Compliance Analysis Overview

ADMINISTRATION POLICY #500-02 CONTRACT AND PURCHASE ORDER MODIFICATIONS Effective Date: July 1, 2018

Digitally signed by Jay W. DeBoer DN: cn=Jay W. DeBoer, o=DPOR, Approved By: ou=Director,,email=jay.deboer@dpor.virginia.gov, c=US Date: 2018.07.06 10:25:10 -04'00' I. PURPOSE: The purpose of this policy is to establish agency restrictions on contract and purchase order modifications.

II. POLICY STATEMENT: The Department of Professional and Occupational Regulation (DPOR) shall comply with the requirements of Chapters 3.5, 10.12, and 14.4 of the DPS Agency Procurement and Surplus Property Manual (APSPM), Chapter 10 of the Virginia Information Technologies Agency IT Procurement Manual (ITPM) and §2.2-4309 of the CodeofVirginia as it relates to contract modifications and purchase order changes.

A change order shall be processed for all issued purchase orders when requested by the supplier, or when the invoiced dollar value is greater or less than 10% of the total purchase order value.

III. DEFINITIONS: Contract An agreement enforceable by law, between two or more competent parties, to do or not to do something, not prohibited by law, for consideration. A contract is any type of agreement or order for the procurement of goods or services.

Purchase Order A document used to execute a purchase transaction with a vendor. It serves as a notice to a vendor that an award has been made and that performance can be initiated under the terms and conditions of the contract. It includes a description of what good/service is ordered, how much is needed, and what it will cost. A PO is a legal offer to buy goods and services.

IV. RELATED DOCUMENTS:  DPS Agency Procurement & Surplus Property Manual (APSPM)  Virginia Information Technologies Agency IT Procurement Manual (ITPM)  § 2.2-4309 of the Code of Virginia  Commonwealth of Virginia Vendors Manual

V. GENERAL PROVISIONS: A supplier may request a contract modification or purchase order change by contacting the contract administrator or the DPOR Procurement Office. Any request to change contract price, quality, quantity, delivery or cancellation will be evaluated for validity and price reasonableness. The supplier will receive approved changes through Virginia’s eProcurement portal (eVA) or by other written notification.

Policy Title: Administration Policy #500-02 Contract and Purchase Order Modifications [POL410-500_02-v3] Effective: 07/01/2018 Submitted By: Cassandra Lewis, Administration and Financial Services Director Guidance Document: Yes Supersedes: Administration Policy #500-02 Contract and Purchase Order Modifications (Effective 01/01/2017) Page 1 of 1

ADMINISTRATION POLICY #500-02 CONTRACT AND PURCHASE ORDER MODIFICATIONS Effective Date: July 1, 2018

Digitally signed by Jay W. DeBoer DN: cn=Jay W. DeBoer, o=DPOR, Approved By: ou=Director,,email=jay.deboer@dpor.virginia.gov, c=US Date: 2018.07.06 10:25:10 -04'00' I. PURPOSE: The purpose of this policy is to establish agency restrictions on contract and purchase order modifications.

II. POLICY STATEMENT: The Department of Professional and Occupational Regulation (DPOR) shall comply with the requirements of Chapters 3.5, 10.12, and 14.4 of the DPS Agency Procurement and Surplus Property Manual (APSPM), Chapter 10 of the Virginia Information Technologies Agency IT Procurement Manual (ITPM) and §2.2-4309 of the CodeofVirginia as it relates to contract modifications and purchase order changes.

A change order shall be processed for all issued purchase orders when requested by the supplier or if the invoiced amount exceeds or is less than 10% of the purchase order total.

III. DEFINITIONS: Contract An agreement enforceable by law, between two or more competent parties, to do or not to do something, not prohibited by law, for consideration. A contract is any type of agreement or order for the procurement of goods or services.

Purchase Order A document used to execute a purchase transaction with a vendor. It serves as a notice to a vendor that an award has been made and that performance can be initiated under the terms and conditions of the contract. It includes a description of what good/service is ordered, how much is needed, and what it will cost. A PO is a legal offer to buy goods and services.

IV. RELATED DOCUMENTS:  DPS Agency Procurement & Surplus Property Manual (APSPM)  Virginia Information Technologies Agency IT Procurement Manual (ITPM)  § 2.2-4309 of the Code of Virginia  Commonwealth of Virginia Vendors Manual

V. GENERAL PROVISIONS: A supplier may request a contract modification or purchase order change by contacting the contract administrator or the DPOR Procurement Office. Any request to change contract price, quality, quantity, delivery or cancellation will be evaluated for validity and price reasonableness. The supplier will receive approved changes through Virginia’s eProcurement portal (eVA) or by other written notification.

Policy Title: Administration Policy #500-02 Contract and Purchase Order Modifications [POL410-500_02-v3] Effective: 07/01/2018 Submitted By: Cassandra Lewis, Administration and Financial Services Director Guidance Document: Yes Supersedes: Administration Policy #500-02 Contract and Purchase Order Modifications (Effective 01/01/2017) Page 1 of 1

Guidance Document To: Regulants & Other Members of the Public From: Virginia Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers, and Landscape Architects (APELSCIDLA Board)

Date: December 15, 2011 (Revised March 17, 2015 and June 13, 2016) Re: Onsite Sewage Systems Designed by PE’s and Onsite Soil Evaluators Purpose The purpose of this document is to clarify the requirements for onsite sewage systems designs as completed by a licensed professional engineer (PE) or a licensed onsite soil evaluator. All systems consist of both the treatment and dispersal components.

Background § 54.1-406 of the Code of Virginia requires a license for any person engaging in the practice of engineering unless otherwise exempt pursuant to §§ 54.1-401, 54.1-402, or 54.1-402.1.

The full text of the statute reads as follows: A. Unless exempted by §§ 54.1-401, 54.1-402, or 54.1-402.1, a person shall hold a valid license prior to engaging in the practice of architecture or engineering which includes design, consultation, evaluation or analysis and involves proposed or existing improvements to real property. § 54.1-402 of the Code of Virginia contains various exemptions from licensure for specific activities meeting specific conditions. The full text of the licensure exemption regarding onsite sewage systems is contained in § 54.1-402(A)(11) reads as follows: § 54.1-402 Further exemptions from license requirements for architects, professional engineers, and land surveyors.

A. No license as an architect or professional engineer shall be required pursuant to § 54.1-406 for persons who prepare plans, specifications, documents and designs for the following, provided any such plans, specifications, documents or designs bear the name and address of the author and his occupation: 11. Conventional and alternative onsite sewage systems receiving residential wastewater, under the authority of Chapter 6 of Title 32.1, designed by a licensed onsite soil evaluator, which utilize packaged equipment, such as equipment of catalogued standard design that has been coordinated and tested by the manufacturer, and complies with all applicable codes, provided (i) the flow is less than 1,000 gallons per day; and (ii) if a pump is included, (a) it shall not include multiple downhill runs and must terminate at a positive elevational change; (b) the discharge end is open and not pressurized; (c) the static head does not exceed 50 feet; and (d) the force main length does not exceed 500 feet.

Page 1 of 3 SECTION A: Onsite Sewage Systems Receiving Residential Wastewater

Normally, a PE license is required to design an onsite sewage system; however, pursuant to the exemption listed above, an onsite soil evaluator, who holds the appropriate license issued by the Board for Waterworks and Wastewater Works Operators and Onsite Sewage System Professionals (“WWWOOSSP Board”,) may design an onsite sewage system receiving residential wastewater so long as the system meets all of the following criteria:

1. Utilizes packaged equipment, such as equipment of catalogued standard design that has been coordinated and tested by the manufacturer, and complies with all applicable codes;
2. Produces a flow which is less than 1,000 gallons per day; and
3. The pump (if a pump is included) does not include multiple downhill runs, terminates at a positive elevational change; the discharge end is open and not pressurized; the static head does not exceed 50 feet; and the force main length does not exceed 500 feet.

As long as all three of the above criteria are met, a PE license is not required and the onsite sewage system receiving residential wastewater may be designed by an onsite soil evaluator, who holds the appropriate license issued by the WWWOOSSP Board. However, if any of the above three conditions are not met, the onsite sewage systems receiving residential wastewater (and not just that component) must be designed by a licensed PE.

If the onsite sewage system that does not meet each of the three criteria in Section A the onsite system must be designed by a licensed PE. For any condition that is not met, it is not acceptable to have a PE sign and seal only that component; the PE is responsible for the entire system design. An onsite soil evaluator shall be responsible for any work he performs regarding a soil evaluation. A PE shall be responsible for the work he performs based on the soil evaluation. The PE must sign and seal the entire system because the licensed onsite soil evaluator no longer meets the exemption contained in §

54.1-402(A.)(11).

An onsite sewage system receiving residential wastewater that meets the above three criteria may be designed by a licensed onsite soil evaluator, who holds the appropriate license issued by the WWWOOSSP Board, in accordance with § 54.1-402(A)(11). Should a PE be involved in any design of the system, regardless if a PE license is required, the PE must sign and seal his work pursuant to Board regulations.

SECTION B: Residential Wastewater

§ 54.1-400 of the Code of Virginia states, in part:

"Residential wastewater" means sewage (i) generated by residential or accessory uses, not containing storm water or industrial influent, and having no other toxic, or hazardous constituents not routinely found in residential wastewater flows, or (ii) as certified by a professional engineer.

The fact that the locality has approved a use as an “accessory use” for zoning or other purposes is not dispositive to the determination that the wastewater constitutes “residential wastewater” as defined by § 54.1-400.

Factors to consider in determining whether the wastewater meets the definition of subsection (i) of "Residential wastewater" contained in § 54.1-400 include, but are not limited to: Page 2 of 3

1. Does the location/source of the wastewater come from a structure that is primarily a residence?

1. Is the accessory use incidental and subordinate to the primary residence?
2. Does the wastewater from the structure that enters the onsite sewage system not contain storm water, industrial influents, other toxics or hazardous constituents not routinely found in residential wastewater such as chemicals, increased Biochemical Oxygen Demand or Total Suspended Solids?

If the answer to any of the above three questions is “No” then a licensed PE must certify that the wastewater is of residential strength

Further, calculations to determine wastewater characterizations or to certify that the wastewater is of residential strength shall only be done by a licensed PE.

If the onsite system meets the criteria of Section A, and B or a PE has determined and certified the wastewater is of residential strength, then an onsite soil evaluator, who holds the appropriate license issued by the WWWOOSSP Board may design the system. A PE who has determined and certified the wastewater is of residential strength, shall sign and seal his work.

Page 3 of 3

Guidance Document To: Regulants & Other Members of the Public From: Virginia Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers, and Landscape Architects (APELSCIDLA Board)

Date: December 15, 2011 (Revised March 17, 2015 and June 13, 2016) Re: Onsite Sewage Systems Designed by PE’s and Onsite Soil Evaluators Purpose The purpose of this document is to clarify the requirements for onsite sewage systems designs as completed by a licensed professional engineer (PE) or a licensed onsite soil evaluator. All systems consist of both the treatment and dispersal components.

Background § 54.1-406 of Virginia Code requires a license for engineering practice unless exempt under §§ 54.1-401, 54.1-402, or 54.1-402.1.

The full text of the statute reads as follows: A. Unless exempted by §§ 54.1-401, 54.1-402, or 54.1-402.1, a person shall hold a valid license prior to engaging in the practice of architecture or engineering which includes design, consultation, evaluation or analysis and involves proposed or existing improvements to real property. § 54.1-402 of the Code of Virginia contains various exemptions from licensure for specific activities meeting specific conditions. The full text of the licensure exemption regarding onsite sewage systems is contained in § 54.1-402(A)(11) reads as follows: § 54.1-402 Further exemptions from license requirements for architects, professional engineers, and land surveyors.

A. No license as an architect or professional engineer shall be required pursuant to § 54.1-406 for persons who prepare plans, specifications, documents and designs for the following, provided any such plans, specifications, documents or designs bear the name and address of the author and his occupation: 11. Conventional and alternative onsite sewage systems receiving residential wastewater, under the authority of Chapter 6 of Title 32.1, designed by a licensed onsite soil evaluator, which utilize packaged equipment, such as equipment of catalogued standard design that has been coordinated and tested by the manufacturer, and complies with all applicable codes, provided (i) the flow is less than 1,000 gallons per day; and (ii) if a pump is included, (a) it shall not include multiple downhill runs and must terminate at a positive elevational change; (b) the discharge end is open and not pressurized; (c) the static head does not exceed 50 feet; and (d) the force main length does not exceed 500 feet.

Page 1 of 3 SECTION A: Onsite Sewage Systems Receiving Residential Wastewater

Typically, a PE license is required to design onsite sewage systems; however, an onsite soil evaluator licensed by the WWWOOSSP Board may do so if the system meets all specified criteria.

1. Uses packaged equipment of catalogued, tested, and manufacturer-coordinated design, complying with all codes;
2. Flow less than 1,000 gallons/day; and
3. If included, pump must not have multiple downhill runs, must terminate positively, discharge open and not pressurized, static head ≤50 ft, force main ≤500 ft.

As long as all three of the above criteria are met, a PE license is not required and the onsite sewage system receiving residential wastewater may be designed by an onsite soil evaluator, who holds the appropriate license issued by the WWWOOSSP Board. However, if any of the above three conditions are not met, the onsite sewage systems receiving residential wastewater (and not just that component) must be designed by a licensed PE.

If the onsite sewage system that does not meet each of the three criteria in Section A the onsite system must be designed by a licensed PE. For any condition that is not met, it is not acceptable to have a PE sign and seal only that component; the PE is responsible for the entire system design. An onsite soil evaluator shall be responsible for any work he performs regarding a soil evaluation. A PE shall be responsible for the work he performs based on the soil evaluation. The PE must sign and seal the entire system because the licensed onsite soil evaluator no longer meets the exemption contained in §

54.1-402(A.)(11).

An onsite sewage system receiving residential wastewater that meets the above three criteria may be designed by a licensed onsite soil evaluator, who holds the appropriate license issued by the WWWOOSSP Board, in accordance with § 54.1-402(A)(11). Should a PE be involved in any design of the system, regardless if a PE license is required, the PE must sign and seal his work pursuant to Board regulations.

SECTION B: Residential Wastewater

§ 54.1-400 of Virginia Code states, in part:

"Residential wastewater" means sewage from residential or accessory uses, excluding storm water, industrial influent, or toxic/hazardous constituents, or as certified by a PE.

Local zoning approval as an “accessory use” does not determine that wastewater is “residential” as defined in § 54.1-400.

Factors for determining if wastewater qualifies as "Residential wastewater" per § 54.1-400 include, but are not limited to:

1. Is the wastewater source primarily from a residence?

1. Is the accessory use incidental and subordinate to the primary residence?
2. Does wastewater entering the system lack storm water, industrial influents, toxics, or hazardous constituents, including chemicals, BOD, or TSS?

If any of the above three questions is “No,” a licensed PE must certify the wastewater's residential strength.

Calculations to characterize or certify wastewater as residential must be performed only by a licensed PE.

If the onsite system meets the criteria of Section A, and B or a PE has determined and certified the wastewater is of residential strength, then an onsite soil evaluator, who holds the appropriate license issued by the WWWOOSSP Board may design the system. A PE who has determined and certified the wastewater is of residential strength, shall sign and seal his work.

Page 3 of 3

EXAMINATIONS POLICY #600-03 RESTRICTED PARTICIPATION IN EXAMINATION DEVELOPMENT & REVIEW Effective Date: June 3, 2014

Digitally signed by DeBoer Jay mkw69795 Reason: I am approving this document Approved By: Date: 2014.06.03 09:55:29 -04'00'

I. PURPOSE: The purpose of this policy is to identify individuals who are not permitted to participate in the development or review of examinations used by or on behalf of the Department of Professional and Occupational Regulation (Department) or its policy boards.

II. POLICY STATEMENT: In order to ensure examination security and integrity, any individual affiliated with a regulated school, course or program shall not be permitted to participate in the development or review of examinations used by or on behalf of the Department or its policy boards.

III. DEFINITIONS: Regulated school, course or program Educational providers and curricula approved by the Department or its policy boards to qualify individuals for a license, certificate or registration.

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

A. RESTRICTED PARTICIPATION The following are not permitted to participate in the development or review of examinations used by or on behalf of the Department or its policy boards:

1. Owners or employees of a regulated school, course or program, including instructors;
2. Instructors currently regulated by the Department or one of its policy boards;
3. Individuals with a contractual relationship with a regulated school, course or program;
4. Anyone disciplined by a regulatory board or agency in any jurisdiction for violation of laws and regulations related to educational services or activities; or
5. Individuals convicted of a felony or misdemeanor related to educational services or activities.

B. WAIVER OF RESTRICTION The Director of the Department may, in his sole discretion, waive the restrictions stated in this policy for good cause shown, which said cause shall be stated in writing and retained on file.

Policy Title: Examinations Policy #600-03 RESTRICTED PARTICIPATION IN EXAM DEVELOPMENT & REVIEW [POL543-600_03-v1] Effective: 06/03/2014 Submitted By: Mark Courtney, Senior Director, Regulatory & Public Affairs Guidance Document: Yes Supersedes: n/a Page 1 of 1

EXAMINATIONS POLICY #600-03 RESTRICTED PARTICIPATION IN EXAMINATION DEVELOPMENT & REVIEW Effective Date: June 3, 2014

Digitally signed by DeBoer Jay mkw69795 Reason: I am approving this document Approved By: Date: 2014.06.03 09:55:29 -04'00'

I. PURPOSE: The purpose of this policy is to identify individuals who are not permitted to participate in the development or review of examinations used by or on behalf of the Department of Professional and Occupational Regulation (Department) or its policy boards.

II. POLICY STATEMENT: In order to ensure examination security and integrity, any individual affiliated with a regulated school, course or program shall not be permitted to participate in the development or review of examinations used by or on behalf of the Department or its policy boards.

III. DEFINITIONS: Regulated school, course or program Educational providers and curricula approved by the Department or its policy boards to qualify individuals for a license, certificate or registration.

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

A. RESTRICTED PARTICIPATION The following are not permitted to participate in the development or review of examinations used by or on behalf of the Department or its policy boards:

1. Owners or employees of a regulated school, course or program, including instructors;
2. Instructors currently regulated by the Department or its policy boards;
3. Individuals with a contractual relationship with a regulated school, course or program;
4. Anyone disciplined by a regulatory board or agency for violations of laws or regulations related to educational services or activities;
5. Individuals convicted of a felony or misdemeanor related to educational services or activities.

B. WAIVER OF RESTRICTION The Director of the Department may, in his sole discretion, waive the restrictions stated in this policy for good cause shown, which said cause shall be stated in writing and retained on file.

Policy Title: Examinations Policy #600-03 RESTRICTED PARTICIPATION IN EXAM DEVELOPMENT & REVIEW [POL543-600_03-v1] Effective: 06/03/2014 Submitted By: Mark Courtney, Senior Director, Regulatory & Public Affairs Guidance Document: Yes Supersedes: n/a Page 1 of 1

COMPLIANCE & INVESTIGATIONS POLICY #800-02 FILING OF COMPLAINTS AGAINST REGULANTS Effective Date: March 5, 2010

Digitally signed by Jay W. DeBoer Reason: I am approving this Approved By: documentDate: 2010.03.05 15:47:24 -05'00'

I. PURPOSE: The purpose of this policy is to establish Department of Professional and Occupational Regulation guidelines for receiving complaints filed against regulants.

II. POLICY STATEMENT: Complaints against DPOR regulants shall be handled in accordance with § 54.1-307.1 of the Code of Virginia. The Department shall consider a complaint sufficient when the alleged facts, if shown to be true, would constitute a violation of law or regulation of any regulatory board within Subtitle II of Title 54.1 of the Code of Virginia or any of the programs which may be in another title of the Code for which any regulatory board within Subtitle II has enforcement responsibility.

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. COMPLAINT FILING DEADLINES In order to be investigated by the Department, complaints shall be filed in accordance with the provisions of § 54.1-307.1 of the Code of Virginia.

B. COMPLAINT FORMAT REQUIREMENTS

1. All complaints shall be submitted in writing except for: a. Situations where the complainant indicates that filing a written complaint will impose a hardship b. Life-threatening situations or situations that have resulted (or have the potential to result) in harm, personal injury or loss to a consumer or the public c. When the Department becomes aware of information indicating that a regulant has engaged in criminal activity that a regulatory board, through its regulations and applicable statutes, has determined may be related to the practice of the profession or occupation, for which disciplinary action may be taken.
2. Anonymous complaints may be accepted.

C. SOURCES OF COMPLAINTS

1. Information obtained from the media or other public source or from any court or other public record/document shall be deemed equivalent to a written complaint.
2. Written or verbal complaints resulting from information submitted to or obtained by any sworn investigator of the Compliance and Investigations Division indicating that a regulant has violated or is about to violate a law or regulation shall be accepted.
3. Written or verbal complaints submitted by other law enforcement or regulatory agencies shall be accepted.

Policy Title: Compliance & Investigations #800-02 Filing of Complaints Against Regulants Effective: 03/05/2010 Submitted By: David Dorner, Investigations Director Guidance Document: Yes Supersedes: Enforcement #800-02 Filing of Complaints Against Regulants (Effective 02/10/2003) Page 1 of 1

COMPLIANCE & INVESTIGATIONS POLICY #800-02 FILING OF COMPLAINTS AGAINST REGULANTS Effective Date: March 5, 2010

Digitally signed by Jay W. DeBoer Reason: I am approving this Approved By: documentDate: 2010.03.05 15:47:24 -05'00'

I. PURPOSE: The purpose of this policy is to establish Department of Professional and Occupational Regulation guidelines for receiving complaints filed against regulants.

