21 NCAC Section .08 Continuing Education PDF

**SECTION.0800 - CONTINUING EDUCATION** **21 NCAC 04B.0801 CONTINUING EDUCATION COURSE** \(a) To renew a license in active status, an auctioneer, apprentice auctioneer, or designated person(s) in an auction firm shall complete Board-approved course(s) consisting of the hours of instruction as esta...

**SECTION.0800 - CONTINUING EDUCATION** **21 NCAC 04B.0801 CONTINUING EDUCATION COURSE** \(a) To renew a license in active status, an auctioneer, apprentice auctioneer, or designated person(s) in an auction firm shall complete Board-approved course(s) consisting of the hours of instruction as established as in Paragraph (d) of this Rule and shall provide documentation of completion of Board-approved course(s) to the Board. 1. An auctioneer, apprentice auctioneer, or designated person(s) in an auction firm shall provide documentation on required continuing education courses to the Board by May 15th of the current renewal period. 2. The Board shall not process a license renewal until the licensee has complied with this Rule. (b) The Board shall approve courses that shall be conducted by sponsors approved by the Board under the rules of this Section. The subject matter of this course shall be determined by the course sponsor. The course sponsor shall provide instructor and student materials. The course shall be conducted as prescribed by the rules in this Section. c. The sponsor may conduct the course at any location as often as desired during the approval period. Approval of a sponsor to conduct a course authorizes the sponsor to conduct the course using an instructor who has been approved by the Board as a course instructor under Rule.0804 of this Section. d. The minimum classroom hours of instruction for each year shall be four. e. An auctioneer, an apprentice auctioneer, or a designated person(s) in an auction firm shall complete the continuing education requirements for each renewal period that his or her license was lapsed or suspended. f. Credit hours applied to the current renewal of a license shall not be used for future renewals. g. Excess continuing education hours may be carried forward as credits for a maximum of one renewal year. h. No part of any prelicensing course curriculum shall count as continuing education credit hours. i. Continuing education shall not be required until the second renewal after initial licensing pursuant to G.S. 85B4(e). *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0802 APPLICATION FOR ORIGINAL APPROVAL** a. An entity seeking original approval to sponsor a course shall make application on a form prescribed by the Board, which may be obtained from the Board using the information in Rule.0102 of this Subchapter. The application form requires: 1. the sponsor\'s legal name, and any assumed names or trade names; 2. the sponsor\'s physical, postal mail, and email addresses; 3. the sponsor\'s website address (if any); 4. the sponsor\'s telephone number(s); 5. the applicant\'s name, which must be an owner of the sponsor; 6. the applicant\'s physical, postal mail, and email addresses; 7. the applicant\'s telephone number(s); 8. the course name; 9. the credit hours of the course; 10. a description of the content and subject matter of the course; 11. the name of the course instructor(s); 12. the name of the sponsor\'s continuing education coordinator; and (13) the applicant\'s signature. An applying entity that is not based in North Carolina shall also file with the application a consent to service of process and pleadings. b. Approval to sponsor a course shall be granted to an applicant upon showing to the Board that: 13. The applicant has submitted all information required by the Board in the application; 14. The applicant satisfies all of the requirements of Rule.0805 of this Section relating to qualifications or eligibility of course sponsors; 15. The continuing education coordinator required by Rule.0805(e) shall exhibit truth, honesty, and integrity as set forth in 21 NCAC 04B.0404(a)(15). The Board shall consider the reputation and character of any owner, officer, or director of any corporation, association, or organization applying for sponsor approval; and 16. The applicant has at least one proposed instructor who meets the requirements for Board approval as a course instructor under Rule.0804 of this Section. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0803 STUDENT FEE FOR COURSES** Sponsors of a course may establish the amount of the fee to be charged to students taking the course. However, the established fee shall be an all-inclusive fee and no separate or additional fee may be charged to students for providing course materials, providing course completion certificates, reporting course completion to the Board, or for recouping other administrative expenses. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0804 APPROVAL OF CONTINUING EDUCATION INSTRUCTORS** a. Approval of course instructors shall occur at the time of the approval of the course sponsor. Approval of a course instructor authorizes the instructor to teach the course only for the approved course sponsor. An approved course instructor may not conduct a course unless the instructor is conducting the course under the supervision of an approved course sponsor. b. An entity seeking original approval as a course sponsor shall submit an application for each instructor for the course on a form prescribed by the Board, which may be obtained from the Board using the information in Rule.0102 of this Chapter. The application requires: 1. the instructor\'s name; 2. the instructor\'s postal mail and email addresses; 3. the instructor\'s telephone number; 4. the instructor\'s education and experience; and (5) the instructor\'s signature. No additional application fee is required. c. The instructor(s) shall exhibit truth, honesty, and integrity as set forth in 21 NCAC 04B.0404(a)(15). d. The instructor(s) shall be qualified under one or more of the following standards: 5. Possession of a baccalaureate or higher degree with a major in the field of marketing, finance, or business administration; 6. Possession of a current North Carolina auctioneer or auction firm license, three years experience in auctioneering within the previous 10 years, and 30 classroom hours of auction education, excluding prelicensing education, within the past three years, such education covering topics that are in compliance with these Rules; 7. Possession of a current North Carolina real estate broker license, three years experience in the real estate business within the previous 10 years, and experience teaching real estate prelicensing and continuing education courses; 8. Possession of a license to practice law in North Carolina and three years experience in law practice within the previous 10 years; or 9. Possession of qualifications found by the Board to be equivalent to one or more of the standards set forth in this Rule. e. The Board shall deny or withdraw approval of any course instructor upon finding that: 10. The course sponsor or the instructor made any false statements or presented false information in connection with an application for approval; 11. The instructor failed to meet the criteria for approval described in Paragraph (d) of this Rule or refused or failed to comply with any other provisions of this Subchapter; 12. The instructor failed to demonstrate, during the teaching of courses, teaching skills described in Rule.0815 of this Section; or 13. The instructor provided false or incorrect information in connection with any reports a course sponsor submitted to the Board. f. If a licensee who is an approved course instructor engages in any dishonest, fraudulent, or improper conduct in connection with the licensee\'s activities as an instructor, the licensee shall be subject to disciplinary action pursuant to G.S. 85B-8 and G.S. 85B-9. g. Upon the written request of the Board, an approved course instructor shall submit to the Board a video recording depicting the instructor teaching the course. The video recording shall have been made within 12 months of the date of submission, shall be in electronic format, and shall identify the instructor and the date of the presentation. (h) An approved instructor who is a licensee of the Board shall receive continuing education credit hours for instruction at a rate of one hour for every one-half hour of approved course taught. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0805 SPONSOR REQUIREMENTS** a. An entity is eligible to seek approval as a sponsor of continuing education courses, provided that the entity seeking approval is either the owner of the proprietary rights to the course or has acquired from the course owner the right to seek course approval from the Board and to conduct the course. b. The official name used by any course sponsor in connection with the offering of an approved continuing education course shall distinguish the sponsor from any other approved continuing education course sponsor. Unless the sponsor is an auction school with approved curriculum and instructors pursuant to G.S. 85B-4(d) that is proposing to operate continuing education courses in its own name, the official name also shall distinguish the sponsor from any auction school with approved curriculum and instructors. Sponsor applicants proposing to use a sponsor name that does not comply with this Paragraph shall be required to adopt a different name as a condition of approval. c. Any advertisement or promotional material utilized by an approved course sponsor shall include the course sponsor\'s official name and shall not include any other name for the sponsor. d. All sponsors shall obtain written approval from the Board prior to advertising a course or conducting a course and shall not advertise that a course is or may be approved for continuing education credit in North Carolina prior to Board approval. No retroactive approval to conduct a course shall be granted for any reason. e. A sponsor of a course shall designate one person to serve as the continuing education coordinator for all Boardapproved continuing education courses offered by the sponsor. The designated coordinator shall serve as the contact person for the sponsor and shall be responsible for the following: 1. Supervising the sponsor\'s Board-approved continuing education courses; 2. Signing the course completion certificates provided by the sponsor to licensees completing courses; and 3. Submitting to the Board all required rosters, reports and other information. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0806 COURSE COMPLETION REPORTING** a. Course sponsors shall prepare and submit to the Board reports verifying the student\'s completion of each continuing education course conducted. Sponsors shall submit these reports to the Board within 30 calendar days following the course, but in no case later than May 15 for courses conducted prior to that date. Reports shall include the following: 1. the course name; 2. the sponsor and coordinator name, mailing address, and telephone number; 3. the coordinator signature certifying that the information is correct; 4. the name, address, and North Carolina license number of each licensee who completed the course and who desires continuing education credit for the course; 5. the physical location where the course was conducted; (6) the date(s) and starting and ending times of each course; and \(7) the number of credit hours. b. Course sponsors shall provide each licensee who completes an approved continuing education course a course completion certificate. Sponsors shall provide the certificates to licensees within 30 calendar days following the course, but in no case later than May 15 for any course completed prior to that date. Course completion certificates shall include the following: 6. the course name; 7. the name of the licensee who completed the course; 8. the date(s) of attendance; 9. the number of credit hours; and 10. the coordinator signature certifying that the information is correct. \(d) When a licensee in attendance at a continuing education course does not comply with the student participation standards of Rule.0817 of this Section, the course sponsor shall inform the Board in writing at the time reports verifying completion of continuing education for the course are submitted. A sponsor who determines that a licensee failed to comply with either the Board\'s attendance standards of Rule.0816(a) of this Section or the student participation standards of Rule.0817 of this Section shall not provide the licensee with a course completion certificate, nor shall the sponsor include the licensee\'s name on the reports verifying completion of continuing education. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0807 CHANGE IN SPONSOR OWNERSHIP AND OTHER INFORMATION** a. The approval granted to a course sponsor may be transferred to a new or different entity only with the advance approval of the Board. b. Course sponsors shall notify the Board in writing prior to any change in business name, continuing education coordinator, address, or business telephone number. c. Course sponsors shall obtain advance approval from the Board for any changes to be made in the content or number of hours for courses. However, changes in course content made for the purpose of assuring that information provided in a course is current and accurate do not require approval during the approval period, but shall be reported at the time the sponsor requests renewal of course approval. Requests for approval of changes shall be in writing. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0808 COURSE RECORDS** All course sponsors shall retain on file for two years records of student registration and attendance for each session of a continuing education course that is conducted and shall make such records available to the Board, or its staff, upon request. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0809 RENEWAL OF COURSE AND SPONSOR APPROVAL** Board approval of all continuing education course sponsors shall expire on the next June 30 following the date of issuance. A completed renewal application prescribed by the Board shall be submitted to the Board annually on or before April 30. Applicants for renewal as a continuing education course sponsor shall make application on a form prescribed by the Board, which may be obtained from the Board using the information in Rule.0102 of this Subchapter. The application form requires: 1. the sponsor\'s legal name, and any assumed names or trade names; 2. the sponsor\'s physical, postal mail, and email addresses; 3. the sponsor\'s website address (if any); 4. the sponsor\'s telephone number(s); 5. the applicant\'s name, which must be an owner of the sponsor; 6. the applicant\'s physical, postal mail, and email addresses; 7. the applicant\'s telephone number(s); 8. the name(s) of any new course(s); 9. the credit hours of any new course(s); 10. a description of the content and subject matter of any new course(s); 11. the name of the course instructor(s) for any new course(s); (12) the name of the sponsor\'s continuing education coordinator; and (13) the applicant\'s signature. Any continuing education course sponsor\'s renewal applications that are not received or that are not complete on or before April 30 shall not have met the requirements for renewal and in order to conduct continuing education shall seek approval pursuant to Rule.0802 of this Section. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0810 DENIAL OR WITHDRAWAL OF APPROVAL** a. The Board may deny or withdraw approval of any course or course sponsor upon finding that: 1. The course sponsor has made any false statements or presented any false information in connection with an application for course or sponsor approval or renewal of approval; 2. The course sponsor or any instructor in the employ of the course sponsor has refused or failed to comply with any of the provisions of the rules of this Section; 3. The course sponsor or any instructor in the employ of the course sponsor has provided false or incorrect information in connection with any reports the course sponsor is required to submit to the Board; 4. An instructor in the employ of the course sponsor fails to conduct approved courses in accordance with the teaching skills described in Rule.0815 of this Section; or 5. Any court of competent jurisdiction has found the course sponsor, any instructor, or any person in the employ of the course sponsor to have violated, in connection with the offering of continuing education courses, any applicable federal or state law or regulation prohibiting discrimination on b. If a licensee who is an approved course sponsor or an instructor in the employ of an approved course sponsor engages in any dishonest, fraudulent, or unlawful conduct in connection with the licensee\'s activities as a course sponsor or instructor, the licensee shall be subject to disciplinary action pursuant to G.S. 85B-8 and G.S. 85B-9. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0811 MINIMUM CLASS SIZE** *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0812 SCHEDULING AND NOTICE OF SCHEDULED COURSES** a. An hour of creditable instruction is defined as 50 minutes of instruction or practical exercise accompanied by a break of up to 10 minutes. b. Sponsors shall provide the Board written notice of all scheduled course offerings not later than 10 days prior to a scheduled course date. The notice shall include the name of the sponsor and, for each scheduled course, the name of the course, the scheduled date and time, specific location, and name of the instructor(s). c. Sponsors shall notify the Board of any schedule changes or course cancellations at least five days prior to the original scheduled course date. If a change or cancellation is necessary five or less days before the course date due to weather, staffing, or other unforeseen circumstance, then notice shall be provided to the Board as soon as possible, and in no event more than 10 days later. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0813 ADVERTISING; PROVIDING COURSE INFORMATION** a. Course sponsors shall not utilize advertising of any type that is false or misleading. In any advertisement for a course, the sponsor shall state the total number of hours of the course and the number of those hours that are Boardapproved for continuing education credit. b. Any flyers, brochures, or similar materials utilized to promote a continuing education course shall state the fee to be charged and the sponsor\'s cancellation and fee refund policies. c. Upon course approval, course sponsors shall include in course descriptions and promotional materials the information contained in the following illustration: This course \[seminar or program\] has been approved by the Board for continuing education credit in the amount of \_\_ hours. This course is not sponsored by the Board. (d) Course sponsors of any course shall provide to any prospective student, upon request, a description of the course content. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0814 CONDUCT OF CLASSES** \(a) All class sessions of approved continuing education courses shall be open to all licensees on a first-come/firstserved basis. The sponsor of a course that has an education or experience prerequisite, such as an advanced course leading to a special auctioneer designation, may refuse admission to a licensee not satisfying such prerequisite. (b) Courses not conducted by electronic means shall be conducted in a facility that provides a learning environment as set forth in 21 NCAC 04B.0502(f). *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0815 INSTRUCTOR CONDUCT AND PERFORMANCE** a. All instructors shall ensure that class sessions are conducted at the scheduled time and for the full amount of time that is scheduled. b. Instructors shall conduct courses in accordance with the Board\'s rules, and shall demonstrate the ability to: 1. present accurate and relevant information; 2. communicate using correct grammar and vocabulary; 3. present instruction in an organized manner, utilize illustrative examples, and respond to questions from students; 4. utilize a variety of instructional techniques that require students to analyze and apply course content, including teacher-centered approaches, such as lecture discussion, reading, group problem solving, case studies, and scenarios; 5. utilize instructional aids; 6. identify key concepts and correct student misconceptions; 7. maintain control of a class; and 8. avoid criticism of any other person, agency, or organization. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0816 MONITORING ATTENDANCE** a. Sponsors and instructors shall monitor attendance for the duration of each class session to ensure that all students reported as completing a course according to these Rules have attended at least 90 percent of the scheduled classroom hours. Sponsors shall not admit students to a class session after 10 percent of the scheduled classroom hours have been conducted. Unless a student satisfies the attendance requirement in this Paragraph, the sponsor shall not allow the student to sign a course completion card, issue a course completion certificate to a student, or report to the Board that the student completed the course. Sponsors and instructors shall not make any exceptions to the attendance requirement for any reason. b. Sponsors shall provide adequate personnel, in addition to the instructor, during all class sessions to assist the instructor in monitoring attendance and performing the administrative tasks associated with conducting a course. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0817 STUDENT PARTICIPATION STANDARDS** a. Students shall comply with the following student participation standards: 1. A student shall direct his or her attention to the instruction being provided and refrain from engaging in activities unrelated to the instruction. 2. A student shall refrain from engaging in any activities that are disruptive to other students or the instructor, or that otherwise disrupt the conduct of a class. 3. A student shall comply with all instructions provided by the sponsor or instructor related to providing information needed to report completion of a course by the student. b. Instructors and sponsors may dismiss from a class any student who fails to comply with the student participation standards in Paragraph (a) of this Rule. c. Sponsors shall not issue a course completion certificate to any student who fails to comply with the student participation standards set forth in Paragraph (a) of this Rule, nor shall sponsors include the name of such student on their reports verifying completion of a continuing education course. Sponsors shall submit to the Board with their reports for the class session a written statement that includes the name and license number of the student for whom the sponsor does not report course credit, details concerning the student\'s failure to comply with the student participation standards, and names of other persons in attendance at the class who witnessed the student\'s conduct. *History Note: Authority G.S. 85B-4(e1);* **21 NCAC 04B.0818 ADDITIONAL SPONSOR REQUIREMENTS** a. Sponsors and instructors may make available for purchase by continuing education students materials that belong to the sponsor or instructor. Class time may not be used to promote or sell any materials or to solicit affiliation or membership in any business, organization, or association. b. Course sponsors shall administer course cancellation and fee refund policies in a consistent and nondiscriminatory manner. In the event a scheduled course is canceled, the course sponsor shall attempt to notify preregistered students of the cancellation and all prepaid fees received from such preregistered students shall be refunded within 30 days of the date of cancellation or, with the student\'s permission, applied toward the fees for another course. c. Course sponsors shall admit the Board\'s authorized representative to monitor any continuing education class without prior notice. The representative shall not be required to register or pay any fee and shall not be reported as having completed the course. d. Course sponsors may deviate from the rules of this Section concerning the conduct of continuing education courses, such as rules addressing classroom facilities and instructional methods, as may be necessary in order for the sponsor to comply with the Americans with Disabilities Act or other laws requiring such sponsors to accommodate persons with disabilities. A sponsor providing a special accommodation for a licensee with a disability that requires the sponsor to deviate from these Rules shall notify the Board in writing of the accommodation at the time reports are submitted for the class session attended by the licensee. *History Note: Authority G.S. 85-4(e1);* **21 NCAC 04B.0819 ALTERNATIVE COMPLIANCE** a. An auctioneer, apprentice auctioneer, or designated person of an auction firm who is unable to attend a Boardapproved course and obtain the requisite hours of instruction established by the Board may submit evidence of alternative compliance. b. A written submission of alternative compliance shall be received by the Board by May 15 of the year when the requisite hours of instruction are to be completed. c. The course of instruction submitted as alternative compliance shall be completed prior to license renewal. d. Alternative compliance shall include: 1. Academic courses at a community college, junior college, college, or university accredited by an agency recognized by the United States Department of Education in any of the following topics: A. Accounting; B. Finance; C. Business Management; D. Business Law; E. Economics; F. Marketing; (G) Computer Science; or (H) Sales. 2. Completion of any real estate course accredited by a state real estate licensing body. *History Note: Authority G.S. 85B-4(e1);*