up

Authority: IC 25-6.1-2-5

Sec. 11. The following concepts must be emphasized when teaching sale preparation, set-up, and clean-up:
(1) Practical applications.
(2) "How to" procedures.

812 IAC 2-7-12. Auction company operation

Authority: IC 25-6.1-2-5

Sec. 12. The following concepts must be emphasized when teaching auction house operation:
(1) Accounting and bookkeeping requirements.
(2) Consignor requirements.
(3) Auction procedures.
(4) Liability concerns.

812 IAC 2-7-13. Computers

Authority: IC 25-6.1-2-5

Sec. 13. Knowledge and proper use of computer hardware and software specifically designed for auction purposes must be emphasized when teaching computers.

812 IAC 2-7-14. Insurance

Authority: IC 25-6.1-2-5

Sec. 14. The following concepts must be emphasized when teaching insurance:
(1) Policy types.
(2) Determining adequate coverage for auctions.
(3) Case studies involving recent insurance claims involving auctions, auction companies, or auction houses.

812 IAC 2-7-15. Real estate

Authority: IC 25-6.1-2-5

Sec. 15. The following concepts must be emphasized when teaching real estate:
(1) Identification of potential auction property.
(2) Listing procedures.
(3) Required forms.
(4) Proper pricing.
(5) Advertising.
(6) Signage.

812 IAC 2-7-16. Ring work

Authority: IC 25-6.1-2-5

Sec. 16. The following concepts must be emphasized when teaching ring work:
(1) Practical application.
(2) Accepted procedures.
(3) Communication techniques.
(4) Proper conduct.

812 IAC 2-7-17. Other subjects; emphasis

Authority: IC 25-6.1-2-5

Sec. 17. General categorical information, procedures pertaining to the auction of the items, and the methods of positive identification of the items must be emphasized when teaching the following subjects:
(1) Antiques.
(2) Art, rugs, and jewelry.
(3) Automobiles.
(4) Cattle and livestock.
(5) Estate sales.
(6) Farm machinery.
(7) Furniture.
(8) Heavy equipment.
(9) Tobacco.

Article 3. CONTINUING EDUCATION
Rule 2. Distance Learning Continuing Education

812 IAC 3-2-1. "Distance learning continuing education" defined

Authority: IC 25-6.1-2-5

Sec. 1. "Distance learning continuing education" means a course in which instruction does not take place in a traditional classroom setting but rather through other means where the instructor and licensed professional learners are separated by distance and sometimes tome [sic]. The instruction:
(1) is:
(A) presented in a sequential and logical order; and
(B) offered wholly or primarily by distance study, through virtually any media; and
(2) may incorporate or make use of various media formats, including, but not limited to, the following:
(A) Printed materials.
(B) Video or DVD.
(C) Internet based delivery systems.

812 IAC 3-2-2. Distance learning continuing education requirements

Authority: IC 25-6.1-2-5

Sec. 2. (a) Distance learning continuing education courses must meet the requirements of section 3 of this rule and at least one (1) of the following:
(1) Courses that meet the requirements of section 4 of this rule and offered by approved organizations as defined in IC 25-1-4-0.2 .
(2) Courses offered by organizations other than those approved organizations defined in IC 25-1-4-0.2 provided that the course meets the requirements of section 4 of this rule.
(b) A licensee must complete the distance learning continuing education course or courses within one (1) year of the date of enrollment.
(c) Mandatory and nonmandatory classes may be taken through distance learning continuing education courses.

812 IAC 3-2-3. Distance learning continuing education courses

Authority: IC 25-6.1-2-5

Sec. 3. The commission shall approve a distance learning continuing education course if the commission determines to its satisfaction the following:
(1) The distance learning continuing education course is designed to enhance the auctioneer's knowledge and skill in providing auctioneer services relevant to the practice of auctioneering.
(2) An appropriate and complete application has been filed with the commission.
(3) The distance learning continuing education course meets the content requirements as prescribed in IC 25-6.1-9-1(b)(1) and IC 25-6.1-9-1(b)(2) .
(4) The course complies with sections 5 through 7 of this rule, as applicable.
(5) The distance learning continuing education course meets all other requirements as prescribed in IC 25-6.1-9 and this article.