II. POLICY STATEMENT: Complaints against DPOR regulants shall be handled in accordance with § 54.1-307.1 of the Code of Virginia. The Department shall consider a complaint sufficient when the alleged facts, if shown to be true, would constitute a violation of law or regulation of any regulatory board within Subtitle II of Title 54.1 of the Code of Virginia or any of the programs which may be in another title of the Code for which any regulatory board within Subtitle II has enforcement responsibility.

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. COMPLAINT FILING DEADLINES In order to be investigated by the Department, complaints shall be filed in accordance with the provisions of § 54.1-307.1 of the Code of Virginia.

B. COMPLAINT FORMAT REQUIREMENTS

1. All complaints shall be submitted in writing except for: a. Situations where the complainant indicates that filing a written complaint will impose a hardship b. Life-threatening situations or situations that have resulted (or have the potential to result) in harm, personal injury or loss to a consumer or the public c. When the Department becomes aware of information indicating that a regulant has engaged in criminal activity that a regulatory board, through its regulations and applicable statutes, has determined may be related to the practice of the profession or occupation, for which disciplinary action may be taken.
2. Anonymous complaints may be accepted.

C. SOURCES OF COMPLAINTS

1. Media, public sources, court, or public records are equivalent to written complaints.
2. Written or verbal complaints from investigators indicating a regulant's violation or imminent violation shall be accepted.
3. Complaints from law enforcement or regulatory agencies shall be accepted.

Policy Title: Compliance & Investigations #800-02 Filing of Complaints Against Regulants Effective: 03/05/2010 Submitted By: David Dorner, Investigations Director Guidance Document: Yes Supersedes: Enforcement #800-02 Filing of Complaints Against Regulants (Effective 02/10/2003) Page 1 of 1

EXAMINATION POLICY #600-01 EXAMINATION FEES Effective Date: October 17, 2018

Digitally signed by Jay W. DeBoer DN: cn=Jay W. DeBoer, o=DPOR, Approved By: ou=Director,,email=jay.deboer@dpor.virginia.gov,c=US Date: 2018.10.18 12:10:10 -04'00' I. PURPOSE: The purpose of this policy is to ensure accurate and consistent handling of examination fees received by the Department of Professional and Occupational Regulation (DPOR).

II. POLICY STATEMENT: The Department shall utilize consistent and objective standards in handling examination fees. This policy applies only to those fees collected for examinations administered in-house. This policy does not apply to fees paid directly to vendors under contract with DPOR.

III. DEFINITIONS: Extenuating Circumstances For the purposes of this policy, extenuating circumstances refer to specific events, conditions, or situations beyond the candidate’s control (e.g., hospitalization, short-term disability, death or illness in the candidate’s family, or a call to active duty in the United States military).

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS: A. All examination fees are non-refundable and due on or before the applicable examination fee deadline. Examination fees received are applied to the upcoming scheduled administration unless a candidate explicitly requests approval to apply for a different administration date.

B. Candidates whose fees are received after the examination fee deadline shall automatically be scheduled for the next regular examination administration.

C. A candidate whose examination fee is received past the deadline shall not be eligible to sit for that administration unless the Director of Education and Examinations, in his sole discretion, grants a waiver based on evidence of extenuating circumstances.

D. Fees paid for a scheduled examination for which a candidate fails to appear shall be forfeited, unless the candidate requests a one-time approval to apply the missed examination fees to the next regularly scheduled administration. Approval will be granted only upon evidence of extenuating circumstances. If approved, examination fees will only be forwarded once to the next scheduled examination date.

E. All examination fees shall remain active for one year from the date of receipt by the Department or until the examination is administered, whichever occurs first. After that time, all fees shall be forfeited.

Policy Title: Examinations Policy #600-01 Examination Fees [POL543-600_01-v7] Effective: 10/17/2018 Submitted By: Shannon Webster, Director of Education and Examinations Guidance Document: Yes Supersedes: Examinations Policy #600-01 Examination Fees (Effective 03/17/2010) Page 1 of 1

EXAMINATION POLICY #600-01 EXAMINATION FEES Effective Date: October 17, 2018

Digitally signed by Jay W. DeBoer DN: cn=Jay W. DeBoer, o=DPOR, Approved By: ou=Director,,email=jay.deboer@dpor.virginia.gov,c=US Date: 2018.10.18 12:10:10 -04'00' I. PURPOSE: The purpose of this policy is to ensure accurate and consistent handling of examination fees received by the Department of Professional and Occupational Regulation (DPOR).

II. POLICY STATEMENT: The Department shall utilize consistent and objective standards in handling examination fees. This policy applies only to those fees collected for examinations administered in-house. This policy does not apply to fees paid directly to vendors under contract with DPOR.

III. DEFINITIONS: Extenuating Circumstances For the purposes of this policy, extenuating circumstances refer to specific events, conditions, or situations beyond the candidate’s control (e.g., hospitalization, short-term disability, death or illness in the candidate’s family, or a call to active duty in the United States military).

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS: A. All examination fees are non-refundable and due on or before the applicable examination fee deadline. Examination fees received are applied to the upcoming scheduled administration unless a candidate explicitly requests approval to apply for a different administration date.

B. Candidates whose fees are received after the examination fee deadline shall automatically be scheduled for the next regular examination administration.

C. A candidate with a late fee payment is ineligible to sit unless the Director of Education and Examinations, at his discretion, grants a waiver based on extenuating circumstances.

D. Fees paid for a scheduled examination for which a candidate fails to appear shall be forfeited, unless the candidate requests a one-time approval to apply the missed examination fees to the next regularly scheduled administration. Approval will be granted only upon evidence of extenuating circumstances. If approved, examination fees will only be forwarded once to the next scheduled examination date.

E. All examination fees shall remain active for one year from the date of receipt by the Department or until the examination is administered, whichever occurs first. After that time, all fees shall be forfeited.

Policy Title: Examinations Policy #600-01 Examination Fees [POL543-600_01-v7] Effective: 10/17/2018 Submitted By: Shannon Webster, Director of Education and Examinations Guidance Document: Yes Supersedes: Examinations Policy #600-01 Examination Fees (Effective 03/17/2010) Page 1 of 1

HUMAN RESOURCES POLICY #200-18 EQUAL EMPLOYMENT OPPORTUNITY Effective Date: March 17, 2010

Digitally signed by Jay W. DeBoer Reason: I am approving this Approved By: documentDate: 2010.03.17 14:52:26 -04'00'

I. PURPOSE: In accordance with DHRM Policy 2.05 Equal Employment Opportunity, the purpose of this policy is to document the Department of Professional and Occupational Regulation’s commitment to EEO in all aspects of human resource management.

II. POLICY STATEMENT: The Department of Professional and Occupational Regulation shall comply with all state and federal laws pertaining to Equal Employment Opportunity and all applicable Executive Orders and Directives.

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS:  DHRM Policy 2.05 Equal Employment Opportunity  Governor’s Executive Order Number Six (2010)  Governor’s Executive Directive Number One (2010)

V. GENERAL PROVISIONS:

A. APPLICABILITY The provisions of this policy prohibit against discrimination in all aspects of the hiring process and employment practices including: hiring, demotion, promotion, role change, in-band adjustment, layoff, and transfer; application of performance management and development; application of corrective actions, including disciplinary actions; and, compensation, pay practices, and other terms, conditions, and privileges of employment.

B. MONITORING AND COMPLIANCE

1. The Human Resources Section shall monitor all aspects of DPOR human resource management to ensure compliance with all federal, state and agency EEO requirements and provisions.
2. The Human Resources Section shall investigate any allegation of discrimination by gathering information and corresponding with state and federal agencies regarding any discrimination claims.

Policy Title: Human Resources Policy #200-18 Equal Employment Opportunity Effective: 03/17/2010 Submitted By: Pratt Stelly, Human Resources Director Guidance Document: Yes Supersedes: Human Resources Policy #200-18 Equal Employment Opportunity (Effective 03/05/2010) Page 1 of 1

HUMAN RESOURCES POLICY #200-18 EQUAL EMPLOYMENT OPPORTUNITY Effective Date: March 17, 2010

Digitally signed by Jay W. DeBoer Reason: I am approving this Approved By: documentDate: 2010.03.17 14:52:26 -04'00'

I. PURPOSE: In accordance with DHRM Policy 2.05 Equal Employment Opportunity, the purpose of this policy is to document the Department of Professional and Occupational Regulation’s commitment to EEO in all aspects of human resource management.

II. POLICY STATEMENT: The Department of Professional and Occupational Regulation shall comply with all state and federal laws pertaining to Equal Employment Opportunity and all applicable Executive Orders and Directives.

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS:  DHRM Policy 2.05 Equal Employment Opportunity  Governor’s Executive Order Number Six (2010)  Governor’s Executive Directive Number One (2010)

V. GENERAL PROVISIONS:

A. APPLICABILITY The provisions of this policy prohibit against discrimination in all aspects of the hiring process and employment practices including: hiring, demotion, promotion, role change, in-band adjustment, layoff, and transfer; application of performance management and development; application of corrective actions, including disciplinary actions; and, compensation, pay practices, and other terms, conditions, and privileges of employment.

B. MONITORING AND COMPLIANCE

1. The Human Resources Section shall monitor all aspects of DPOR human resource management to ensure compliance with all federal, state and agency EEO requirements and provisions.
2. The Human Resources Section shall investigate discrimination allegations by gathering information and coordinating with state and federal agencies.

Policy Title: Human Resources Policy #200-18 Equal Employment Opportunity Effective: 03/17/2010 Submitted By: Pratt Stelly, Human Resources Director Guidance Document: Yes Supersedes: Human Resources Policy #200-18 Equal Employment Opportunity (Effective 03/05/2010) Page 1 of 1

To: Virginia Localities

From: Kate Nosbisch, Executive Director, Virginia APELSCIDLA Board

Date: September 23, 2016

Re: Land Surveyor Scope of Practice

It has been brought to the attention of the Virginia Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers and Landscape Architects (APELSCIDLA) that there may be a misconception in some Virginia localities as to the regulatory permitted scope of professional practice a licensed land surveyor and land surveyor B may provide, including, but not necessarily limited to, the design of Stormwater Management Projects. The Board has also been advised that some localities have adopted rules, standards or regulations that are more restrictive, such as placing limits on the disturbed area of a site that a land surveyor and land surveyor B may design and/or not accepting a design which is provided by a land surveyor that is otherwise allowed by the state statutes. Therefore, this clarification of Virginia Code is provided for guidance.

Per §54.1-400 of the Code of Virginia, by definition, a “land surveyor” means a person who, by reason of his knowledge of the several sciences and of the principles of land surveying, and of the planning and design of land developments acquired by practical experience and formal education, is qualified to engage in the practice of land surveying, and whose competence has been attested by the Board through licensure as a land surveyor.

In that same section of the Code, the “practice of land surveying” is defined as follows: includes surveying of areas for a determination or correction, a description, the establishment or reestablishment of internal and external land boundaries, or the determination of topography, contours or location of physical improvements, and also includes the planning of land and subdivisions thereof. The term "planning of land and subdivisions thereof" shall include, but not be limited to, the preparation of incidental plans and profiles for roads, streets and sidewalks, grading, drainage on the surface, culverts and erosion control measures, with reference to existing state or local standards.

As to the permitted practice of a land surveyor, the Board has determined that the practice of land surveying is not limited by the amount of disturbed area associated with any survey or plan.

Further, the Board has also determined that under the provision of “planning of land and subdivisions thereof” above, a regulant is permitted to design and prepare plans for stormwater Virginia Localities September 23, 2016 Page 2 of 2

management and water quality facilities provided that such design is for systems that convey "drainage on the surface" for which the design, application and calculations are based on current state or local standards, as well as "as built" surveys of Stormwater Management facilities. The Board considers the Virginia Stormwater Management Handbook and the application of the Virginia Runoff Reduction Method as current state standards.

§ 54.1-408. Practice of land surveying; subdivisions define a land surveyor B’s scope of practice:

In addition to the work defined in § 54.1-400, a land surveyor may, for subdivisions, site plans and plans of development only, prepare plats, plans and profiles for roads, storm drainage systems, sanitary sewer extensions, and water line extensions, and may perform other engineering incidental to such work, but excluding the design of pressure hydraulic, structural, mechanical, and electrical systems. The work included in this section shall involve the use and application of standards prescribed by local or state authorities. The land surveyor shall pass an examination given by the Board in addition to that required for the licensing of land surveyors as defined in § 54.1-400. Any land surveyor previously licensed pursuant to subdivision (3) (b) of former § 54-17.1 may continue to do the work herein described without further examination. Except as provided, nothing contained herein or in the definition of "practice of land surveying" in § 54.1-400 shall be construed to include engineering design and the preparation of plans and specifications for construction.

As to the permitted practice of a land surveyor B, the Board has determined the land surveyor B can perform all the activities of a land surveyor and in addition, the design for storm drainage systems, sanitary sewer extensions, and water line extensions and other engineering incidental to such work.

In closing, localities are reminded that, while they are within their rights to adopt more restrictive rules, standards or specifications with regard to development standards, they should not adopt more restrictive rules, standards or specifications that limit the scope of practice of licensed professionals governed by the Virginia Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers and Landscape Architects at the Department of Professional and Occupational Regulation.

If you have any questions, please feel free to contact the Virginia APELSCIDLA Board at (804) 367-8514.

Thank you.

cc: Virginia Department of Transportation

Virginia Department of Environmental Quality

Virginia Department of Health

To: Virginia Localities

From: Kate Nosbisch, Executive Director, Virginia APELSCIDLA Board

Date: September 23, 2016

Re: Land Surveyor Scope of Practice

It has been brought to the attention of the Virginia Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers and Landscape Architects (APELSCIDLA) that there may be a misconception in some Virginia localities as to the regulatory permitted scope of professional practice a licensed land surveyor and land surveyor B may provide, including, but not necessarily limited to, the design of Stormwater Management Projects. The Board has also been advised that some localities have adopted rules, standards or regulations that are more restrictive, such as placing limits on the disturbed area of a site that a land surveyor and land surveyor B may design and/or not accepting a design which is provided by a land surveyor that is otherwise allowed by the state statutes. Therefore, this clarification of Virginia Code is provided for guidance.

Per §54.1-400 of Virginia Code, a “land surveyor” is someone qualified by knowledge, experience, and education to practice land surveying, licensed by the Board.

The “practice of land surveying” includes boundary, topography, and land planning, including incidental plans for roads, grading, drainage, culverts, and erosion control per state/local standards.

The Board has determined that land surveying practice is not limited by disturbed area size.

Under “planning of land and subdivisions,” a regulant may design and prepare stormwater plans, subject to standards.

management and water quality facilities provided that such design is for systems that convey "drainage on the surface" for which the design, application and calculations are based on current state or local standards, as well as "as built" surveys of Stormwater Management facilities. The Board considers the Virginia Stormwater Management Handbook and the application of the Virginia Runoff Reduction Method as current state standards.

§ 54.1-408 defines a land surveyor B’s scope of practice:

For subdivisions, site plans, and development, a land surveyor may prepare plats for roads, drainage, sewer, water, and incidental work, excluding pressure, structural, mechanical, or electrical design, and must pass an additional exam. Previously licensed surveyors may continue without further exam. This does not include engineering design or construction plans.

A land surveyor B may perform all land surveyor activities and additionally design storm drainage, sewer, water extensions, and incidental engineering.

Localities may adopt more restrictive development standards but should not limit the scope of practice of licensed professionals governed by the Virginia Board.

For questions, contact the Virginia APELSCIDLA Board at (804) 367-8514.

Thank you.

cc: Virginia Department of Transportation

Virginia Department of Environmental Quality

Virginia Department of Health

COMPLIANCE & INVESTIGATIONS POLICY #800-01 CRIMINAL HISTORY & ONLINE PUBLIC RECORDS INFORMATION Effective Date: June 13, 2011

Digitally signed by Dixon Gordon Approved By: gfq34896Date: 2011.06.13 16:28:20 -04'00'

I. PURPOSE: The purpose of this policy is to establish guidelines for requesting and handling criminal history and public records information in compliance with federal/state laws and applicable information system service/security agreements.

II. POLICY STATEMENT: The Compliance and Investigations Division of the Department of Professional and Occupational Regulation is authorized to enforce laws and conduct criminal investigations within its jurisdiction (§ 19.2-389 of the Code of Virginia). Pursuant to § 54.1-306 of the Code of Virginia, the Director and investigators are authorized to request and receive criminal history and public records information from Central Criminal Records Exchange (CCRE), Virginia Criminal Information Network (VCIN), National Crime Information Center (NCIC), the Interstate Identification Index (III) files, and the LexisNexis ® Accurint® Public Records System. In addition, select Licensing and Regulation Division personnel are authorized to utilize the LexisNexis ® Public Records Depository for information verification purposes only.

III. DEFINITIONS: Criminal History Information Information regarding arrests and disposition received from the Central Criminal Records Exchange (CCRE), other state central bureaus, the FBI and other law enforcement agencies.

IV. RELATED DOCUMENTS:  DPOR IT Policy #400-03 Information Technology Security Program  Information Security Access Agreement

V. GENERAL PROVISIONS:

A. REQUESTS FOR CRIMINAL HISTORY INFORMATION

1. All Department of Professional and Occupational Regulation employees and consultants are required to sign an Information Security Access Agreement in accordance with Information Technology Policy #400-03, Information Technology Security Program.
2. Investigators may use criminal history information during a criminal investigation. Investigations are deemed criminal in nature until a determination has been made to proceed under the Administrative Process Act (APA) for a case decision. Matters of a criminal nature arising after an APA case decision shall be reviewed by the appropriate Executive Director and the Investigations Director. Licensing and Regulation Division staff who believe that an applicant has provided false information on an application regarding criminal convictions or any other false information shall forward that information to the Compliance and Investigations Division for alleged violations of §54.1-111 of the Code of Virginia or other applicable code section.
3. Investigator requests for criminal history information shall be directed to the investigator assigned to the secured VCIN terminal in the Compliance and Investigations Division.

B. USE AND DESTRUCTION OF CRIMINAL HISTORY INFORMATION

1. All criminal history information is confidential and its use is limited to those individuals who are authorized by statute to receive such information.
2. Criminal history printouts from the VCIN terminal shall not be copied or shared with personnel outside of the Compliance and Investigations Division. Criminal history documents shall not be stored in investigation files, but shall be secured with the investigators’ working papers during the investigation. Upon completion of the investigation, the records shall be shredded.

Policy Title: Compliance & Investigations Policy #800-01 Criminal History & OL Public Records [POL700-800_01-v1] Effective: 06/13/2011 Submitted By: Mark Courtney, Deputy Director Licensing & Regulation Division Guidance Document: Yes Supersedes: Compliance & Investigations Policy #800-01 Criminal History Information (Effective 03/05/2010) Page 1 of 2C. LexisNexis

® ACCURINT

® PUBLIC RECORDS

1. All Compliance and Investigations and Licensing and Regulation Division personnel shall comply with the terms and conditions of the LexisNexis ® Non-FCRA (Fair Credit and Reporting Act) Agreement and the Department’s Information Security Access Agreement.
2. All LexisNexis ® Accurint ® Public Records inquiries shall be logged on the LexisNexis User Inquiry Log which shall be available for management inspection at all times.
3. Information obtained by the Licensing and Regulation Division from LexisNexis ® Accurint ® Public Records System shall be used for information verification purposes only and shall not be disclosed to anyone outside of DPOR. Only information verified through a publicly available source may be disclosed to an outside party.

Policy Title: Compliance & Investigations Policy #800-01 Criminal History & OL Public Records [POL700-800_01-v1] Effective: 06/13/2011 Submitted By: Mark Courtney, Deputy Director Licensing & Regulation Division Guidance Document: Yes Supersedes: Compliance & Investigations Policy #800-01 Criminal History Information (Effective 03/05/2010) Page 2 of 2

COMPLIANCE & INVESTIGATIONS POLICY #800-01 CRIMINAL HISTORY & ONLINE PUBLIC RECORDS INFORMATION Effective Date: June 13, 2011

Digitally signed by Dixon Gordon Approved By: gfq34896Date: 2011.06.13 16:28:20 -04'00'

I. PURPOSE: The purpose of this policy is to establish guidelines for requesting and handling criminal history and public records information in compliance with federal/state laws and applicable information system service/security agreements.

II. POLICY STATEMENT: The Compliance and Investigations Division of the Department of Professional and Occupational Regulation is authorized to enforce laws and conduct criminal investigations within its jurisdiction (§ 19.2-389 of the Code of Virginia). Pursuant to § 54.1-306 of the Code of Virginia, the Director and investigators are authorized to request and receive criminal history and public records information from Central Criminal Records Exchange (CCRE), Virginia Criminal Information Network (VCIN), National Crime Information Center (NCIC), the Interstate Identification Index (III) files, and the LexisNexis ® Accurint® Public Records System. In addition, select Licensing and Regulation Division personnel are authorized to utilize the LexisNexis ® Public Records Depository for information verification purposes only.

III. DEFINITIONS: Criminal History Information Information regarding arrests and disposition received from the Central Criminal Records Exchange (CCRE), other state central bureaus, the FBI and other law enforcement agencies.

IV. RELATED DOCUMENTS:  DPOR IT Policy #400-03 Information Technology Security Program  Information Security Access Agreement

V. GENERAL PROVISIONS:

A. REQUESTS FOR CRIMINAL HISTORY INFORMATION

1. All DPOR employees and consultants must sign an Information Security Access Agreement per Policy #400-03.
2. Investigators may use criminal history during investigations, which remain criminal until an APA case decision. Post-APA criminal matters are reviewed by the Executive and Investigations Directors. Staff suspecting false info on applications must forward to Compliance and Investigations for violations of §54.1-111 or other applicable law.
3. Requests for criminal history must be directed to the assigned investigator at the secured VCIN terminal.

