WSR 98-16-061
PERMANENT RULES
DEPARTMENT OF LICENSING
[Filed August 3, 1998, 4:30 p.m.]
Date of Adoption: July 23, 1998.
Purpose: To simplify and clarify language, delete duplication of RCW requirements, update division address, coordinate expiration dates of individuals and businesses, and increase fees.
Citation of Existing Rules Affected by this Order: Repealing WAC 308-11-010; and amending WAC 308-11-030, 308-11-035, 308-11-050, 308-11-120, and 308-11-130.
Statutory Authority for Adoption: RCW 18.11.060, 43.24.086, 43.135.055.
Adopted under notice filed as WSR 98-13-027 on June 8, 1998.
Changes Other than Editing from Proposed to Adopted Version: WAC 308-11-050, the title is changed from surety bond or trust account required to surety bond or other security in lieu of bond. This change is made because the rule does not speak to trust accounts, only to surety bonds and other security in lieu of the bond. The content of the rule remains the same as filed on notice WSR 98-13-027.
Number of Sections Adopted in Order to Comply with Federal Statute: New 0, amended 0, repealed 0; Federal Rules or Standards: New 0, amended 0, repealed 0; or Recently Enacted State Statutes: New 0, amended 5, repealed 1.
Number of Sections Adopted at Request of a Nongovernmental Entity: New 0, amended 0, repealed 0.
Number of Sections Adopted on the Agency's Own Initiative: New 0, amended 5, repealed 1.
Number of Sections Adopted in Order to Clarify, Streamline, or Reform Agency Procedures: New 0, amended 5, repealed 1.
Number of Sections Adopted Using Negotiated Rule Making: New 0, amended 0, repealed 0; Pilot Rule Making: New 0, amended 0, repealed 0; or Other Alternative Rule Making: New 0, amended 5, repealed 1.
Effective Date of Rule: Thirty-one days after filing.
July 31, 1998
Alan E. Rathbun
Assistant Director
OTS-2238.3
AMENDATORY SECTION (Amending WSR 90-06-052, filed 3/2/90, effective 4/2/90)
WAC 308-11-030 Auctioneer fees. The following fees shall
be charged by the ((professional licensing)) business and
professions division of the department of licensing:
| Title of Fee | Fee | |
| Auctioneer: | ||
| Initial application | (( $114.00 | |
| Renewal | (( 114.00 | |
| Late renewal penalty | (( 104.00 | |
| Duplicate license | 15.00 | |
| Certification | 25.00 | |
| Auction company: | ||
| Initial application | (( 260.00 | |
| Renewal | (( 260.00 | |
| Late renewal penalty | (( 208.00 | |
| Duplicate license | 15.00 | |
[Statutory Authority: RCW 43.24.086. 90-06-052, § 308-11-030, filed 3/2/90, effective 4/2/90; 87-10-028 (Order PM 650), § 308-11-030, filed 5/1/87. Statutory Authority: RCW 18.11.060. 86-21-127 (Order PM 622), § 308-11-030, filed 10/22/86. Statutory Authority: 1983 c 168 § 12. 83-17-031 (Order PL 442), § 308-11-030, filed 8/10/83. Formerly WAC 308-11-001.]
AMENDATORY SECTION (Amending Order PM 701, filed 12/23/87)
WAC 308-11-035 Renewal of registration. (1) An auctioneer
license will be issued to an applicant, provided ((the)) all
requirements are met for licensure ((are met, with an expiration
date to be the licensee's next birth anniversary date)). An
auctioneer license will expire one year from the date of
issuance.
(2) An auction company license will be issued, provided all
requirements are met for licensure((, which)). The auction
company license will expire ((on June 30 of each year)) one year
from the date of issuance.
(3) An application for a license renewal received after the date of expiration will require the payment of the penalty fee in addition to the renewal fee.
[Statutory Authority: RCW 18.11.060 and 18.11.200. 88-01-122 (Order PM 701), § 308-11-035, filed 12/23/87. Statutory Authority: RCW 18.11.200. 86-21-127 (Order PM 622), § 308-11-035, filed 10/22/86.]
AMENDATORY SECTION (Amending Order PM 766, filed 11/9/88)
WAC 308-11-050 Surety bond or ((trust account)) other
security in lieu of bond required. (1) As required by chapter
18.11 RCW, the amount of the surety bond or other security in
lieu of the bond to be filed and maintained for an auctioneer
license shall be five thousand dollars.
(2)(((a))) The amount of the surety bond or other security
in lieu of the bond to be filed and maintained for an auction
company license shall be based upon the value of the gross sales
during the previous calendar year according to the following
scale:
| GROSS SALES | BOND/ SECURITY
AMOUNT | |||||||
| $ | 0.00 | to | $ | 24,999.99 | $ | 5,000.00 | ||
| $ | 25,000.00 | to | $ | 49,999.99 | $ | 10,000.00 | ||
| $ | 50,000.00 | to | $ | 99,999.99 | $ | 15,000.00 | ||
| $ | 100,000.00 | to | $ | 499,999.99 | $ | 20,000.00 | ||
| $ | 500,000.00 | & | Above | $ | 25,000.00 | |||
(((b))) (3) All ((licensed)) auction companies ((shall
annually on June 30,)) upon application or with license renewal,
shall submit a financial certification affidavit on forms
provided by the department. ((The information reported will form
the basis for the department's approval of the auction company's
bond or other security amount each year. A company whose sales
increases have placed it in a higher category in the above scale
will be required to increase its surety bond or security amount
accordingly, and file the increased bond or proof of security
with the financial certification affidavit form. A company whose
sales have decreased may adjust its bond or security amount in
accordance with the scale. New license applicants will be
provided with financial certification affidavit forms for estimating the sales for the calendar year.