812 IAC 3-2-4. Approval of distance learning continuing education

Authority: IC 25-6.1-2-5

Sec. 4. In order for a distance learning continuing education course to meet the requirements of section 2(a)(1) of this rule, the course sponsor shall submit the following information:
(1) Mission and objectives, as follows:
(A) A statement that clearly defines the mission of the provider's educational programs.
(B) The specific curricular objectives for the course.
(C) A plan for periodic review of the following:
(i) The mission statement.
(ii) Curricular objectives.
(2) Course design, as follows:
(A) A course outline that clearly states the following:
(i) The course objectives.
(ii) The desired student outcomes.
(B) A plan to ensure that the course content is:
(i) updated in a timely manner; and
(ii) distributed to:
(AA) licensees who are currently enrolled; and
(BB) future registrants.
(C) A plan for submitting substantial changes in the course to the commission. Substantial changes include, but are not limited to, the following:
(i) Expanded or reduced course content.
(ii) Changes in the time allotments for portions of the course.
(iii) Changes or redirected learning objectives.
(iv) A change of instructor.
(v) Changes in the course delivery method.
(D) The course disk or CD-ROM, if applicable.
(E) A list of reference materials provided to the licensees.
(F) A list of any prerequisites for the course and evidence that licensees are properly advised of the prerequisites before registration.
(G) Evidence that the course is structured in a mastery learning format that ensures mastery accomplishment.
(H) Evidence that the number of hours claimed is the number of hours it takes the average student to complete the course. This requirement can be met by submitting the results of the studies or field tests, or both, that will verify the claims.
(3) Interactivity, as follows:
(A) A description of how interaction is accomplished in the course.
(B) An explanation of how:
(i) interactivity is evaluated; and
(ii) feedback is gathered from licensees;
throughout the course.
(4) Course delivery, as follows:
(A) A plan that shows evidence that technical support will be available when needed.
(B) Evidence that instructor-licensee ratios are acceptable for the delivery method used.
(C) The name or names and qualifications of the instructor or instructors of the course, submitting their credentials, including any specific training for teaching, via the specified delivery method, and a plan for their continued professional development. The instructor or instructors of the course must meet the requirements in 812 IAC 3-1-7 .
(D) A list of remote sites if applicable. "Remote site" means one that receives a broadcast whether by:
(i) satellite; or
(ii) teleconferencing.
(E) A list of any site facilitators and the qualifications and credentials for each.
(5) Equipment and learning environment, as follows:
(A) A list of equipment that the licensee will need and evidence that this information is made available to the licensee before registration.
(B) An acceptable plan for dealing with equipment failures.
(6) Student support services, as follows:
(A) A copy of a licensee information package that contains all the necessary information about the course. This information includes, but is not limited to, the following:
(i) Information about broadcasts and distance site locations.
(ii) Faculty contact information.
(iii) The course outline and learning objectives.
(iv) Guidelines regarding what constitutes successful completion of the course.
(v) Homework assignments.
(vi) Deadlines.
(vii) Fees and refunds.
(viii) Prerequisites.
(ix) Illness policy.
(x) A list of required licensee materials, including required software.
(B) An explanation of how licensee orientation sessions are accomplished. Each licensee is required to have an orientation before the licensee begins the course.
(C) An acceptable list of other support services made available to the licensees.
(7) Evaluation and assessment, as follows:
(A) An evaluation form that solicits licensee feedback on the following:
(i) The delivery approach.
(ii) The equipment.
(iii) Suggestions for class improvement.
(iv) The licensee's overall satisfaction with the course. An evaluation form is required to be given to every licensee in a distance learning continuing education course at the conclusion of the course.
(B) A plan for verifying licensee identity. The course sponsor of any distance learning continuing education course must have an acceptable plan in place that verifies that the licensee enrolled in the course is the one that completes the following:
(i) The course.
(ii) Any required tests.
(8) Commitment to support, as follows:
(A) A copy of the course sponsor's business plan that shows ongoing commitment to provide adequate financial and technical resources to support the distance learning continuing education course.
(B) A statement of how long the course sponsor has been offering distance learning continuing education courses.

812 IAC 3-2-5. Correspondence distance learning continuing education courses

Authority: IC 25-6.1-2-5

Sec. 5. Licensees may take distance learning continuing education courses by correspondence so long as the courses meet the following criteria:
(1) All courses must provide a test, and the participant must score at least seventy-five percent (75%) to pass and receive credit for the course.
(2) Tests must have multiple choice questions with at least twenty (20) questions per two (2) hours of instruction. The following types of questions are not allowed:
(A) True or false.
(B) Essay.
(3) The organization and presentation of the instructional materials shall be in accord with sound principles of learning.
(4) Correspondence courses must have sufficient security to assure against fraudulent practices.

812 IAC 3-2-6. Video or DVD instruction distance learning continuing education

Authority: IC 25-6.1-2-5

Sec. 6. Licensees may take distance learning continuing education courses by video or DVD instruction so long as the courses meet the following criteria:
(1) All courses must provide a test, and the participant must score at least seventy-five percent (75%) to pass and receive credit for the course.
(2) Tests must have multiple choice questions with at least twenty (20) questions per two (2) hours of instruction. The following types of questions are not allowed:
(A) True or false.
(B) Essay.
(3) The organization and presentation of the instructional materials shall be in accord with sound principles of learning.
(4) Video or DVD instruction classes must have a monitor in the room at all times to assure proper attendance.

812 IAC 3-2-7. Internet distance learning continuing education

Authority: IC 25-6.1-2-5

Sec. 7. Licensees may take continuing education courses via the Internet so long as the courses meet the following criteria:
(1) All courses must provide a test, and the participant must score at least seventy-five percent (75%) to pass and receive credit for the course.
(2) Tests must have multiple choice questions with at least twenty (20) questions per two (2) hours of instruction. The following types of questions are not allowed:
(A) True or false.
(B) Essay.
(3) The organization and presentation of the instructional materials shall be in accord with sound principles of learning.
(4) Internet courses must have sufficient security to assure against fraudulent practices.