B. USE AND DESTRUCTION OF CRIMINAL HISTORY INFORMATION

1. Criminal history information is confidential and limited to authorized individuals by law.
2. VCIN printouts must not be shared outside the Division. Documents are secured with working papers and shredded after investigation.

Policy Title: Compliance & Investigations Policy #800-01 Criminal History & OL Public Records [POL700-800_01-v1] Effective: 06/13/2011 Submitted By: Mark Courtney, Deputy Director Licensing & Regulation Division Guidance Document: Yes Supersedes: Compliance & Investigations Policy #800-01 Criminal History Information (Effective 03/05/2010) Page 1 of 2C. LexisNexis

® ACCURINT

® PUBLIC RECORDS

1. All personnel must comply with LexisNexis ® Non-FCRA and Department Security Agreements.
2. All LexisNexis ® Accurint ® inquiries must be logged and available for management review.
3. Division info from LexisNexis ® Accurint ® is for verification only and must not be disclosed outside DPOR. Only verified public info may be shared externally.

Policy Title: Compliance & Investigations Policy #800-01 Criminal History & OL Public Records [POL700-800_01-v1] Effective: 06/13/2011 Submitted By: Mark Courtney, Deputy Director Licensing & Regulation Division Guidance Document: Yes Supersedes: Compliance & Investigations Policy #800-01 Criminal History Information (Effective 03/05/2010) Page 2 of 2

FINANCE POLICY #700-03 ACCOUNTS RECEIVABLE & DEBT COLLECTION Effective Date: July 1, 2018

Digitally signed by Jay W. DeBoer DN: cn=Jay W. DeBoer, o=DPOR,

c=US Approved By: ou=Director,,email=jay.deboer@dpor.virginia.gov,Date: 2018.07.26 14:36:29 -04'00'

I. PURPOSE: The purpose of this policy is to establish guidelines for the management and collection of accounts receivable as required by the State Comptroller.

II. POLICY STATEMENT: The Department of Professional and Occupational Regulation shall take all appropriate and cost effective actions to aggressively collect its accounts receivable in accordance with the Code of Virginia and Commonwealth Accounting Policies and Procedures.

III. DEFINITIONS: Accounts Receivable Any amount owed to the Department, including monetary penalties, recovery fund payments, employee reimbursements, and miscellaneous billings arising from the sale of goods or services. An accounts receivable is also referred to as a receivable. Receivables do not include travel advances, which are addressed separately in Finance Policy #700-01 Travel and Business Meals.

Monetary Penalties Penalties assessed against licensees under § 54.1-202 of the Code of Virginia for the violation of any statute or regulation pertaining to a regulatory board of the Department.

Other Receivables Amounts owed for services rendered (e.g., license transcripts, FOIA requests, employee reimbursements, and other miscellaneous billings).

Recovery Fund Payments Amounts owed for Recovery Fund claims paid in accordance with § 54.1-1120, § 54.1-2114 and § 55-530.1 of the Code of Virginia.

IV. RELATED DOCUMENTS:  Commonwealth Accounting Policies and Procedures Topic 20505 Accounts Receivable  Set-Off Program Information Guide (published by the Virginia Department of Taxation)  Attorney General Debt Collection Procedures  Certification of Final Order Form  Director’s Policy #100-05 License Suspensions  Finance Procedure 600-601 Receivables  Finance Procedure 600-505 Recovery Fund Receivables

V. GENERAL PROVISIONS:

A. MONETARY PENALTIES

1. Creation of the Receivable The approval of any Consent or Final Order that assesses monetary penalties or costs creates a receivable. The receivable is due from the moment the Director signs the Order. However, most Orders give the debtor a fixed amount of time to pay before the account is deemed past due.
2. License Suspension The licensing sections are responsible for monitoring disciplinary orders until compliance is obtained. If the order assesses penalties or costs and payment is not made by the due date, the account is deemed to be past due and the Executive Director shall suspend the debtor’s license for non-payment according to the provisions of Director’s Policy #100-05 License Suspensions.

Policy Title: Finance Policy #700-03 Accounts Receivable & Debt Collection [POL405-700_03-v7] Effective: 07/01/2018 Submitted By: Jeff Waite, Financial Services Director Guidance Document: Yes Supersedes: Finance Policy #700-03 Accounts Receivable & Debt Collection (Effective 02/10/2012) Page 1 of 43. Collection Efforts on Unpaid Accounts Following the license suspension, but not more than 30 days after the payment due date, the board shall notify the Finance Section of the need for collection. The Finance Section shall employ the collection procedures outlined in Finance Procedure #600-601 Receivables to collect the amount owed to the Department.

B. RECOVERY FUND CLAIMS

1. Payment from the Fund Recovery Fund claims are paid pursuant to approved Final Orders. The payment of any Recovery Fund claim creates an immediate obligation for the regulant to repay the Fund with interest.

Upon payment from the Fund, the Finance Section shall employ the collection procedures outlined in Finance Procedure #600-505 Recovery Fund Receivables to collect the amount owed.

1. License Revocation The Finance Section shall notify the regulatory board sections whenever a payment is made from the Recovery Funds. Upon receiving this notice, the board sections shall revoke the regulant’s license except for claims against the Contractor Transaction Recovery Fund or when prevented by bankruptcy.
2. Calculation of Interest The Department shall assess interest on all Recovery Fund accounts receivable according to the Virginia Debt Collection Act § 2.2-4805 of the Code of Virginia. Interest is imposed at the judgment rate as provided in § 6.2-302 of the Code of Virginia.

C. OTHER RECEIVABLES The Information Management Section is responsible for billing and collecting all license transcripts, FOIA and other public record fees. If any billed amount remains unpaid on the last day of any quarter, the Information Management Section shall report the amount owed to the Finance Section so that it can be included in the Comptroller’s Quarterly Accounts Receivable Report. In the event that the Information Management Section is unable to obtain payment from the debtor within a reasonable time period, they shall forward the account and all supporting documentation to the Finance Section for further collection efforts.

D. PARTIAL PAYMENTS

1. The Department does not accept installment agreements and debtors must pay the full amount owed on or before the required payment due date.
2. If partial payment is made, the Department will receipt the funds and apply them to the appropriate account. The receipt does not constitute an installment agreement and will not prevent or stop outside collection efforts if full payment is not received before the required due date. In addition, the debtor’s license shall remain suspended for nonpayment and/or the regulant will be ineligible to reapply for a new license until the account is paid in full.
3. Partial payments in disciplinary cases will be applied to costs first and penalties second. All collections on monetary penalties will be deposited to the State Literary Fund in accordance with § 19.2-353 of the Code of Virginia. Partial payments in recovery fund cases will be applied to accrued interest first and then to the principal balance.

E. DEBT SET-OFF MATCHES

1. Debt Set-Off The Department participates in the Department of Taxation’s Individual Debt Set-Off Collection Program and the state Comptroller's Debt Set-Off program. These programs intercept state tax Policy Title: Finance Policy #700-03 Accounts Receivable & Debt Collection [POL405-700_03-v7] Effective: 07/01/2018 Submitted By: Jeff Waite, Financial Services Director Guidance Document: Yes Supersedes: Finance Policy #700-03 Accounts Receivable & Debt Collection (Effective 02/10/2012) Page 2 of 4 refunds, lottery winnings, and targeted vendor payments and use them to offset debts owed to state agencies.
2. Debtor Notification The state Department of Taxation notifies DPOR via e-mail when available funds have been matched to the agency’s debt. Within ten calendar days of the match date, the Finance Section shall notify the debtor in writing that the Department of Taxation is holding available funds against the debt. The purpose of the letter is to inform debtors that they have thirty calendar days to contest the validity of the debt before the funds are seized.
3. Right to Contest The debtor has the right to contest the validity of a claim before the set-off agency. The debtor must give written notice of his desire to contest a claim within 30 calendar days of the mailing date of the set-off agency’s letter. This will suspend further set-off action.

When the Finance Section receives notice that a debtor is contesting, they shall schedule a Set-Off Hearing. The Finance Section shall select a Presiding Officer that has no prior involvement in the circumstances that culminated in the dispute. The Presiding Officer shall establish a date, time and place for the hearing and shall notify the debtor of these facts using certified mail within ten days of receiving the hearing request.

1. Hearing Procedures a. The Presiding Officer shall conduct the Set-Off Hearing on the appointed date. The scope of the hearing shall be limited to determining whether the amount in set-off is an obligation that remains due and owed to the Department. The underlying basis of the debt shall not be addressed in the Set-Off Hearing. b. A representative from the Finance Section shall attend the hearing to present the Department’s evidence and may call witnesses on the Department’s behalf. The debtor shall also be allowed to submit evidence relevant to the matter and to call witnesses. A tape recorder or court reporter shall provide a record of the proceedings. c. The Presiding Officer shall consider all the evidence presented at the hearing and shall make a determination as to whether the Department is entitled to the amount held in set-off.

While usually made at the conclusion of the hearing, the Presiding Officer may elect to delay the decision if additional information is needed. In such cases, the Presiding Officer shall notify the debtor of the hearing outcome within three days of receiving the additional information. After the final determination of the validity of the debt is determined, the Finance Section shall finalize the match in the Debt Set-Off system in order to collect or release the funds being held.

1. Failure to Appear The debtor’s failure to appear at the hearing at the appointed time and place shall be deemed a forfeiture of their opportunity to contest the claim and final set-off shall be awarded by default.
2. Appeal/Grievance Procedures The decision of the Presiding Officer shall be final. However, this does not prevent the debtor from appealing the decision in circuit court as provided in § 58.1-527 of the Code of Virginia. All appeals must be filed in circuit court within thirty days of the Department’s decision.

F. BANKRUPTCY STAYS Bankruptcy law requires the Department to suspend collection efforts against individuals or companies that have filed bankruptcy. To ensure compliance with this law, any DPOR employee who receives notice of a bankruptcy (including those received through the Recovery Fund process) should immediately forward a copy of the notice to the Financial Services Director. The Financial Services Policy Title: Finance Policy #700-03 Accounts Receivable & Debt Collection [POL405-700_03-v7] Effective: 07/01/2018 Submitted By: Jeff Waite, Financial Services Director Guidance Document: Yes Supersedes: Finance Policy #700-03 Accounts Receivable & Debt Collection (Effective 02/10/2012) Page 3 of 4 Section staff will remove the account from the tax set-off program and notify the outside collection agent or Office of the Attorney General of the need to suspend collection efforts until the bankruptcy case is closed. The Financial Services Director or designee shall take appropriate action to protect the Department’s interests during the bankruptcy proceedings.

G. DELEGATION OF AUTHORITY The Director has authorized the Executive Director and Board Administrator of the board issuing the order to sign the Certification of Final Order that accompanies account referrals to the Office of the Attorney General.

Policy Title: Finance Policy #700-03 Accounts Receivable & Debt Collection [POL405-700_03-v7] Effective: 07/01/2018 Submitted By: Jeff Waite, Financial Services Director Guidance Document: Yes Supersedes: Finance Policy #700-03 Accounts Receivable & Debt Collection (Effective 02/10/2012) Page 4 of 4

FINANCE POLICY #700-03 ACCOUNTS RECEIVABLE & DEBT COLLECTION Effective Date: July 1, 2018

Digitally signed by Jay W. DeBoer DN: cn=Jay W. DeBoer, o=DPOR,

c=US Approved By: ou=Director,,email=jay.deboer@dpor.virginia.gov,Date: 2018.07.26 14:36:29 -04'00'

I. PURPOSE: The purpose of this policy is to establish guidelines for the management and collection of accounts receivable as required by the State Comptroller.

II. POLICY STATEMENT: The Department of Professional and Occupational Regulation shall take all appropriate and cost effective actions to aggressively collect its accounts receivable in accordance with the Code of Virginia and Commonwealth Accounting Policies and Procedures.

III. DEFINITIONS: Accounts Receivable Any amount owed to the Department, including monetary penalties, recovery fund payments, employee reimbursements, and miscellaneous billings arising from the sale of goods or services. An accounts receivable is also referred to as a receivable. Receivables do not include travel advances, which are addressed separately in Finance Policy #700-01 Travel and Business Meals.

Monetary Penalties Penalties assessed against licensees under § 54.1-202 of the Code of Virginia for the violation of any statute or regulation pertaining to a regulatory board of the Department.

Other Receivables Amounts owed for services rendered (e.g., license transcripts, FOIA requests, employee reimbursements, and other miscellaneous billings).

Recovery Fund Payments Amounts owed for Recovery Fund claims paid in accordance with § 54.1-1120, § 54.1-2114 and § 55-530.1 of the Code of Virginia.

IV. RELATED DOCUMENTS:  Commonwealth Accounting Policies and Procedures Topic 20505 Accounts Receivable  Set-Off Program Information Guide (published by the Virginia Department of Taxation)  Attorney General Debt Collection Procedures  Certification of Final Order Form  Director’s Policy #100-05 License Suspensions  Finance Procedure 600-601 Receivables  Finance Procedure 600-505 Recovery Fund Receivables

V. GENERAL PROVISIONS:

A. MONETARY PENALTIES

1. Creation of the Receivable: Approval of any Consent or Final Order assessing penalties or costs creates a receivable due upon the Director’s signature. Most Orders specify a payment deadline before the account is overdue.
2. License Suspension: Licensing sections monitor disciplinary orders; if penalties or costs remain unpaid past due, the Executive Director shall suspend the license per Policy #100-05.

Policy Title: Finance Policy #700-03 Accounts Receivable & Debt Collection [POL405-700_03-v7] Effective: 07/01/2018 Submitted By: Jeff Waite, Financial Services Director Guidance Document: Yes Supersedes: Finance Policy #700-03 Accounts Receivable & Debt Collection (Effective 02/10/2012) Page 1 of 43. Collection Efforts on Unpaid Accounts Following the license suspension, but not more than 30 days after the payment due date, the board shall notify the Finance Section of the need for collection. The Finance Section shall employ the collection procedures outlined in Finance Procedure #600-601 Receivables to collect the amount owed to the Department.

B. RECOVERY FUND CLAIMS

1. Payment from the Fund: Claims paid per Final Orders create an immediate obligation for the regulant to repay with interest.

Upon payment from the Fund, the Finance Section shall employ the collection procedures outlined in Finance Procedure #600-505 Recovery Fund Receivables to collect the amount owed.

1. License Revocation: When the Finance Section is notified of Recovery Fund payments, the board shall revoke the license unless against the Contractor Fund or due to bankruptcy.
2. Interest Calculation: The Department shall assess interest on Recovery Fund receivables per Virginia Debt Collection Act §2.2-4805, at the judgment rate in §6.2-302.

C. OTHER RECEIVABLES: The Information Management Section bills and collects license transcripts, FOIA, and public record fees. Unpaid amounts at quarter-end are reported to Finance; unresolved accounts are forwarded for collection.

D. PARTIAL PAYMENTS

1. The Department does not accept installment agreements; debtors must pay in full by the due date.
2. Partial payments will be receipted and applied but do not constitute installment agreements or stop outside collection efforts. Licenses remain suspended until full payment.
3. Partial payments in disciplinary cases are applied to costs first, penalties second; collections on penalties go to the State Literary Fund per § 19.2-353. In recovery fund cases, payments go to interest first, then principal.

E. DEBT SET-OFF MATCHES

1. Debt Set-Off The Department participates in the Department of Taxation’s Individual Debt Set-Off Collection Program and the state Comptroller's Debt Set-Off program. These programs intercept state tax Policy Title: Finance Policy #700-03 Accounts Receivable & Debt Collection [POL405-700_03-v7] Effective: 07/01/2018 Submitted By: Jeff Waite, Financial Services Director Guidance Document: Yes Supersedes: Finance Policy #700-03 Accounts Receivable & Debt Collection (Effective 02/10/2012) Page 2 of 4 refunds, lottery winnings, and targeted vendor payments and use them to offset debts owed to state agencies.
2. The Department of Taxation notifies DPOR via email when funds match the debt. Within ten days, the Finance Section must notify the debtor in writing, who then has thirty days to contest before funds are seized.
3. Debtors may contest claim validity before the set-off agency by giving written notice within 30 days of the letter, suspending further set-off action.

When notified of a contest, Finance shall schedule a Set-Off Hearing, appoint a neutral Presiding Officer, and notify the debtor via certified mail within ten days.

1. a. The Presiding Officer conducts the hearing to determine if the amount owed remains due; the debt’s basis is not addressed. b. Finance staff presents evidence, and the debtor may submit evidence and call witnesses. Proceedings are recorded. c. The Presiding Officer decides if the Department is entitled to the set-off amount.

The Presiding Officer may delay decision pending additional info, notifying the debtor within three days. Once final, Finance updates the Debt Set-Off system to collect or release funds.

1. Failure to appear at the hearing forfeits the opportunity to contest, and final set-off is awarded by default.
2. The Presiding Officer’s decision is final but may be appealed in circuit court within 30 days as per § 58.1-527.

F. BANKRUPTCY STAYS Bankruptcy law requires the Department to suspend collection efforts against individuals or companies that have filed bankruptcy. To ensure compliance with this law, any DPOR employee who receives notice of a bankruptcy (including those received through the Recovery Fund process) should immediately forward a copy of the notice to the Financial Services Director. The Financial Services Policy Title: Finance Policy #700-03 Accounts Receivable & Debt Collection [POL405-700_03-v7] Effective: 07/01/2018 Submitted By: Jeff Waite, Financial Services Director Guidance Document: Yes Supersedes: Finance Policy #700-03 Accounts Receivable & Debt Collection (Effective 02/10/2012) Page 3 of 4 Section staff will remove the account from the tax set-off program and notify the outside collection agent or Office of the Attorney General of the need to suspend collection efforts until the bankruptcy case is closed. The Financial Services Director or designee shall take appropriate action to protect the Department’s interests during the bankruptcy proceedings.

G. DELEGATION OF AUTHORITY: The Director authorizes the Executive Director and Board Administrator to sign the Certification of Final Order for account referrals to the Attorney General.

Policy Title: Finance Policy #700-03 Accounts Receivable & Debt Collection [POL405-700_03-v7] Effective: 07/01/2018 Submitted By: Jeff Waite, Financial Services Director Guidance Document: Yes Supersedes: Finance Policy #700-03 Accounts Receivable & Debt Collection (Effective 02/10/2012) Page 4 of 4

EXAMINATION POLICY #600-02 EXAMINATION SITE CONDUCT Effective Date: December 1, 2019

Digitally signed by Mary Broz Vaughan Approved By: Date: 2019.12.16 15:59:08 -05'00' I. PURPOSE: The purpose of this policy is to establish guidelines for Department of Professional and Occupational Regulation and examination vendor/contractor staff to follow when dealing with prohibited conduct or irregularities at examination sites.

II. POLICY STATEMENT: Pursuant to § 54.1-102 of the Code of Virginia, it is unlawful for any person to procure or assist another individual to procure, through theft, fraud or other illegal means, a license, certificate, permit, or other authorization issued by the Department. Conduct exhibited by an examination candidate at examination sites that compromises the validity, reliability and security of the examination as well as the efficient and effective administration of the examination is prohibited.

III. DEFINITIONS: Prohibited Conduct Any behavior taking place before, during, or after an examination that compromises the validity, reliability or security of an examination; is disturbing to others; or detracts from the efficient and effective administration of an examination including, but not limited to:

• Looking at another candidate’s computer screen, test booklet, or giving improper assistance to another candidate during administration of an examination.
• Unauthorized use of electronic devices. These devices include but are not limited to: cell phones, smart watches, audio and video recording devices, cameras, spy equipment, and other communication devices.
• Use of notes, sample tests, references, answer keys, calculators, manuals, note pads, or other aids that have not been explicitly approved for use during the examination.
• Copying, recording, transmitting or attempting to copy, record, or transmit examination items, questions, answers, or other content in any form. This includes writing in authorized reference materials during open-book exams and writing in or on unauthorized note or scratch pads.
• Reconstructing or attempting to reconstruct from memory any examination content for any purpose.
• Receiving, soliciting, or possessing current or prior examination content from a person who was not explicitly authorized in writing by DPOR to share the examination content.
• Communicating with any person before, during, or after the examination about specific examination items, questions, answers, or other confidential examination content.
• Exhibiting irrational or disruptive behavior at the examination site.
• Continuing to respond to exam questions whether verbal, online, or in writing after time has been called.

Policy Title: Examination Policy #600-02 Examination Site Conduct [POL543-600_02-v16] Effective: 12/01/2019 Submitted By: Shannon Webster, Director of Education & Examinations Guidance Document: Yes Supersedes: Examination Policy #600-02 Examination Site Conduct (Effective 06/26/2014) Page 1 of 3• Impersonating or attempting to impersonate an examination candidate, or using or attempting to use false identification to take an examination.

• Allowing another person to take or attempt to take your examination.
• Failure to follow any provision of the Candidate Information Bulleting/Handbook or instructions given at the examination site.
• Any non-compliance with § 54.1-102 of the Code of Virginia.

Irregularity Report This report is prepared by DPOR examination proctor(s) that details irregularities encountered during the administration of an in-house examination. Examples of irregularities include emergencies, improper identification, disturbances, or any prohibited conduct defined above.

IV. RELATED DOCUMENTS:  Testing Irregularity Report  Examination Agreement

V. GENERAL PROVISIONS:

A. EXAMINATION SITE CONDUCT AGREEMENT Prior to administration of the examination, all approved examination candidates shall be required to read, complete, sign, and submit an Examination Agreement provided by the Department of Professional and Occupational Regulation which acknowledges the candidate’s understanding of actions that constitute prohibited conduct and any consequences associated with the conduct.

B. HANDLING PROHIBITED CONDUCT When prohibited conduct is observed at an examination site, proctors are encouraged to exercise sound judgment in handling each incident. Proctors are discouraged from confronting hostile candidates, making physical contact with a candidate, or placing themselves in a position where the candidate could harm them. If possible, the conduct should be brought to the attention of a second proctor to corroborate the incident. All observations of prohibited conduct shall be handled in accordance with the specific guidelines below and documented on a Testing Irregularity Report. Specific guidelines are as follows.