(3))) (4) Each licensee must maintain such a surety bond, or
other security in lieu of a bond, in an active status at all
times during the period of licensure.
(((4)(a) No bond filed shall be approved unless it expressly
provides that it will be effective for one year following the
effective date of its cancellation or termination, whether
because of expiration, suspension, or revocation of the license,
or otherwise, as to any covered act or acts and omission or
omissions of the licensee occurring on, or prior to, the
effective date of cancellation or termination.
(b) No other security used in lieu of a bond shall satisfy
the requirements of chapter 18.11 RCW, unless by the express
terms of the security the security shall remain open and active
for not less than one year following the effective date of its
cancellation or termination, whether because of the expiration,
suspension or revocation, or otherwise, as to any covered act or
acts or omission or omissions of the licensee occurring on, or
prior to, the effective date of cancellation or termination.
(c) Subject to the requirement of (b) of this subsection,
each surety bond or other security used in lieu of a bond shall
be deemed terminated upon the expiration or revocation of the
license in connection with which the bond was issued, or the
other security in lieu of a bond was created: Provided, That for
the purposes only of this section a license shall not be deemed
expired, suspended, or revoked so long as the licensee may
continue to act as an auctioneer pursuant to the provisions of
chapter 34.04 RCW or any court order issued pursuant thereto.))
[Statutory Authority: RCW 18.11.121 and 18.11.200. 88-23-034 (Order PM 766), § 308-11-050, filed 11/9/88. Statutory Authority: RCW 18.11.200. 86-21-127 (Order PM 622), § 308-11-050, filed 10/22/86. Statutory Authority: RCW 18.11.120 and 18.11.200. 85-03-045 (Order PL 506), § 308-11-050, filed 1/11/85. Statutory Authority: RCW 42.24.085 [43.24.085], 1982 c 205, §§ 3, 9, 10 and 18. 82-23-023 (Order PL 413), § 308-11-050, filed 11/9/82.]
AMENDATORY SECTION (Amending Order PL 506, filed 1/11/85)
WAC 308-11-120 Inspection and audit. The following shall be subject to inspection and audit at any reasonable time, with or without notice upon demand by the department:
(1) All records required to be maintained by an auctioneer
by chapter 18.11 RCW, or ((these rules, together with any)) WAC
308-11-100;
(2) Other business or other types of records of the
auctioneer or auction company which may be related to activity as
an auctioneer or auction company or necessary to ((a full
understanding of)) understand such records((, and));
(3) Any auction mart or other premise used ((for the purpose
of conducting)) to conduct an auction((, together with));
(4) Any personal property which may be the subject of, or
related to, an auction ((shall be subject to inspection and audit
at any reasonable time, with or without notice upon demand by the
department, for the purposes of determining compliance or
noncompliance with the provisions of chapter 18.11 RCW, and these
rules)).
((If records requested by the department are not immediately
available because they are)) (5) Records not physically present
upon the premises at the time the demand is made((, they)) shall
be procured and produced to the department ((as soon as possible,
but in any event)) within twenty-four hours, ((by the licensee.
A reasonable time for the conduct of such inspection and
audit shall be:
(1) If the records or items to be inspected or audited are
located anywhere upon a premise any portion of which is open for
business or to the public (or members and guests), then at any
time the premises are so open, or at which they are usually open;
or
(2) If the records or items to be inspected or audited are
not located upon a premise set out in section (1) above, then any
time)) or within a time approved by the department;
(6) Records physically present upon the premises at the time demand is made shall be inspected or audited at any reasonable time which shall be between the hours of 8:00 a.m. and 5:00 p.m., Monday through Friday.
[Statutory Authority: RCW 18.11.120 and 18.11.200. 85-03-045 (Order PL 506), § 308-11-120, filed 1/11/85. Statutory Authority: RCW 42.24.085 [43.24.085], 1982 c 205, §§ 3, 9, 10 and 18. 82-23-023 (Order PL 413), § 308-11-120, filed 11/9/82.]
AMENDATORY SECTION (Amending WSR 92-13-045, filed 6/11/92, effective 7/12/92)
WAC 308-11-130 Suit or complaint notification. Every
licensee shall, within thirty days after service or knowledge
((thereof)) of, notify the department of any suit or complaint
served or filed in any court of competent jurisdiction, civil or
criminal, in which the subject matter ((thereof,)) involves any
auction or business activity of the defendant; and in which the
subject matter thereof, involves any auction or business activity
of the defendants therein named. The department address is
Business and Professions Division, Auctioneer Section, PO Box
9649, Olympia, Washington 98507-9649. Complaints against others
may also be sent to the above address.
[Statutory Authority: RCW 18.11.200. 92-13-045, § 308-11-130, filed 6/11/92, effective 7/12/92.]
REPEALER
The following section of the Washington Administrative Code is repealed:
WAC 308-11-010 Definitions.