1. In situations where a candidate is looking at another candidate’s computer screen, answer sheet/test booklet, or giving assistance to another candidate during administration of an examination, the proctor shall reclaim all examination materials and expel the candidate from the test site.
2. In situations where there is unauthorized use of electronic devices, notes, unauthorized notes or scratch pads, sample tests, references, and answer keys during the administration of an examination, the proctor shall reclaim all examination materials and expel the candidate from the test site.
3. In situations where the candidate is copying, recording, transmitting, or attempting to copy, record, or transmit in writing, electronically or by other means, any part of an examination, with or without intent to remove the material from the examination room, the proctor shall reclaim all examination materials, both authorized and unauthorized, and expel the candidate from the test site.
4. In situations where a candidate exhibits distracting or disruptive behavior at the examination site: a. The proctor shall discuss the observed behavior with the exam candidate and request correction of the behavior. b. If the prohibited conduct continues, the proctor shall reclaim all examination materials and expel the candidate from the test site.
5. Continuing to respond to exam questions whether verbal, online, or in paper/pencil format after time has been called: a. The proctor shall warn the candidate that time has been called.

Policy Title: Examination Policy #600-02 Examination Site Conduct [POL543-600_02-v16] Effective: 12/01/2019 Submitted By: Shannon Webster, Director of Education & Examinations Guidance Document: Yes Supersedes: Examination Policy #600-02 Examination Site Conduct (Effective 06/26/2014) Page 2 of 3 b. After the initial warning, any continuation of the prohibited conduct shall result in the collection of all examination materials and expulsion from the test site.

1. Any determination of false identity, impersonation, or an attempt to use false identification to impersonate an examination candidate will result in immediate expulsion from the test site. The proctor shall reclaim all examination materials, document the incident, and make copies of any documents provided by the candidate.

Policy Title: Examination Policy #600-02 Examination Site Conduct [POL543-600_02-v16] Effective: 12/01/2019 Submitted By: Shannon Webster, Director of Education & Examinations Guidance Document: Yes Supersedes: Examination Policy #600-02 Examination Site Conduct (Effective 06/26/2014) Page 3 of 3

EXAMINATION POLICY #600-02 EXAMINATION SITE CONDUCT Effective Date: December 1, 2019

Digitally signed by Mary Broz Vaughan Approved By: Date: 2019.12.16 15:59:08 -05'00' I. PURPOSE: The purpose of this policy is to establish guidelines for Department of Professional and Occupational Regulation and examination vendor/contractor staff to follow when dealing with prohibited conduct or irregularities at examination sites.

II. POLICY STATEMENT: Pursuant to § 54.1-102 of the Code of Virginia, it is unlawful for any person to procure or assist another individual to procure, through theft, fraud or other illegal means, a license, certificate, permit, or other authorization issued by the Department. Conduct exhibited by an examination candidate at examination sites that compromises the validity, reliability and security of the examination as well as the efficient and effective administration of the examination is prohibited.

III. DEFINITIONS: Prohibited Conduct Any behavior taking place before, during, or after an examination that compromises the validity, reliability or security of an examination; is disturbing to others; or detracts from the efficient and effective administration of an examination including, but not limited to:

• Looking at another candidate’s computer screen, test booklet, or giving improper assistance to another candidate during administration of an examination.
• Unauthorized use of electronic devices. These devices include but are not limited to: cell phones, smart watches, audio and video recording devices, cameras, spy equipment, and other communication devices.
• Use of notes, sample tests, references, answer keys, calculators, manuals, note pads, or other aids that have not been explicitly approved for use during the examination.
• Copying, recording, transmitting or attempting to copy, record, or transmit examination items, questions, answers, or other content in any form. This includes writing in authorized reference materials during open-book exams and writing in or on unauthorized note or scratch pads.
• Reconstructing or attempting to reconstruct from memory any examination content for any purpose.
• Receiving, soliciting, or possessing current or prior examination content from a person who was not explicitly authorized in writing by DPOR to share the examination content.
• Communicating with any person before, during, or after the examination about specific examination items, questions, answers, or other confidential examination content.
• Exhibiting irrational or disruptive behavior at the examination site.
• Continuing to respond to exam questions whether verbal, online, or in writing after time has been called.

Policy Title: Examination Policy #600-02 Examination Site Conduct [POL543-600_02-v16] Effective: 12/01/2019 Submitted By: Shannon Webster, Director of Education & Examinations Guidance Document: Yes Supersedes: Examination Policy #600-02 Examination Site Conduct (Effective 06/26/2014) Page 1 of 3• Impersonating or attempting to impersonate an examination candidate, or using or attempting to use false identification to take an examination.

• Allowing another person to take or attempt to take your examination.
• Failure to follow any provision of the Candidate Information Bulleting/Handbook or instructions given at the examination site.
• Any non-compliance with § 54.1-102 of the Code of Virginia.

Irregularity Report: Prepared by proctors detailing irregularities like emergencies, improper ID, disturbances, or prohibited conduct.

IV. RELATED DOCUMENTS: Testing Irregularity Report, Examination Agreement

V. GENERAL PROVISIONS:

A. EXAMINATION SITE CONDUCT AGREEMENT: Candidates must read, sign, and submit an agreement acknowledging prohibited conduct and consequences before testing.

B. HANDLING PROHIBITED CONDUCT: Proctors should use judgment, avoid confrontation or physical contact, seek second proctor if possible, document incidents, and follow guidelines.

1. In situations where a candidate is looking at another candidate’s computer screen, answer sheet/test booklet, or giving assistance to another candidate during administration of an examination, the proctor shall reclaim all examination materials and expel the candidate from the test site.
2. In situations where there is unauthorized use of electronic devices, notes, unauthorized notes or scratch pads, sample tests, references, and answer keys during the administration of an examination, the proctor shall reclaim all examination materials and expel the candidate from the test site.
3. In situations where the candidate is copying, recording, transmitting, or attempting to copy, record, or transmit in writing, electronically or by other means, any part of an examination, with or without intent to remove the material from the examination room, the proctor shall reclaim all examination materials, both authorized and unauthorized, and expel the candidate from the test site.
4. In situations where a candidate exhibits distracting or disruptive behavior at the examination site: a. The proctor shall discuss the observed behavior with the exam candidate and request correction of the behavior. b. If the prohibited conduct continues, the proctor shall reclaim all examination materials and expel the candidate from the test site.
5. Continuing to respond to exam questions whether verbal, online, or in paper/pencil format after time has been called: a. The proctor shall warn the candidate that time has been called.

b. After warning, continued prohibited conduct results in collection of materials and expulsion.

1. Any determination of false identity, impersonation, or an attempt to use false identification to impersonate an examination candidate will result in immediate expulsion from the test site. The proctor shall reclaim all examination materials, document the incident, and make copies of any documents provided by the candidate.

Policy Title: Examination Policy #600-02 Examination Site Conduct [POL543-600_02-v16] Effective: 12/01/2019 Submitted By: Shannon Webster, Director of Education & Examinations Guidance Document: Yes Supersedes: Examination Policy #600-02 Examination Site Conduct (Effective 06/26/2014) Page 3 of 3

DIRECTOR’S POLICY #100-14

PUBLIC SERVICE HOURS

Effective Date: September 24, 2009

Jay DeBoer I am approving this document Approved By: 2009.09.24 14:56:42 -04'00'

I. PURPOSE: The purpose of this policy is to establish public service hours for the Department of Professional and Occupational Regulation.

II. POLICY STATEMENT: The Department of Professional and Occupational Regulation public service hours are 8:15 a.m. to 5:00 p.m. Monday through Friday with the exception of those days when state offices are closed due to holidays, inclement weather, emergencies, or as otherwise lawfully directed.

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. PUBLIC SERVICE HOURS ESTABLISHED BY THE DIRECTOR

The Director of the Department of Professional and Occupational Regulation shall establish the Department’s public service hours in accordance with operational and customer service guidelines set for state agencies.

Policy Title: Director’s Policy #100-14 Public Service Hours Effective: 09/24/2009 Submitted By: Dawn Waters, Policy, Planning & Public Records Director Guidance Document: Yes Supersedes: Director’s Policy #100-14 Public Service Hours (Effective 05/21/2003) Page 1 of 1

DIRECTOR’S POLICY #100-14

PUBLIC SERVICE HOURS

Effective Date: September 24, 2009

Jay DeBoer I am approving this document Approved By: 2009.09.24 14:56:42 -04'00'

I. PURPOSE: The purpose of this policy is to establish public service hours for the Department of Professional and Occupational Regulation.

II. POLICY STATEMENT: The Department of Professional and Occupational Regulation public service hours are 8:15 a.m. to 5:00 p.m. Monday through Friday with the exception of those days when state offices are closed due to holidays, inclement weather, emergencies, or as otherwise lawfully directed.

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. PUBLIC SERVICE HOURS ESTABLISHED BY THE DIRECTOR

The Director shall establish the Department’s public service hours per operational and customer service guidelines for state agencies.

Policy Title: Director’s Policy #100-14 Public Service Hours Effective: 09/24/2009 Submitted By: Dawn Waters, Policy, Planning & Public Records Director Guidance Document: Yes Supersedes: Director’s Policy #100-14 Public Service Hours (Effective 05/21/2003) Page 1 of 1

DIRECTOR’S POLICY #100-17 POSTING INFORMATION IN PUBLIC ACCESS AREAS Effective Date: June 8, 2017

Digitally signed by Jay W. DeBoer Approved By: Reason:documentI am approving this Date: 2017.06.08 13:55:45 -04'00' I. PURPOSE: The purpose of this policy is to identify the types of information and promotional materials that may be displayed in the Department’s public access areas.

II. POLICY STATEMENT: Only those informational materials produced by the Department of Professional and Occupational Regulation or another state, local or federal authority associated with one of the Department’s programs may be displayed in DPOR’s public access areas. All other information and items (including but not limited to awards and certificates presented to the Department) may be displayed at the Director’s discretion. The Communications Director shall coordinate the placement of information. Nothing in this policy shall permit placement of materials in any public area DPOR shares with other building tenants.

III. DEFINITIONS: Public Access Areas For the purposes of this policy, DPOR public access areas are located on the fourth floor in the reception area and the sitting area outside of the reception area, and on the first floor in the DPOR Customer Assistance suite. DPOR public access areas do not include Perimeter Center Conference Center waiting areas, hallways or rooms.

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. EXCEPTIONS The following items are exempt from the criteria set forth in this policy.

1. A photograph of the governor
2. The pictorial history of the Department’s Directors
3. Employee Recognition plaques and photographs B. REQUESTS Requests to display information and promotional materials shall be submitted to the Communications Director for consideration. Only those items produced by the organizations included in the Policy Statement with the intent of increasing public awareness and/or educating regulants may be displayed in the Department’s public access areas.

C. REMOVAL OF INFORMATION AND MATERIALS Information shall be displayed until the materials are no longer current or for a length of time established by the Communications Director.

Policy Title: Director’s Policy #100-17 Posting Information in Public Access Areas [POL401-100_17-v4] Effective: 06/08/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-17 Posting Information in Public Access Areas (Effective 10/31/2011) Page 1 of 1

DIRECTOR’S POLICY #100-17 POSTING INFORMATION IN PUBLIC ACCESS AREAS Effective Date: June 8, 2017

Digitally signed by Jay W. DeBoer Approved By: Reason:documentI am approving this Date: 2017.06.08 13:55:45 -04'00' I. PURPOSE: The purpose of this policy is to identify the types of information and promotional materials that may be displayed in the Department’s public access areas.

II. POLICY STATEMENT: Only those informational materials produced by the Department of Professional and Occupational Regulation or another state, local or federal authority associated with one of the Department’s programs may be displayed in DPOR’s public access areas. All other information and items (including but not limited to awards and certificates presented to the Department) may be displayed at the Director’s discretion. The Communications Director shall coordinate the placement of information. Nothing in this policy shall permit placement of materials in any public area DPOR shares with other building tenants.

III. DEFINITIONS: Public Access Areas For the purposes of this policy, DPOR public access areas are located on the fourth floor in the reception area and the sitting area outside of the reception area, and on the first floor in the DPOR Customer Assistance suite. DPOR public access areas do not include Perimeter Center Conference Center waiting areas, hallways or rooms.

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. EXCEPTIONS The following items are exempt from the criteria set forth in this policy.

1. A photograph of the governor
2. The pictorial history of the Department’s Directors
3. Employee Recognition plaques and photographs B. REQUESTS Requests to display information and promotional materials shall be submitted to the Communications Director for consideration. Only those items produced by the organizations included in the Policy Statement with the intent of increasing public awareness and/or educating regulants may be displayed in the Department’s public access areas.

C. REMOVAL OF INFORMATION AND MATERIALS Information shall be displayed until the materials are no longer current or for a length of time established by the Communications Director.

Policy Title: Director’s Policy #100-17 Posting Information in Public Access Areas [POL401-100_17-v4] Effective: 06/08/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-17 Posting Information in Public Access Areas (Effective 10/31/2011) Page 1 of 1

FINANCE POLICY #700-04 REVENUE REFUNDS Effective Date: July 1, 2018

Digitally signed by Jay W. DeBoer Approved By: DN:ou=Director,,cn=Jay W. DeBoer, o=DPOR, email=jay.deboer@dpor.virginia.gov, c=US Date: 2018.07.17 11:31:16 -04'00' I. PURPOSE: The purpose of this policy is to establish guidelines for refunding fees and other monies paid to the Department of Professional and Occupational Regulation.

II. POLICY STATEMENT: The Department of Professional and Occupational Regulation shall process revenue refunds in an accurate and timely manner and in accordance with state policy and Board regulations.

III. DEFINITIONS: Overpayment A payment that exceeds the amount due to the Department.

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. REVENUE REFUNDS

1. The Department shall issue refunds for overpayments of fees and monetary penalties.
2. The Department shall issue refunds for Contractor and Real Estate Transaction Recovery Fund assessments and Appraiser National Registry fees collected from applicants not granted a license.
3. Application fees for licenses, certifications, and registrations and renewal fees are non-refundable.
4. The Finance Section shall process refund requests in accordance with state procedures. a. All checks will be made payable to the regulant regardless of who paid the fee. However, refunds of overpayments may be made to the payer if the payment was for the benefit of more than one regulant. b. Non-regulant refunds shall be made to the original payer. c. Checks will be mailed to the address of record unless different mailing instructions are submitted with the refund request. d. Overpayments made with a credit card shall be refunded to the credit card. Overpayments more than 180 days old will be refunded by check.
5. Whenever a refund request from a regulant is not authorized, the section that received the refund request shall be responsible for informing the regulant.

Policy Title: Finance Policy #700-04 Revenue Refunds [POL405-700_04-v7] Effective: 07/01/2018 Submitted By: Jeff Waite, Financial Services Director Guidance Document: Yes Supersedes: Finance Policy #700-04 Revenue Refunds (Effective 02/10/2012) Page 1 of 1

FINANCE POLICY #700-04 REVENUE REFUNDS Effective Date: July 1, 2018

Digitally signed by Jay W. DeBoer Approved By: DN:ou=Director,,cn=Jay W. DeBoer, o=DPOR, email=jay.deboer@dpor.virginia.gov, c=US Date: 2018.07.17 11:31:16 -04'00' I. PURPOSE: The purpose of this policy is to establish guidelines for refunding fees and other monies paid to the Department of Professional and Occupational Regulation.

II. POLICY STATEMENT: The Department of Professional and Occupational Regulation shall process revenue refunds in an accurate and timely manner and in accordance with state policy and Board regulations.

III. DEFINITIONS: Overpayment A payment that exceeds the amount due to the Department.

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. REVENUE REFUNDS

1. The Department shall refund overpayments of fees and penalties.
2. The Department shall refund Contractor and Real Estate Recovery Fund assessments and Appraiser Registry fees from applicants not licensed.
3. Application fees for licenses, certifications, and registrations and renewal fees are non-refundable.
4. The Finance Section shall process refund requests in accordance with state procedures. a. All checks will be made payable to the regulant regardless of who paid the fee. However, refunds of overpayments may be made to the payer if the payment was for the benefit of more than one regulant. b. Non-regulant refunds shall be made to the original payer. c. Checks will be mailed to the address of record unless different mailing instructions are submitted with the refund request. d. Overpayments made with a credit card shall be refunded to the credit card. Overpayments more than 180 days old will be refunded by check.
5. If a regulant's refund request is unauthorized, the receiving section shall inform the regulant.

Policy Title: Finance Policy #700-04 Revenue Refunds [POL405-700_04-v7] Effective: 07/01/2018 Submitted By: Jeff Waite, Financial Services Director Guidance Document: Yes Supersedes: Finance Policy #700-04 Revenue Refunds (Effective 02/10/2012) Page 1 of 1

LICENSING & REGULATION POLICY #300-11 REGULANT NAME & ADDRESS CHANGES Effective Date: June 13, 2017

Digitally signed by Jay W. DeBoer Approved By: Reason:documentI am approving this Date: 2017.06.14 15:13:48 -04'00' I. PURPOSE: The purpose of this policy is to ensure consistent processing of name and address changes received by the Department of Professional and Occupational Regulation.

II. POLICY STATEMENT: DPOR shall accurately record all requests for name and address changes in a timely manner and in accordance with established EAGLES address definitions, licensing and enforcement systems data entry standards, and United States Postal Service Address Standards.

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS:  Data Entry Standards  USPS Address Standards

V. GENERAL PROVISIONS:

A. WRITTEN REQUESTS REQUIRED

1. Name and address change requests may be submitted by mail (including e-mail) or facsimile on a DPOR Name Change Form, DPOR Address Change Form or other written format. On-line address changes may be performed by the regulant on the Department’s website. Telephone requests for name and address changes shall not be accepted.
2. Individual name change requests must be accompanied by a copy of a marriage certificate, divorce decree, court order, or other official documentation that provides legal proof of the name change.
3. Business name change requests must be accompanied by all information required by the appropriate board regulations for changing a business name (based on State Corporation Commission or locality business requirements).

B. REQUESTS NOT INITIALLY RECEIVED BY THE APPROPRIATE LICENSING SECTION

1. Any regulatory board receiving a request for a name and/or address change not related to the profession or occupation handled by that section shall forward the request to the appropriate licensing section for processing.
2. Compliance and Investigations Division personnel who determine that a regulant’s name, main address and/or physical location is different from the name and address of record shall inform the regulant that a written request for the change with required documentation must be submitted to the appropriate licensing section at the Department of Professional and Occupational Regulation. The licensee’s record shall be changed only upon receipt of written notification.
3. Name and/or address changes submitted to the Education and Examinations Section will be posted to the candidate’s record, then forwarded to the appropriate licensing section to ensure three-year retention in the section’s daily files.

Policy Title: Licensing & Regulation Policy #300-01 Regulant Name & Address Changes [POL406-300_01-v7] Effective: 06/13/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Licensing & Regulation Policy #300-01 Regulant Name & Address Changes (Effective 10/09/2009) Page 1 of 1

LICENSING & REGULATION POLICY #300-11 REGULANT NAME & ADDRESS CHANGES Effective Date: June 13, 2017

Digitally signed by Jay W. DeBoer Approved By: Reason:documentI am approving this Date: 2017.06.14 15:13:48 -04'00' I. PURPOSE: The purpose of this policy is to ensure consistent processing of name and address changes received by the Department of Professional and Occupational Regulation.

II. POLICY STATEMENT: DPOR shall accurately record all requests for name and address changes in a timely manner and in accordance with established EAGLES address definitions, licensing and enforcement systems data entry standards, and United States Postal Service Address Standards.

III. DEFINITIONS: N/A

IV. RELATED DOCUMENTS:  Data Entry Standards  USPS Address Standards

V. GENERAL PROVISIONS:

A. WRITTEN REQUESTS REQUIRED

1. Name and address change requests may be submitted by mail (including email) or facsimile using a DPOR Name or Address Change Form or other written format. Online changes can be made by the regulant on the Department’s website. Telephone requests are not accepted.
2. Individual name change requests must include official documentation such as a marriage certificate, divorce decree, or court order as legal proof.
3. Business name change requests must include all information required by board regulations for changing a business name, based on SCC or local requirements.

B. REQUESTS NOT INITIALLY RECEIVED BY THE APPROPRIATE LICENSING SECTION

1. Regulatory boards receiving name/address change requests unrelated to their profession shall forward them to the appropriate licensing section.
2. Compliance and Investigations Division personnel who determine that a regulant’s name, main address and/or physical location is different from the name and address of record shall inform the regulant that a written request for the change with required documentation must be submitted to the appropriate licensing section at the Department of Professional and Occupational Regulation. The licensee’s record shall be changed only upon receipt of written notification.
3. Name/address changes submitted to Education and Examinations will be posted to the candidate’s record and forwarded to the licensing section for three-year retention.

Policy Title: Licensing & Regulation Policy #300-01 Regulant Name & Address Changes [POL406-300_01-v7] Effective: 06/13/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Licensing & Regulation Policy #300-01 Regulant Name & Address Changes (Effective 10/09/2009) Page 1 of 1

LICENSING & REGULATION POLICY #300-02 APPLICATION & APPLICATION FEE EXPIRATION Effective Date: July 1, 2018

Digitally signed by Jay W. DeBoer DN: cn=Jay W. DeBoer, o=DPOR, ou=Director,, email=jay.deboer@dpor.virginia.gov, c=US Approved By: Date: 2018.07.26 14:35:24 -04'00'

I. PURPOSE: The purpose of this policy is to document the length of time license applications are valid.

II. POLICY STATEMENT: Unless otherwise stated in Department or Board regulations, initial and reinstatement applications for licensure, certification or registration shall be valid for one year from the date the application is received by the Department of Professional and Occupational Regulation (DPOR). If the requested authorization to practice the profession or occupation is not granted within the period established by this policy, the application shall expire.

III. DEFINITIONS: Application For the purposes of this policy only, applications shall include applications for initial licensure, certification or registration; applications for reinstatement of licensure, certification or registration; and all required supplemental documentation and fees. Renewal applications are excluded from the provisions of this policy.

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS: A. Unless otherwise stated in Department or Board regulations, initial and reinstatement applications for licensure, certification or registration shall expire one year from the date the application is received by the Department.

B. Fees associated with unexpired reinstatement applications shall be assessed once per transaction (decision to approve or deny). This includes reinstatement applications valid for more than one year pursuant to Department or Board regulations.

C. Application and reinstatement fees associated with unexpired applications may be transferred to another application in the same board or regulatory program at the Board’s discretion. This includes updated applications requested by the Board or regulatory program.

D. Application and reinstatement fees for expired applications are nonrefundable and shall not be applied or transferred to another application.

Policy Title: Licensing & Regulation Policy #300-02 Application & Application Fee Expiration [POL427-300_02-v3] Effective: 07/01/2018 Submitted By: Mary Broz-Vaughan, Deputy Director of Communications & Board Operations Guidance Document: Yes Supersedes: Licensing & Regulation Policy #300-02 Application & Application Fee Expiration (Effective 10/31/2011) Page 1 of 1

LICENSING & REGULATION POLICY #300-02 APPLICATION & APPLICATION FEE EXPIRATION Effective Date: July 1, 2018

Digitally signed by Jay W. DeBoer DN: cn=Jay W. DeBoer, o=DPOR, ou=Director,, email=jay.deboer@dpor.virginia.gov, c=US Approved By: Date: 2018.07.26 14:35:24 -04'00'

I. PURPOSE: The purpose of this policy is to document the length of time license applications are valid.

II. POLICY STATEMENT: Unless otherwise stated in Department or Board regulations, initial and reinstatement applications for licensure, certification or registration shall be valid for one year from the date the application is received by the Department of Professional and Occupational Regulation (DPOR). If the requested authorization to practice the profession or occupation is not granted within the period established by this policy, the application shall expire.

III. DEFINITIONS: Application For the purposes of this policy only, applications shall include applications for initial licensure, certification or registration; applications for reinstatement of licensure, certification or registration; and all required supplemental documentation and fees. Renewal applications are excluded from the provisions of this policy.

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS: A. Unless otherwise stated in Department or Board regulations, initial and reinstatement applications for licensure, certification or registration shall expire one year from the date the application is received by the Department.

B. Fees associated with unexpired reinstatement applications shall be assessed once per transaction (decision to approve or deny). This includes reinstatement applications valid for more than one year pursuant to Department or Board regulations.

C. Application and reinstatement fees associated with unexpired applications may be transferred to another application in the same board or regulatory program at the Board’s discretion. This includes updated applications requested by the Board or regulatory program.

D. Application and reinstatement fees for expired applications are nonrefundable and shall not be applied or transferred to another application.

Policy Title: Licensing & Regulation Policy #300-02 Application & Application Fee Expiration [POL427-300_02-v3] Effective: 07/01/2018 Submitted By: Mary Broz-Vaughan, Deputy Director of Communications & Board Operations Guidance Document: Yes Supersedes: Licensing & Regulation Policy #300-02 Application & Application Fee Expiration (Effective 10/31/2011) Page 1 of 1

LICENSING & REGULATION POLICY #300-03 EXPEDITED LICENSING OF MILITARY SPOUSES Effective Date: October 7, 2016 Approved By: DigitallyReason: signedI am approvingby Jay W.thisDeBoerdocument Date: 2016.10.07 15:00:50 -04'00' I. PURPOSE: The purpose of this policy is to document the requirements that must be met for military spouses to qualify for expedited processing of license applications under the provisions of § 54.1-119 of the CodeofVirginia.

II. POLICY STATEMENT: Pursuant to § 54.1-119 of the CodeofVirginia, the Department of Professional and Occupational Regulation shall expedite the processing of applications for military spouses that meet the qualifications set forth in statute.

III. DEFINITIONS: Expedited processing Processing of applications under the provisions of § 54.1-119 of the Code of Virginiais performed as soon as practicable and not based on order of receipt.

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

A. APPLICABILITY This policy applies to those applicants who hold a license, certificate, registration, permit or other authorization in another jurisdiction where the Virginia Board has deemed the entry requirements to be substantially equivalent to those in Virginia.

B. REQUIREMENTS The Department shall expedite the processing of applications for individuals that meet the following criteria.

1. The applicant shall submit a complete application.
2. The applicant must hold the same or similar license, certificate, registration, permit, or other authorization required for the practice of any business, profession or occupation issued by another jurisdiction based on requirements in such other jurisdiction that are substantially equivalent to those required in Virginia.
3. The applicant shall not have engaged in any act that would constitute grounds for disciplinary action.
4. The applicant’s spouse must be the subject of a military transfer to the Commonwealth of Virginia.
5. If the board is unable to complete the review of the documentation provided by the applicant or make a final determination regarding substantial equivalency within 20 days of receipt of a completed application, the board shall issue a temporary license, permit or certificate provided the applicant otherwise meets the qualifications set forth in subsection A of §54.1-119 of the CodeofVirginia. A temporary license, permit or certificate shall be valid for twelve months or until the permanent license, permit or certificate is issued, whichever occurs first. Temporary licenses, permits or certificates shall not be renewed or reinstated.

C. NON-QUALIFIED APPLICANTS Applicants applying under the provisions of §54.1-119 of the CodeofVirginiathat do not appear to meet all requirements for expedited processing shall have their application reviewed, receive notification of deficiencies and be scheduled for any administrative proceedings in an expeditious manner.

D. EXEMPTIONS The provisions of §54.1-119 of the CodeofVirginia do not apply to Branch Pilot licenses issued by other jurisdictions as they are not deemed substantially equivalent.

Policy Title: Licensing & Regulation Policy #300-03 Expedited Licensing of Military Spouses [POL406-300_03-v4] Effective: 10/07/2016 Submitted By: Mary Broz-Vaughan, Communications Director Guidance Document: Yes Supersedes: Licensing & Regulation Policy #300-03 Expedited Licensing of Military Spouses (Effective 07/01/2016) Page 1 of 1

LICENSING & REGULATION POLICY #300-03 EXPEDITED LICENSING OF MILITARY SPOUSES Effective Date: October 7, 2016 Approved By: DigitallyReason: signedI am approvingby Jay W.thisDeBoerdocument Date: 2016.10.07 15:00:50 -04'00' I. PURPOSE: The purpose of this policy is to document the requirements that must be met for military spouses to qualify for expedited processing of license applications under the provisions of § 54.1-119 of the CodeofVirginia.

II. POLICY STATEMENT: Pursuant to § 54.1-119 of the CodeofVirginia, the Department of Professional and Occupational Regulation shall expedite the processing of applications for military spouses that meet the qualifications set forth in statute.

III. DEFINITIONS: Expedited processing Processing of applications under the provisions of § 54.1-119 of the Code of Virginiais performed as soon as practicable and not based on order of receipt.

IV. RELATED DOCUMENTS: n/a

V. GENERAL PROVISIONS:

A. APPLICABILITY This policy applies to those applicants who hold a license, certificate, registration, permit or other authorization in another jurisdiction where the Virginia Board has deemed the entry requirements to be substantially equivalent to those in Virginia.

B. REQUIREMENTS: The Department shall expedite applications for individuals meeting the following criteria.

1. The applicant shall submit a complete application.
2. The applicant must hold the same or similar license, certificate, registration, permit, or other authorization required for the practice of any business, profession or occupation issued by another jurisdiction based on requirements in such other jurisdiction that are substantially equivalent to those required in Virginia.
3. The applicant must not have engaged in acts grounds for disciplinary action.
4. The applicant’s spouse must be transferred to Virginia by the military.
5. If review isn't complete within 20 days, the board shall issue a temporary license, valid for 12 months or until the permanent license is issued; it cannot be renewed or reinstated, if the applicant otherwise qualifies per §54.1-119.

C. NON-QUALIFIED APPLICANTS Applicants applying under the provisions of §54.1-119 of the CodeofVirginiathat do not appear to meet all requirements for expedited processing shall have their application reviewed, receive notification of deficiencies and be scheduled for any administrative proceedings in an expeditious manner.

D. EXEMPTIONS: §54.1-119 does not apply to Branch Pilot licenses issued by other jurisdictions, as they are not deemed substantially equivalent.

Policy Title: Licensing & Regulation Policy #300-03 Expedited Licensing of Military Spouses [POL406-300_03-v4] Effective: 10/07/2016 Submitted By: Mary Broz-Vaughan, Communications Director Guidance Document: Yes Supersedes: Licensing & Regulation Policy #300-03 Expedited Licensing of Military Spouses (Effective 07/01/2016) Page 1 of 1

DIRECTOR’S POLICY #100-11 INTERNET WEBSITE Effective Date: June 8, 2017

Digitally signed by Jay W. DeBoer Reason: I am approving this Approved By: document Date: 2017.06.08 13:43:38 -04'00' I. PURPOSE: The purpose of this policy is to provide clear and concise Internet website content guidelines to the Department of Professional and Occupational Regulation employees and contractors to ensure continuous access to accurate information through consistent management of the Department’s website, including authorized placement and removal of information.

II. POLICY STATEMENT: The Department’s Internet website shall present information about the Department’s mission, regulations and services provided to regulants and the public. To the extent possible, the Department shall provide data and on-line services to regulants and the general public. The contents of the Department’s Internet website are the property of the Department of Professional and Occupational Regulation and are subject to the Virginia Freedom of Information Act.

III. DEFINITIONS: Data services Regulant information available for public disclosure, including but not limited to license status and disciplinary actions.

Internet A global web of interconnected networks and computers.

Hyperlink/link In hypertext systems, such as the World Wide Web, a link is a reference or connection to another document or Internet site.

Online services Interactive transactions offered to regulants and the general public.

Web coordinator An individual within the Communications and Board Operations Division responsible for website updates, security and maintenance as well as ensuring website availability to the Department and the general public.

Website A site (location) on the World Wide Web. Each website contains a home or main page that typically serves as an index or table of contents to other documents stored on the site. The site may also contain additional documents, files and links to other sites. Each site is owned and managed by an individual, company or organization.

Website liaison An individual designated within each operational unit to review and prepare website information relevant to the work unit.

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. WEBSITE FORMAT The Department Communications Director shall be responsible for the layout and content of the DPOR website.

Web site page templates shall be developed or provided by the Communications Director in consultation with the site vendor.

B. GENERAL

1. The Communications Director shall oversee the Department’s website to ensure that the information on the site is professional, clear, accurate, current and concise.
2. Each operational unit shall designate a website liaison responsible for the accuracy of the unit’s website

Policy Title: Director’s Policy #100-11 Internet Website [POL401_100-11_v6] Effective 06/08/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-11 Internet Web Site (Effective 02/25/2010) Page 1 of 2information. The website liaison shall consult with the Communications Director prior to submitting any substantive website changes to the Web Coordinator.

1. The Department’s Internet website and its document collection may include hyperlinks to sites on the World Wide Web or Internet. Links that have value as educational, reference or research tools or relate to the mission of the Department and the Commonwealth of Virginia may be included on the Department’s website.

Any proposed links shall be submitted for approval to the Communications Director.

1. Data and online services shall be developed by the Information Systems Division in cooperation with the appropriate operational units and shall not be subject to the content review and approval provisions of this policy.
2. Applications and other forms developed in accordance with Information Management Procedure #1002 Forms Design shall not be subject to the content review and approval provisions of this policy. Requests to post applications and forms shall be submitted to the Forms Design Analyst or Web Coordinator with a copy to the appropriate operational unit.

C. CHANGES TO THE DEPARTMENT WEBSITE

1. Each operational unit shall perform periodic reviews of the information on the Department’s website.
2. The unit’s website liaison shall e-mail new or revised information to the DPOR Web Coordinator. Substantive changes to website content shall be reviewed by the Communications Director prior to submittal to the Web Coordinator.
3. The Web Coordinator will transfer files to the Department’s website. If necessary, links to access the information will be added or modified by the Web Coordinator. E-mail notification shall be sent to the website liaison when the new information is available to the public.
4. Web content files shall be supplied in an Internet ready form as an HTML document, Adobe Acrobat .pdf format, or graphic format such as .jpd, .gif or .bmp. Forms and license applications shall be available in Adobe .pdf format only.

D. RETENTION OF INFORMATION ON THE DEPARTMENT’S WEBSITE

1. Information may remain on the Department’s website for as long as it is current.
2. Any unique information available only on the Department’s website (and not in any other format) shall be printed by the unit’s website liaison and forwarded to the Information Management Section for retention in a state archives file. Website information that is a duplication of a public record available in another format does not require separate record retention consideration.

Policy Title: Director’s Policy #100-11 Internet Website [POL401_100-11_v6] Effective 06/08/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-11 Internet Web Site (Effective 02/25/2010) Page 2 of 2

DIRECTOR’S POLICY #100-11 INTERNET WEBSITE Effective Date: June 8, 2017

Digitally signed by Jay W. DeBoer Reason: I am approving this Approved By: document Date: 2017.06.08 13:43:38 -04'00' I. PURPOSE: The purpose of this policy is to provide clear and concise Internet website content guidelines to the Department of Professional and Occupational Regulation employees and contractors to ensure continuous access to accurate information through consistent management of the Department’s website, including authorized placement and removal of information.

II. POLICY STATEMENT: The Department’s Internet website shall present information about the Department’s mission, regulations and services provided to regulants and the public. To the extent possible, the Department shall provide data and on-line services to regulants and the general public. The contents of the Department’s Internet website are the property of the Department of Professional and Occupational Regulation and are subject to the Virginia Freedom of Information Act.

III. DEFINITIONS: Data services Regulant information available for public disclosure, including but not limited to license status and disciplinary actions.

Internet A global web of interconnected networks and computers.

Hyperlink/link In hypertext systems, such as the World Wide Web, a link is a reference or connection to another document or Internet site.

Online services Interactive transactions offered to regulants and the general public.

Web coordinator An individual within the Communications and Board Operations Division responsible for website updates, security and maintenance as well as ensuring website availability to the Department and the general public.

Website A site (location) on the World Wide Web. Each website contains a home or main page that typically serves as an index or table of contents to other documents stored on the site. The site may also contain additional documents, files and links to other sites. Each site is owned and managed by an individual, company or organization.

Website liaison An individual designated within each operational unit to review and prepare website information relevant to the work unit.

IV. RELATED DOCUMENTS: N/A

V. GENERAL PROVISIONS:

A. WEBSITE FORMAT The Department Communications Director shall be responsible for the layout and content of the DPOR website.

Web page templates shall be developed or provided by the Communications Director in consultation with the vendor.

B. GENERAL

1. The Communications Director shall oversee the website to ensure information is professional, clear, accurate, current, and concise.
2. Each operational unit shall designate a website liaison responsible for accuracy.

Policy Title: Director’s Policy #100-11 Internet Website [POL401_100-11_v6] Effective 06/08/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-11 Internet Web Site (Effective 02/25/2010) Page 1 of 2information. The website liaison shall consult with the Communications Director prior to submitting any substantive website changes to the Web Coordinator.

1. The website may include hyperlinks to Web sites that serve educational, reference, research, or mission-related purposes.

Any proposed links shall be submitted for approval to the Communications Director.

1. Data and online services shall be developed by the Information Systems Division with operational units and are not subject to this policy’s review provisions.
2. Applications and forms per Procedure #1002 are not subject to review. Requests to post them shall be submitted to the Forms Design Analyst or Web Coordinator, with a copy to the operational unit.

C. CHANGES TO THE DEPARTMENT WEBSITE

1. Each operational unit shall periodically review website information.
2. The liaison shall email new or revised info to the Web Coordinator. Substantive changes require review by the Communications Director before submission.
3. The Web Coordinator will upload files, modify links if needed, and notify the liaison when info is public.
4. Web files shall be in HTML, PDF, or graphic formats (.jpg, .gif, .bmp). Forms and license applications shall be in PDF only.

D. RETENTION OF INFORMATION ON THE DEPARTMENT’S WEBSITE

1. Information may remain on the website as long as current.
2. Any unique information on the Department’s website must be printed by the website liaison and forwarded to the Information Management Section for archival retention. Duplicates of public records in other formats do not require separate retention.

Same as previous, no change needed.

Guidance Document To: Regulants & Other Members of the Public From: Virginia Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers, and Landscape Architects (APELSCIDLA Board) Date: June 30, 2011 (Revised September 15, 2015) Re: Requirements for the Use of Topographic Surveys, Orthographic Maps or other Geospatial Data in Virginia Purpose The purpose of this document is to clarify 18VAC10-20-382.B.11 of the Board’s regulations, performance standards for conducting topographic surveys, and the use of these maps and other geospatial data.

Statement Requirement for Surveys Currently, Board regulations require that a certification statement be included with all topographic surveys: 18VAC10-20-382.B.11 “A statement, in the following form, shall be shown on or contained in plats, maps, or digital geospatial data including metadata: This ________________ (provide description of the project) was completed under the direct and responsible charge of, _______________________________ (Name of Surveyor or Surveyor Photogrammetrist) from an actual Ground or Airborne (check the one that is applicable) survey made under my supervision; that the imagery and/or original data was obtained on ______________ (Date); and that this plat, map, or digital geospatial data including metadata meets minimum accuracy standards unless otherwise noted.”

The statement indicates that the “Name of Surveyor or Surveyor Photogrammetrist” is required. The individuals authorized to perform topographic surveys are land surveyors and surveyor photogrammetrists licensed pursuant to 54.1-400 (et seq.) of the Code of Virginia. However, licensed architects and professional engineers are also authorized by Virginia statute to perform topographic surveys provided the survey is incidental to the architectural or engineering project, respectively: § 54.1-401. Exemptions. “The following shall be exempted from the provisions [surveyor license] of this chapter:

1. Practice of professional engineering and land surveying by a licensed architect when such practice is incidental to what may be properly considered an architectural undertaking.
2. Practice of architecture and land surveying by a licensed professional engineer when such practice is incidental to an engineering project.” It is the intent of the Board’s regulations that the statement required by 18VAC10-20-382.B.11 of the Board’s regulations be signed by whichever professional completed the survey- surveyor, surveyor photogrammetrist, architect, or professional engineer.

Survey Performance Standard Board regulations also require that any licensed professional, authorized to perform a survey, must perform the survey to the standards contained in 18VAC10-20-382 of the Board’s regulations: 18VAC10-20-730.C “The professional shall adhere to the minimum standards and requirements pertaining to the practice of his own profession, as well as other professions if incidental work is performed.”

When a licensed surveyor or surveyor photogrammetrist performs a topographic survey, or if an architect or professional engineer performs a topographic survey incidental to an architectural or engineering project, respectively, he must seal, sign, and date the survey per Board regulations: 18VAC10-20-382.A “The minimum standards and procedures set forth in this section are to be used for topographic surveys performed in the Commonwealth of Virginia pursuant to Chapter 4 (§ 54.1-400 et seq.) of Title 54.1 of the Code of Virginia. The application of the professional's seal, signature and date as required by these regulations shall be evidence that the topographic survey is correct to the best of the professional's knowledge and belief, and complies with the minimum standards and procedures.”

Board regulations also require a seal, signature, and date even in situations where a license is not required: 18VAC10-20-760.B.4 “The seal of each professional responsible for each profession shall be used and shall be on each document that was prepared under the professional's direction and for which that professional is responsible. If one of the exemptions found in § 54.1-402 of the Code of Virginia is applicable, a professional licensed or certified by this board shall nevertheless apply his seal to the exempt work.”

Use of Unregulated Topographic Surveys The Code of Virginia requires that a topographic survey be performed by a professional who is duly licensed by the Board. Topographic surveys used in the design, modification, construction of improvements to real property, or for flood plain determination must be sealed, signed, and dated by the licensed professional who performed the survey or directly supervised the person who performed the survey. A topographic survey that is not sealed, signed, and dated by a professional must only be used for general information pursuant to Virginia statute: § 54.1-402.C Further exemptions from license requirements for architects, professional engineers, and land surveyors. (third paragraph) “Any person not licensed pursuant to subsection B of § 54.1-404 or 54.1-406 preparing documentation pursuant to subsection C of § 54.1-402 shall note the following on such documentation: "Any determination of topography or contours, or any depiction of physical improvements, property lines or boundaries is for general information only and shall not be used for the design, modification, or construction of improvements to real property or for flood plain determination."  Page 2 Use of Unregulated Geospatial Data In 2012, a state-wide orthographic database for general use by the public was created.

Since that time, it has come to the attention of the APELSCIDLA Board that these maps may have been used, or may currently be being used, for professional design services, including, but not necessarily limited to, design of improvements to real property, flood plain determination for the determination of flood zone limits, downstream flood inundation zones below regulated dams and the design of public roads. That noted, pursuant to §54.1-402.C, all regulants are advised that these maps do not approach the level of accuracy for use in providing design services; therefore, design professionals are cautioned that the use of this public data may be deemed a violation, as this data does not meet the minimum standards of accuracy required for use by design professionals and may be injurious to the health, safety and welfare of the public.

Summary The excerpts from Virginia statutes and Board regulations are provided above for your convenience to help you locate the text from the administrative and positive law that establishes the Board’s authority.

To conclude the information above, the following summaries of this document are provided:

Although the Board’s regulations indicate that the survey statement requires the “Name of Surveyor or Surveyor Photogrammetrist”, the architect or engineer who performed the survey, or directly supervised the individual who performed the survey, must place his name on the statement required by the regulations.

1. Surveys must be performed to the standards established in the Board’s regulations whether the survey is performed by a licensed surveyor, surveyor photogrammetrist, architect, or professional engineer as indicated in this document. All surveys, regardless of whether exempt from statutory licensure requirements, must be sealed, signed, and dated by the professional who performed the survey or directly supervised the individual who performed the survey.
2. Any professional licensed by the Board, who utilizes a topographic survey to perform professional work, must ensure that the survey is sealed, signed, and dated properly as indicated above.
3. USGS quad sheets and GIS data, unregulated orthographic surveys, or other unregulated topographic surveys prepared pursuant to §54.1-402.C of the Code of Virginia, may be used for general information and need not be signed and sealed. The use of unsigned information must include a statement clearly depicting the use of those documents and their origin.  Page 3

Guidance Document To: Regulants & Other Members of the Public From: Virginia Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers, and Landscape Architects (APELSCIDLA Board) Date: June 30, 2011 (Revised September 15, 2015) Re: Requirements for the Use of Topographic Surveys, Orthographic Maps or other Geospatial Data in Virginia Purpose The purpose of this document is to clarify 18VAC10-20-382.B.11 of the Board’s regulations, performance standards for conducting topographic surveys, and the use of these maps and other geospatial data.

Statement Requirement for Surveys Currently, Board regulations require that a certification statement be included with all topographic surveys: 18VAC10-20-382.B.11 “A statement, in the following form, shall be shown on or contained in plats, maps, or digital geospatial data including metadata: This ________________ (provide description of the project) was completed under the direct and responsible charge of, _______________________________ (Name of Surveyor or Surveyor Photogrammetrist) from an actual Ground or Airborne (check the one that is applicable) survey made under my supervision; that the imagery and/or original data was obtained on ______________ (Date); and that this plat, map, or digital geospatial data including metadata meets minimum accuracy standards unless otherwise noted.”

The surveyor or photogrammetrist’s name is required. Authorized surveyors include licensed land surveyors, surveyor photogrammetrists, architects, and engineers when incidental to their projects: § 54.1-401. Exemptions apply.

1. Licensed architects may practice engineering and land surveying incident to architectural work.
2. Licensed engineers may practice architecture and land surveying incident to engineering projects; the survey statement must be signed by the professional who completed it.

Licensed professionals must perform surveys per standards in 18VAC10-20-382 and 18VAC10-20-730.C, adhering to minimum standards for their profession and incidental work.

When a licensed surveyor or surveyor photogrammetrist performs a topographic survey, or if an architect or professional engineer performs a topographic survey incidental to an architectural or engineering project, respectively, he must seal, sign, and date the survey per Board regulations: 18VAC10-20-382.A “The minimum standards and procedures set forth in this section are to be used for topographic surveys performed in the Commonwealth of Virginia pursuant to Chapter 4 (§ 54.1-400 et seq.) of Title 54.1 of the Code of Virginia. The application of the professional's seal, signature and date as required by these regulations shall be evidence that the topographic survey is correct to the best of the professional's knowledge and belief, and complies with the minimum standards and procedures.”

Board regulations also require a seal, signature, and date even in situations where a license is not required: 18VAC10-20-760.B.4 “The seal of each professional responsible for each profession shall be used and shall be on each document that was prepared under the professional's direction and for which that professional is responsible. If one of the exemptions found in § 54.1-402 of the Code of Virginia is applicable, a professional licensed or certified by this board shall nevertheless apply his seal to the exempt work.”

Use of Unregulated Topographic Surveys The Code of Virginia requires that a topographic survey be performed by a professional who is duly licensed by the Board. Topographic surveys used in the design, modification, construction of improvements to real property, or for flood plain determination must be sealed, signed, and dated by the licensed professional who performed the survey or directly supervised the person who performed the survey. A topographic survey that is not sealed, signed, and dated by a professional must only be used for general information pursuant to Virginia statute: § 54.1-402.C Further exemptions from license requirements for architects, professional engineers, and land surveyors. (third paragraph) “Any person not licensed pursuant to subsection B of § 54.1-404 or 54.1-406 preparing documentation pursuant to subsection C of § 54.1-402 shall note the following on such documentation: "Any determination of topography or contours, or any depiction of physical improvements, property lines or boundaries is for general information only and shall not be used for the design, modification, or construction of improvements to real property or for flood plain determination."  Page 2 Use of Unregulated Geospatial Data In 2012, a state-wide orthographic database for general use by the public was created.

Since that time, it has come to the attention of the APELSCIDLA Board that these maps may have been used, or may currently be being used, for professional design services, including, but not necessarily limited to, design of improvements to real property, flood plain determination for the determination of flood zone limits, downstream flood inundation zones below regulated dams and the design of public roads. That noted, pursuant to §54.1-402.C, all regulants are advised that these maps do not approach the level of accuracy for use in providing design services; therefore, design professionals are cautioned that the use of this public data may be deemed a violation, as this data does not meet the minimum standards of accuracy required for use by design professionals and may be injurious to the health, safety and welfare of the public.

Summary: Virginia statutes and regulations above establish the Board’s authority.

Below are summaries of this document:

Architect or engineer who performed or supervised the survey must sign the statement, even if regulations specify the “Name of Surveyor or Surveyor Photogrammetrist”.

1. All surveys, licensed or exempt, must meet standards and be sealed, signed, and dated by the performing or supervising professional.
2. Licensed professionals using topographic surveys must ensure they are sealed, signed, and dated properly.
3. USGS quad sheets and GIS data, unregulated orthographic surveys, or other unregulated topographic surveys prepared pursuant to §54.1-402.C of the Code of Virginia, may be used for general information and need not be signed and sealed. The use of unsigned information must include a statement clearly depicting the use of those documents and their origin.  Page 3

In accordance with § 2.2-4002.1 of the Code of Virginia, this proposed guidance document conforms to the definition of a guidance document in § 2.2-4101.

Virginia Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers, and Landscape Architects (APELSCIDLA Board)

GUIDANCE DOCUMENT: Property lines along public roads without recorded fee simple right of way

Adopted July 15, 2020 Effective December 1, 2020

Applicable Regulations 18VAC10-20-370.B. Minimum standards and procedures for land boundary surveying practice. Research Procedure. The professional shall search the land records for the proper description of the land to be surveyed and obtain the description of adjoining land(s) as it pertains to the common boundaries. The professional shall have the additional responsibility to utilize such other available data pertinent to the survey being performed from any other known sources.

Evidence found, from all known sources, including evidence found in the field, shall be carefully compared in order to aid in the establishment of the correct boundaries of the land being surveyed.

The professional shall clearly identify on the plats, maps, and reports inconsistencies found in the research of common boundaries between the land being surveyed and the adjoining land(s). It is not the intent of this regulation to require the professional to research the question of title or encumbrances on the land involved.

18VAC10-20-370.C. 4. Minimum standards and procedures for land boundary surveying practice. Minimum Field Procedures. Monumentation. As a requisite for completion of the work product, each land boundary survey of a tract or parcel of land shall be monumented with objects made of permanent material at all corners and changes of direction on the land boundary with the exceptions of meanders, such as meanders of streams, tidelands, lakes, swamps and prescriptive rights-of-way, and each such monument, other than a natural monument, shall, when physically feasible, be identified by a temporary witness marker. Where it is not physically feasible to set actual corners, appropriate reference monuments shall be set, preferably on line, and the location of each shall be shown on the plat or map of the land boundary. 2 Issue Solving any boundary retracement problem requires two elements: the written intention of the parties and the physical evidence that documents or witnesses the written intention. What is the surveyor to do when the road is a prescriptive right?

This guidance document highlights the generally acceptable practices for surveys along prescriptive roads. There are many of these roads in Virginia. Prescriptive easements arise from continuous use of a particular area for a particular purpose for a requisite period with knowledge and acquiescence of the owners. These easements are thought vested in the public interest for purpose and right-of-passage over the way.

Background Surveying after someone placed monuments 15’ from the centerline of the traveled way along a prescriptive easement road can raise questions. Did they intend to sever the 15’ strip? Did they record a plat of survey, and metes and bounds description where they reference those as an offset to the centerline?

Consider the Virginia Administrative Code provides that prescriptive easement roads need not be monumented (18VAC10-20-370.C.4).

Do we treat found, called pipe along the sidelines as offsets to the true corners? Under closer inspection of the chain of title for the property, we often find no mention of intention to dedicate fee simple right of way. The property likely passed multiple conveyances using such description which patently severs the subject property from the area of the prescriptive easement. How then is best to handle the severed strip and the property fronting the road?

Provided there is no affirmative fee simple dedication on record, accepted rules of law for reconstruction of intent, namely, that “called for” natural monument overrides an artificial monument,1 thus center of traveled way overrides the set pipe if the deed calls the road as the boundary. Also provided the metes and bounds description clearly indicates a property not including the road, and is whole and complete upon its face, the deed description can be interpreted primarily in two ways using existing case law as guidance.

More recent roads and streets are likely conveyed to the municipality. Dedication of platted streets conveys in fee simple to the municipality upon plat recordation after July 1, 1946 when the (state) Subdivision Code authorized the action of automatically conveying fee of rights-of-way of duly approved subdivisions to the municipality. (For further information, see Code of Virginia § 15.2-2265. Recordation of approved plat as transfer of streets, termination of easements and rights-of-way, etc.) 1 “Where the description in a deed is not ambiguous, but certain and complete, there is no occasion to resort to extrinsic evidence to ascertain the intent of the parties as to the land intended to be conveyed,” (Ault v. Clark, 112 N.E. 843 (1916)).

Assume the strip may not have conveyed. The preferred solution is cleaning the chain of title. This may be the most advantageous solution when working toward a fee simple dedication for expanding the road. Cleaning the title of uncertainties by using eminent domain condemnation on the severed strip, via a plat styled for Heirs and Assigns of <name of Last Known Owner>, and/or Owners Unknown is an effective solution allowing any interested parties to come forward yet, still gaining fee simple title for the City, County, Town, or Commonwealth. This solution should be undertaken in consultation with the municipality. 3 The prescriptive right of way roads in VDOT Secondary Street System Maintenance are often referred to as “Byrd Act Roads.” This misnomer generally refers to roads not dedicated in fee simple. Nothing within the act guides the surveyor on how to delineate the existing roads. The Byrd Act is legislation from Virginia Acts of Assembly, VA 1932, which provided relief to counties for road construction and maintenance. It created the Secondary System of Highways, and passed whatever title and interests in public roads, held by participating counties to the Commonwealth.

However, in 1932, almost all roads were by common use, prescriptive. Counties generally held no title interests to the roads at that time.

Board Guidance Surveyors often retrace property boundaries abutting public roads with no recorded fee simple right of way. These roads are often described as prescriptive right of way or prescriptive easement and are normally 30’ wide. The following shall apply to the location of the property line along these roads:

Based on the recorded descriptions the surveyor shall determine when the road is the controlling monument, as in this example: “along the Ox Road, the following courses, N 27 1/2° W, 9 poles.” Generally, calls for the center of the road, along the road, or similar phrases indicate the monument is controlling. In those cases, the center of the road is the boundary.

When there is evidence of an old road scar or the current road having been in a different location, a determination of whether to use the current road or the old road location shall be made based on the preponderance of the evidence and information that can be obtained. The property line shall be established using the center of one road location or the other.

Under no circumstance shall the property line be established as 15’ from the center of the road without recorded fee simple dedication for public road purposes.

Surveyors often retrace property boundaries abutting public roads with no recorded fee simple right of way where a previous survey has mistakenly established the property line as being 15’ off the center of the road. The following shall apply with regard to the location of the property line along the road in such situations: Unless there is evidence to the contrary, the assumption shall be made that the intent was not to sever or create a parcel 15’ wide along the road. Further, the assumption shall be made that the “grantor is presumed to intend to convey the largest bundle of rights he or she possesses.”2 The new survey shall go to the center of the center of the road or old property line location as described previously. 2 In absence of a “clearly and expressly reserved legal title,” (Smith v. Smith, 622 A.2d 642 (1993)) assume the grantor conveyed the full bundle of rights they held, not intending to hold back a strip. Inconsistencies and uncertainties are "resolved in favor of the grantee as long as such a construction does not violate any apparent intention of the parties to the transaction." Rohner v. Niemann, 380 A.2d at 552. (Id.) and “a conveyance of title to adjacent property served by an easement is presumed to pass title to the center line of the easement. 12 Am.Jur.2d Boundaries §§ 22, 38, 54 and 55 (1964). (Id.) This approach assumes the title passed with each conveyance and likely is sufficient for successive conveyances not submitting property to an act of subdivision, nor a fee simple dedication for an expansion of the road. 4 Surveyors should be aware of the statute, administrative code, case law, and agency guidance for solving boundaries involving public roads without recorded fee simple right of way. There are several resources in the references below with which the practicing surveyor should be familiar.

References Ault v. Clark, 112 N.E. 843 (1916)

Code of Virginia, 2020, Title 15.2. Counties, Cities and Towns, Chapter 22. Planning, Subdivision of Land and Zoning, § 15.2-2265. Recordation of approved plat as transfer of streets, termination of easements and rights-of-way, etc. Retrieved from: https://law.lis.virginia.gov/vacode/title15.2/chapter22/

Code of Virginia, 2020, Title 33.2. Highways and Other Surface Transportation Systems Chapter 1. Definitions and General Provisions, § 33.2-105. Evidence as to existence of a public highway. Retrieved from: https://law.lis.virginia.gov/vacode/title33.2/chapter1/section33.2-105/

Smith v. Smith, 622 A.2d 642 (1993) Spainhour v. Huffman, 237 Va. 340, 377 S.E.2d. 615; 1989 Va.

Survey Manual, Virginia Department of Transportation, 2019. Retrieved from: http://www.virginiadot.org/business/locdes/survey_manual.asp

Virginia Administrative Code, 2020, Title 18. Professional and Occupational Licensing, Agency 10. Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers and Landscape Architects, Chapter 20. 18VAC10-20-370. Minimum Standards and Procedures for Land Boundary Surveying Practice. 2018, Retrieved from: https://law.lis.virginia.gov/admincode/title18/agency10/chapter20/section370/

Ward v. Harper, 234 Va. 68, 70, 360 S.E.2d 179, 181 (1987)

In accordance with § 2.2-4002.1 of the Virginia Code, this guidance conforms to the definition in § 2.2-4101.

Virginia Board for Architects, Engineers, Land Surveyors, Interior Designers, and Landscape Architects (APELSCIDLA Board)

GUIDANCE DOCUMENT: Property lines along public roads without recorded fee simple right of way

Adopted July 15, 2020 Effective December 1, 2020

Applicable Regulations 18VAC10-20-370.B. Minimum standards for land boundary surveying. Research Procedure. The professional shall search land records for the proper description and adjoining land(s) boundaries, and use other relevant data from known sources.

Evidence from all sources, including field evidence, shall be carefully compared to establish correct land boundaries.

The professional shall identify on plats, maps, and reports any inconsistencies in boundary research; title or encumbrance research is not required.

18VAC10-20-370.C. 4. Minimum standards and procedures for land boundary surveying practice. Minimum Field Procedures. Monumentation. As a requisite for completion of the work product, each land boundary survey of a tract or parcel of land shall be monumented with objects made of permanent material at all corners and changes of direction on the land boundary with the exceptions of meanders, such as meanders of streams, tidelands, lakes, swamps and prescriptive rights-of-way, and each such monument, other than a natural monument, shall, when physically feasible, be identified by a temporary witness marker. Where it is not physically feasible to set actual corners, appropriate reference monuments shall be set, preferably on line, and the location of each shall be shown on the plat or map of the land boundary. 2 Issue Solving any boundary retracement problem requires two elements: the written intention of the parties and the physical evidence that documents or witnesses the written intention. What is the surveyor to do when the road is a prescriptive right?

This guidance covers practices for surveys along prescriptive roads in Virginia, arising from continuous use with owner knowledge, vested in the public for passage rights.

Surveying after monuments placed 15’ from the centerline on prescriptive roads raises questions about intent, recording plats, and offsets referencing the centerline.

Virginia Administrative Code states prescriptive easement roads need not be monumented (18VAC10-20-370.C.4).

Should found or called pipes along sidelines be offsets? Title searches often lack fee simple dedication, severing the property from the prescriptive easement. How to handle severed strips?

If no fee simple dedication exists, legal rules suggest natural monuments override artificial ones, and the center of the traveled way overrides set pipes if the deed calls the boundary; clear metes and bounds may support two interpretations per case law.

Recent roads are often conveyed to municipalities via plat recordation after July 1, 1946, when the Subdivision Code automatically conveyed rights-of-way; clear deed descriptions override extrinsic evidence (Ault v. Clark).

Assume the strip may not have conveyed. The preferred solution is cleaning the chain of title. This may be the most advantageous solution when working toward a fee simple dedication for expanding the road. Cleaning the title of uncertainties by using eminent domain condemnation on the severed strip, via a plat styled for Heirs and Assigns of <name of Last Known Owner>, and/or Owners Unknown is an effective solution allowing any interested parties to come forward yet, still gaining fee simple title for the City, County, Town, or Commonwealth. This solution should be undertaken in consultation with the municipality. 3 The prescriptive right of way roads in VDOT Secondary Street System Maintenance are often referred to as “Byrd Act Roads.” This misnomer generally refers to roads not dedicated in fee simple. Nothing within the act guides the surveyor on how to delineate the existing roads. The Byrd Act is legislation from Virginia Acts of Assembly, VA 1932, which provided relief to counties for road construction and maintenance. It created the Secondary System of Highways, and passed whatever title and interests in public roads, held by participating counties to the Commonwealth.

In 1932, most roads were prescriptive, with counties typically holding no title interests.

Surveyors often retrace boundaries along public roads with no recorded fee simple rights, usually prescriptive easements, typically 30’ wide. The following applies:

Surveyors shall determine if the recorded description indicates the road as the controlling monument, e.g., “along the Ox Road,” where the center of the road is the boundary.

When there is evidence of an old road scar or the current road having been in a different location, a determination of whether to use the current road or the old road location shall be made based on the preponderance of the evidence and information that can be obtained. The property line shall be established using the center of one road location or the other.

Property lines shall not be set 15’ from the center of the road without recorded fee simple dedication.

Surveyors often retrace property boundaries abutting public roads with no recorded fee simple right of way where a previous survey has mistakenly established the property line as being 15’ off the center of the road. The following shall apply with regard to the location of the property line along the road in such situations: Unless there is evidence to the contrary, the assumption shall be made that the intent was not to sever or create a parcel 15’ wide along the road. Further, the assumption shall be made that the “grantor is presumed to intend to convey the largest bundle of rights he or she possesses.”2 The new survey shall go to the center of the center of the road or old property line location as described previously. 2 In absence of a “clearly and expressly reserved legal title,” (Smith v. Smith, 622 A.2d 642 (1993)) assume the grantor conveyed the full bundle of rights they held, not intending to hold back a strip. Inconsistencies and uncertainties are "resolved in favor of the grantee as long as such a construction does not violate any apparent intention of the parties to the transaction." Rohner v. Niemann, 380 A.2d at 552. (Id.) and “a conveyance of title to adjacent property served by an easement is presumed to pass title to the center line of the easement. 12 Am.Jur.2d Boundaries §§ 22, 38, 54 and 55 (1964). (Id.) This approach assumes the title passed with each conveyance and likely is sufficient for successive conveyances not submitting property to an act of subdivision, nor a fee simple dedication for an expansion of the road. 4 Surveyors should be aware of the statute, administrative code, case law, and agency guidance for solving boundaries involving public roads without recorded fee simple right of way. There are several resources in the references below with which the practicing surveyor should be familiar.

References Ault v. Clark, 112 N.E. 843 (1916)

Code of Virginia, 2020, Title 15.2. Counties, Cities and Towns, Chapter 22. Planning, Subdivision of Land and Zoning, § 15.2-2265. Recordation of approved plat as transfer of streets, termination of easements and rights-of-way, etc. Retrieved from: https://law.lis.virginia.gov/vacode/title15.2/chapter22/

Virginia Code § 33.2-105 (2020): Evidence of public highway existence; see https://law.lis.virginia.gov/vacode/title33.2/chapter1/section33.2-105/

Smith v. Smith, 622 A.2d 642 (1993) Spainhour v. Huffman, 237 Va. 340, 377 S.E.2d. 615; 1989 Va.

Virginia DOT Survey Manual (2019): http://www.virginiadot.org/business/locdes/survey_manual.asp

Virginia Admin Code § 18VAC10-20-370 (2020): Standards for land boundary surveying; see https://law.lis.virginia.gov/admincode/title18/agency10/chapter20/section370/

Ward v. Harper, 234 Va. 68, 70, 360 S.E.2d 179, 181 (1987)

DIRECTOR’S POLICY #100-04 RELEASE OF INFORMATION Effective Date: June 5, 2017

Digitally signed by Jay W. DeBoer Approved By: Reason:documentI am approving this Date: 2017.06.05 10:55:39 -04'00' I. PURPOSE: The purpose of this policy is to provide Department of Professional and Occupational Regulation (DPOR) employees with guidelines for responding to requests for information. As a DPOR guidance document, it is intended to provide the public with a general understanding of DPOR’s record disclosure practices.

II. POLICY STATEMENT: Pursuant to the Virginia Freedom of Information Act (§ 2.2-3700 et seq. of the Code of Virginia), the Department of Professional and Occupational Regulation assumes a predisposition toward full disclosure of all public records in the Department’s possession. Specific exclusions shall apply in accordance with § 54.1-108 and §§ 2.2-3705.1 through 2.2-3706 of the Code of Virginia and, in the absence of any board policy to the contrary, when the Department exercises its discretionary authority to withhold personal or confidential information that may compromise an individual’s safety and security. A subpoena duces tecum for the production of records shall be processed in accordance with Director’s Policy #100-06, Subpoenas, Service of Process and Notices.

III. DEFINITIONS:

Personal information As defined in § 2.2-3801 of the Code of Virginia is information that (i) describes, locates or indexes anything about an individual including, but not limited to, his social security number, driver's license number, agency-issued identification number, student identification number, real or personal property holdings derived from tax returns, and his education, financial transactions, medical history, ancestry, religion, political ideology, criminal or employment record, or (ii) affords a basis for inferring personal characteristics, such as finger and voice prints, photographs, or things done by or to such individual; and the record of his presence, registration, or membership in an organization or activity, or admission to an institution. "Personal information" shall not include routine information maintained for the purpose of internal office administration whose use could not be such as to affect adversely any data subject nor does the term include real estate assessment information.

Public record Recorded information that documents a transaction or activity by or with any public officer, agency or employee of an agency. Regardless of physical form or characteristic, the recorded information is a public record if it is produced, collected, received or retained in pursuance of law or in connection with the transaction of public business.

The medium (e.g., electronic documents and mail) on which such information is recorded has no bearing on the determination of whether the record is a public record or whether it is subject to public disclosure.

Record Custodian A public official or official designee in charge of an office housing public records.

IV. RELATED DOCUMENTS:  Virginia Freedom of Information Act  Government Data Collection and Dissemination Practices Act  Director’s Policy #100-06 Subpoenas, Service of Process and Notices

Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 1 of 7V. GENERAL PROVISIONS:

A. CUSTODIAN OF RECORD

1. The Records and FOIA Manager shall serve as the custodian of all Department records with specific positions designated as custodians for disclosure and authentication purposes. In the absence of the designated custodians, the Records and FOIA Manager and the Information Management Director shall authenticate records for court submission. The following individuals shall serve as custodians of any record created, processed and/or maintained by their respective sections. These individuals shall designate a backup custodian to perform record authentications in their absence. a. Executive Directors in the Communications and Board Operations Division b. Directors in the Compliance and Investigations Division (Investigations, Alternative Dispute Resolution, Complaint Analysis and Resolution, Adjudication, and Fair Housing) with Field Supervisors and Investigators designated as record custodians for the purpose of authenticating licensing and investigation records in court. c. Human Resources Director d. Senior Manager Administrative and Financial Services e. Budget and Financial Services Director f. Education and Examinations Director

B. RESPONDING TO INFORMATION REQUESTS

1. All requests for records are subject to the provisions of the Virginia Freedom of Information Act. A requester is not required to reference FOIA in order to be subject to the provisions of the Act.
2. Generally, DPOR does not require FOIA requests to be submitted in writing; however, in situations where the requested records are not identified with reasonable specificity (Code of Virginia § 2.2-3704.B), DPOR may require a detailed written or e-mail request to ensure accurate response preparation.
3. To prepare a response within five workdays of receipt, immediate delivery of a FOIA request to the appropriate (responsible) section is essential. The first workday following receipt of the request is considered day one when calculating the response deadline.
4. The Records and FOIA Manager shall make all decisions concerning routine FOIA requests and provide guidance to DPOR staff in determining the appropriate response to information requests. Specific exclusions shall apply in accordance with § 54.1-108 and §§ 2.2-3705.1 through 2.2-3706 of the Code of Virginia and any applicable board or agency policies. Non-routine FOIA requests from the public shall be communicated to the Information Management Director. Non-routine requests from the media and elected officials shall be communicated to the Deputy Director for Communications and Board Operations.
5. In accordance with § 2.2-3704.F of the Code of Virginia, DPOR may assess reasonable charges for the actual costs associated with accessing, duplicating, supplying or searching for records. Documents requested by a federal, state or local governmental or law-enforcement agency shall be provided at no cost. Photocopies are available for $.25 per page for 40 or more pages. Copies of less than 40 pages shall be available at no charge.

Furthermore, pursuant to § 2.2-3704.H unless approved by the Information Management Director, DPOR shall require advanced payment for requests that are likely to exceed $200 prior to preparing the response.

1. Pursuant to § 2.2-3704.I of the Code of Virginia, before processing a request for records, DPOR may require payment of any amount owed for previous FOIA requests that remain unpaid for at least 30 days. A letter requesting payment prior to providing additional records shall be mailed within five workdays of receiving the new request.

Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 2 of 7

C. RECORD CATEGORIES AND FOIA RESPONSE ASSIGNMENTS

1. Applications Direct record requests to: Information Management Section Applications for admission to examinations or for licensure are exempt from public disclosure (§ 54.1-108.2 of the Code of Virginia). Applications include initial, reinstatement and upgrade applications, as well as license maintenance documents that include social security numbers or other personal information.

However, applications are subject to disclosure when: a. Requested by the regulant/applicant (or any party authorized by the regulant or applicant). The regulant or their representative may obtain copies of their own applications for admission to examinations or licensure (§ 54.1-108.2 of the Code of Virginia). b. Requested by agencies in another state, district, or territory of the United States where the information is requested by the state, district, or territory in connection with an application for a service, privilege or right under their laws. Requests shall be made in a manner that substantiates the requester’s affiliation (on official letterhead or by e-mail) and states the reason for the request. c. Requested by any federal, state or local law enforcement agencies to be used in conjunction with an investigation or authentication of credentials. Requests shall be made in a manner that substantiates the requester’s affiliation (on official letterhead or by e-mail) and states the reason for the request. A letter or e-mail from the Department must accompany the information verifying that DPOR is releasing this information for investigative or authentication purposes only.

1. Bonds Direct record requests to: Licensing Section Copies of and information related to performance bonds required for licensure (including the amount of the bond and the issuer) are subject to public disclosure upon request.
2. Certifications of Regulant Status Direct record requests to: Licensing Section Individual licensing sections are responsible for preparing Certifications of Regulant Status in accordance with DPOR Licensing and Regulation Procedure #903, Certifications of Regulant Status.
3. Complaint Files Direct information requests to: Compliance and Investigations Division The Compliance and Investigations Division is responsible for responding to general inquiries regarding the number and nature of complaints against a specific respondent. Open complaints may be publicly acknowledged when a Department investigation has determined that sufficient evidence exists to establish probable cause that there was a violation of a law or regulation; however, the case file is exempt from disclosure until case closure. Cases where probable cause has been found are disclosed on the Department’s web site. Nothing in this policy shall conflict with the release of complaint information during disciplinary investigations as provided for in the Administrative Process Act.

Direct record requests to: Information Management Section a. Closed case files are subject to public disclosure with the following exclusions: 1) Application Case Files Application file information resulting in licensure shall be transferred to the license application file and handled according to Section V.C.1 of this policy.

Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 3 of 7 2) Criminal (Unlicensed Activity) Case Files a) Criminal incident information as defined in § 2.2-3706.A of the Code of Virginia and closed unlicensed cases may be exempt from public disclosure when the release is likely to jeopardize an ongoing investigation or the safety of an individual; cause a suspect to flee or evade detection; or result in the destruction of evidence. No exclusion applies when disclosure is not likely to cause the above-referenced damage. b) Criminal incident information as defined in § 2.2-3706.A of the Code of Virginia and closed unlicensed cases may be exempt from public disclosure when the release is likely to jeopardize an ongoing investigation or the safety of an individual; cause a suspect to flee or evade detection; or result in the destruction of evidence. No exclusion applies when disclosure is not likely to cause the above-referenced damage. c) The identity of any individual providing information about a crime or criminal activity under a promise of anonymity shall not be disclosed. 3) Alternative Dispute Resolution Files All memoranda, work products or other materials contained in the case file of a mediator are confidential and all materials in the case file of a mediation program pertaining to a specific mediation are confidential. Any communication made in or in connection with mediation, that relates to the dispute, including communications to schedule mediation, whether made to a mediator, a mediation program, a party, or any other person is confidential. Confidential materials and communications are not subject to the provisions of the Virginia Freedom of Information Act, nor discovery in any judicial or administrative proceeding unless permitted under § 2.2-4119 of the Code of Virginia. b. The Information Management Section is responsible for preparing closed disciplinary and fair housing complaint files in response to FOIA requests. Prior to releasing closed files, information exempt from public disclosure pursuant to Section V.E of this policy shall be removed or redacted. Unless specifically requested by an involved party, e-mail addresses contained in closed case files shall be disclosed. c. Open case files are exempt from public disclosure under the provisions of § 54.1-108.3 of the Code of Virginia. Nothing in this policy shall conflict with the release of complaint information during complaint investigations as provided for in the Administrative Process Act. d. Orders (final and consent) and written settlement agreements resulting from a voluntary alternative dispute resolution proceeding e.g., conciliation, mediation or facilitation are subject to public disclosure unless the involved parties agree in writing that the agreement is to remain confidential and the respective board determines that disclosure is not required to further the purposes of the law. e. Due to the public forum in which an informal fact-finding conference is held, IFF transcripts contained in case files (both open and closed) are subject to public disclosure. Open file IFF transcripts may be released by Adjudication Section staff.

1. Contracts and Procurement Records Direct record requests to: Procurement Section of Administrative and Financial Services Division Procurement and contract records may be released in accordance with § 2.2-4342 of the Code of Virginia.
2. Electronic Mail Direct record request to: Custodian of Record All documents sent or received on the state electronic mail system and any associated attachments are subject to public disclosure. Specific exclusions shall apply in accordance with § 54.1-108 and §§ 2.2-3705.1 through 2.2-3706 of the Code of Virginia and any applicable board or agency policies. When responding to Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 4 of 7 requests for electronic mail, the content of the e-mail transmission shall be used to determine if the record is subject to any disclosure exemptions.
3. Examination Information Direct record requests to: Education and Examinations Section or Information Management Section a. Examination questions, papers, booklets, answer sheets and scoring keys are exempt from public disclosure pursuant to § 54.1-108.1 and § 2.2-3705.1.4 of the Code of Virginia, except in situations where the Department deems that the validity or security of future examinations will not be compromised. At the discretion of the Executive Director, examination information may be released to other state agencies. b. Examination scores may be released to candidates or other jurisdictions (on Certifications of Regulant Status) if permitted by board regulation and policy.
4. Financial Records Direct record requests to: Finance Section of Administrative and Financial Services Division Requests for records maintained by the Finance Section shall be submitted to the Budget and Financial Services Director.
5. Governor’s Working Papers Direct record requests to: Custodian of Record Reports, projects, correspondence and other documents classified as working papers of the Office of the Governor, Lieutenant Governor, the Attorney General, the members of the General Assembly, or the Division of Legislative Services are not subject to public disclosure. 10. Legal Documents Direct record requests to: Custodian of Record a. Written advice of legal counsel to DPOR or the officers or employees of the Department, and any other related correspondence are protected by attorney-client privilege and therefore, not subject to public disclosure. b. Legal memoranda and other work products compiled specifically for use in litigation or for use in an active administrative investigation concerning a matter that is properly the subject of a closed meeting under § 2.2-3711 are exempt from public disclosure. 11. License Maintenance Records Direct record requests to: Information Management Section License maintenance records such as name and address changes, fee payment records and renewal cards are subject to public disclosure with the redaction of any information exempt from public disclosure per Section V.E of this policy. 12. License Transcripts Direct record requests to: Information Management Section a. License Transcripts summarize the activity associated with the license, certification or registration from initial date of licensure through fee/license expiration date. Usually prepared for court submission, License Transcripts are frequently used as an alternative to Department staff providing personal testimony regarding a specific license or lack thereof. They are prepared by the Information Management Section and authenticated by the appropriate licensing section. Other information prepared by Information Management for court in lieu of testimony include copies of official records (orders, regulation booklets, etc.) authenticated in accordance with § 54.1-112 of the Code of Virginia.

Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 5 of 7 b. License Transcripts are available for a fee of $40.00 per requested individual/business entity name; however, no fee shall be charged to organizations providing legal aid to the indigent or governmental/law enforcement agencies participating in an active criminal investigation. c. Upon request (from DPOR staff or a Commonwealth Attorney), License Transcripts may be prepared and authenticated by field investigators and regional supervisors to corroborate investigator testimony. 13. Meeting Minutes and Documents Direct record requests to: Licensing Section or Information Management Section a. Draft minutes of public meetings are available on the Department website and the Commonwealth Calendar no later than ten workdays following conclusion of the meeting (§ 2.2-3707.1 of the Code of Virginia). Final meeting minutes are available within three workdays of final approval of the minutes. b. Documents recorded in or compiled exclusively for use in closed meetings lawfully held pursuant to §

1. 2-3711 are not subject to public disclosure. However, no record that is otherwise open to inspection under this chapter shall be deemed exempt by virtue of the fact that it has been reviewed or discussed in a closed meeting. 14. Personnel Records Direct record requests to: Human Resources Section a. All requests for individual employee records shall be handled by the Human Resource Section according to the provisions of the Department of Human Resource Management Policy 6.05 Personnel Records Disclosure, the Virginia Freedom of Information Act and any guidance from the Office of the Attorney General. With the exception of the information listed in the next section, no employee information shall be released to a third party without the written consent of the subject employee. b. Upon disclosure of the following information to a third party, the Human Resource Section shall notify the subject employee of the release of information including the name and address of the individual requesting the information. 1) Employee’s position 2) Employee’s job classification 3) Dates of employment 4) Annual salary, official salary or rate of pay if such pay exceeds $10,000 per year 15. Property Registration Files Direct record requests to: Property Registration Office of the Common Interest Community Section Property registration files are available in electronic format for public disclosure. 16. Recovery Fund Files Direct record requests to: Custodian of Record Copies of Contractor and Real Estate Recovery Fund claim files are available upon request, regardless of case status. 17. Regulant Lists Direct record requests to: Information Management Section Statewide regulant lists for specific boards and occupations are available electronically for distribution on CD, DVD or e-mail.

Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 6 of 7 D. OTHER DISCLOSABLE INFORMATION While the Virginia Freedom of Information Act addresses the disclosure of “records”, other “information” shall be available to the public in order to afford them with the consumer protection associated with using appropriately credentialed practitioners. The appropriate licensing section is responsible for responding to general inquiries regarding licenses and licensing requirements. The licensing, certification, and registration information listed below may be released to the public via telephone, facsimile, e-mail or any other form of communication agreed to by both the requester and the Department.

1. Last 4 digits only of a licensee’s social security number or Virginia DMV Control Number
2. License number
3. Date of initial licensure
4. Expiration date of license
5. License classification
6. Method of obtaining license (e.g., exam, reciprocity, comity)
7. License classification
8. License status
9. Address of record (alternate addresses of individual regulants may be disclosed if the physical address required at the time of licensure has been replaced in order to protect regulant privacy) 10. E-mail address (if available) 11. Identity of individuals required as a condition of business licensure (e.g., qualified individuals, designated employees, brokers, compliance agents, responsible management) and the company with which they are affiliated. 12. Bond information

E. OTHER NON-DISCLOSABLE INFORMATION

1. 9 character social security numbers or Virginia DMV control numbers (at the Executive Director’s discretion, social security numbers/DMV control numbers may be disclosed on Certifications of Regulant Status)
2. Bank routing and account numbers
3. Credit/debit card numbers
4. Examination scores, pass/fail status or number of times an examination was taken by a candidate/licensee unless a board policy to the contrary exists
5. State income, business and estate tax returns and personal property tax returns are exempt from public disclosure.
6. Any information that may compromise the privacy or safety of an individual or business (i.e., medical/mental records, scholastic records, etc.) may be disclosed only upon approval of the Director, Deputy Directors, or Information Management Director.

F. PROCEDURE FOR CORRECTING PERSONAL INFORMATION Pursuant to § 2.2-3806.A.5 of the Code of Virginia, in the event that a regulant determines that the Department’s information on that person is inaccurate, obsolete or irrelevant, the individual may submit a written request for correction, removal or amendment to the Information Management Section. The Information Management Director shall be responsible for reviewing the request, determining if corrective action is warranted and coordinating any corrective action and written response to the requester.

Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 7 of 7

DIRECTOR’S POLICY #100-04 RELEASE OF INFORMATION Effective Date: June 5, 2017

Digitally signed by Jay W. DeBoer Approved By: Reason:documentI am approving this Date: 2017.06.05 10:55:39 -04'00' I. PURPOSE: The purpose of this policy is to provide Department of Professional and Occupational Regulation (DPOR) employees with guidelines for responding to requests for information. As a DPOR guidance document, it is intended to provide the public with a general understanding of DPOR’s record disclosure practices.

II. POLICY STATEMENT: Pursuant to the Virginia Freedom of Information Act (§ 2.2-3700 et seq. of the Code of Virginia), the Department of Professional and Occupational Regulation assumes a predisposition toward full disclosure of all public records in the Department’s possession. Specific exclusions shall apply in accordance with § 54.1-108 and §§ 2.2-3705.1 through 2.2-3706 of the Code of Virginia and, in the absence of any board policy to the contrary, when the Department exercises its discretionary authority to withhold personal or confidential information that may compromise an individual’s safety and security. A subpoena duces tecum for the production of records shall be processed in accordance with Director’s Policy #100-06, Subpoenas, Service of Process and Notices.

III. DEFINITIONS:

Personal information As defined in § 2.2-3801 of the Code of Virginia is information that (i) describes, locates or indexes anything about an individual including, but not limited to, his social security number, driver's license number, agency-issued identification number, student identification number, real or personal property holdings derived from tax returns, and his education, financial transactions, medical history, ancestry, religion, political ideology, criminal or employment record, or (ii) affords a basis for inferring personal characteristics, such as finger and voice prints, photographs, or things done by or to such individual; and the record of his presence, registration, or membership in an organization or activity, or admission to an institution. "Personal information" shall not include routine information maintained for the purpose of internal office administration whose use could not be such as to affect adversely any data subject nor does the term include real estate assessment information.

Public record Recorded information that documents a transaction or activity by or with any public officer, agency or employee of an agency. Regardless of physical form or characteristic, the recorded information is a public record if it is produced, collected, received or retained in pursuance of law or in connection with the transaction of public business.

The medium (e.g., electronic documents and mail) on which such information is recorded has no bearing on the determination of whether the record is a public record or whether it is subject to public disclosure.

Record Custodian A public official or official designee in charge of an office housing public records.

IV. RELATED DOCUMENTS:  Virginia Freedom of Information Act  Government Data Collection and Dissemination Practices Act  Director’s Policy #100-06 Subpoenas, Service of Process and Notices

Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 1 of 7V. GENERAL PROVISIONS:

A. CUSTODIAN OF RECORD

1. The Records and FOIA Manager shall serve as the custodian of all Department records with specific positions designated as custodians for disclosure and authentication purposes. In the absence of the designated custodians, the Records and FOIA Manager and the Information Management Director shall authenticate records for court submission. The following individuals shall serve as custodians of any record created, processed and/or maintained by their respective sections. These individuals shall designate a backup custodian to perform record authentications in their absence. a. Executive Directors in the Communications and Board Operations Division b. Directors in the Compliance and Investigations Division (Investigations, Alternative Dispute Resolution, Complaint Analysis and Resolution, Adjudication, and Fair Housing) with Field Supervisors and Investigators designated as record custodians for the purpose of authenticating licensing and investigation records in court. c. Human Resources Director d. Senior Manager Administrative and Financial Services e. Budget and Financial Services Director f. Education and Examinations Director

B. RESPONDING TO INFORMATION REQUESTS

1. All requests for records are subject to the provisions of the Virginia Freedom of Information Act. A requester is not required to reference FOIA in order to be subject to the provisions of the Act.
2. Generally, DPOR does not require FOIA requests to be submitted in writing; however, in situations where the requested records are not identified with reasonable specificity (Code of Virginia § 2.2-3704.B), DPOR may require a detailed written or e-mail request to ensure accurate response preparation.
3. To prepare a response within five workdays of receipt, immediate delivery of a FOIA request to the appropriate (responsible) section is essential. The first workday following receipt of the request is considered day one when calculating the response deadline.
4. The Records and FOIA Manager shall make all decisions concerning routine FOIA requests and provide guidance to DPOR staff in determining the appropriate response to information requests. Specific exclusions shall apply in accordance with § 54.1-108 and §§ 2.2-3705.1 through 2.2-3706 of the Code of Virginia and any applicable board or agency policies. Non-routine FOIA requests from the public shall be communicated to the Information Management Director. Non-routine requests from the media and elected officials shall be communicated to the Deputy Director for Communications and Board Operations.
5. In accordance with § 2.2-3704.F of the Code of Virginia, DPOR may assess reasonable charges for the actual costs associated with accessing, duplicating, supplying or searching for records. Documents requested by a federal, state or local governmental or law-enforcement agency shall be provided at no cost. Photocopies are available for $.25 per page for 40 or more pages. Copies of less than 40 pages shall be available at no charge.

Furthermore, pursuant to § 2.2-3704.H unless approved by the Information Management Director, DPOR shall require advanced payment for requests that are likely to exceed $200 prior to preparing the response.

1. Pursuant to § 2.2-3704.I of the Code of Virginia, before processing a request for records, DPOR may require payment of any amount owed for previous FOIA requests that remain unpaid for at least 30 days. A letter requesting payment prior to providing additional records shall be mailed within five workdays of receiving the new request.

Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 2 of 7

C. RECORD CATEGORIES AND FOIA RESPONSE ASSIGNMENTS

1. Applications for admission or licensure requests go to: Information Management Section. They are exempt from public disclosure (§ 54.1-108.2) and include initial, reinstatement, upgrade, and license maintenance documents with personal info.

However, applications are subject to disclosure when: a. Requested by the regulant/applicant (or any party authorized by the regulant or applicant). The regulant or their representative may obtain copies of their own applications for admission to examinations or licensure (§ 54.1-108.2 of the Code of Virginia). b. Requested by agencies in another state, district, or territory of the United States where the information is requested by the state, district, or territory in connection with an application for a service, privilege or right under their laws. Requests shall be made in a manner that substantiates the requester’s affiliation (on official letterhead or by e-mail) and states the reason for the request. c. Requested by any federal, state or local law enforcement agencies to be used in conjunction with an investigation or authentication of credentials. Requests shall be made in a manner that substantiates the requester’s affiliation (on official letterhead or by e-mail) and states the reason for the request. A letter or e-mail from the Department must accompany the information verifying that DPOR is releasing this information for investigative or authentication purposes only.

1. Bonds requests go to: Licensing Section. Performance bond info, including amount and issuer, is publicly disclosable upon request.
2. Certifications requests go to: Licensing Section. Responsible for preparing in accordance with DPOR Procedure #903.
3. Complaint requests go to: Compliance and Investigations Division. They respond to inquiries about complaints. Open complaints may be publicly acknowledged if probable cause exists; case files are exempt until closure. Disclosed on website after probable cause. Policy aligns with the Administrative Process Act.

Direct record requests to: Information Management Section a. Closed case files are subject to public disclosure with the following exclusions: 1) Application Case Files Application file information resulting in licensure shall be transferred to the license application file and handled according to Section V.C.1 of this policy.

Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 3 of 7 2) Criminal (Unlicensed Activity) Case Files a) Criminal incident information as defined in § 2.2-3706.A of the Code of Virginia and closed unlicensed cases may be exempt from public disclosure when the release is likely to jeopardize an ongoing investigation or the safety of an individual; cause a suspect to flee or evade detection; or result in the destruction of evidence. No exclusion applies when disclosure is not likely to cause the above-referenced damage. b) Criminal incident information as defined in § 2.2-3706.A of the Code of Virginia and closed unlicensed cases may be exempt from public disclosure when the release is likely to jeopardize an ongoing investigation or the safety of an individual; cause a suspect to flee or evade detection; or result in the destruction of evidence. No exclusion applies when disclosure is not likely to cause the above-referenced damage. c) The identity of any individual providing information about a crime or criminal activity under a promise of anonymity shall not be disclosed. 3) Alternative Dispute Resolution Files All memoranda, work products or other materials contained in the case file of a mediator are confidential and all materials in the case file of a mediation program pertaining to a specific mediation are confidential. Any communication made in or in connection with mediation, that relates to the dispute, including communications to schedule mediation, whether made to a mediator, a mediation program, a party, or any other person is confidential. Confidential materials and communications are not subject to the provisions of the Virginia Freedom of Information Act, nor discovery in any judicial or administrative proceeding unless permitted under § 2.2-4119 of the Code of Virginia. b. The Information Management Section is responsible for preparing closed disciplinary and fair housing complaint files in response to FOIA requests. Prior to releasing closed files, information exempt from public disclosure pursuant to Section V.E of this policy shall be removed or redacted. Unless specifically requested by an involved party, e-mail addresses contained in closed case files shall be disclosed. c. Open case files are exempt from public disclosure under the provisions of § 54.1-108.3 of the Code of Virginia. Nothing in this policy shall conflict with the release of complaint information during complaint investigations as provided for in the Administrative Process Act. d. Orders (final and consent) and written settlement agreements resulting from a voluntary alternative dispute resolution proceeding e.g., conciliation, mediation or facilitation are subject to public disclosure unless the involved parties agree in writing that the agreement is to remain confidential and the respective board determines that disclosure is not required to further the purposes of the law. e. Due to the public forum in which an informal fact-finding conference is held, IFF transcripts contained in case files (both open and closed) are subject to public disclosure. Open file IFF transcripts may be released by Adjudication Section staff.

1. Requests go to: Procurement Section. Records may be released per § 2.2-4342.
2. Requests go to: Custodian of Record. All emails and attachments are subject to disclosure, with exclusions per § 54.1-108, §§ 2.2-3705.1–2.2-3706, and policies. Email content determines exemptions.
3. Requests go to: Education/Examinations or Information Management. Exam materials are exempt from disclosure unless future security is unaffected. Scores may be released per policy.
4. Requests go to: Finance Section. Submit requests to the Budget and Financial Services Director.
5. Requests go to: Custodian of Record. Working papers of officials are not public. Legal advice and litigation work products are privileged. License maintenance info is public with exemptions. License transcripts summarize activity, often for court, and are authenticated per § 54.1-112.

Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 5 of 7 b. License Transcripts are available for a fee of $40.00 per requested individual/business entity name; however, no fee shall be charged to organizations providing legal aid to the indigent or governmental/law enforcement agencies participating in an active criminal investigation. c. Upon request (from DPOR staff or a Commonwealth Attorney), License Transcripts may be prepared and authenticated by field investigators and regional supervisors to corroborate investigator testimony. 13. Meeting Minutes and Documents Direct record requests to: Licensing Section or Information Management Section a. Draft minutes of public meetings are available on the Department website and the Commonwealth Calendar no later than ten workdays following conclusion of the meeting (§ 2.2-3707.1 of the Code of Virginia). Final meeting minutes are available within three workdays of final approval of the minutes. b. Documents recorded in or compiled exclusively for use in closed meetings lawfully held pursuant to §

1. 2-3711 are not subject to public disclosure. However, no record that is otherwise open to inspection under this chapter shall be deemed exempt by virtue of the fact that it has been reviewed or discussed in a closed meeting. 14. Personnel Records Direct record requests to: Human Resources Section a. All requests for individual employee records shall be handled by the Human Resource Section according to the provisions of the Department of Human Resource Management Policy 6.05 Personnel Records Disclosure, the Virginia Freedom of Information Act and any guidance from the Office of the Attorney General. With the exception of the information listed in the next section, no employee information shall be released to a third party without the written consent of the subject employee. b. Upon disclosure of the following information to a third party, the Human Resource Section shall notify the subject employee of the release of information including the name and address of the individual requesting the information. 1) Employee’s position 2) Employee’s job classification 3) Dates of employment 4) Annual salary, official salary or rate of pay if such pay exceeds $10,000 per year Requests go to: Property Registration Office. Files are available electronically for public disclosure. Requests go to: Custodian of Record. Claim files for Contractor and Real Estate Recovery Fund are available upon request, regardless of case status. Requests go to: Information Management. Regulant lists for boards and occupations are available electronically via CD, DVD, or email.

Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 6 of 7 D. OTHER DISCLOSABLE INFORMATION While the Virginia Freedom of Information Act addresses the disclosure of “records”, other “information” shall be available to the public in order to afford them with the consumer protection associated with using appropriately credentialed practitioners. The appropriate licensing section is responsible for responding to general inquiries regarding licenses and licensing requirements. The licensing, certification, and registration information listed below may be released to the public via telephone, facsimile, e-mail or any other form of communication agreed to by both the requester and the Department.

1. Last 4 digits only of a licensee’s social security number or Virginia DMV Control Number
2. License number
3. Date of initial licensure
4. Expiration date of license
5. License classification
6. Method of obtaining license (e.g., exam, reciprocity, comity)
7. License classification
8. License status
9. Address of record (alternate addresses of individual regulants may be disclosed if the physical address required at the time of licensure has been replaced in order to protect regulant privacy) 10. E-mail address (if available) 11. Identity of individuals required as a condition of business licensure (e.g., qualified individuals, designated employees, brokers, compliance agents, responsible management) and the company with which they are affiliated. 12. Bond information

E. OTHER NON-DISCLOSABLE INFORMATION

1. 9 character social security numbers or Virginia DMV control numbers (at the Executive Director’s discretion, social security numbers/DMV control numbers may be disclosed on Certifications of Regulant Status)
2. Bank routing and account numbers
3. Credit/debit card numbers
4. Examination scores, pass/fail status or number of times an examination was taken by a candidate/licensee unless a board policy to the contrary exists
5. State income, business and estate tax returns and personal property tax returns are exempt from public disclosure.
6. Any information that may compromise the privacy or safety of an individual or business (i.e., medical/mental records, scholastic records, etc.) may be disclosed only upon approval of the Director, Deputy Directors, or Information Management Director.

F. PROCEDURE FOR CORRECTING PERSONAL INFORMATION Pursuant to § 2.2-3806.A.5 of the Code of Virginia, in the event that a regulant determines that the Department’s information on that person is inaccurate, obsolete or irrelevant, the individual may submit a written request for correction, removal or amendment to the Information Management Section. The Information Management Director shall be responsible for reviewing the request, determining if corrective action is warranted and coordinating any corrective action and written response to the requester.

Policy Title: Director’s Policy #100-04 Release of Information [POL401-100_04-v16] Effective: 06/05/2017 Submitted By: Dawn Waters, Information Management Director Guidance Document: Yes Supersedes: Director’s Policy #100-04 Release of Information (Effective 04/01/2015) Page 7 of 7

Guidance Document To: Regulants & Other Members of the Public From: Virginia Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers, and Landscape Architects (APELSCIDLA Board) Date: June 12, 2012 Re: Comity Applicant Criteria of the Board's Current Regulations (eff. July 1, 2010) Purpose The purpose of this document is to clarify the application requirements for those persons applying to the Board for licensure or certification via comity based on licensure or certification in a jurisdiction outside of Virginia.

Architects Applicants for architect licensure via comity must be currently licensed as an architect (and in good standing) in another jurisdiction of the United States or a province of Canada. Applicants without a NCARB certificate must meet (as of today) the Virginia licensing requirements that they would have needed to meet when they were first licensed as an architect by another jurisdiction of the United States or a province of Canada.

For example: John Smith was first licensed as an architect in Ohio on 11/17/1985. He is presently licensed in Texas and is in good standing. He is applying for a Virginia architect license via comity. The Board regulations in effect on 11/17/1985 (the date Mr. Smith was first licensed) were last updated 10/18/1985. Therefore, Mr. Smith must demonstrate that, as of today, he meets the requirements of the Board's regulations effective 10/18/1985.

Applicants for architect licensure via comity who hold a valid NCARB certificate, are currently licensed as an architect, and in good standing are not required to demonstrate they meet any other education, examination, or experience requirements of the Board's current regulations effective 7/1/2010.

Applicants who do not meet either of the above two circumstances must satisfy the initial licensing requirements of the Board's current regulations effective 7/1/2010. These requirements are the same requirements which first-time license applicants must meet.

Professional Engineers (PE) Applicants for PE licensure via comity must be currently licensed as a PE (and in good standing) in another jurisdiction of the United States. Applicants must successfully demonstrate that their first PE license was issued based on having met education, experience, and examination requirements which were substantially equivalent to Virginia's requirements at the same time of the applicant's original licensure. Additionally, comity applicants must submit three current references.

For example: Adam Jones was first licensed as a PE in Florida on 5/22/1994. He is presently licensed in California and is in good standing. He is applying for a Virginia PE license via comity.

The Board regulations in effect on 5/22/1994 (the date Mr. Jones was first licensed) were last updated 5/19/1994. Therefore, Mr. Jones must demonstrate that when he was first licensed in Florida, he would have met the licensing requirements of the Board's regulations effective 5/19/1994. He must also submit three references.

If Mr. Jones cannot demonstrate that he met the Board's PE licensure requirements when he was first licensed in Florida on 5/22/1994, he must satisfy the initial licensing requirements of the Board's current regulations effective 7/1/2010. These requirements are the same requirements which first-time license applicants must meet.

Land Surveyors Applicants for land surveyor licensure via comity must be currently licensed as a land surveyor (and in good standing) in another jurisdiction of the United States. Applicants must successfully demonstrate that their first land surveyor license was issued based on having met education, experience, and examination requirements which were substantially equivalent to Virginia's requirements at the same time of the applicant's original licensure. Applicants must also pass the Virginia state-specific examination.

For example: Susan Johnson was first licensed as a land surveyor in North Carolina on 4/5/2001.

She is presently licensed in Maryland and is in good standing. She is applying for a Virginia land surveyor license via comity. The Board regulations in effect on 4/5/2001 (the date Ms. Johnson was first licensed) were last updated 12/1/1999. Therefore, Ms. Johnson must demonstrate that when she was first licensed in NC, she would have met the requirements of the Board's regulations effective 12/1/1999. She is also required to pass the Virginia state-specific examination regardless of any other examinations she has completed.

If Ms. Johnson cannot demonstrate that she met the Board's land surveyor licensure requirements when she was first licensed in NC, she must satisfy the initial licensing requirements of the Board's current regulations effective 7/1/2010. These requirements are the same requirements which first-time license applicants must meet.

Landscape Architects Applicants for landscape architect licensure via comity must be currently licensed as a landscape architect (and in good standing) in another jurisdiction of the United States. Applicants must successfully demonstrate that their first landscape architect license was issued based on having met education, experience, and examination requirements which were not in conflict with, and at least as rigorous as, Virginia's statutory and regulatory requirements at the same time of the applicant's original licensure.

For example: Brad Moore was first licensed as a landscape architect in New Jersey on 8/14/2004. He is presently licensed in Massachusetts and is in good standing. He is applying for a Virginia landscape architect license via comity. The Board regulations in effect on 8/14/2004 (the date Mr. Moore was first licensed) were last updated 3/1/2002. Therefore, Mr. Moore must demonstrate that when he was first licensed in NJ, he would have met the requirements of the Board's regulations effective 3/1/2002.

Applicants for landscape architect licensure via comity who hold a valid CLARB certificate, are currently licensed as a landscape architect, and in good standing are not required to demonstrate they meet any other education, examination, or experience requirements of the Board's regulations.  Page 2 If Mr. Moore cannot demonstrate that he met the Board's landscape architect licensure requirements on 8/14/2004, he must satisfy the initial licensing requirements of the Board's current regulations effective 7/1/2010. These requirements are the same requirements which first-time license applicants must meet.

Interior Designers Applicants for interior designer certification via comity must be currently licensed or certified as an interior designer (and in good standing) in another jurisdiction of the United States. Applicants must successfully demonstrate that their first interior designer license or certification was issued based on having met education, experience, and examination requirements which were equal to the Board's requirements at the same time of the applicant's original licensure or certification.

For example: Jane Smith was first licensed as an interior designer in New York on 12/4/2005.

She is presently certified in Georgia and is in good standing. She is applying for Virginia interior designer certification via comity. The Board regulations in effect on 12/4/2005 (the date Ms.

Smith was first licensed or certified) were last updated 12/1/2004. Therefore, Ms. Smith must demonstrate that when she was first licensed in New York, she would have met the requirements of the Board's regulations effective 12/1/2004.

If Ms. Smith cannot demonstrate that she met Virginia's interior designer certification requirements on 12/4/2005, she must satisfy the initial certification requirements of the Board's current regulations effective 7/1/2010. These requirements are the same requirements which first-time certification applicants must meet.

Summary Applicants for architect licensure via comity must either have a NCARB certificate or demonstrate that they meet (as of today) the Board requirements which were in effect when their first architect license was issued.

Applicants for PE, land surveyor, and landscape architect (without a CLARB certificate) licensure via comity must demonstrate that they would have met the Board's requirements had they applied in Virginia at the same point in time during which they were first licensed by a state other than Virginia.

This means that all supporting documentation must clearly show that the experience, examination, and education requirements were satisfied at the time their first license was issued.

Applicants for interior designer certification by comity must demonstrate that they would have met the Board's requirements had they applied in Virginia at the same point in time during which they were first certified or licensed by a state other than Virginia. This means that all supporting documentation must clearly show that the experience, examination, and education requirements were satisfied at the time their first license or certification was issued.  Page 3

Guidance Document To: Regulants & Other Members of the Public From: Virginia Board for Architects, Professional Engineers, Land Surveyors, Certified Interior Designers, and Landscape Architects (APELSCIDLA Board) Date: June 12, 2012 Re: Comity Applicant Criteria of the Board's Current Regulations (eff. July 1, 2010) Purpose The purpose of this document is to clarify the application requirements for those persons applying to the Board for licensure or certification via comity based on licensure or certification in a jurisdiction outside of Virginia.

Architects Applicants for architect licensure via comity must be currently licensed and in good standing in another U.S. jurisdiction or Canadian province. Those without a NCARB certificate must meet Virginia licensing requirements in effect when first licensed.

For example: John Smith was first licensed as an architect in Ohio on 11/17/1985. He is presently licensed in Texas and is in good standing. He is applying for a Virginia architect license via comity. The Board regulations in effect on 11/17/1985 (the date Mr. Smith was first licensed) were last updated 10/18/1985. Therefore, Mr. Smith must demonstrate that, as of today, he meets the requirements of the Board's regulations effective 10/18/1985.

Applicants for architect licensure via comity who hold a valid NCARB certificate, are currently licensed as an architect, and in good standing are not required to demonstrate they meet any other education, examination, or experience requirements of the Board's current regulations effective 7/1/2010.

Applicants who do not meet either of the above two circumstances must satisfy the initial licensing requirements of the Board's current regulations effective 7/1/2010. These requirements are the same requirements which first-time license applicants must meet.

Professional Engineers (PE) Applicants for PE licensure via comity must be currently licensed as a PE (and in good standing) in another jurisdiction of the United States. Applicants must successfully demonstrate that their first PE license was issued based on having met education, experience, and examination requirements which were substantially equivalent to Virginia's requirements at the same time of the applicant's original licensure. Additionally, comity applicants must submit three current references.

Example: Adam Jones was first licensed as a PE in Florida on 5/22/1994, now licensed in California, applying for Virginia licensure.

The Board regulations in effect on 5/22/1994 (the date Mr. Jones was first licensed) were last updated 5/19/1994. Therefore, Mr. Jones must demonstrate that when he was first licensed in Florida, he would have met the licensing requirements of the Board's regulations effective 5/19/1994. He must also submit three references.

If Mr. Jones cannot demonstrate that he met the Board's PE licensure requirements when he was first licensed in Florida on 5/22/1994, he must satisfy the initial licensing requirements of the Board's current regulations effective 7/1/2010. These requirements are the same requirements which first-time license applicants must meet.

Land Surveyors Applicants for land surveyor licensure via comity must be currently licensed as a land surveyor (and in good standing) in another jurisdiction of the United States. Applicants must successfully demonstrate that their first land surveyor license was issued based on having met education, experience, and examination requirements which were substantially equivalent to Virginia's requirements at the same time of the applicant's original licensure. Applicants must also pass the Virginia state-specific examination.

For example: Susan Johnson was first licensed as a land surveyor in North Carolina on 4/5/2001.

She is presently licensed in Maryland and is in good standing. She is applying for a Virginia land surveyor license via comity. The Board regulations in effect on 4/5/2001 (the date Ms. Johnson was first licensed) were last updated 12/1/1999. Therefore, Ms. Johnson must demonstrate that when she was first licensed in NC, she would have met the requirements of the Board's regulations effective 12/1/1999. She is also required to pass the Virginia state-specific examination regardless of any other examinations she has completed.

If Ms. Johnson cannot demonstrate that she met the Board's land surveyor licensure requirements when she was first licensed in NC, she must satisfy the initial licensing requirements of the Board's current regulations effective 7/1/2010. These requirements are the same requirements which first-time license applicants must meet.

Landscape Architects Applicants for landscape architect licensure via comity must be currently licensed as a landscape architect (and in good standing) in another jurisdiction of the United States. Applicants must successfully demonstrate that their first landscape architect license was issued based on having met education, experience, and examination requirements which were not in conflict with, and at least as rigorous as, Virginia's statutory and regulatory requirements at the same time of the applicant's original licensure.

For example: Brad Moore was first licensed as a landscape architect in New Jersey on 8/14/2004. He is presently licensed in Massachusetts and is in good standing. He is applying for a Virginia landscape architect license via comity. The Board regulations in effect on 8/14/2004 (the date Mr. Moore was first licensed) were last updated 3/1/2002. Therefore, Mr. Moore must demonstrate that when he was first licensed in NJ, he would have met the requirements of the Board's regulations effective 3/1/2002.

Applicants for landscape architect licensure via comity who hold a valid CLARB certificate, are currently licensed as a landscape architect, and in good standing are not required to demonstrate they meet any other education, examination, or experience requirements of the Board's regulations.  Page 2 If Mr. Moore cannot demonstrate that he met the Board's landscape architect licensure requirements on 8/14/2004, he must satisfy the initial licensing requirements of the Board's current regulations effective 7/1/2010. These requirements are the same requirements which first-time license applicants must meet.

Interior Designers Applicants for interior designer certification via comity must be currently licensed or certified as an interior designer (and in good standing) in another jurisdiction of the United States. Applicants must successfully demonstrate that their first interior designer license or certification was issued based on having met education, experience, and examination requirements which were equal to the Board's requirements at the same time of the applicant's original licensure or certification.

For example: Jane Smith was first licensed as an interior designer in New York on 12/4/2005.

She is presently certified in Georgia and is in good standing. She is applying for Virginia interior designer certification via comity. The Board regulations in effect on 12/4/2005 (the date Ms.

Smith was first licensed or certified) were last updated 12/1/2004. Therefore, Ms. Smith must demonstrate that when she was first licensed in New York, she would have met the requirements of the Board's regulations effective 12/1/2004.

If Ms. Smith cannot demonstrate that she met Virginia's interior designer certification requirements on 12/4/2005, she must satisfy the initial certification requirements of the Board's current regulations effective 7/1/2010. These requirements are the same requirements which first-time certification applicants must meet.

Applicants for architect licensure via comity must have a NCARB certificate or meet the Board requirements in effect when their first license was issued.

Applicants for PE, land surveyor, and landscape architect (without a CLARB certificate) licensure via comity must demonstrate that they would have met the Board's requirements had they applied in Virginia at the same point in time during which they were first licensed by a state other than Virginia.

All supporting documentation must show experience, exam, and education requirements were met when first licensed.

Applicants for interior designer certification by comity must demonstrate that they would have met the Board's requirements had they applied in Virginia at the same point in time during which they were first certified or licensed by a state other than Virginia. This means that all supporting documentation must clearly show that the experience, examination, and education requirements were satisfied at the time their first license or certification was issued.  Page 3